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Spectral Riemann Surface Topology of Gapped Non-Hermitian Systems

by Anton Montag, Alexander Felski, Flore K. Kunst

Submission summary

Authors (as registered SciPost users): Alexander Felski
Submission information
Preprint Link: https://arxiv.org/abs/2410.18616v3  (pdf)
Date submitted: Nov. 27, 2025, 11:23 a.m.
Submitted by: Alexander Felski
Submitted to: SciPost Physics
Ontological classification
Academic field: Physics
Specialties:
  • Condensed Matter Physics - Theory
Approach: Theoretical

Abstract

We show topological configurations of the complex-valued spectra in gapped non-Hermitian systems. These arise when the distinctive EPs in the energy Riemann surfaces of such models are annihilated after threading them across the boundary of the Brillouin zone. This results in a non-trivially closed branch cut that is protected by an energy gap in the spectrum. Their presence or absence establishes topologically distinct configurations for fully non-degenerate systems and tuning between them requires a closing of the gap, forming exceptional point degeneracies. We provide an outlook toward experimental realizations in metasurfaces and single-photon interferometry.

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Response to the Referee 1

We thank the referee for their review of our manuscript.

They have judged our manuscript to address “the highly topical field of topology in non-Hermitian physics” and to propose an interesting and “very nice” parallel between topological features of the toric code and the band structure of non-Hermitian Bloch Hamiltonians. Their critique focuses on the accessibility to “random readers” and the “general theoretical audience” as well as a lack of explicit examples to illustrate the ideas proposed.

Before addressing these points, in which regard we have made significant modifications and expansions to our manuscript, we would like to state the following: We do not believe that the report reflects a sufficient understanding of the foundations of the topics discussed and leaves questions regarding the understanding of the format for which this manuscript was submitted. The referee states that the manuscript “operates with specific terms, most of which are not properly defined or explained in the text.” The only further specification raised regarding this point concerns the notion of energy Riemann surfaces, “already [in] the very first paragraph”. They grant that “of course, the general theoretical audience should know what Riemann surfaces are” — namely connected 1D complex manifolds, ubiquitously tied to multivalued complex-valued(!) functions. But their following critique of Fig. 1, which shows a relevant configuration of such surfaces, asks the question of why real part and absolute value of such surfaces would differ (this difference between real part and absolute value is certainly to be generically expected for any complex-valued function). They further explicitly state that already this “enhances [their] confusion” regarding “notions and objects discussed in the manuscript”. Consequently, they question the clarity of Fig. 4, stating it “appears as an illustration […] showing that the mug with a handle is topological equivalent to a donut” and that it is “unclear why [sic.] Fig.4 has to do with Eq.(5)”. The equation in question states a Bloch Hamiltonian, yet it appears surprising to the referee that an illustration of a system, whose parameter space is the two-dimensional Brillouin zone, should have toroidal structure (“a donut”).
Moreover, the referee critiques that no efforts were made to make the article “self-contained” (!), while pointing out the inclusion of “all those references” provided. We certainly understand, and fully agree, with the aim for accessibility and the importance of intelligibility and reproducibility. Self-containedness, in the sense of reintroducing base concepts which “the general theoretical audience should know” such as the notion of a Riemann surface or the Brillouin zone, is however neither customary nor purposeful for regular research articles — this manuscript is not a review, it is submitted for consideration as regular research article.

Regardless of this statement, we have taken seriously the points raised to improve the accessibility of our manuscript and have addressed them as follows:

(1) Paragraph length.

Upon suggestion of referee 2, we have restructured the manuscript to first focus on the non-Hermitian model and then explaining the analogy to the toric code. In doing so we have in particular taken care to expand paragraphs into smaller sections.

(2) Figures and explicit examples.

To clarify our discussion, we have included further concrete examples in Sec. 2 (Non-Hermitian Bloch Hamiltonians and spectral Riemann surfaces) and Sec. 3.1 (Closed Fermi cuts). Their relation to Fig.1 and a new Fig.2, showcasing the formation of Fermi cuts, have been addressed in greater detail. In addition, we have included Sec. 3.3 (Time-reversal-symmetric non-Hermitian systems), which provides further clarification on the underlying structure in the central model presented in the manuscript (Eq.(9), formerly Eq.(5)).

A complete list of changes made can be found in the following. A redline version of the updated manuscript is enclosed for convenience.


Response to the Referee 2

We thank the referee for their attentive review of our manuscript. They have raised multiple points, which we would like to address as follows.

