ELECTROMAGNETIC PERSPECTIVES

Photonic Topological Insulators:

A Beginner’s Introduction
Dia’aaldin J. Bisharat, Robert J. Davis, Yun Zhou, Prabhakar R. Bandaru, and Daniel F. Sievenpiper

T
he control and manipulation of
electromagnetic (EM) waves has EDITOR’S NOTE
reached a new level with the recent “Everything should be made as simple as possible,” said
understanding of topological states of Einstein. Unfortunately, today’s scientific knowledge is
matter. These metamaterials have the often presented in an obscure fashion, and the maelstrom
potential to revolutionize many areas of unfiltered information assailing us daily does not favor
in traditional EM design, from highly clarity. Electromagnetics is no exception to this trend. Luckily,
robust cavities to small-footprint wave- a platform such as IEEE Antennas and Propagation Magazine
guides. Much of the past literature has represents a fantastic opportunity to disseminate knowledge
been on the cutting edge of condensed- via paths that deviate from common routes and, hence, to Christophe Caloz
matter physics, but there are now ample provide alternative explanations that may demystify previously
opportunities to explore their usage for inaccessible concepts. The “Electromagnetic Perspectives” column aims to leverage
practical microwave and optical devices. this opportunity with articles that include the following features:
To assist the beginner, in this tuto- ■■ historical contextualization

rial, we give a basic introduction to the ■■ maximal simplification (without compromising accuracy)

essential concepts of topological phe- ■■ pedagogical creativity

nomena in EM systems, including geo- ■■ first-principles methodology.

metric phases, topological invariants, Authors feeling that they may provide a contribution in the spirit of this column are
pseudospin states, and the integer/valley/ welcome to contact me at [email protected].
spin quantum Hall effects (QHEs). Our Topology (from the Greek τόπος, meaning “place or location,” and λόγος, signifying
focus is on engineered photonic topo- “study”) is a field of mathematics that deals with geometrical properties and spatial
logical insulators (PTIs) in 2D systems. relations that are preserved under continuous deformations. It has many ramifications
We highlight methods for characterizing in science and engineering, one of them being topological insulators. Topological
such structures and how they result in insulators were first reported as a quantum mechanical effect in electronics, but it has
unique waveguiding properties. In addi- been recently transposed to photonics, where it has become a very popular topic. This
tion, we provide recipes on how to real- article by Bisharat et al. offers an introduction and a broad picture of the field that, I
ize PTIs using photonic crystals (PhCs) hope, are of great interest to the readers of the magazine.
and metasurfaces, examine differences
among different types of PTIs, and dis-
cuss the limitations and advantages of INTRODUCTION of electronic systems. In electronic
some of the existing enabling platforms. In much the same way as PhCs applied TIs, electrons propagate along certain
the ideas of solid-state physics to pho- directions only on the exterior of the
Digital Object Identifier 10.1109/MAP.2021.3069276
tons [1], i.e., EM waves, the new field system. This explains part of the name:
Date of current version: 2 June 2021 of PTIs [2] finds its origins in the world it is an “insulator” insomuch as it acts

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like a regular electrical insulator within the technologically useful effects that Figure 1) [8]. These edge modes are the
the bulk of a material. “Topological,” on TIs offer. corollary of the quantization of conduc-
the other hand, comes from the global Materials that have an invariant of tivity in the QHE.
topology of the energy band structure zero are “trivial,” and they act the same In repeated experiments, these edge
since it can be categorized by an integer as ordinary materials. If the invariant states are observed regardless of the
(the “topological invariant”) that does not is nonzero, however, then the effects of impurities in different material samples
depend on the fine details of the system the geometric phase become relevant, [9]. Since the invariant is resistant to a
(see Figure 1). The occurrence of electri- and “nontrivial” effects can be observed. wide range of distortions to the material,
cal current on the surface of TIs—and One of the most startling effects is what the edge states are said to be topological-
how it responds to changes in energy—is happens at the edge between a nontrivial ly “protected”—i.e., guaranteed to exist
credited to this topological invariant (see material and a trivial material (or anoth- so long as the invariant stays the same
Figure 2) rather than minor changes to er nontrivial material with a different [5]. This is of technological importance
the surface, as in ordinary materials. invariant), where a highly robust trans- due to the potential to reduce power
TIs found their start in the 1980s port mode can exist [5]. consumption by eliminating sources of
with the discovery of the QHE in a 2D These special modes, called edge loss as well as simplify manufacturing by
electron gas when subjected to periodic modes, exist within the bandgap of the increasing defect tolerances. These dis-
potentials and external magnetic fields nontrivial material, and they can be coveries led to the Nobel Prize in Physics
[3], [4]. As in the normal Hall effect, explained by the sudden change in the being awarded to Thouless, Haldane,
applying a magnetic field causes the invariant across the boundary (e.g., going and Kosterlitz in 2016.
electrons to spin in cyclotron orbits, with from one to zero). Even more remark- These systems with topolog ica l
their frequencies being determined by able is that electrons moving along these behavior are a consequence of the wave
the strength of the B field. When the boundaries must do so in one direction nature of the electrons, not specifically
material is strongly confined to 2D and only, with no possibility of scattering their quantum interactions [10]. As a
cooled to very low temperatures, the back in the other direction (illustrated in result, it is possible to construct classical
quantization of the energy of these orbits
becomes relevant, with the difference
between the allowed energies becoming Normal Transport Topological Transport
very large as the field strength increases. Normal Material
When the strength of the B field varies
enough to permit or remove an energy Topological
level, there will be a sudden jump in the Material
transverse conductivity by an exact mul-
tiple of the fundamental constants.
Hence, the QHE shows that con- (a) (b)
ductivity is fundamentally discrete [5].
Importantly, it was found [6] that this FIGURE 1. (a) Normal versus (b) topologically protected transport. The normal
discrete behavior could be explained by case has backscatter at sharp corners and defects, whereas the topological one
a special phase (called the geometric or does not.
Berry phase, detailed in the “Geometric
Phase” section) that each electron accu-
mulates as it orbits in cyclotron motion in
Topological Invariants
reciprocal (k) space.
How does topology relate to this? As
it turns out, the discrete nature of the
= ≠ =
conductance is highly robust to deforma-
tions to the bulk of the material, and it
can be shown that the added geomet-
ric phase responsible for the quantiza- Zero Holes One Hole
tion is tied directly to the mathematical
framework of topological invariants FIGURE 2. Topology concerns quantities that are preserved under continuous
(see Figure 2) [3], [6], [7]. This has some deformations of objects. A transformation is “continuous” if it does not cause
important consequences: it gives us a any sharp cuts or tears in the object. The number of holes in a closed surface is
simple means to classify materials (i.e., an example of a topological invariant since a hole cannot be added or removed
continuously: a torus can be stretched and pulled into a coffee cup shape, but not
bandgap materials) by calculating their a sphere. Electrical conductance in TIs is also determined by a topological invariant,
topological invariant (which is a property called the Chern number (C), where the object is an energy band in the Brillouin
of the bulk material), and it results in zone, and the “holes” are determined by the accumulation of the Berry phase.

