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Khovanov homology and Jones categorification
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2 · Logical flowchart
3 · Definitions, theorems and proofs
Cut tangles of marked knots have relative Reidemeister movies
Statement
Assume countable choice. Let and be finite regular diagrams of the same oriented smooth knot, with marks away from crossings. Remove a small open arc about each mark and regard each complementary diagram as a one-interval tangle diagram in a disk, using the complementary disk in the projection sphere. Identify their two boundary endpoints and short oriented product collars. The resulting proper arcs can be realized in one standard smooth three-ball so that they are smoothly isotopic with those endpoints and collars fixed. Their diagrams are connected by a finite sequence of planar isotopies and oriented Reidemeister moves supported away from those collars. This holds when the two diagrams coincide and only the mark has moved along the knot.
Statement references
Facts & Assumptions
Given: AC and the two finite based diagrams of the same oriented knot.
A smooth isotopy of embeddings of a compact manifold, including a compact three-ball, extends under AC to an ambient isotopy; end stationarity can be retained (The isotopy extension theorem, clauses 1 and 4).
Parametric transversality and transverse preimages have the meanings and countable-choice hypotheses of Parametric transversality and The transverse preimage theorem. The finite-jet proof, codimension counts, exclusion of accumulation on source diagonals, and construction of planar isotopies on regular intervals are given in General-position isotopies of links, proof steps 1.1–5.1.
An ordinary cusp, quadratic double tangency and transverse triple event give respectively R1, R2 and R3, with all actual orientations and height orders retained (Generic isotopies have only Reidemeister singular times, proof steps 1.1–2.1; Oriented Reidemeister moves).
Proof
The endpoint realizations and the common cap. Regard a planar diagram as a diagram on the projection sphere, and choose a small closed disk about its mark meeting the diagram in one crossing-free arc only. The complementary disk contains a proper interval diagram; its two endpoints can be put at any prescribed two boundary points by an orientation-preserving disk coordinate change, preserving the interval orientation. Realize its crossings at small distinct positive or negative heights in a thickening of that disk, and straighten short end collars. Round the thickening to a standard three-ball . Closing the interval by a fixed unknotted arc in the complementary ball gives exactly the original diagram on the sphere: the two projected disks glue along their boundary and the cap is the single deleted arc. This operation changes no crossing, sign, or resolution; it replaces the marked circle in every resolution by one interval. Make these choices for both diagrams with the same , endpoints and cap . The cap and slightly longer knot collars may be chosen identical as parametrized embeddings at both ends. Indeed an orientation-preserving change of circle parametrization can prescribe its parametrization on an interval; it extends over the remaining interval by a strictly increasing smooth map. Such circle reparametrizations are isotopic to the identity, as seen by interpolating their increasing lifts , , with the identity lift. Thus there is a smooth isotopy of the closed parametrized knots with these endpoint embeddings and this common source interval . Reparametrize time to make it stationary near . Here the existence of is exactly the hypothesis that the two closed diagrams represent the same oriented knot.
Trivialize a moving ball, including its endpoint charts. Along the track of the slightly enlarged source interval , choose a smooth pair of normal vectors to the nonzero knot tangent, equal to the same standard pair near . Such a pair exists on the rectangle : start with local transverse frames, extend them along the interval and then in time, and correct their terminal angle by a smooth rotation, equal to zero initially and to that angle terminally. The terminal angle has a smooth real lift on an interval. Regarding as the unit sphere in , use the explicit tube , with the two normals tangent to . Its derivative is injective along the zero section. For uniformly small transverse coordinates it is an embedded tube; compactness gives a common width and excludes intersections with the rest of the knot outside the enlarged interval. Rounded end caps give a smooth family of embedded three-balls about the cap, intersecting the knot in the chosen cap and its standard end collars. At the two stationary ends this family is the same specified ball chart: . Apply [F1] to and, if necessary, a slightly larger ball chart, to get with . Then fixes the cap and its collar throughout. Its restriction to the complementary source interval is a proper-arc isotopy in the fixed . At it is the first tangle; at it is applied to the second, where is a diffeomorphism equal to the identity on a boundary collar, because on the slightly larger ball. No identification of the terminal ball chart with an arbitrary initial chart has been assumed.
Correct the terminal diffeomorphism on the arc. Identify with the unit ball and choose the coordinate origin off the second compact arc . The chart can have this property by a small interior change fixing its boundary collar. Since is the identity near the boundary, for the maps are smooth diffeomorphisms, agreeing smoothly at , and equal to the identity on a fixed boundary collar. Put . For less than the positive distance from the origin to , is exactly the identity. Thus is a smooth isotopy of proper arcs even at , although the ambient Alexander formula need not be smooth at . Each slice is embedded, its endpoints and collars are fixed, and its final slice is . Reverse this arc isotopy and concatenate it with step 2.1, using stationary time changes at the join. The resulting smooth arc isotopy runs from the first tangle to the second relative to the same boundary endpoints and collars. This argument uses no claim that the diffeomorphism group of a three-ball is smoothly contractible.
Projection and relative perturbations. Choose the standard ball model as a rounded thickening of the projection disk, with the two fixed endpoint collars radial in that disk and with constant height. The rest of the compact arc track is in the interior of the ball. Shorten the protected collars if needed. Compactness then separates their projected endpoint neighbourhoods from every other branch: off a slightly larger source collar the radial coordinate in the disk is uniformly bounded away from its boundary. On the remaining transition collars the projection is still a fixed regular embedded arc. Reparametrize the isotopy in time to be stationary near its two regular end diagrams. In the finite-dimensional family of [F2], replace the time cutoff by , where vanishes on the protected source collars and is positive on their complement. Embed the compact source rectangle in Euclidean space; multiplying coordinate polynomials of degree at most by this cutoff independently prescribes jets through order three at any at most six distinct free source points. Explicitly, at points , the polynomials times suitable cubic Taylor polynomials prescribe the required jets, since multiplication by the nonzero cutoff is invertible on jets. Keep the spatial height coordinate unchanged. Small parameters preserve slice embeddings by compact local immersion and distant-point separation, fix the time-end diagrams, and fix the protected endpoint collars. The collars meet no singular stratum, and the transition region is regular with no other projected branch, so absence of perturbations on the collars loses no needed transversality.