(3) “The authors start explaining the toric code, and later moving towards their non-Hermitian case. From my perspective it would be more clear if they make a complete explanation of their non-Hermitian case, and then later on they show the analogy with the toric code”

We have restructured our manuscript following this suggestion and agree that it has helped to provide a more accessible presentation.

(1) “I would encourage the authors to expand some paragraphs in smaller sections, more clearly outlining the important steps in the calculation.”

In rearranging the manuscript, we have taken the opportunity to expand upon the discussion in smaller paragraphs. These include in particular the addition of concrete examples that showcase and discuss features of the introduced Fermi cuts, as well as a section (3.3) clarifying the underlying structure of the central model presented in greater detail.

(2) “If a similar analogy could be done with a 1D non-Hermitian model, I would encourage the authors to include it as it can be greatly helpful to understand their idea. The physics of that case would be of course different from the toric code, yet I believe that it would substantially clarify the essence of their manuscript.”

Such a model unfortunately lacks a central structure, which enables the formation of gapped spectra within the context of our discussion: the presence of crossing points on the Brillouin zone boundary for closed Fermi arcs which do not give rise to EPs. To highlight this property in the two-dimensional model, we have included a new section (3.3) and expanded explanations throughout the text.

(4) “Section 2.3 would benefit from a concrete example, probably accompanied with a figure.”

To provide illustrative examples of the multi-band extension discussed in this section, we have expanded the discussion of the three-band case by an additional figure (Fig.6). It showcases how Fermi cuts between different sheets can be overlaid and how higher-order EPs, which close the complex energy gap, may arise as a result.

  • In addition, we have expanded the Implementation section through a more detailed discussion of a realisation within acoustic metasurfaces. This includes a schematic visualisation of the structure of such a surface, as well as comments on how the measurement of the dispersion grants access to the Fermi-cut information.

A complete list of changes made can be found in the following. A redline version of the updated manuscript is enclosed for the referees' convenience.

List of changes

List of changes made:

  • (entire manuscript) Rearranged sections such that the study focuses on the introduction of the non-Hermitian models first and later discusses the analogy to the toric code.

  • (p2&Fig.1) Amended or changed formulations in introductory discussion of Riemann surfaces of the complex-valued energy function in non-Hermitian systems to improve clarity.

  • (p3) Added concrete example, which highlights EPs, to improve accessibility for a wider audience.

*(p4) Added segue section for Sec. 3 in line with rearrangement of manuscript.

*(p4,5) Added concrete example (including discussion and new Figure 2), which illustrates the formation of closed Fermi cuts.

*(p6) Adjusted Sec. 3.2 to fit rearrangement of the manuscript.

*(p7) Added Sec.3.3, which expands upon the underlying structure for the formation of closed Fermi cuts, in order to clarify the following discussion of the central model presented in our text.

*(p7, sec 4) Added segue section of Sec. 4 in line with rearrangement of manuscript.

*(p9 Fig.5(b), & p6 Fig.3) Split previous figure in line with the rearrangement of the manuscript. Adjusted captions accordingly.

*(p9) Added comment, which clarifies the structure of the model Hamiltonian in reference to the added section 3.3

*(p10 & Fig.6) Added examples for a three-band system to exemplify the discussion of multi-band generalisations and highlight the formation of higher-order EPs, which close the complex energy gap.

*(p11,12&Fig.7) Expanded discussion of Implementations section, including a schematic figure of the relevant acoustic metasurface and comments on how to access information on Fermi cuts from measurements.

*(p12) Added statement to conclusions to reflect the details added in Sec. 3.3

Current status:
Awaiting resubmission

Reports on this Submission

Report #2 by Anonymous (Referee 2) on 2026-1-30 (Invited Report)

Strengths

See report

Weaknesses

See report

Report

The authors have addressed my previous comments in detail, making a substantial change to the text of their revised version and including further discussions. I would to thank the authors for the substantial work in addressing the points I mentioned. I believe that the current version of the manuscript has a much better clarity than their initial submission, and that nicely highlights the findings in their model and the relation with the toric code. I also believe that their manuscript is much easier to follow for the community of non-Hermitian physics in its current form, and that it will motivate further research in this direction. Given all the points above, I recommend publication in its current form.

