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HOMFLY polynomial

The HOMFLY polynomial, also known as the HOMFLY-PT polynomial, is a two-variable Laurent invariant assigned to oriented knots and in three-dimensional , providing a powerful tool for distinguishing between non-isotopic embeddings of circles. It is defined recursively through a skein relation that relates the polynomial of a link to those obtained by locally modifying crossings: specifically, for links L_+, L_-, and L_0 differing only in one crossing where L_+ has a positive crossing, L_- a negative crossing, and L_0 the smoothed orientation-preserving resolution, the relation is a P(L_+) - a^{-1} P(L_-) = z P(L_0), with normalization P(U) = 1 for the U and, for an n-component unlink, P = \left( \frac{a - a^{-1}}{z} \right)^{n-1}. This construction ensures the polynomial is uniquely determined and under . Introduced in 1985 by Peter Freyd, Daniel Yetter, Jim Hoste, W. B. R. Lickorish, Kenneth Millett, and Adrian Ocneanu as a generalization inspired by Vaughan Jones's recent discovery of the one-variable Jones polynomial, the HOMFLY polynomial unifies several earlier invariants by specializing to the Alexander-Conway polynomial when a = 1 (yielding \Delta_L(t) = P(1, t^{1/2} - t^{-1/2})) and to the Jones polynomial when z = a^{1/2} - a^{-1/2} (yielding V_L(a) = P(a, a^{1/2} - a^{-1/2})). The invariant is additive under connected sum of knots and invariant under reversal of all component orientations, making it particularly useful for studying link properties. Independent discoveries of equivalent or closely related two-variable polynomials occurred around the same time by groups including Józef H. Przytycki and Paweł Traczyk, whose work was published in 1987, contributing to the variant nomenclature HOMFLYPT. Beyond its foundational role in classical , the HOMFLY polynomial has influenced and categorification efforts, with connections to representations of quantum groups and , though it remains computationally challenging for links with many crossings due to the exponential growth in diagram complexity. Tables of HOMFLY polynomials for prime up to 13 crossings were computed by in the late 1980s, aiding empirical studies of knot tabulation and detection of mutants.

Introduction

History

The HOMFLY polynomial was independently discovered in 1984 by five groups of mathematicians working on extensions of the recently introduced Jones polynomial. These groups included Jim Hoste at in , Adrian Ocneanu, W. B. Raymond Lickorish and Kenneth Millett at the and respectively, Peter Freyd and David Yetter at the and , and Józef H. Przytycki and Paweł Traczyk at the Polish Academy of Sciences in . The was first announced and detailed in a collaborative paper by Freyd, Yetter, Hoste, Lickorish, Millett, and Ocneanu, published in the Bulletin of the in 1985, which presented it as a new two-variable for and . Independent results by Przytycki and Traczyk, also from 1985, confirmed the same relation through a combinatorial approach to , with their work later formalized in a 1987 publication in the Proceedings of the . This convergence of efforts marked a pivotal moment in , building directly on Vaughan Jones's 1984 discovery of a one-variable that had sparked renewed interest in topological during the mid-1980s. The name "HOMFLY" was coined by David Yetter as an acronym derived from the last names of the primary co-discoverers: Hoste, Ocneanu, Millett, Freyd, Lickorish, and Yetter. To acknowledge the contributions of Przytycki and Traczyk, the variant "HOMFLYPT" (or sometimes "HOMFLY-PT") has become commonly used, reflecting the inclusive recognition of all key contributors. The polynomial emerged as a generalization encompassing both the classical and the Jones polynomial, unifying earlier invariants within a broader framework.

Overview and Motivation

The HOMFLY is a two-variable Laurent invariant assigned to oriented and links in three-dimensional , serving as a key tool for distinguishing topologically distinct embeddings under . It extends the capabilities of earlier knot invariants by resolving ambiguities that arise with single-variable polynomials, such as the and the Jones polynomial, which fail to separate certain pairs of or links. For example, there exist with identical polynomials but distinct HOMFLY polynomials, highlighting its enhanced discriminatory power in knot classification. The primary motivation for the HOMFLY polynomial was to create a unified framework that bridges the "classical" topological features captured by the Alexander polynomial—rooted in covering space theory—and the "quantum" statistical mechanics-inspired aspects of the Jones polynomial, derived from von Neumann algebras. By employing two variables, typically denoted as a and z, it generalizes both invariants: substituting specific values recovers the Alexander or Jones polynomial, allowing a single structure to encompass their behaviors while providing finer distinctions in the ambient isotopy classification of knots and links. This development, announced in 1985, addressed the limitations of one-variable invariants in handling the full spectrum of knot complexities. A basic illustration of its distinguishing ability is seen in simple knots: the HOMFLY polynomial evaluates to the constant 1 for the , reflecting its trivial topology, whereas for the —the simplest non-trivial knot—it yields a non-constant , confirming their inequivalence without requiring exhaustive computation. Within , the HOMFLY polynomial occupies a central position, extending beyond knots to inform invariants of 3-manifolds via skein theory and quantum group representations, such as in the Reshetikhin-Turaev construction, which links link invariants to manifold classification.