All singularities remain interior and finite. Apply [F2] to that family on the free source configurations. The equations have codimension two in ; the extra degeneracy has total codimension three and is avoided. Distinct-point equality has codimension two in ; equality plus tangent dependence has codimension three, giving isolated quadratic double tangencies with nonzero relative normal velocity. Triple equality has codimension four in ; adding tangent dependence or a vanishing derivative increases codimension and is avoided. Quadruple equality has codimension six in dimension five and is absent. Simultaneous distinct events have combined codimension larger than the shared-time configuration dimension; independent jets at up to six points exclude them. Countably many coordinate charts and AC allow a parameter outside the resulting countable null union. As in [F2], near a regular source point a projected coordinate is strictly monotone, excluding accumulation along deleted diagonals; near an ordinary cusp its Taylor form , , has a single local double arc with no accumulation of other event types. Elsewhere the relevant configurations are compact, and isolated transverse events are finite. There are no endpoint accumulations because the protected endpoint neighbourhoods are fixed and isolated, and no end-time accumulations because those diagrams are stationary and regular. These arguments prove the required relative version directly; they do not apply a closed-source statement to an interval without modification.
The relative movie. By [F3], each exceptional time of step 5.1 gives one oriented R1, R2 or R3 in an interior disk disjoint from the protected endpoint collars. Between events, continue crossings by the inverse function theorem and extend the motions of the intervening embedded edges by normal-coordinate cutoffs, as in [F2]. The cutoffs can vanish on the protected collars, since those arcs are stationary and isolated. Hence the intervening planar isotopies fix them too. A finite subdivision of time and composition produces the asserted finite relative movie. The construction starts with either pair of marks, including two different marks on one diagram, so it proves that case as well. AC has been used only in [F1], [F2] and their countable chart unions.
Khovanov Frobenius algebra and cube of resolutions
Definition
Let be a nonempty finite regular oriented link diagram in an oriented -sphere, with finite crossing set . Fix a unit viewing normal and orient the projection plane so is positive exactly when is positive in the ambient -space. At a crossing , define its sign as the sign of , where the two nonzero projected tangent vectors follow the oriented over- and under-strands. Let and be the numbers of positive and negative crossings.
Set , with and . Its unit, multiplication, counit, and comultiplication are
Thus and have quantum degree , while and have degree .
Choose a total order on . A resolution state is a function ; at use the A-smoothing and at use the B-smoothing from the Kauffman source chart. Write , let be the crossingless resolution, and let be its number of circles. Assign the state module . For an edge changing crossing from to , use if the local smoothing merges two circles and if it splits one circle, tensored with the identity on all other factors, and multiply this map by . The resulting direct sum has cohomological degree and the generator with circle labels or has quantum degree This defines the normalized integral Khovanov cube and its candidate degree-zero cochain differential; the assertion that the differential squares to zero is a separate lemma.
The Frobenius identity that controls a merge-split face is represented by the two equal composites below. The diagram records the maps only; the proof verifies the equality on the basis and does not rely on the drawing.
Definition references
Kauffman smoothing chart and finite crossing set
Determinant crossing sign and writhe
Khovanov, A categorification of the Jones polynomial (1999), §§2.2–2.3 and 4.2
Bar-Natan, On Khovanov's categorification of the Jones polynomial (2002), §§2–3
Kauffman, An Introduction to Khovanov Homology (2022), §§3–4
Facts & Assumptions
Given: A nonempty finite regular oriented diagram , a total order of its crossing set, and the operations displayed in the Definition.
Proof
The quotient by the monic polynomial is the free abelian group with basis . The displayed multiplication is the quotient-ring multiplication, so it is associative, commutative, and has unit . On this basis, and satisfy both counit identities; explicitly, , , and the same composites send to .
Cocommutativity follows by swapping tensor factors in the two displayed values of . For coassociativity, both and equal , and both composites send to . Hence is a commutative Frobenius algebra once the Frobenius compatibility is checked.
On the ordered basis of , each of , , and has respective outputs , , , and . Thus the Frobenius identities hold. The degree shifts in the Definition give each edge map total quantum degree ; the quotient-ring construction and all checks are choice-free.
Khovanov chain complex from a diagram
Definition
Input: a nonempty finite regular oriented link diagram and a total order on its crossing set. A diagram object is supplied as mathematical input; this procedure does not parse a serialized string.
Output: the normalized bigraded Khovanov cochain module and its candidate differential , constructed by the following finite instructions.
- Enumerate every state once. Form the crossingless resolution by using the A-smoothing at and the B-smoothing at .
- For each state, create one tensor factor of the integral Frobenius algebra for each resolution circle and place the resulting tensor product in cohomological degree and quantum degree for its circle labels .
- For each state and each crossing with , create the edge to . Apply multiplication if that smoothing change merges two circles, comultiplication if it splits one circle, the identity on other tensor factors, and the sign . Sum the edge maps out of every state to obtain .
- Return the finite direct sum of the state modules with these degrees and maps. The square-zero property is the separate local lemma named by
justified_by.