Requested changes

No changes

Recommendation

Publish (meets expectations and criteria for this Journal)

  • validity: high
  • significance: good
  • originality: high
  • clarity: high
  • formatting: excellent
  • grammar: perfect

Report #1 by Anonymous (Referee 1) on 2026-1-29 (Invited Report)

Disclosure of Generative AI use

The referee discloses that the following generative AI tools have been used in the preparation of this report:

Google Gemini was used for the extensive literature search

Strengths

see report

Weaknesses

see report

Report

I apologize for the delayed report.

The presentation in the revised manuscript has been improved, in particular, by adding the mathematical expressions corresponding to the figures discussed. However, several further points require corrections (see below): (i) Several definitions (Fermi arcs, Fermi cuts, spectral “Riemann surface”) are ambiguous or mathematically imprecise; (ii) Some figures contain conceptual and labeling inconsistencies that can mislead readers; (iii) The topological invariant can be given in an explicit, gauge-invariant algebraic form directly in terms of $H(k)$; (iv) The analogy with the toric code requires stronger disclaimers to avoid confusion with topological order. Below, I discuss them point-by-point.

  1. Confusion regarding Fig. 1 and the definition of the Fermi arc. Before discussing the details of the new version, I would like to clarify the source of my confusion concerning Fig. 1, as expressed in the first report. The authors defined the Fermi arcs in the sentence “(imaginary-) Fermi arcs are lines on which the real (imaginary) part of the eigenenergies is degenerate.” This “compactified” form of the definition [(A)B=C(D)] can be interpreted ambiguously. The ambiguity arises because the sentence admits two grammatically valid but physically inequivalent parsings. Specifically, the correspondence between the first and second parts of the sentence can be established either by the order in which terms appear or by bracketing. In the first case, the sentence is understood as follows: “imaginary-Fermi arcs are lines on which the real part of the eigenenergies is degenerate” + “Fermi arcs are lines on which the imaginary part of the eigenenergies is degenerate”, while the second (bracketing) option yields: “Fermi arcs are lines on which the real part of the eigenenergies is degenerate” + “imaginary-Fermi arcs are lines on which the imaginary part of the eigenenergies is degenerate”. When looking at Fig. 1 for the first time, I applied the natural ordering convention (i.e., the shown Fermi arc is where Im$\epsilon$ is degenerate, and hence zero for the typical symmetric case) and was confused by the fact that the real part and the absolute value did not agree along this line. I then realized that the proper convention is the “bracketing correspondence”, but I have left this comment in my report to emphasize that the definitions in the manuscript are not presented in a clear way, which might confuse innocent readers. I don’t understand why not to give unambiguous definitions for Fermi arcs and imaginary Fermi arcs separately (A=D and B=C), without the “braiding-bracketing” trick (which only saved half a line).

  2. Negative absolute values of energies. My second reason to comment on Fig. 1b was to attract the authors’ attention to a possible inconsistency in panels b and d of Fig. 1, which I noticed during the first reading. According to the axis labels (and the caption in the new version), these panels show the absolute value of the energy eigenvalues. The appearance of the graph in these panels, however, suggested that the exceptional points corresponded to zero energy. Then, the lower parts of the graphs in panels b and d would correspond to negative values of $|\epsilon|$, which is nonsensical. An overall shift of the real part of the energies by a constant would place the exceptional points at a positive energy, but this would definitely destroy the up-down symmetry of the graphs for $|\epsilon|$, whereas such an asymmetry was not seen there. Therefore, in my first report, I asked the authors to show the explicit formulas for the spectrum used to plot the graphs, and I thank the authors for providing this information in the revised version (I guess the authors agree with me that equations help the reader understand the essence of the work).

According to the added expression [Eq. (2)], the exceptional points in Figs. 1a and 1b are indeed at $\epsilon=0$. This means that the authors plotted negative absolute values of energy in Fig. 1b. Following the authors’ style in their response, it is time to put multiple exclamation marks here. Some referees would just stop reviewing a manuscript after reading about $|\epsilon|<0$. It is, of course, clear that the authors meant a “signed absolute value”, i.e., they plotted the product $\mu|\epsilon_\mu|$ instead of $|\epsilon|$. This is a nice visualization tool calling for the reader’s experience with spectra of Hermitian Hamiltonians, but this should be clearly stated in the manuscript, the figure caption, and the axis label. This seemingly trivial but misleading point must be corrected in the published version.