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 wave systems with analogous proper- In this tutorial, we outline the basic and t 1, then smoothly changed back to
ties to their electronic counterparts. concept of the geometric phase and r0 and t 0, we would intuitively expect
This opens the door to a vast range of extend it to periodic systems in which that the initial value of E ^ r, t h would be
theoretical proposals and experimental topological properties emerge. We focus exactly the same as the final value. How-
demonstrations. Replacing the electron on 2D PhCs and showcase the physi- ever, there are some physically important
with a photon (along with a reinterpre- cal implications of Chern numbers and cases where this intuition fails, as in the
tation of some quantities), we arrive topological transitions that can arise in case shown in Figure 3.
at PTIs, which demonstrate many of such systems. In addition, we discuss the If we take a tangent vector (the red
the same features of TIs [2] and are formation of degeneracy (Dirac) points arrows) and slide it along a path on a
the primary subject of this tutorial (see in PhCs and then the various mecha- sphere (the black arrows), returning it to
“Side Note 1”). nisms to introduce topological phases the starting position, it will no longer be
that make different types of PTIs. Final- pointing in the same direction. Hence,
ly, we discuss recent developments in the starting value no longer matches
and future perspectives on this emerg- the final value. Upon its return to the
SIDE NOTE 1
ing field. north pole, the orientation of the vec-
Although the field of PTIs origi-
tor is rotated by an angle z , which,
nated from the electronic version,
there are some fundamental differ-
GEOMETRIC PHASE in this situation, is equal to r/2 . Note
ences between the two. The most
The key idea behind topological effects that this is the case only because the
significant is that photons are bo- in all areas is the geometric phase, a path is a closed loop: if the tangent
sons, whereas electrons are fermi- universal concept that emerges when retraced the same path to return to
ons. This difference manifests itself a parameter describing a system is the start (enclosing no area), the ori-
in the ways that different symme- gradually varied in a closed cycle [11]. entations would match, and z would
tries (like time reversal, written as This phase was first proposed in 1956 be zero. In the closed-path case, we
an operator T) can change how a by Pancharatnam for the propagation can consider the angle to be an added
system behaves. of light through a sequence of polar- phase, the geometric phase, that causes
Specifically, time reversal for fer- izers [12] and was later generalized the initial and final values to differ.
mions has the relationship T 2 = - 1,
by Berry for quantum mechanics [13]. This phase is geometric because it cor-
whereas for bosons, it is T 2 = + 1. A
Many phenomena in physics can be responds to a geometric area (X, shad-
more practical concern is that ab-
sorption in the medium can be an
attributed to the geometric phase, ed in blue) of the parameter space that
issue in photonics. Nevertheless, from the mechanical Foucault pendu- the path encloses.
many of the most technologically lums [14] to the polarization in helical If we think of the sphere in Fig-
relevant features of TIs (including waveguides [15]. ure 3(a) as the sphere of constant wave
backscatter immunit y) can still Any wave possesses an ampli- vector k and the vector as the electric
be found in photonic systems, so tude (call it E 0) and an ordinary field (E-field), this parallel transport
long as care is taken to distinguish phase ( z) at a given position and time, explains the change in polarization in
the circumstances in which they E ^ r, t h = E 0 ^ r h e jzt . When the values the helical and bent waveguides [Fig-
can exist. of r and t are slowly changed from r0 ure 3(b)] [16]. In the example of a bent
and t 0 to distinct intermediate values r1 waveguide, if polarized light gradually
changes direction from z to - x , then
from - x to y, and finally back to z, the
z wave will pick up a geometric phase that
rt End is added to the complex exponential form
Sta
vf z of the E-field. The “path,” in this case,
vi
φ y is the path traced over the k sphere as
x
the wave vector, corresponding to the
Ω z
direction, is changed. In this situation,
y y y the extra phase (in the form of the polar-
y z x ization direction) can be attributed to
x
x the E-field always being perpendicular
x
to the direction of propagation; there-
(a) (b)
fore, as the direction of propagation is
changed, the polarization must neces-
FIGURE 3. (a) The geometric phase from parallel transport. (b) The polarization sarily be altered, despite the propaga-
(shown as the vector E-field inset at different locations) in a bent circular
waveguide shows that, as the propagation path is varied and then returned to its tion direction eventually returning to
initial state, there can be a phase shift to the polarization state, which is due to the the starting value. Note that this effect
geometric phase. (Source: [16]). is possible only due to the existence of