Definition references
Regular diagram crossing set and A/B smoothing chart
Frobenius algebra, edge maps, and grading conventions
Khovanov, A categorification of the Jones polynomial (1999), §§3.3–4.2
Bar-Natan, On Khovanov's categorification of the Jones polynomial (2002), §3
The Khovanov cube differential squares to zero
Statement
Let be a finite regular oriented link diagram, order its crossings as , and form the direct sum of state modules over all functions . Here , each crossing is changed from its A-smoothing at to its B-smoothing at , and the edge map is the multiplication for a merge or comultiplication for a split, multiplied by on the edge at . Then the sum of all edge maps satisfies .
Statement references
Facts & Assumptions
Given: The finite ordered crossing set, the state modules and edge maps in the Lemma.
The multiplication and comultiplication on obey associativity, coassociativity, commutativity, cocommutativity, and the Frobenius identities (Khovanov Frobenius algebra and cube of resolutions).
The differential is the sum of the signed edge maps, and the sign on the edge changing coordinate is (Khovanov chain complex from a diagram).
Proof
Fix a state and two distinct coordinates with . The two length-two paths from to induce equal unsigned maps: saddles on disjoint circles commute as tensor maps; when the two saddles meet one component, the three possible merge/split patterns give respectively associativity, coassociativity, or one of the two equal Frobenius composites in [F1]. These are all possibilities because each edge changes one smoothing by one saddle.
The sign on the path that changes then has exponent , while the path that changes then has exponent . Their signs are opposite, so the two equal unsigned composites from step 1.1 cancel in the sum defining the component of from to . If there are fewer than two crossings, no length-two paths occur and is the empty sum; otherwise every term of lies in exactly one such pair. Hence .
Reduced Khovanov cohomology of a knot
Definition
Let be a finite regular oriented diagram of a knot with a basepoint away from the crossings, and let be its normalized integral Khovanov cochain complex. At each resolution state, let act by multiplication by on the tensor factor for the circle containing , and by the identity on every other circle factor. The basepoint action is the direct sum of these statewise maps. Define the reduced cochain complex by with the same cohomological grading and with reduced quantum degree for the class represented by a state whose basepoint circle is labelled . Its cohomology is the reduced integral Khovanov cohomology . The unknot is normalized so that its reduced group lies in bidegree .
Equivalently, cut the based knot at to a one-interval tangle. Put in quantum degree with . A resolution with closed circles and the distinguished interval is assigned . An edge that merges a circle into the interval uses and ; an edge that splits the interval uses , where the circle factor is written first and the interval factor second. Edges not meeting the interval use or . This based tangle cube is the quotient complex above, with the stated quantum shift.
Definition references
Facts & Assumptions
Given: A based knot diagram and the normalized integral Khovanov cochain complex defined in Khovanov chain complex from a diagram.
On a resolution circle, , , and ; multiplication is the product in (Khovanov Frobenius algebra and cube of resolutions).
The differential is the signed sum of edge maps, each equal to multiplication or comultiplication on the factors meeting that edge and the identity on all other factors (Khovanov chain complex from a diagram).
The signed cube differential squares to zero, so these state modules form a cochain complex (The Khovanov cube differential squares to zero).
Proof
If an edge does not meet the basepoint circle, its map is the identity on the basepoint factor and hence commutes with . If the edge merges the basepoint circle with another circle, associativity gives . If it splits the basepoint circle, the Frobenius identity gives ; on these are respectively and on all three sides. Thus every edge map commutes with , so is a subcomplex.
By [F3], the unreduced differential already squares to zero, and by step 1.1 it preserves ; thus the induced quotient differential also squares to zero. In each state the based factor is , and has image . Therefore the quotient factor is , with raw quantum degree ; subtracting one gives reduced degree .
After cutting the based circle, every state has one distinguished interval factor . The quotient identification sends the surviving based label to . For a merge into that interval, and in the quotient, exactly the displayed ; for a split, and the term with on the distinguished interval is zero in , leaving , exactly . Edges away from the interval retain and . Hence this statewise identification commutes with every edge and gives the stated based tangle cube isomorphism.
The Khovanov diagram procedure terminates and returns a finite cochain complex
Statement
For a nonempty finite regular oriented link diagram with ordered crossings, the procedure that enumerates all smoothing states, assigns one copy of per resolution circle, places a generator in degrees and , and sums the signed merge or split edge maps terminates after finitely many operations. Its output is a finite direct sum of finite-rank free abelian groups with a differential of bidegree satisfying ; hence it is a bounded bigraded cochain complex.
Statement references
Facts & Assumptions
Given: A nonempty finite regular oriented link diagram with an ordered crossing set of cardinality and the finite state procedure in the Theorem.
The procedure traverses each function once, uses a finite number of edge maps per state, and assigns with the stated gradings (Khovanov chain complex from a diagram).
The signed edge sum has square zero for every such finite ordered diagram (The Khovanov cube differential squares to zero).
Proof
If , there are exactly states; each complete smoothing of a finite closed diagram has finitely many circles. Since is free of rank two with basis , each state module is finite-rank free, and the finite sum of these modules is finite-rank free. The procedure visits each of finitely many states and at most outgoing edges per state, so it terminates.
Each edge changes and by and changes the algebraic degree by through or , so its total quantum-degree change is . By [F2] the returned differential squares to zero. The state set is finite, so only finitely many homological degrees occur; this is a bounded bigraded cochain complex.
The graded Euler characteristics have the Jones normalization
Statement
Let be a nonempty finite regular oriented diagram of a link with positive crossings, negative crossings, writhe , and . For each resolution state , let be its number of circles and let use the A-smoothing at coordinates and B-smoothing at coordinates . Put and define the normalized bracket For the unreduced cohomology, define . If is a finite regular oriented diagram of a knot with a basepoint away from all crossings, define its reduced rank Euler characteristic using the reduced quantum grading by . Under and , Thus the unreduced unknot factor is and the reduced unknot factor is .