  1. Definition of Riemann surfaces. Now, let’s discuss the definition of the spectral Riemann surfaces. In the new version, this object is implicitly defined above Eq. (2): according to this sentence, the spectral Riemann surface in the manuscript is the multivalued complex-valued function of two real variables $k_x$ and $k_y$. This should be clearly stated at the beginning of the manuscript. In their response, the authors correctly quote the mathematical definition of Riemann surfaces (“connected 1D complex manifolds”). However, ironically, what they call a spectral Riemann surface in 2D non-Hermitian band theory is NOT a genuine Riemann surface in the mathematically strict sense, following exactly this definition. Rather, it is a finite ramified (multi-sheeted) complex-valued covering of the Brillouin torus, equipped with nontrivial monodromy. This object lacks the proper complex-analytical structure encoded in the words “complex manifold” in the definition of the Riemann surface (holomorphicity, proper complex coordinate, etc.; see, e.g., the Wikipedia article). Crucially, the existence of a multi-sheeted structure with monodromy does not by itself imply a complex-manifold structure. What is required for a Riemann surface is a single complex coordinate $z$ such that the spectrum is holomorphic in $z$.

Instead of further going into mathematical details and referring to, e.g., the Newlander–Nirenberg theorem (not to be confused with the Nielsen–Ninomiya theorem) or the Nijenhuis tensor, I will describe when the true Riemann surface is encountered in similar problems that are well-known to a “random regular” condensed-matter theorist (for whom, perhaps, the main application of Riemann surfaces is in the areas involving analytical continuation to complex frequency), and show relevant examples demonstrating the problem with the term in 2D Bloch theory.

For the first time, the spectral Riemann surface appeared in the context of band theory, perhaps, in the work by Walter Kohn, Analytic Properties of Bloch Waves and Wannier Functions, Physical Review 15, 809 (1959), https://journals.aps.org/pr/abstract/10.1103/PhysRev.115.809. There, in 1D Bloch theory, it was a genuine Riemann surface, obtained by “complexifying” the quasi-momentum according to $z=\exp(i k)$ and analytically continuing to C. The spectrum is then a holomorphic function of a single complex coordinate $z$. A similar procedure was discussed in non-Hermitian 1D band theory in, e.g., Heming Wang, Lingling Fan, and Shanhui Fan, One-dimensional non-Hermitian band structures as Riemann surfaces, Phys. Rev. A 110, 012209 (2024), https://journals.aps.org/pra/abstract/10.1103/PhysRevA.110.012209. In one spatial dimension, the spectral Riemann surface is a true Riemann surface.

The problem arises in two spatial dimensions for the Brillouin torus (note that one can also consider energies depending on two parameters without Bloch periodicity, as was done in some recent works on non-Hermitian models, see, e.g., the works by Sen Zhang et al. or Zhong and El-Ganainy cited below). The point is that, if one performs the same complexification of two real momenta as in 1D, one gets a nice complex manifold, which is, however, not a 1-complex (2-real) manifold but a 2-complex (4-real) one, and thus not a Riemann surface (the function will depend on two complex variables). Naively, having in mind that $\mathbb{R}^2$ is similar to $\mathbb{C}$, one can try to find a map $(k_x,k_y) \to z(k_x,k_y)$, thus defining a single coordinate for the spectrum as a function of z. The “natural” choice $z(k_x,k_y) = k_x+i k_y$, does not, however, work for the Bloch bands: the resulting complex energy function still depends on two complex coordinates, $z$ and $\bar{z}$, and hence is not holomorphic.

Another possible attempt is to choose $z(k_x,k_y)$ as, e.g., the argument of the square root in Eq. (2):

$$z(k_x,k_y)=2[1 - a^2 \cos^2 k_y + i \sqrt{3} \sin k_x],$$
so that $\epsilon(z)=\sqrt{z}$. This looks like a nice textbook realization of a Riemann surface. The caveat here is that the mapping $(k_x,k_y) \to z(k_x,k_y)$ is not globally invertible: it gives the same z for different neighboring combinations of $(k_x,k_y)$. The Jacobian of the transformation from $(k_x,k_y)$ to Re$z$ and Im$z$ vanishes along extended lines in the Brillouin zone, thus violating the requirement for a proper coordinate. This obstruction is a manifestation of a general property: “on a compact Riemann surface X, every holomorphic function with values in $\mathbb{C}$ is constant due to the maximum principle” (a quote from Wikipedia; in our case, X is the Brillouin torus).

Therefore, the nontrivial coverings of the Brillouin torus cannot become Riemann surfaces, unless the 2D problem is effectively quasi-one-dimensional (say, hopping in the lattice model is allowed only along one primitive vector, or a non-Hermitian Dirac Hamiltonian depends only on $k_x+i k_y$, like in Ref. [26]). Moreover, a similar obstruction seems to be responsible for the topological features discussed in the manuscript, related, in particular, to the presence of non-contractible Fermi cuts extending throughout the entire Brillouin zone.