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two degenerate modes in the waveguide associated with the slow evolution of A n ^ k h " A n ^ k h - ^2 2k h g ^ k h, where
(from the circular symmetry). } n ^ k h . Under most circumstances, it changes its formula with a different
when k returns back to where it started, choice of g ^ k h .
BERRY PHASE, CONNECTION, this accumulation results in zero total The Berry phase, on the other hand,
AND CURVATURE phase, but, like in the examples of the is invariant modulo 2r :
A geometric phase can emerge due to “Geometric Phase” section, special cases
the gradual variation of a state in many can arise where a nonzero geometric # dk $ A n ^ k h " # dk $ A n ^ k h
l l
types of parameter spaces, including the phase is added. In the PTI literature,
momentum space of a periodic system, the geometric phase is referred to by - # 2 g ^ k h dk " # dk $ A n ^ k h- 2mr.
2k
l l
like those of a PhC [17]. For any path the name Berry phase, specifically to (6)
that traverses an allowed band of a peri- recall Berry’s formulation in quantum
odic system and does not intersect with mechanics [13]. This can also be understood quali-
any other band, the wave vector k (Bloch To calculate the total Berry phase, we tatively. As the wave vector k slow-
momentum) varies in closed loops due to need a means to add up the phase con- ly travels around the loop of a band,
the lattice periodicity, where k - r / k r. tributions from each small change to the the wave function } n ^ k h eventually
In a 2D crystal, k traverses the surface wave function. The phase shift between returns to where it starts and picks up
of a torus geometry, which bounds the two } n states infinitesimally separated a phase of a multiple of 2r , with most
entire Brillouin zone (BZ) (see Figure 4). by ∆k can be represented by their inner systems picking up zero [11]. Since the
Many of the most important topological product [16], expanded as a low-order Berry connection depends on how we
properties appear in such systems and Taylor series as set up the calculation, yet we know
are a simple platform to understand how that the Berry phase should not, it
they emerge. } n ^ k h | } n ^ k + Tk h is helpful (especially for numerical
The literature on TIs employs a . 1 + Dk } n ^ k h d k } n ^ k h 
great deal of terminology, most of which = exp 6- iDk $ A n ^ k h@ . (3)
merely refers to a few mathematical con-
structions that assist in characterizing Here, we can see that ∆k $ A n ^ k h is the 2 3
when a topological invariant is nontrivial. phase shift over ∆k, and A n ^ k h is the
Fortunately, most of these constructions rate of change of the phase shift (see “Side
have parallels to standard EM theory Note 2”). A n ^ k h is called the Berry con-
ky
and provide straightforward methods to nection or Berry vector potential:
numerically calculate topological features
of real systems. A n ^ k h = i } n ^ k h | d k | } n ^ k h . (4)
Consider a lattice described by a gen- 1 4
kx
eral eigenvalue problem in momen- Therefore, the Berry phase for the
(a)
tum space: nth band is defined as the integral of
A n ^ k h over some closed path l in the
H ^ k h $ } n ^ k h = m n ^ k h } n ^ k h, (1) k space:

where m n ^ k h is the eigen energy, and zn = # dk $ A n ^kh. (5)

} n ^ k h is the normalized eigen wave l
function of H ^ k h (often called the Ham- 1, 2, 3, 4
iltonian in the literature) at each k for The path l is simply a smooth curve (b)
the nth band, which can be determined of values over the BZ, such as the blue
via Bloch’s theorem. In the following, we and red lines shown in Figure 4(b). If FIGURE 4. The (a) BZ can be considered
will make use of the shorthand notation we know what a given wave function as a (b) torus by taking each periodic
of the inner product, looks like in the BZ, we could use (5) boundary (red and blue) and
to calculate the Berry phase for that connecting them together.
A ^ r h | B ^ r h / 8 A ^ r h@ $ B ^ r h dr, (2) path. However, there is a catch: the
Berry connection A n ^ k h is not uniquely
to refer to the integration of two vec- defined. If a phase change g ^ k h is added
SIDE NOTE 2
tor functions A and B over a variable to the eigen wave function } n ^ k h,
r, with @ denoting Hermitian conjuga- where g ^ k h is a periodic function The notation a | b represents the
tion. Hence, normalized, in this case, w it h g ^ k endh = g ^ k beginh + 2mr, t he inner product of the wave functions
means } n ^ k h | } n ^ k h = 1. Gradu- new wave function e ig^kh } n ^ k h is still a and b, whereas a d k b denotes
ally changing the k along a given ener- an eigen wave function to H ^ k h . The the inner product of a and d k b.
gy band causes a phase accumulation Berry connection is then transformed as

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 purposes) to define a quantity that TOPOLOGY IN 2D PhCs CHERN NUMBER
will be invariant to any arbitrary phase The previous section dealt with the gen- With the aid of the Berry curvature,
g ^ k h that we may add. eral concepts of the geometric phase in we can calculate the Berry phase that
The Berry curvature, or Berry flux, periodic media, regardless of the physi- a given EM mode may acquire for a
a quantity that is invariant under such cal setting (i.e., electronic, photonic, and 2D PhC lattice. As mentioned in the
transformation, can be construct- so on). To make this explicit, here, we “Introduction” section, the relationship
ed by taking the curl of the Berry show how this theory can be specialized to topology comes in the form of an
connection: for 2D EM systems. For EM waves, the invariant tying a nonzero Berry phase
eigenvalue problem space is described by to the edge modes. For EM systems, this
Ω n ^ k h = d k A n ^ k h . (7) the macroscopic Maxwell equations. For invariant is called the Chern number,
nonbianisotropic materials in 2D, the after Chinese American mathematician
Then, using Stokes’s theorem, the Berry magnetic field can be eliminated—for Shiing-Shen Chern.
phase can be rewritten as the integral of simplicity, when treating transverse mag- The Chern number always takes an
the Berry curvature: netic (TM) modes, given by the E z -field integer value (see “Side Note 3”). When
alone—and Maxwell’s equations can be it is nonzero, the 2D photonic system is
z n = d 2 k $ Ω n ^ k h, (8)
8S recast in a compact form as said to be topologically nontrivial. The
Chern number of the nth band of a 2D
where the integration is over the surface d r 6n -1 ^ r h d r E z ^ r h@ = ~ 2 e ^ r h E z ^ r h, lattice is simply the Berry phase over the
bounded by the path l [16]. (9) full BZ:

where ~ is the angular frequency; Cn = 1

2r
# d 2 kΩ n ^k x, k yh,(12)
E z ^ r h is the z component of the E-field BZ

SIDE NOTE 3 (hereafter, we will drop the z subscript); where, in 2D, the Berry curvature only
Why is the Chern number always an and n ^ r h and e ^ r h are the magnetic has two terms:
integer? A simple explanation comes permeability and dielectric permittiv-
2A kny 2A knx
from comparing the equations with ity tensors, respectively. Note that we Ω n ^ k x, k y h = - , (13)
2k x 2k y
those of the magnetic field. The are ignoring dispersive effects for now,
Berry curvature has the same form as but further analysis shows this is valid where A n is the Berry connection for
the magnetic field, where the Berry
in many cases [16]. By applying Bloch’s the nth mode:
connection takes the place of the
theorem to (9), the eigen wave function
2E n, k ^ r h
A knx = i # d 2 rE )n, k ^ r h e ^ r h
magnetic vector potential (hence, the
can be obtained in the form of eigen ,
term Berry vector potential; likewise, 2k x
the Berry phase can be thought of as E-field E n, k ^ r h, assuming a periodicity (14)
of the material parameters [1].
a magnetic flux): 2E n, k ^ r h
Since the eigenvalue problem A kny = i # d 2 rE )n, k ^ r h e ^ r h .
2k y
X n = d k # A n + B = d r # A. (S1) involves the dielectric permittivity e ^ r h (15)
on the right-hand side of (9), the inner
Since the Chern number is just the
product of two eigen wave functions When calculated for an arbitrary
E n, k1 ^ r h and E n, k2 ^ r h can be written as
integral of the Berry curvature, this is
polarized band over the whole BZ, the
the k-space version of integrating the
magnetic field: Chern number, expressed by C n , takes a
E n, k1 ^ r h | E n, k2 ^ r h
nonzero value only when the time-reversal
symmetry (TRS) is broken for the lattice
= # d 2 rE )n, k1 ^ r h e ^ r h E n, k2 ^ r h, (10)
C n = 8 X n $ dk + 8 B $ dr. (S2)
[2]. The most common case when this
From Gauss’ law for B fields, we happens is if a magnetic field is applied
k now that doing so will always where ) denotes complex conjugation. (the Faraday and Kerr effects). In such
g i v e z e r o, u n l e s s t h e r e e x i s t s The Berry connection then takes the cases, the system is often called a Chern
a magnetic monopole in the form of insulator or Chern PTI.
integration area. In such a case,
However, there are a few ways to
the integral will give an integer A ^ k h = i E d E
n n, k k n, k observe topological effects, even when
= i # d 2 rE )n, k ^ r h e ^ r h d k E n, k ^ r h .
multiple of monopole charges. In
the TRS is retained [4]. Such systems
contrast to the B field, the Berry
phase can contribute “monopoles” are still reciprocal (i.e., they cannot
(11)
to the Berry curvature, the number form true isolators), but they can dis-
of which is the Chern number [16]. As in the general case, E n, k is normal- play immunity to certain types of back-
Hence, the Chern number must be ized such that G E n, k | E n, k H = 1. Sub- scatter and act as robust polarization
an integer. Further proofs can be sequently, the Berry curvature and filters [18].
found in [2] and [7]. phase can be written as discussed One popular version of time-rever-
earlier. sal-symmetric PTIs is the “valley” PTI,

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which associates different directions (C Tk = Tk x Tk y; and Ts is the area of
to K and C to K´) in k space with “val- SIDE NOTE 4 the discretized lattice in the real space.
ley Chern numbers.” To calculate the There are several ways of defining Equation (19) shows that the integral of
valley Chern number C v , the integral in a spin Chern number. The different the Berry curvature over each small cell
(12) is simply performed over only one formulations depend on how the in the BZ can be obtained by taking the
half of the BZ, such that two ordinar- spins are rigorously related to a inner products of the eigen E-fields at
ily identical high-symmetry points (K true topological invariant of the adjacent vertices in a clockwise order, as
and K´) are separated. This gives two physical system. In general, the illustrated by the inset in Figure 5.
different values of C v , one for each half invariant of a spin PTI is frequently Substituting (19) into the summa-
of the BZ. Added together, they will referred to as a Z 2 topological tion in (16), we get a discrete approxi-
equal the normal Chern number (zero invariant [22], distinct from the mation of the Chern number. It can be
for reciprocal systems), but, considered ordinary Chern number, but, in this shown that this approximation converg-
separately, they can be nonzero under tutorial, it sufficient to consider it es to the (continuous variable) Chern
special cases [19]. as a subtype of the standard Chern number at the limit Tk x^yh " 0 [25].
The other major reciprocal PTI is number C n, albeit specialized to a Fortunately, it also rapidly converges,
the “spin” PTI, which associates the given spin definition. often as coarse a grid, as 24 × 24 cells
handedness of a circularly polarized enough for accurate determination of
mode (or other combinations of modes) the Chern number [23], [25].
with a “spin Chern number” C s [20]. If we number the four vertices of a The spin Chern number can be com-
In general, these spins/polarizations small cell as 1, 2, 3, and 4 in a clockwise puted by separating the two distinct
are constructed by a superposition of direction, as shown in Figure 5, the inte- spin eigenmodes (generally polarization
two or more eigen fields from multiple gral of the Berry curvature over the grid based) and performing the Chern num-
bands at the same frequency (see “Side can then be written as ber calculation on each [20]. For non-
Ω n ^ k x, k y h Dk = - i (ln E n, 1 | E n, 2
Note  4”). Each polarization (right- and trivial spin PTIs, this will result in two
left-handed) corresponds to its own value identical values, each being the negative
+ ln E n, 2 | E n, 3 + ln E n, 3 | E n, 4
of C s [20], [21]. As such, the E-field in of the other [22], [23]. For valley Chern
the inner product definition must be + ln E n, 4 | E n, 1 ) number calculations, only half of the
replaced with the field associated with a = - i ln ^ E n, 1 | E n, 2 E n, 2 | E n, 3 BZ is integrated in (20) to account for
given polarization. E n, 3 | E n, 4 E n, 4 | E n, 1 h . the contribution of a finite region in the
(19) momentum space that corresponds to
NUMERICAL CALCULATION OF THE Here, specific high-symmetry points in the BZ
CHERN NUMBER E n, p | E n, q [23] (see “Side Note 5”).
In calculations of the Chern number = / E )n, p ^ w, m h e ^ w, m h E n, q Ts,  (20) From a practical perspective, the
for simulations or experiments, we w, m Chern number gives a straightforward
need to discretize the continuous 2D where p, q = " 1, 2, 3, 4 , denotes the means of checking whether a given
BZ into a lattice, as shown in Figure 5. four vertices; (w, m) indicates the (w, system has edge states and, therefore,
The shown discretization is for a square m)th discretized cell in the real space; if it will be robust to various forms of
BZ (for square lattices), but the same
methods will work on triangular lat-
tices, where the usual hexagonal BZ is
shifted to form a rhombus [23], [24]. π
X 0, a
The Chern number can be written as π π π π
M – a, a M a, a
[23], [24]