Statement references
Bracket smoothing weights and loop value
Khovanov state-module and grading conventions
Reduced quotient and quantum shift
Khovanov, A categorification of the Jones polynomial (1999), §§2.2–2.4 and 7.1–7.2
Bar-Natan, On Khovanov's categorification of the Jones polynomial (2002), §§2–3
Kauffman, An Introduction to Khovanov Homology (2022), §§3–4
Facts & Assumptions
Given: A nonempty finite oriented link diagram , its ordered Khovanov state cube, and, when is a based knot diagram, its reduced cochain complex.
The Kauffman state sum is , with each state using the prescribed A/B smoothing chart (Kauffman bracket smoothing and loop value).
The writhe is the sum of crossing signs, so (Oriented crossing signs, diagram writhe, and blackboard framing).
A state with circle labels has cohomological degree and quantum degree ; , , and edge maps preserve (Khovanov Frobenius algebra and cube of resolutions).
The reduced state module kills the based-circle label and subtracts one from the original quantum degree, so the surviving based label contributes degree zero (Reduced Khovanov cohomology of a knot).
The Khovanov procedure returns a bounded bigraded cochain complex with finite-rank free state groups (The Khovanov diagram procedure terminates and returns a finite cochain complex).
Proof
Fix a quantum degree and tensor the finite free complex with . For an integer matrix , the kernel after tensoring is : if with integral and , then because the target is torsion-free. The image after tensoring is by clearing denominators, so rationalized homology is and has dimension . Rank-nullity in this bounded rational complex gives ; alternating over cancels the image dimensions. The same argument applies to the reduced complex, whose terms are finite-rank free.
On a state , summing over its independent labels gives , so the unreduced chain Euler sum is . With , one has and, term by term, . The state contribution is consequently . For the reduced cube, the based label contributes degree zero by [F4], leaving in place of , so its state contribution is .
Summing the state contributions in step 2.1 gives the two displayed formulas for the chain Euler sums. Step 1.1 identifies those sums with the Euler characteristics of integral cohomology. When is the crossingless unknot, and , so the unreduced value is and the reduced value is .
Signed local cancellation models for the Khovanov Reidemeister moves
Statement
The integral signed Khovanov cubes have the local graded cancellation models described below. They are chain homotopy equivalences over every fixed exterior resolution, commute with exterior saddle differentials, and commute with multiplication by at every marked point outside the local disk. Consequently they also give chain homotopy equivalences after taking the reduced quotient. For the crossing with A-smoothing the identity matching and B-smoothing the cap-cup matching, the two three-crossing braid cubes with words and retract to the same three-term complex. The two-crossing inverse-pair cube retracts to the identity matching in local cohomological degree one and quantum shift upward by one. All retractions are integral; their homotopies and the two cancellations in the three-crossing cube are specified in the proof.
Statement references
Facts & Assumptions
Given: The algebra , its Frobenius maps, and cube signs , with local crossings ordered before exterior crossings.
The Frobenius maps and their basis values are those of Khovanov Frobenius algebra and cube of resolutions. The corresponding signed cubes square to zero by The Khovanov cube differential squares to zero.
In the reduced quotient the distinguished component has module , with , , and (Reduced Khovanov cohomology of a knot).
Proof
Meaning of every local map. Use rectangles with top boundary points and bottom boundary points , both listed left to right. Let join to . Let join top to , bottom to , and all other to . In a product , is above and equal middle labels are joined. Thus is with one disjoint middle circle, and is boundary-fixing planar isotopic to ; likewise with interchanged. For the latter assertion, trace top to one cap, bottom to one cup, and top to bottom along the remaining arc; there is no closed component. Contracting the intervening bends gives the stated isotopy. Close any of these matchings by a fixed exterior resolution. Order the resulting circle factors by the least arc label on each circle, using a fixed total order on all local and exterior arcs; factor permutations have no Koszul signs. A dot on an arc means multiplication by on the circle containing that arc. A saddle replacing an occurrence of by , or conversely, means precisely on the two ordered circle factors if they merge, and if they split, followed by the indicated factor permutation. All unmentioned factors have the identity map. This defines the maps below on every tensor basis , even when several local arcs belong to the same global circle. In the based case use for the distinguished factor and [F2] for a saddle meeting it.
Circle coordinates and neck cutting. For a disjoint middle circle put its factor first and write . If a saddle splits that circle from an arc carrying dot operator , its map in these coordinates is ; if it merges the circle into an arc carrying dot operator , its map is . These follow from and . Two successive opposite saddles between the same two local arcs equal the sum of a dot on each arc. If the arcs are on distinct circles, this is the identity : on , both sides are . If they are on one circle it is . The same formulas with the distinguished factor reduced modulo prove the assertion in that case too. These are the exact tensor interpretations of the local neck-cutting identities, including when two dot positions are on the same circle.
An explicit cancellation rule. Suppose a differential between consecutive degrees has block matrix , with an isomorphism. Set and . These invertible integral changes of coordinates give . Conjugate the adjacent differentials too. The equation and invertibility of imply that the incoming differential has zero coordinate and the outgoing differential vanishes on . Thus there is a direct summand , contracted by , elsewhere. Inclusion and projection of the remaining coordinates, conjugated by , are chain maps with and . This supplies actual chain maps and a homotopy for every cancellation used below, rather than merely an acyclicity assertion. If the blocks are homogeneous, these maps have quantum degree zero and has cohomological degree .