Thus, although the energy band structure in two-dimensional non-Hermitian Bloch theory is a smooth real two-dimensional manifold, this fact alone does not generically suffice to endow it with the structure of a one-dimensional complex manifold. A Riemann surface requires not only real dimension two, but also the existence of an atlas of local complex coordinates whose transition functions are holomorphic.

Therefore, the term “spectral Riemann surface” as used in the manuscript is a misnomer or, at least, a “poetic metaphor,” possibly contradicting the very essence of the work, which risks obscuring rather than highlighting the central results. I would strongly recommend that the authors put “Riemann surface” in quotation marks, explaining that the term should be interpreted as a physically motivated analogy rather than a literal mathematical identification, or replace this term with “multi-sheeted covering of the Brillouin torus” or with just “Riemann sheets” (as used in Ref. [27]; this term is not equivalent to “Riemann surface”).

It should be emphasized, however, that the absence of a global complex-manifold structure does not diminish the physical and topological relevance of the multi-sheet “Riemann surface” picture presented in the manuscript. It faithfully captures robust and experimentally observable phenomena that are topological in nature and can be formulated in terms of covering spaces and braid-group invariants. The monodromy associated with loops gives rise to braid-group representations, which provide topological invariants for classifying non-Hermitian band structures. This braid-theoretic perspective captures topology without actually requiring the complex-analytic structure of a Riemann surface. Nevertheless, while the term “Riemann surface” serves as a useful and intuitive shorthand to convey topological phenomena, it is mathematically imprecise in the present context. This is not just a matter of linguistics.

To summarize, the terminology “Riemann surface” is mathematically imprecise in 2D Bloch problems. I recommend replacing it with “multi-sheeted spectral covering of the Brillouin zone” or, at least, putting the term “Riemann surface” in quotes, explaining its meaning as used in the manuscript.

  1. Definition of the Fermi cuts. In my first report, I also complained that some other terms “are not properly defined or explained in the text”. Let me clarify this more carefully. For example, the Fermi cut is defined in the manuscript only in connection with exceptional points (below Fig. 1): “Here we choose the common identification of the branch cuts with the Fermi arc that always connects the EP2 pair, and refer to the combined object as a Fermi cut.” This definition assumes the presence of EPs. However, later, the authors discuss the objects they also call Fermi cuts, which exist in the gapful spectrum (no EPs; by the way, the definition of a gapped non-Hermitian spectrum, which is based on |epsilon|, appears only in Sec. 3.1, although the term was used already in Sec. 2, where it could have been understood as referring to the gaps present simultaneously in both Re$\epsilon$ and Im$\epsilon$) and which are the primary objects in the subsequent analysis. However, there is no definition of Fermi cuts without EPs. The authors should provide such a definition without invoking EPs. It appears that all Fermi cuts considered in the manuscript always coincide with Fermi arcs. A possible definition would probably combine both real and imaginary Fermi arcs, as was done below Fig. 4 (“the Fermi cut and the associated imaginary Fermi arc”).

In short: as currently written, the definition of Fermi cuts is circular, since it presupposes the existence of EPs, while later sections rely on Fermi cuts in EP-free spectra. This should be corrected.

  1. Clarity of figure captions. Regarding the figures, I appreciate the authors’ effort to improve the accessibility of figure captions. However, even with the revised captions, the figures remain somewhat unclear. I already mentioned the problem with Figs. 1b and 1d; here, I would like to return to Fig. 4. In general, figures should be self-explanatory and accessible without reading their description in the text. The caption of Fig. 4 does not fully describe the figure. In particular, it does not explain what red lines are (this is only said in the text) and what the “windows” in the outer sheet are (are the sheets open or is this only a visualization tool); it does not explain how we see from the figures that the topological configurations are distinct; it does not refer to Fig. 3 to make a connection with “braiding”. This is exactly the reason why I wrote in my previous report that the information delivered by this figure is essentially not much higher than that in the caricature of a mug. Without extensive cross-referencing to the main text and other figures in the caption, the figure does not by itself convey the claimed topological distinction.