Definition

Primary Skein Relation

The primary skein relation defines the HOMFLY polynomial P(L) for an oriented L recursively through three link diagrams that differ only in a small neighborhood containing a single crossing. Specifically, let L_+, L_-, and L_0 be oriented links identical except at this crossing, where L_+ has a positive crossing (the overstrand crosses the understrand from left to right relative to the ), L_- has a negative crossing (the overstrand crosses from right to left), and L_0 is obtained by oriented of the crossing in L_+ or L_-, connecting the strands to preserve the overall without introducing new crossings. The relation states: a P(L_+) - a^{-1} P(L_-) = z \, P(L_0), where P is a Laurent in two commuting variables a and z. This relation alone does not uniquely determine P, so base cases are required. For the unknot (a single unknotted oriented circle), P(U) = 1. For the disjoint union (split sum) of two links L_1 and L_2, the polynomial satisfies P(L_1 \sqcup L_2) = \frac{a - a^{-1}}{z} \, P(L_1) P(L_2). Consequently, for n disjoint unknotted components, P = \left( \frac{a - a^{-1}}{z} \right)^{n-1}. These conditions ensure the polynomial is well-defined up to the choice of diagram, with uniqueness following from the ability to reduce any link diagram to these base cases via repeated application of the skein relation. The skein relation generalizes earlier knot polynomials by specializing the variables a and z. Setting a = 1 recovers the \nabla(L; z), which satisfies the same relation \nabla(L_+) - \nabla(L_-) = z \, \nabla(L_0) with the evaluating to 1 (though the split sum formula adjusts accordingly at a=1). Substituting a = t^{-1} and z = t^{1/2} - t^{-1/2} yields the Jones polynomial V(L; t). This unification demonstrates how the HOMFLY polynomial extends these one-variable invariants into a more comprehensive two-variable framework capable of distinguishing that the or Jones polynomials cannot separate.

Normalization Conventions

The HOMFLY polynomial is normalized such that its value on the unknot is 1, ensuring a consistent base case for single-component links. For the n-component unlink, the standard normalization yields P = \left[ \frac{a - a^{-1}}{z} \right]^{n-1}, which accounts for the topology of disconnected components and maintains invariance under ambient isotopy. In the conventional notation, the variable a corresponds to the framing or writhe dependence of the link, reflecting changes under type I Reidemeister moves, while z governs the resolution of crossings in the skein relation, capturing the polynomial's response to local modifications. Alternative notations include l and m (as in the original presentation, where the skein is l P_{L_+} - l^{-1} P_{L_-} = m P_{L_0}), or \alpha and z, but these are related by substitutions such as a = l, z = -m, preserving the invariant's properties. This impacts multi-component links by introducing a multiplicativity factor for the (split sum) of links: if L has s components and M has t components, then P(L \sqcup M) = P(L) P(M) \left[ \frac{a - a^{-1}}{z} \right]^{st}, which aligns with the unlink formula and ensures the polynomial distinguishes split links appropriately. Historically, early formulations varied; for instance, some initial papers normalized the to \frac{a - a^{-1}}{z} (equivalent to the value on the two-component unlink in the convention), leading to rescalings in later standardizations to simplify computations for knots. These differences arose from independent discoveries in 1984–1985 but converged on the current form for broader applicability.