RII: all four modules and signs. Take two strands and order the crossing with states first, the opposite crossing with states second. The four states are , , with a middle circle, and , respectively. The local differential is where and are the two saddles, is the dot on the arc from which the middle circle splits, and is the dot on the arc into which it merges. Here ; the minus signs on the edge are exactly the cube sign for the second crossing. Step 2.1 gives , so these displayed differentials square to zero. Define with zero in other local degrees, and define Then , , and . In degree zero , in degree two , and in degree one sends to , which is exactly . The surviving has local degree one and quantum grading increased by one; in the shift conventions of the question this is . Thus both acyclic pairs and the signed quotient are explicitly identified. The other crossing order follows by swapping the two cube coordinates with state sign .
RIII: ordered states and the first cancellation. Let each crossing have states , and form the word from top to bottom, with crossings ordered in that order. Write and . In degrees the ordered states are In the last term use the boundary-fixing isotopy of step 1.1. Denote a degree-one element by and the circle coordinates in state by . Introduce four precisely located saddles: inserts below , inserts above , inserts above , and inserts below . Let and be the dot operators on the bottom cup and top cap of , respectively. The degree-one differential is with output coordinates . Indeed the six cube edges are with sign , with sign , with sign , with sign , with sign , and with sign . The two edges to split the middle circle from the bottom cup or top cap, giving exactly the two displayed circle-coordinate pairs by step 2.1. The edge has sign and merges that middle circle into the remaining through arc of . Its component is therefore , with its component minus the dot on that through arc. Cancel this component by step 2.2. There are no remaining degree-three terms; the differential into is the corresponding projection of the displayed .
The second cancellation and the common residual matrix. In the resulting complex, the component is . Cancel it by step 2.2: its row is , so the residual coordinate substitution is . The retained degree-one coordinates are , the retained degree-two coordinates are , and the differentials become where is the saddle inserting . The first map is obtained from the original by deleting the canceled coordinate; it is compatible with . Repeat both cancellations for with and interchanged. Its retained coordinates before reordering are and , with matrix . Swapping both pairs, without a sign, gives exactly the preceding matrix and the preceding . The four entries refer to the same saddles on the same labelled boundary matchings: for instance inserts above, and inserts below, on both sides. Hence these are actual equal tensor maps by step 1.1, not identifications of unlabelled spaces. Their kernels, composites and signs need no further identities. Composing the two explicit cancellation maps and their inverses gives the RIII equivalence; the homotopy for a composite of retractions and is .
Quantum degrees. A state of local height has quantum degree increased by . In RII, has the underlying grading of increased by two, has the grading of , and has the grading of increased by two. Thus both canceled isomorphisms and the maps of step 3.1 preserve quantum degree. In RIII, and both have the grading of increased by three; and both have the grading of increased by one. The common residual complex has quantum increases in its three degrees. Every change of coordinates in step 2.2 is therefore homogeneous.
Exterior differentials and the marked quotient. Dots commute with every exterior saddle: and . Two saddles in disjoint local disks commute before cube signs, including when their participating arcs lie on a common global circle, by associativity, coassociativity and the Frobenius identity in [F1]. A middle circle being delooped is contained in the local disk, so no exterior saddle meets it. Boundary-fixing isotopies of the matchings preserve the labelled exterior arcs. All matrix changes, inverses of blocks, projections, inclusions and contractions above therefore commute with unsigned exterior saddles and with at a fixed exterior marked point. The total differential, with local crossings first, is on local degree . A local homotopy lowers by one, so its two exterior terms in cancel; local degree-zero maps commute with the signed total differential. These identities prove the same retractions for the total cube. The identities descend modulo because every map and every homotopy commutes with ; this argument does not assume that every local saddle acts trivially on the distinguished interval. It proves all assertions, integrally and choice-free.
Khovanov complexes are chain homotopy equivalent under Reidemeister moves
Statement
Let be nonempty finite regular oriented link diagrams related by a planar isotopy or one oriented Reidemeister move. Let be the integral signed state cube before the writhe shifts, with cohomological degree and quantum degree , and normalize it by to obtain the state degrees and . Before normalization, a positive type-I curl gives , a negative type-I curl gives , a type-II move gives , and a type-III move gives an unshifted equivalence. Consequently the normalized complexes are bigraded chain homotopy equivalent. If are based knot diagrams and the move disk is disjoint from the basepoint, the same chain homotopy equivalence descends to their reduced quotient complexes, equivalently to the cut-tangle complexes with interval module , .
Statement references
Frobenius maps, state grading and cube signs
Based quotient and interval module
Cone differential and cone contraction
Khovanov, A categorification of the Jones polynomial (1999), §§5.1–5.4 and 8.1–8.4
Bar-Natan, On Khovanov's categorification of the Jones polynomial (2002), §§3.5.1–3.5.5
Kauffman, An Introduction to Khovanov Homology (2022), §§4–5
Remark
For a type-II move, the four local resolution states and their signed edge maps have the face indexing below. The arrows record the chosen crossing order; this picture does not assert that the signed square commutes or establish the required cancellations.
Facts & Assumptions
Given: The normalized integral state complexes of two diagrams that differ by one local move; for the based clause, both move disks avoid the marked point.
has basis , with , , , , and ; the maps satisfy associativity, coassociativity and the Frobenius identities (Khovanov Frobenius algebra and cube of resolutions).
A state with coordinates equal to is shifted by in quantum degree, and its edge signs are (Khovanov Frobenius algebra and cube of resolutions).
The raw state complex becomes normalized by cohomological shift and quantum shift ; in the convention and these shifts give exactly and (Khovanov Frobenius algebra and cube of resolutions).
For a based knot, the quotient removes the based-circle label and is identified statewise with the interval module , . Local maps commuting with descend to this quotient, including when a local saddle meets the distinguished resolution component (Reduced Khovanov cohomology of a knot).