C n = 1 / Ω n ^ k x, k y h Dk x Dk y, (16) 2 3
2r k x , k y
π π ∆ky
X – a, 0 X a, 0
where Γ (0, 0)
1 ∆kx 4
Ω n ^ k x, k y h Dk x Dk y
= ^ A kny ^ k x + Dk x, k y h - A kny ^ k x, k y hh Dk y
- ^ A knx ^ k x, k y + Dk y h - A knx ^ k x, k y hh Dk x . π π
M – a, – a
π π
M a, – a
(17) π
X 0, – a
Since Dk x is small,
FIGURE 5. The discretization of a square 2D BZ in the increment of Tk x in x
A knx ^ k x, k y h Dk x direction and Tk y in the y direction. A hexagonal BZ can be discretized into a
 
. i ln E n ^ k x, k y h | E n ^ k x + Dk x, k y h . (18) parallelogram grid in a similar manner.

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 disorder. We have provided a collection [27]. In the proceeding sections, we These gapless modes are tied to the
of general-purpose MATLAB functions show example calculations of each PTI bulk Chern numbers, so they are robust
that perform the various steps, available type (Chern, valley, and spin) using this and must always exist, regardless of the
via a public repository [26]. It is worth code, with the eigenmode data simulat- specific shape of the boundary (unlike con-
noting that these numerical methods ed via the Ansys high-frequency struc- ventional waveguides) [2]. It is worth stress-
are not the only option to determine the ture simulator. ing that these modes are distinct from
nontriviality of a system, with another The Chern number describes the those found in standard PhC waveguides
powerful technique being the Green’s topology of a band and characterizes the (which can also possess high robustness
function approach (which also simpli- most fascinating and technologically rel- [29]), with the primary difference being
fies the analysis of degenerated bands) evant phenomena: topologically “protect- that their immunity to certain forms of
ed” edge states. These edge states appear scattering is a global property of the bulk
at the interface between two structures rather than any specific arrangement
SIDE NOTE 5 with unequal Chern numbers. of PhC cells.
Computing the Berry curvature and Unlike traditional photonic wave-
topological invariant for degenerate guides, with a trivial edge state between CHERN PTIs
modes is slightly different than for two ordinary insulators (with a Chern In general, PhCs and other periodic
the other types since they involve a number of zero), the nontrivial edge structures have a zero Chern number
combination of modes. To account waveguide formed by these two topologi- [2]. To engineer one, we need to focus
for multiple modes, it is necessary cally inequivalent structures (at least one on two key steps: 1) finding a degenerate
to change the representation of the structure is of a nonzero Chern num- point between the bands and 2) break-
Berry connection to a matrix where ber) would be immune to defects and ing a symmetry that opens a bandgap
each element is the Berry connection backscattering. This is because, when near that point (see “Side Note 7”). This
between a pair of modes [23]. For the two domains with different topological section details how the simplest type of
common case of a single degenerate invariants are connected directly to form PTI, the Chern PTI, is constructed and
pair, the matrix takes the form of an interface, a topological phase transi- demonstrates the exciting features it has
tion must happen at the interface [2] (see for practical designs. This type of struc-
E k1 | E k1l E k1 | E k2l
S kkl = = G, (S3) “Side Note 6”). ture is a direct emulation of the QHE
E k2 | E k1l E k2 | E k2l
Essentially, the differing topologies discussed previously [30].
where the superscripts correspond to mean that the respective bands in each The first step, finding degeneracies,
the band index. With this formulation, bandgap material cannot be continuously relates to the abrupt nature of the Chern
the Berry curvature for a given cell is transformed into one another. Trans- number: a material can change its Chern
given by forming one into the other requires the number (a topological phase transition)
frequency gap to close at the interface only when two or more photonic bands
X ^ k x , k y h Dk x Dk y =
and then reopen on the other side. This are degenerate at a point. This is part
- i ^ln ^det ^S k1 k2 S k2 k3 S k3 k4 S k4 k1 hhh .
 phase transition gives rise to the gapless of the reason for the robustness of edge
(S4)
edge states at the interface. To accom- modes, as any small change to the struc-
Equation (S4) can be generalized to as modate the jump in the Chern number’s ture that keeps the bandgap open in the
many degenerate bands as necessary
integer value, e.g., from 1 to 0, 1 to –1, bulk does not affect the mode. Finding
[23], [25].
and so on, the number of gapless edge a degeneracy in PhCs is common, but
modes turns out to be the difference of the second step, opening a bandgap via
the Chern numbers across the interface a broken symmetry, places some restric-
[28]. This is known as the bulk-edge cor- tions on the degeneracies that are useful
SIDE NOTE 6 respondence [2]. for making a PTI [2].
The topological phase transition The simplest type of degenerate point
is the procedure where a system for PTIs is a linear crossing of two bands,
changes its topological invariant. SIDE NOTE 7 often called a Dirac cone in the literature
Systems with different topological The most useful symmetries for EM [4]. Such a crossing can be made via a
invariants cannot change into each systems are as follows: PhC in a honeycomb lattice, where the
other without a phase transition. In ■■ TRS: t " - t, broken by gyrotropic degenerate point will always occur at the
periodic systems, this occurs when materials with applied E-/H-fields K(K´) high-symmetry point in the BZ [1].
a bandgap closes, marked by a ■■ spatial-inversion symmetry: r " - r, To obtain a nontrivial PhC, it is, however,
change in the Chern number. In PhCs, broken by altering the geometry not necessary to form a linear-type degen-
a topological transition is usually of the material (e.g., removing a eracy, as any other type (e.g., quadradic
induced by changes in the symmetry slice from a cylinder or changing [31] or accidental [32]) will also work.
or geometry of the PhC unit cell. circles to triangles). To s e e ho w t h i s w or k s for a
real device, we use the example of