  2. Additional references The caption of Fig. 4 should be contrasted with a much more informative one of Fig. 1 in Jung-Wan Ryu, Jae-Ho Han, Chang-Hwan Yi, Hee Chul Park, and Moon Jip Park, Pseudo-Hermitian topology in multiband non-Hermitian systems, Phys. Rev. A 111, 042205 (2025), https://journals.aps.org/pra/abstract/10.1103/PhysRevA.111.042205. Note the terminology used there: “pseudo-Hermitian line” (can it be used in the context of the manuscript?). By the way, it is quite surprising that this highly relevant paper (which appeared as a preprint arXiv:2405.17749 on 24 May 2024, i.e., well before the first arXiv version of the current manuscript, submitted on 24 Oct 2024) is not quoted by the authors.

I would also suggest that, in addition to the already mentioned work by Wang, Fan, and Fan, the authors quote the following closely related works: Dali Cheng, Heming Wang, Janet Zhong, Eran Lustig, Charles Roques-Carmes, and Shanhui Fan, Experimental observation of energy-band Riemann surface, https://arxiv.org/abs/2510.08819 (it is about 1D, hence a true Riemann surface in the title); Sen Zhang et al., Dynamically encircling an exceptional point through phase-tracked closed-loop control. Commun. Phys. 8, 344 (2025), https://doi.org/10.1038/s42005-025-02275-y (in connection with experimental platforms and the adiabatic theorem discussed in Sec. 5); Qi Zhong and Rami El-Ganainy, Crossing exceptional points without phase transition. Scientific Reports 9, 134 (2019), https://doi.org/10.1038/s41598-018-36701-9 (non-Bloch spectral Riemann surfaces as functions of two parameters).

  1. Plots of the imaginary part of complex energies. Figures from these references strongly indicate that it is extremely helpful for the reader to see the plots of both Re$\epsilon$ and Im$\epsilon$. Indeed, in the present manuscript, the illustrations of topology focus on the plots of Re$\epsilon$ in Figs. 2, 3, 4, and 6. This might create the impression that the imaginary part of the eigenenergies is not important for topological analysis.

In fact, what the authors implicitly assume when drawing, e.g., Figs. 2 and 3, is some choice of labeling the eigenvalues. Only then can one talk about the sign of Re$[\Delta\epsilon(\mathbf{k})]$ in the upper-right panel in Fig. 2, where a non-contractible Fermi cut appears. The labeling choice adopted in this figure is dictated by the “continuity” of the deformation of eigenvalues by beta. With the adopted choice, the imaginary part of $\Delta\epsilon$ will jump (change its sign) at this Fermi cut, which is not seen in the plot of $|\Delta\epsilon|$ (the absolute value should always be positive, as we agreed when discussing Fig. 1b).

Importantly, the labeling choice is a gauge-like freedom. In the presence of a Fermi arc in the gapped spectrum, one can choose an arbitrary labeling of Re$\epsilon$ sheets upon crossing the arc. With the choice opposite to that in Fig. 2, the sign of Re$[\Delta\epsilon(\mathbf{k})]$ will change across the Fermi arc, while the imaginary part will be continuous throughout the entire Brillouin zone. In this case, however, the bands of the real part must jump at the boundary of the Brillouin zone.

In general, there exists no continuous labeling of the bands in the entire Brillouin zone for the gapped spectrum with non-contractible Fermi cuts: either Re$\epsilon$ or Im$\epsilon$ must jump. This is exactly the obstruction detected by the nontrivial topological invariant. This important aspect of the band structure is best illustrated by showing plots for both Re$\epsilon$ and Im$\epsilon$ side by side. In particular, the situation of the unprotected Fermi arc in Sec. 3.2 (which, by the way, corresponds to a genuine Riemann surface, as the model is quasi-one-dimensional) differs from that for touching Re$\epsilon$ bands in Fig. 2 by the fact that Im$\epsilon$ does not jump across the Fermi arc. Thus, plotting Im$\epsilon$ is extremely instructive.

Notably, in Fig. 3, the labeling convention is chosen to be opposite to that in Fig. 2: in Fig. 3, the Re$\epsilon$ bands change their signs at the Fermi arcs, leading to “braiding” and “permutation” (jump) at the boundary of the Brillouin zone. This corresponds to continuous bands of Im$\epsilon$. This different labeling choice adds to the reader’s confusion when comparing Figs. 2 and 3: no “braiding” is explicitly seen in Fig. 2, as the sign of Re$[\Delta\epsilon(\mathbf{k})]$ is always positive. This labeling freedom and the specific choices of labeling must be indicated in the text and figure captions.