The explicit four-face RII retraction, two signed RIII Gaussian cancellations, tensor-factor conventions, quantum degrees, and commutation with exterior saddle maps and are proved in Signed local cancellation models for the Khovanov Reidemeister moves (local-map, cancellation-rule, RII, RIII, grading and exterior-differential proof paragraphs).
Reindexing the chain mapping cone of the identity by gives the cochain identity cone with degree- term and differential (The mapping cone of a chain map).
In the run's positively oriented crossing chart put , , and . The overbranch is -- and the underbranch is --; A pairs and , while B pairs and . Crossing sign is (Kauffman bracket smoothing and loop value, Oriented crossing signs, diagram writhe, and blackboard framing). These are diagram conventions, not a left/right-curl sign mnemonic.
Proof
Crossing order and planar isotopy. Reordering adjacent crossing coordinates is corrected by the diagonal state factor : on an -edge its ratio is , and on a -edge it is , exactly the sign change from swapping their order. Thus local crossings can be ordered first, and can be restored to the original order afterward by explicit chain isomorphisms. A planar isotopy bijects labelled resolution circles and saddles, so its factor permutations give a grading-preserving chain isomorphism.
The determinant sign of each curl. A Reidemeister-I return joins one of the four adjacent endpoint pairs of [F7]. For the right-hand return choose the strand direction . At the crossing the over and under tangents are respectively and , whose determinant is . A-smoothing closes the return -- into the small circle and leaves the left-hand continuing arc; B-smoothing has only the continuing arc. Thus this positive curl has the multiplication differential, small circle in local degree zero, used in the curl contraction. For the top return choose . The tangents are and , with determinant . B-smoothing closes the top return into the small circle while A-smoothing has only the continuing arc. Thus this negative curl has the comultiplication differential, small circle in local degree one. Rotation by degrees gives the left and bottom returns without changing A/B labels or determinant sign. Reversing the component direction negates both tangents and also leaves the determinant sign unchanged. These four return pairs and the two directions exhaust the oriented local R1 pictures; no orientation-reversing chart or reflection is used.
Both curls, with natural contractions. For a positive curl the local differential is multiplication from a small circle and a continuing arc. Put the small-circle factor first, denote the dot on the continuing arc by , and use coordinates . The map is . Its -label component is the identity; cancel it, leaving in degree zero. Equivalently this is , with ; it sends to and to . The canceled pair has inverse identity, so its contraction is the explicit cancellation rule of [F5], agreeing with the cochain identity-cone contraction in [F6]. For a continuing generator of quantum degree , both terms of this survivor have raw quantum degree and local cohomological degree zero, so the raw quantum shift is in the stated lowering convention. For a negative curl the map is into the circle coordinates; cancel its identity -label component. The remaining -label coordinate has raw quantum degree (the circle label contributes and the local state contributes ), and is in local cohomological degree one. Thus its raw shifts are exactly . These descriptions commute with exterior saddles because the dot and the local saddle commute with them by the displayed Frobenius identities; they therefore contract the total complexes, including exterior differentials with their totalization signs. The additional normalizations are for a positive curl and for a negative curl, canceling the respective raw shifts.
The signed RII square. In the four states of the Remark take , , , , after ordering the crossing first and the crossing second as in [F5]. That step gives the exact differential and , with , and the chain maps , , and homotopy , . Their checked identity is , . Thus the two canceled pairs are actual contractible summands over the integral exterior cube and the surviving identity matching is in local degree one with quantum increase one. This is precisely the raw shift in the Statement. An RII pair has one positive and one negative crossing, so its normalization changes by and cancels that shift. A quadratic tangency has two branches which are both graphs over their common tangent direction; orienting these graphs temporarily in the same direction puts every underlying RII picture into this model or the opposite crossing order. Reversing either actual strand arrow only changes crossing signs, still one of each, and does not change the A/B maps. Rotation of the local coordinate chart transports the same model; its crossing-order correction was proved in step 1.1.
The signed RIII model. Let denote the crossing complex with A-state and B-state ; this description fixes the smoothing convention without using a crossing-sign mnemonic. In [F5], both words and are retracted by two explicit cancellations to Here appends below , prepends above , prepends above , and appends below ; each is the actual ordered-tensor saddle specified there. The canceled maps are the from the circle's coordinate in state to state , and then the from state to the circle's coordinate. The remaining cube signs are exactly the displayed matrix on both sides. Inclusion and projection after the coordinate changes of [F5] compose to mutually inverse chain maps up to the given contractions. These maps preserve quantum degree and commute with all exterior differentials by [F5]. This proves the raw, unshifted model RIII equivalence with explicit chain maps and homotopies.
All height and orientation variants. The opposite crossing complex has A-state and B-state . Step 2.2 shows that is a two-sided inverse of up to local chain homotopy; the contractions are natural under adjoining other crossings. Thus the relation , with , also gives the relations with exponent triples , , , and , interpreting negative exponents by these explicit inverses. The relation is the inverse relation; follows by multiplication on the left by and on the right by ; follows by multiplication on the left by and on the right by ; their inverses give and . Each multiplication is stacking a crossing complex and composing the actual chain maps and homotopies, so this is an operation on complexes, not an appeal to a braid-group invariant. A generic transverse triple event can be put in a small rectangle with all three branches monotone in one longitudinal coordinate: choose a direction transverse to their three tangents and use a sufficiently thin rectangle. Their two diagrams have braid words and . The crossings concern the pairs of strands , respectively; a strict height order has precisely the six transitive sign patterns just listed, excluding the two cyclic patterns and . For any such pattern the counts of agree on both sides, so the extra shifts in cancel when removed. The actual oriented RIII move retains each of its three crossing signs; hence its normalizing shifts also agree. Actual strand arrows may be arbitrary because the raw cube depends only on the smoothing chart. This proves every oriented RIII variant.