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Wang et al. [33], which was later devel- Here, l represents the effect of the different gap Chern numbers, with the
oped into the first experimental dem- z-directed dc magnetic field and is zero net number of modes being their differ-
onstration of a Chern PTI [34]. First, to when the field is turned off. For a 1,600-G ence: N modes = C Tgap = C gap,1 - C gap,2 .
create the initial degenerate point, we magnetic field [33], the values at 4.28 GHz For this example, that implies the lowest
select a square lattice of circular rods are l = 12.4n 0 and n = 14n 0 , with n 0 bandgap will have no edge modes (or,
[chosen to be made of yttrium–iron–gar- being the vacuum permeability in meter– more precisely, the net number of right-
net, (YIG), for reasons soon explained] kilogram–seconds. Breaking the TRS ward modes equals the net number of
and tune the geometry to find a quadratic by turning on the magnetic field opens leftward modes [35]), while the second
crossing of the second and third bands at a bandgap near the degenerate point and third bandgaps will.
the M point, shown in Figure 6(a). Note for the second and third bands at the M The magnetized YIG model displays
that there is also a degeneracy at the C point, as shown in Figure 6(b). all of the telltale signs of a Chern PTI,
point for the third and fourth bands, but To confirm that the opened bandgap and, as such, we can construct a wide
we focus on the quadratic M point here. is indeed topologically nontrivial, we can range of devices that exploit its nonrecip-
Now that we have our degeneracy, observe the behavior of the Berry cur- rocal and highly robust nature. One such
we must break a symmetry that opens vature for the various bands, shown in demonstration is an isolating transmis-
a complete bandgap near it. The chief Figure 7(a) and (b). We can see that the sion line with two 90° bends, shown in
symmetries present in the system are the second mode has a very large contribution Figure 7(c) and (d) (compare with Fig-
TRS (where running time backward does to the Berry curvature right at the M point ure 1). Similar to ferrite-based magnetic
not affect the response) and SIS (where and, likewise, for the X point of the third isolators, the device is nonreciprocal
flipping the coordinate axes maintains mode. Integrating over each separately, we for any EM mode inside the nontrivial
the shape and orientation of the unit cell). find the Chern number of the lowest band bandgaps, but there are a few important
Breaking either will induce a band- to be zero, while the next three are –1, and highly attractive features:
gap, but only breaking the TRS will 2, and 1, indicating the existence of edge ■■ Unlike a traditional isolator, EM ener-
cause a nonzero accumulation of the modes within the upper bandgaps. gy is not simply routed to a lumped
Berry phase over the whole BZ and, so, An important thing to note is that, element load and dissipated locally as
will result in the desired edge modes while the Chern number C n is asso- heat [34]. Instead, the influence of the
[24]. Following Wang et al.’s approach, ciated with each band n of the bulk, Berry phase results in an edge mode
the TRS can be broken by applying a edge modes are associated with the only for a single direction of propaga-
static magnetic field perpendicular bandgaps between them. To differen- tion, with no allowed modes in the
to the 2D plane. Doing so induces an tiate this, we often speak of the “gap opposite direction. Hence, any energy
anisotropy to the magnetic permeability Chern number” C gap = R n 1 n g C n, which sent the opposite way will either be
of the YIG with the form is just the sum of the Chern numbers of reflected or decay exponentially into
all bands below a given bandgap with the bulk in the same manner as a triv-
n il 0 upper band n g [16]. Hence, to observe ial PhC [Figure 7(d)].
x = >- il n 0 H .(21)
n edge modes, we need to operate within ■■ The directionality of the mode is
0 0 n0 a bandgap between two materials with determined by the direction of the

1 0.8
0.9 0.7
0.8
0.6
0.7
0.6 0.5
ω a/2πc
ω a/2πc

0.5 0.4
0.4 0.3
0.3
M 0.2 M B
0.2 Γ r Γ r
× 0.1 ×
0.1 a a
0 0
Γ X M Γ Γ X M Γ
(a) (b)

FIGURE 6. A band diagram for the square lattice of (a) unmagnetized and (b) magnetized YIG rods in air. The inset in (a) shows
the BZ path, and the inset in (b) represents a unit cell with r = 0.11a.

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 π Maximum π Maximum

0 0 0 0
ky

ky
M
Γ X

Minimum Minimum
−π 0 π −π 0 π
kx kx
(a) (b)

PEC PEC

(c) (d)

FIGURE 7. Proving nontrivial transport for a magnetically biased Chern PTI. (a) The Berry curvature for the second band,
showing large dips near the M point. The middle inset shows the BZ diagram. (b) The Berry curvature for the third band, with
sharp peaks at the X point and smaller peaks at the M point. (c) An example of robust transport, with two 90° bends and a
defect along the path. Note the lack of backscatter. (d) Exciting the same structure from the other end shows the isolator-like
behavior, with no mode for propagation in the opposite direction. PEC: perfect electric conductor.

shown 90° bends, will force the settings [36]. A major breakthrough for
SIDE NOTE 8 energy around corners with negli- this line of research was the development
Although the example of a Chern gible losses. This will occur so long of the valley and spin PTIs (detailed in
PTI studied here concerns periodic as the strength of the scatterer is not the following sections), which remove
structures with discrete translational greater than the size of the nontriv- the requirement of the external magnetic
symmetry, it has been recently shown ial bandgap, provided the scatterer field (see “Side Note 8”).
that Chern numbers can also be is nonmagnetic [2]. Likewise, any
defined for continuous media, such as a small defect, like the three missing VALLEY PTIs
homogenous magnetized plasma [S1]. rods, will not lead to scattering. Although the Chern PTI has many
In addition, other platforms, including
■■ Being essentially a distributed device, advantages, the requirement for magne-
arrays of coupled waveguides, can be
the level of isolation and insertion loss to-optical materials and external mag-
used to emulate the effect at optical
frequencies [38]. can be tuned by varying the length netic fields places limits on the practical
and shape of the structure. applications. The question then arises: can
This example is for a 2D system, we construct a PTI with similar features
Reference
[S1] M. G. Silveirinha, “Chern invariants for which can be experimentally emulated of robustness to disorder or sharp turns
continuous media,” Phys. Rev. B, vol. 92, no. via a parallel-plate waveguide structure, while still being reciprocal? The answer
12, p. 125,153, Sept. 2015. doi: 10.1103/Phys
RevB.92.125153. with the separation between the plates turns out to be yes, with some limitations.
being very thin, ensuring only TM modes There is another type of PTI made of
can propagate. This platform makes it passive materials that exploits an inherent
bias magnetic field, so flipping its easy to analyze but is less straightfor- degree of freedom of hexagonal lattices
direction will also flip the allowed ward to integrate into normal EM and that can be used to mimic similar phe-
propagation direction. photonic systems. However, there are nomena for robust edge state propagation,
■■ With the lack of backward modes, numerous studies and ongoing work to although the level of robustness depends
a source of backscatter, like the create Chern PTIs for more practical on the types of disorder considered.