  1. Algebraic definition of the topological invariants. The manuscript defines the $\mathbb{Z}_2 \times \mathbb{Z}_2$ invariants via permutations of the eigenvalues, which requires diagonalizing $H(k)$ and tracking eigenvalue branches along loops in the Brillouin zone, including a labeling convention for the sheets. The $\mathbb{Z}_2$ invariant proposed in the manuscript is, of course, not affected by the labeling freedom. However, operationally, it might seem to be connected to the specific labeling shown in Fig. 3, where the “permutations” are evident for Re epsilon (the convention of continuous Im$\epsilon$ sheets). Trying to extract the invariant for the convention of Fig. 2, following the permutation prescription, is not a trivial task. A natural question arises: What is the definition of “permutation” of eigenenergies, which does not rely on pictures obtained for a specific labeling convention? Or, more generally, what is the algebraic definition of this invariant? Given that the paper studies symmetry-protected topology of non-Hermitian systems (and not topological order), the answer is inspired by the Fu-Kane $\mathbb{Z}_2$ invariant for time-reversal-symmetric (TRS) topological insulators.

In the gapped, TRS case, there exists an equivalent, fully gauge-invariant formulation of $\mathbb{Z}_2 \times \mathbb{Z}_2$ invariants in terms of the discriminant of the Bloch Hamiltonian. Specifically, for a two-band model, one can define the function (strictly positive in the gapped phase)

$$\Delta(k) = [\mathrm{Tr} H(k)]^2 - 4 \det H(k).$$
This function can be written as $\Delta(k)=(\epsilon_1-\epsilon_2)^2$ in terms of eigenvalues of $H(k)$. Next, we introduce a Fu-Kane-type formula at the four time-reversal invariant momenta $(0,0), (\pi,0), (0,\pi), (\pi,\pi)$, with $\Delta(k)$ replacing the Pfaffian. Writing
$$(-1)^{m_x} = \mathrm{sign}[\Delta(\pi,0)/\Delta(0,0)] $$
and
$$(-1)^{m_y} = \mathrm{sign}[\Delta(0,\pi)/\Delta(0,0)],$$
one obtains the same $\mathbb{Z}_2 \times \mathbb{Z}_2$ classification as in the permutation-based definition. However, now, the invariants are expressed purely in terms of gauge-invariant combinations of matrix elements of $H(k)$, without any explicit use of eigenvalues or branch choices: no diagonalization, no pictures, no labeling freedom, and even no explicit braiding. Time-reversal symmetry implies $\Delta(k) = \Delta^*(-k)$, so that $Delta(k)$ is real at the time-reversal invariant momenta and its sign is well defined there; this reality condition is essential for the construction and shows that the invariant is symmetry-protected rather than intrinsic.

One can also write equivalent expressions using the other pair of time-reversal invariant momenta,

$$(-1)^{m_x} = \mathrm{sign}[\Delta(0,\pi)/\Delta(\pi,\pi)] $$
and
$$(-1)^{m_y} = \mathrm{sign}[\Delta(\pi,0)/\Delta(\pi,\pi)],$$
and the equivalence of the two definitions modulo 2 follows from the absence of zeros of $\Delta(k) $ in the gapped phase.

It is worth noting that in all models considered in the manuscript, Tr$[H(k)]=0$, so that the discriminant is proportional to the determinant. However, in the general case, the invariant is expressed through the discriminant. Indeed, adding a constant term to the diagonal of $H$ will shift the determinant and can change its sign, whereas the topology of the band structure will not be altered (cf. discussion of Figs. 1a and 1b above).

In my view, mentioning this discriminant-based, Fu-Kane-type formula would strengthen the manuscript by (i) emphasizing the gauge-invariant nature of the invariant, and (ii) providing an operational way to compute it directly from $H(k)$ without diagonalization. It also makes the connection to the first Stiefel-Whitney class of $\sqrt{\Delta}$ (shown in Fig. 2) transparent, highlighting the underlying bundle-theoretic structure. Thus, I consider the inclusion of the algebraic formulation essential for the clarity and completeness of the manuscript.

  1. Critical values of beta in Eq. (3). Returning to Fig. 2, it should be noted that the panel labels there (values of $\beta$) do not literally correspond to Eq. (3); the critical values “$\beta=3$” and “$\beta=5$” claimed below Eq. (3) also do not correspond to Eq. (3). In particular, taking $k_x=k_y=0$ in Eq. (3), one gets the matrix
    $$H(0,0)=\left(\begin{array}{cc} 3 & 1/5+2 i\beta \ -1/5+2 i \beta & -3 \end{array} \right),$$
    with the eigenvalues $\pm (2/5) \sqrt{56-25 \beta^2}$, so that $\beta=3$ corresponds to the gap.