The based quotient and conclusion. Every type-I inclusion, projection and contraction in step 2.1 is a sum of circle-coordinate maps and dots away from the marked point. By the Frobenius formulas it commutes with even if its continuing arc lies on the distinguished resolution component. The same commutation for every RII/RIII map and homotopy, including compositions and inverse-pair cancellations, is proved in [F5]. Consequently all equations and descend modulo . By [F4] this is exactly the reduced quotient, or equivalently the interval-module complex. Steps 1.1–3.1 and the checked shifts therefore prove every unreduced and based assertion of the Statement. All local constructions use finite integral formulas and are choice-free.
Khovanov homology is an oriented link invariant
Statement
Assume the Axiom of Countable Choice. For every nonempty oriented link , the bigraded integral groups , where is any finite regular oriented diagram of and is the normalized Khovanov cochain complex, are independent of the choice of up to bigraded isomorphism.
Statement references
Oriented Reidemeister equivalence
Local chain homotopy equivalences
Chain homotopy equivalence convention
Khovanov, A categorification of the Jones polynomial (1999), §§5.1–5.4
Bar-Natan, On Khovanov's categorification of the Jones polynomial (2002), §§3.5.1–3.5.5
Kauffman, An Introduction to Khovanov Homology (2022), §§4–5
Facts & Assumptions
Given: AC, two finite regular diagrams of the same oriented link, and their normalized cochain complexes.
AC is the axiom that every countable family of nonempty sets has a choice function (The Axiom of Countable Choice ()).
Under AC, diagrams of the same oriented link are connected by a finite sequence of planar isotopies and oriented Reidemeister I, II, and III moves (Reidemeister's theorem for oriented diagrams).
Every planar isotopy and oriented Reidemeister I, II or III move induces a bigraded chain homotopy equivalence of the normalized complexes (Khovanov complexes are chain homotopy equivalent under Reidemeister moves).
A bounded cochain complex has defined cohomology in each bidegree, and chain homotopy equivalent complexes induce isomorphic cohomology (The Khovanov diagram procedure terminates and returns a finite cochain complex, A chain homotopy equivalence).
Proof
By [F1] and [F2], choose a finite sequence whose successive diagrams differ by planar isotopy or one oriented Reidemeister move. By [F3], each pair has a bigraded chain homotopy equivalence, with chain maps in both directions and homotopies from their composites to the respective identities. The normalization in that supplier cancels the raw shifts, so these maps have bidegree .
A chain map takes cocycles to cocycles and coboundaries to coboundaries. If two chain maps differ by , their values on a cocycle differ by a coboundary, so they induce the same cohomology map. Thus each equivalence in step 1.1 gives mutually inverse maps in every bidegree. Composing the finitely many induced isomorphisms identifies the cohomology of and . It follows that the groups are independent of the chosen diagram up to bigraded isomorphism. The empty sequence gives the identity, and no assertion of a canonical isomorphism for all move sequences is needed.
Reduced Khovanov cohomology is invariant under based moves and basepoint transport
Statement
Assume the Axiom of Countable Choice. Let be an oriented knot and let and be finite regular oriented diagrams of with basepoints away from all crossings. Then the reduced integral groups and are isomorphic for every . In particular, they are invariant under Reidemeister moves supported away from the basepoint and under transport of the basepoint along the knot.
Statement references
Reduced quotient and based interval module
Oriented Reidemeister equivalence
Ambient extension of a marked-knot isotopy
Finite Reidemeister event sequence
Khovanov, A categorification of the Jones polynomial (1999), §§8.1–8.4
Bar-Natan, On Khovanov's categorification of the Jones polynomial (2002), §§3.5.1–3.5.5
Facts & Assumptions
Given: AC, two finite regular based diagrams of the same oriented knot, and their reduced quotient complexes.
AC is the axiom that every countable family of nonempty sets has a choice function (The Axiom of Countable Choice ()).
An isotopy of smooth embeddings of a compact knot circle extends under AC to an ambient isotopy (The isotopy extension theorem).
The cut one-interval tangles of any two based diagrams of the same oriented knot admit a smooth isotopy relative to the two endpoints and collars, and a finite relative Reidemeister movie. The moving-ball and terminal Alexander-scaling constructions, and the spatial-cutoff general-position proof, are supplied by Cut tangles of marked knots have relative Reidemeister movies, proof steps 1.1–6.1.
Every local move away from the mark induces a bigraded chain homotopy equivalence of the reduced quotient complexes; all local chain maps and homotopies commute with before quotienting (Khovanov complexes are chain homotopy equivalent under Reidemeister moves).
A cochain homotopy equivalence induces mutually inverse maps on cohomology (A chain homotopy, A chain homotopy equivalence).
Proof
Under AC in [F1], apply [F3] to and . Its moving-ball construction uses the compact isotopy-extension clause of [F2]. It gives a finite Reidemeister movie of their cut one-interval diagrams whose endpoints and short product collars remain fixed throughout. Closing the boundary collars by the same crossing-free cap recovers the two based diagrams. In each resolution this closure replaces the distinguished interval by the based circle and adds no crossing, so it preserves , cohomological degree and reduced quantum degree. The quotient/interval identification is the one proved in the defining reduced-complex item.
Every interior R1, R2 or R3 in the movie avoids the distinguished end collars. By [F4], its chain maps and contractions descend to the reduced quotient. A planar isotopy of the tangle identifies resolution factors and preserves every signed edge map; it fixes the distinguished interval and its degree-zero module. Thus each movie segment gives a bigraded chain homotopy equivalence of the reduced complexes. By [F5], the induced cohomology maps are mutually inverse, and finite composition gives the asserted isomorphisms in every .