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 0.35
0.3
0.3
0.25
0.25

0.2 0.2
ω a/2πc

ω a/2πc
0.15 0.15

0.1 M K a 0.1 M K a
rB rB
0.05 Γ 0.05 Γ
rA rA
0 0
Γ M K Γ Γ M K Γ
(a) (b)

FIGURE 8. The band diagram for the (a) symmetrical (trivial) and (b) asymmetrical (nontrivial) valley structure, with silicon
(e r = 11.9) rods in air. The inset in (a) shows the BZ path, and the inset in (b) represents the unit cell, with (a) rA = rB = 0.25a
and (b) rA = 0.19a, rB = 0.25a .

Specifically, in a hexagonal/graphene- Here, we look at an example of a it, as shown in Figure 8(b). Note that
like lattice, the angular rotation of the dielectric valley PTI from [39]. Each we can tune this bandgap by tuning
E-fields at the high-symmetry point K unit cell consists of two silicon rods, A the dimensions of A and/or B. The
or K´ generates an intrinsic magnetic and B, with corresponding radii rA and more different A and B are, the larger
moment, which is called the valley rB . When rA and rB are identical (here, the bandgap.
degree of freedom [19]. The term valley rA = rB = 0.25a , with lattice constant As shown in Figure 9, the in-
is used owing to the shape of the disper- a ), the structure becomes a type of plane E-field distribution of the first
sion near the K (K´) point, which, in a tri- photonic graphene, and there is a Dirac and second bands at the K valley are
angular lattice, is a deep dip, or a sharp degeneracy at the K (K´) point as shown accompanied by an energy flux (i.e.,
peak, both of which are referred to as in Figure 8(a). time-averaged Poynting vectors) rotating
valleys. Just as the Chern PTI emulates We then break the inversion sym- in either a clockwise or counterclockwise
the QHE, the valley PTI is a model for metry by shrinking the A rod slightly manner. In accordance with the TRS,
the “quantum valley Hall effect,” studied (rA = 0.19a) . This lifts the degeneracy we also find that the field profile at the
in graphene-like materials. and opens a complete bandgap around K´ valley exhibits the reversed direction
To design a valley PTI, we can start
from a graphene-like PhC, which pos-
sesses the “Dirac”-like degenerate point
at the K (K´) point. Such a lattice can
be constructed by a unit cell contain-
ing two rods of equal radius (A and B
sites), shown in the inset to Figure 8(a).
Like when constructing a Chern PTI,
a symmetry must be broken to lift the
((a)) (b)
degeneracy. In a valley PTI, a controlla-
ble bandgap can be achieved by differen-
tiating the A and B rods in the unit cell,
thus breaking the inversion symmetry. As
we show through examples, a graphene-
like PhC that lacks inversion symmetry
exhibits opposite Berry curvatures at the (c) (d)
K and K´ points [23]. In principle, this
Minimum Maximum
allows us to selectively couple to either
the K or K´ valleys, which would result in
FIGURE 9. The difference in energy flux of the K and K’ modes for the upper and
a unidirectional topologically protected lower bands. The color denotes the magnitude of the E-field, while the arrows are
edge mode that is locked to the direction the real part of the Poynting vector: the (a) lower and (b) upper bands at K as well
of C to K or C to K´. as the (c) lower and (d) upper bands at K’.

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 π Maximum π Maximum

0 0

k2
k2
0 0
M
K′
Γ M
K
Minimum Minimum
−π 0 π −π 0 π
k1 k1
(a) (b)

(c) (d)

FIGURE 10. Proving the nontrivial transport of a valley PTI of two-site silicon rods. (a) The Berry curvature for the lower band.
The middle inset illustrates the BZ diagram. (b) The Berry curvature of the upper band, showing flipped peaks and nulls from
the lower-band case. (c) The interface structure with two 120° bends. The two regions are simply rotated versions of each
other. (d) The magnitude of the E-field of the structure.

of energy flux. The flux vortex’s center B sites are exchanged, we get the val- the bulk-edge correspondence, is deter-
corresponds to a singular point of the ley Chern number of - (1/2) for K and mined by the difference of C v above
phase (here, the out-of-plane E-field E z ), + (1/2) for K´ (see “Side Note 9”). and below the bandgap: C Kv, 2 - C Kv, 1 = 1 ,
carrying an orbital angular momentum Furthermore, we can see that the C Kv,'2 - C Kv,l1 = - 1 , where each value cor-
(OAM) with its sign depending on the signs of both flip from the lower band responds to a single valley (K or K´). The
vortex direction [39]. to the higher band. This indicates that differing signs here could be interpreted
This vortex can be considered as an valley-polarized topological edge states as the sign of the group velocity of the
“artificial magnetic field”-like effect exist within the bandgap at an inter- forward- and backward-propagating
that replaces the role of the real mag- face between structures with opposite modes at the two valleys [19].
netic field of the Chern PTI. Meanwhile, unit cell orientations (between A–B We can again build, essentially, the
inverting the orientation of the unit cells and B–A). The interface will, therefore, same bent waveguiding model as the
in the plane (i.e., swapping the A and have A sites adjacent to A sites or B sites Chern PTI to demonstrate the robustness
B lattice sites) results in identical band adjacent to B sites. The number of edge of the valley structure, shown in Figure 10(c)
structures but opposite signs of the OAM modes at each valley, in accordance with and (d). The valley PTIs also have their
at the K and K´ valleys. Importantly, the own features (see “Side Note 10”):
frequency order of the OAM states at ■■ Unlike the Chern PTIs (and spin
each valley is also inverted, which indi- SIDE NOTE 9 PTIs), where topological edge
cates a topological phase transition. How can the “valley Chern number” be modes can be formed at the inter-
To further validate the nontrivial ! ^1/2h when the Chern number face between nontrivial and trivial
topological character of the bands, we is always an integer? The value is only lattices, the valley edge modes exist
can numerically calculate the Berry cur- guaranteed to be an integer when the only at the interface between two
vature, as shown in Figure 10(a) and (b). integrated curvature is closed, while, valley PTIs with opposite valley
The spike at the K point results in a Berry here, we consider only half the BZ, which Chern numbers ((1/2) and - (1/2)) .
phase of r , while there is a - r Berry is, therefore, open. Valley PTIs gain their Therefore, when constructing a val-
phase accumulation at K´. Integrating characteristics by the opposite behavior ley waveguide, there must always be
over half of the BZ [or near K (K´)], we at K and K´, even though the “true” Chern a pair of complementary valley PhCs.
get the valley Chern number of + (1/2) number is zero. ■■ Since the valley edge modes are
for K and - (1/2) for K´. If the A and coupled to K or K´ valleys, these