I guess, there appears to be a typo in the off-diagonal term in the model defined in Eq. (3). To approximately reproduce the quoted critical values for the gap-closing transitions ($\beta \approx 3$ and $\beta \approx 5$; more precisely, $\beta = 4 \sqrt{14}/5 \approx 2.993$ and $\beta = 4 \sqrt{39}/5 \approx 4.996$), the off-diagonal element must be scaled by a factor of 1/2. The correct term is then $i (\beta/2)(1+\cos k_x)$, not $i \beta (1+\cos k_x)$. I also believe that, if my guess is correct, one should use the approximate-equality sign "$\approx$" when quoting the values 3 and 5 in the text. This discussion again confirms the importance of presenting equations used for plotting figures.

  1. Toric-code analogy. Finally, I would like to comment on the toric-code analogy. Specifically, the manuscript draws a structural analogy between the topology of complex energy spectra in certain gapped, TRS non-Hermitian systems and the ground-state manifold of Kitaev's toric code. The analogy is rooted in the homology of the torus, which appears in both a canonical model of quantum topological order and in the spectral structure of certain gapped non-Hermitian systems. Indeed, both are classified by a $\mathbb{Z}_2 \times \mathbb{Z}_2$ invariant corresponding to the parity of monodromy along the two generators of the first homology group of the torus.

In my first report, I appreciated ‘a nice idea of "mapping" the topological features of the toric code to a general structure of bands in non-Hermitian Bloch Hamiltonians.’ With the better understanding of the essence of the paper (thanks to improvements done in the revised version and, in particular, to the added new equations), I still consider the analogy nice and encouraging. This translation of topological tools and intuition between distinct fields is very useful for exploring symmetry-protected topological phases in classical and photonic systems, while stressing the distinct structures present in fully quantum topological phases.

However, now I believe that some more disclaimers and clarifications should appear in the discussion, in addition to “The energy spectrum behaves as a classical object, so that this analogy does not inherit the full quantum-mechanical properties of the toric code.” While the analogy is mathematically substantial, it is much more constrained physically. A crucial distinction is the difference of "universality classes": symmetry-protected topology vs. topological order. Importantly, in the toric code, the four sectors are degenerate ground states of a single Hamiltonian, whereas in the non-Hermitian analogy, they represent distinct gapped phases of different Hamiltonians (or different parameter regimes), separated by gap-closing transitions.

What does the analogy capture? (i) The $\mathbb{Z}_2 \times \mathbb{Z}_2$ classification from two independent non-contractible cycles on a torus; (ii) The concept of distinct topological sectors defined by lines of defects (spin flips/branch cuts); (iii) The pair-wise creation of excitations (anyons/exceptional points) connected by a defect string (flux line / Fermi cut).

What does the analogy not capture? (i) The quantum many-body nature of the toric code (as the authors also emphasized in the manuscript), (ii) Long-ranged topological entanglement – one of the defining properties of topological order; (iii) Ground-state degeneracy of a single Hamiltonian – again, a defining feature of topological order: the non-Hermitian analog yields distinct phases, not a degenerate ground space; (iv) Anyonic statistics and toric-code fusion rules (the authors mention the mismatch in the number of “quasiparticle” types in Sec. 4.3); (v) The full structure of the $\mathbb{Z}_2$ gauge electromagnetic theory of the toric code, and, more generally, topological quantum field theory for models with topological order.

Without a more extended discussion of the latter (“not captured”) items, the reader might decide that topologically ordered phases can be realized following the authors’ proposal, which is highly misleading. This is not a “topological order" in the many-body quantum sense, but rather a symmetry-protected topological phase of a single-particle spectrum. I noticed that the first arXiv version of this manuscript contained “topological order” in the title. Removing this term from the title and the abstract was already a step in the right direction. Still, a clear distinction between the physical concepts addressed in the manuscript and those involved in topological order should be spelled out.

I recommend expanding this discussion in the manuscript, not resorting to a brief disclaimer in the Conclusion section.

  1. Conclusion. To conclude, overall, this is a nice paper deserving of publication. The revised version of the manuscript is substantially improved compared to the previous one. However, the points raised above should be adequately addressed in the manuscript before it can be recommended for publication. In fact, despite the length of my report, further improvements can be made in the manuscript without significantly extending its length.

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