Taking a movie with just one local move gives the based-move clause. Taking the same diagram with two marks gives the basepoint-transport clause by [F3]; orientation-preserving reparametrization of the single knot circle can carry either mark to the other. The relative supplier proves this case using an actual isotopy of cut arcs and fixed collars, so no relative-boundary statement for closed-link isotopies is being assumed. Together with step 2.1 this proves the full Statement. AC is used only through that supplier's isotopy extension and transversality, and the local algebra is choice-free.
Reduced and unreduced Khovanov Euler characteristics and the Jones polynomial
Statement
Assume the Axiom of Choice. Let be the library Jones polynomial of a nonempty oriented link , normalized by . For every diagram of , put and . Then the integral rank Euler characteristics satisfy If is a knot with any basepoint away from the crossings, then The unreduced factor and reduced factor are the respective unknot normalizations.
Statement references
Full choice implies countable choice
Statewise Euler characteristic and bracket normalization
Bracket-to-library Jones comparison
Reduced basepoint and diagram invariance
Khovanov, A categorification of the Jones polynomial (1999), §§2.4 and 7.1–7.2
Bar-Natan, On Khovanov's categorification of the Jones polynomial (2002), §§3.1 and 3.5
Kauffman, An Introduction to Khovanov Homology (2022), §§3–4
Facts & Assumptions
Given: Full AC, a nonempty oriented link , its finite-diagram complexes, and the library Jones polynomial.
Full AC means every family of nonempty sets has a choice function (The Axiom of Choice).
Full AC implies AC (AC implies DC implies countable choice).
For a fixed finite diagram , the integral rank Euler sums of its Khovanov cohomology are unreduced and reduced, where and is the writhe-normalized state sum (The graded Euler characteristics have the Jones normalization).
Under full AC, the normalized bracket state sum equals the library Jones polynomial at (The bracket state sum matches the library Jones specialization).
Under AC, the unreduced groups are independent of the diagram, and the reduced groups of a knot are independent of the diagram and basepoint (Khovanov homology is an oriented link invariant, Reduced Khovanov cohomology is invariant under based moves and basepoint transport).
Proof
By [A1] and [F1], full AC supplies AC. Hence [F4] identifies the bigraded groups computed from any finite diagram with , and in the knot case identifies the reduced groups with for every allowed basepoint. The fixed-diagram complexes have finite rank and bounded support, so their rank Euler sums are finite.
By [F2], those Euler sums are and , respectively. By [F3], under the stated full-AC hypothesis. Substituting and gives exactly the two formulas in the Statement. For a crossingless unknot the unreduced complex has its two generators in quantum degrees , whereas the reduced interval module has one generator in reduced degree zero, so the respective factors are and . Since [F4] makes the groups diagram- and basepoint-independent, these are the claimed link and knot Euler characteristics.
4 · Examples, counterexamples and false statements
None yet.
Sources
- Khovanov, A categorification of the Jones polynomial, §8.3, printed p. 49, and §8.4, printed pp. 50–51
- Queffelec, Reidemeister's theorem using transversality, §§2–3
- Mikhail Khovanov, A categorification of the Jones polynomial, arXiv:math/9908171v2, §§2.2–2.3 and 4.2
- Dror Bar-Natan, On Khovanov's categorification of the Jones polynomial, Algebraic & Geometric Topology 2 (2002), §§2–3
- Louis H. Kauffman, An Introduction to Khovanov Homology, arXiv:1107.1524v2 (2022), §§3–4
- Melissa Zhang, Notes on Khovanov homology, arXiv:2501.03115v1, §§3.5–3.7
- Mikhail Khovanov, A categorification of the Jones polynomial, arXiv:math/9908171v2, §§3.3–4.2
- Dror Bar-Natan, On Khovanov's categorification of the Jones polynomial, Algebraic & Geometric Topology 2 (2002), §3
- Louis H. Kauffman, An Introduction to Khovanov Homology, arXiv:1107.1524v2 (2022), §4
- Mikhail Khovanov, A categorification of the Jones polynomial, arXiv:math/9908171v2, §§8.1–8.4
- Melissa Zhang, Notes on Khovanov homology, arXiv:2501.03115v1, §6.3.4
- Louis H. Kauffman, An Introduction to Khovanov Homology, arXiv:1107.1524v2 (2022), §§4–5
- Mikhail Khovanov, A categorification of the Jones polynomial, arXiv:math/9908171v2, §§2.2–2.4 and 7.1–7.2
- Bar-Natan, On Khovanov's categorification of the Jones polynomial, §§3.5.2–3.5.5, printed pp. 347–350
- Khovanov, A categorification of the Jones polynomial, §§5 and 8.1–8.4, especially Proposition 38
- Mikhail Khovanov, A categorification of the Jones polynomial, arXiv:math/9908171v2, §§5.1–5.4 and 8.1–8.4
- Dror Bar-Natan, On Khovanov's categorification of the Jones polynomial, Algebraic & Geometric Topology 2 (2002), §§3.5.1–3.5.5
- Melissa Zhang, Notes on Khovanov homology, arXiv:2501.03115v1, §§3.6–3.7
- Mikhail Khovanov, A categorification of the Jones polynomial, arXiv:math/9908171v2, §§5.1–5.4
- Mikhail Khovanov, A categorification of the Jones polynomial, arXiv:math/9908171v2, §§2.4 and 7.1–7.2
- Dror Bar-Natan, On Khovanov's categorification of the Jones polynomial, Algebraic & Geometric Topology 2 (2002), §§3.1 and 3.5