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 edge modes are the most robust in be integrated into standard systems with
the directions where the valleys are SIDE NOTE 10 relative ease [40]. At optical frequencies,
clearly defined (i.e., the C -to-K or It is also possible to build a purely topologically protected designs could
C -to-K´ directions), indicating that metallic valley PTI. For example, a valley enable features like spin-selective filtering
they will preserve their unidirection- PTI can be constructed by a patch- [43] and unidirectional polarization con-
ality only when sharp turns are 120°. type flat metasurface to engineer trol [19] beyond general robustness.
In contrast to Chern PTIs, defects transverse electric modes (or apertures
that scatter valleys into each other for transverse mag­netic modes) [S2]. ONLINE SUPPLEMENTARY MATERIAL
(breaking the C 3v symmetry, for Simply changing the shape of the patch This article has supplementary down-
example) will weaken the edge mode from a hexagon into a triangle reduces loadable material available at https://doi
and give lower robustness [40]. the cell from a 60° to 120° rotation .org/10.1109/map.2021.3069276, provid-
■■ Valley states can couple to spin-type symmetry. As a result, the degenerate ed by the authors.
modes in certain PTIs [41]. These bands split at the two inequivalent but
spin–valley coupled edge states can time-reversed valleys (K and K´), leading
be used to form “valley splitters” that to a bandgap in the BZ. Edge modes
are not restricted by the orientation will form between sheets of upward-
of the unit cell [41]. and downward-pointed triangles.
■■ Unlike many spin PTI designs, it is
simple to construct planar or nearly Reference
planar valley PTIs, making them an [S2] D. J. Bisharat and D. F. Sievenpiper,
attractive choice for integration with “Topological metasurfaces for symmetry-
protected electromagnetic line waves,” in
AUTHOR INFORMATION
normal silicon [42] or metal-on-insu- Proc. SPIE Nanosci. Eng., San Diego, CA, Aug. Dia’aaldin J. Bisharat (dbisharat@
lator designs. 12, 2019. doi: 10.1117/12.2529727. ucsd.edu) is a postdoctoral researcher at
the City University of New York Gradu-
SPIN PTIs ate Center, New York, New York, 10016,
The last major PTI type, the spin PTI, is, achieve the effects of topologically pro- USA. Previously, he was with the Univer-
in a practical sense, similar to the valley tected modes, lending considerable flex- sity of California, San Diego, La Jolla.
type, being reciprocal while still possess- ibility to their usage. In all cases, such His research interests include novel
ing highly robust features. A full example devices possess remarkable robustness approaches for guiding electromagnetic
of a recently demonstrated planar metallic to a wide class of disorder, which could waves. He is a Member of IEEE.
PTI [44], which has a number of attractive enable much greater fabrication toleranc- Robert J. Davis ([email protected]) is
features for integration with traditional es for applications like extremely robust a Ph.D. student at the University of Califor-
microwave systems [45], is provided in the integrated optical waveguides [38]. Like- nia, San Diego, La Jolla, California, 92093,
additional online materials. Spin PTIs are wise, their immunity to backscattering USA. His research interests include apply-
also readily adaptable to dielectric plat- off of sharp bends has the potential to ing new concepts from condensed-matter
forms suitable for optical bands [46]. shrink device footprints by eliminating physics to electromagnetic problems. He is
the gradual bends or careful engineering a Student Member of IEEE.
CONCLUSIONS AND FUTURE OUTLOOK needed at the edges to overcome losses Yun Zhou ([email protected])
In this tutorial, we have given an over- or higher-order mode mixing when a is a Ph.D. student at the University of
view of the concepts, mathematics, and turn is required in a waveguide [2], [36]. California, San Diego, La Jolla, Califor-
implementations of PTIs. The central For the case of the Chern PTI nia, 92093, USA. Her research interests
idea that relates the topics together is the devices, there is a large effort to deploy include phononic topological insulators.
geometric phase, which lies at the heart topologically protected lasers [47], with She is a Fellow of IEEE.
of both theory and physical realization. many recent studies realizing arbitrarily Prabhakar R. Bandaru (pbanda
This concept is readily applied to a 2D shaped optical cavities immune to dis- [email protected]) is a professor at the Uni-
PhC, which is a simple platform to engi- order [48]. Further uses can be seen versity of California, San Diego, La Jolla,
neer topological modes. Computations of in isolators [34] and circulators [37]. In California, 92093, USA. His research
the Berry curvature, Chern number, and the magnetic field-free valley and spin interests include electrochemical energy
other topological invariants for a given implementations, there is potential to storage, control of thermal energy, and
design illuminate how the geometric use such devices in place of traditional fluid flow at the nanoscale. He is a Fel-
phase influences the system and can be transmission lines or waveguides, with low of IEEE.
readily calculated with numerical tools to the added benefits of sharp bend immu- Daniel F. Sievenpiper (dsieven
aid in design. nity and robustness to disorder [40], [44]. [email protected]) is a professor
The three most common formula- For microwave devices, many of these at the University of California, San
tions of PTIs, the Chern, valley, and spin are functionally similar to traditional Diego, La Jolla, California, 92093,
PTIs, all represent different strategies to metallic structures, and, as such, could USA. His research interests include

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tonic topological insulator,” Nat. Mater., vol. 15, no. [34] Z. Wang, Y. Chong, J. D. Joannopoulos, and
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