Properties

Invariance Under Knot Moves

The HOMFLY polynomial P(L; a, z) for an oriented knot or link L is invariant under ambient isotopy in \mathbb{R}^3, meaning it assigns the same value to any two diagrams of the same link regardless of their presentation. This invariance is established by verifying that the polynomial remains unchanged under the three Reidemeister moves, which generate all ambient isotopies of link diagrams. The proof relies on the defining skein relation a P(L_+) - a^{-1} P(L_-) = z P(L_0), where L_+, L_-, and L_0 are oriented link diagrams identical except at one crossing (positive, negative, or resolved, respectively), along with the normalization P(U; a, z) = 1 for the unknot U. These relations ensure consistency across diagram changes, with detailed verifications typically proceeding by induction on the number of crossings or direct substitution into the skein relation. For Reidemeister move III, which slides one strand over an existing crossing without altering the over/under information globally, the affected region involves two crossings that can be analyzed using the skein relation applied twice. Specifically, the move interchanges a L_+ configuration with a L_- in a symmetric manner, leading to the relation equating the polynomials of the pre- and post-move diagrams directly, as the intermediate resolved links L_0 cancel out in the recursion. This symmetry preserves the value of P, confirming invariance under type III moves. Similarly, for , which introduces or eliminates a pair of crossings forming a (bigon), the positive and negative crossing pair satisfies the skein relation where the resolved L_0 is ambient isotopic to the original diagram, yielding P(L_+) = P(L_-) after substitution, thus leaving the polynomial unchanged. These proofs for types II and III hold without additional adjustments, as the skein relation inherently balances the crossing configurations. Reidemeister move I, which adds or removes a small loop (curl or ) at a strand, changes the writhe w(D) of the by \pm 1 and requires special handling for invariance. The skein relation applied to the curl gives P(L_+) = a P(L_-) for a positive (where L_- is the straight strand and L_0 resolves to a disjoint ), reflecting the framing dependence encoded in the a . To achieve framing independence and invariance under type I moves, the full HOMFLY polynomial is defined with a writhe adjustment: P(L; a, z) = a^{-w(D)} \tilde{P}(D; a, z), where \tilde{P} is the unnormalized version satisfying the skein relation, and w(D) is the writhe (sum of signed crossings in the D). This normalization compensates for the \pm 1 shift in writhe, ensuring P is unchanged by type I moves and thus independent of the choice of or framing. The invariance extends naturally to multi-component oriented links, as the skein relation and writhe adjustment apply locally at crossings regardless of the number of components. For a link with c components, the polynomial satisfies P(L; a, z) = \left( \frac{a - a^{-1}}{z} \right)^{c-1} when L is the unlink, and the proofs carry over identically, preserving the value under isotopies of the entire link. Finally, a guarantees that the HOMFLY is the unique Laurent polynomial in a and z satisfying the skein relation, the normalization, and invariance under the s; this follows from inductive construction on diagram complexity and the fact that any two isotopic links can be connected by a finite sequence of such moves.

Multiplicativity and Framing Independence

The HOMFLY polynomial demonstrates multiplicativity under the disjoint union (split union) of oriented links. For two oriented links L_1 and L_2, the polynomial of their split union satisfies P(L_1 \sqcup L_2; a, z) = P(L_1; a, z) \, P(L_2; a, z) \cdot \frac{a - a^{-1}}{z}, where the factor \frac{a - a^{-1}}{z} arises from the normalization convention for unlinks. This normalization sets P(\bigcirc; a, z) = 1 for the unknot and P(U_\mu; a, z) = \left( \frac{a - a^{-1}}{z} \right)^{\mu - 1} for the \mu-component unlink U_\mu. Under connected sum, the HOMFLY polynomial is strictly multiplicative for oriented knots. If K_1 and K_2 are oriented knots, then P(K_1 \# K_2; a, z) = P(K_1; a, z) \, P(K_2; a, z). This property follows directly from the skein relations and the normalization P(\bigcirc; a, z) = 1, with no additional adjustment needed beyond the variables a and z. For links, the connected sum is defined by selecting and joining specific components, preserving the multiplicativity in the polynomial. The HOMFLY polynomial is independent of framing for oriented links, as it is an under , including Reidemeister type I moves that alter local s. Adding a full twist to a framed link component multiplies the polynomial by a depending on the variables; specifically, for a positive full twist on a single component, the change is captured by the relation P(\tau L; a, z) = a^{2} P(L; a, z) in certain conventions adjusted for writhe, ensuring consistency across equivalent framings. For ribbon knots, which admit a framing where ribbon singularities replace crossings, the polynomial equals that of the underlying unknotted , up to the twist . In special cases, such as evaluation at a = 1, the HOMFLY polynomial reduces to the Alexander-Conway polynomial \nabla(L; z) = P(L; 1, z), for which split links with multiple components vanish (\nabla = 0). This aligns with the vanishing factor \frac{a - a^{-1}}{z} \to 0 at a=1, rendering split links with multiple components trivial in the Conway polynomial.

Computation Methods

Recursive Evaluation via Skein Trees

The recursive evaluation of the HOMFLY polynomial relies on constructing a skein tree from an oriented diagram, where each represents a , and branches correspond to resolutions of crossings via the skein . The root is the original diagram, and recursion proceeds by selecting an unresolved crossing, generating child nodes for the positive crossing (L₊), negative crossing (L₋), and oriented smoothing (L₀) configurations. This process continues until all leaves are base cases: the , with polynomial value 1, or split unions of simpler links, whose polynomials are computed multiplicatively using the factor -\frac{a + a^{-1}}{z} for each additional unknotted component. The algorithm follows these steps: (1) Input an oriented of the link with n crossings. (2) Select a crossing (often chosen to minimize complexity, such as via a greedy undercrossing switch). (3) Apply the HOMFLY skein relation a P(L_+) - a^{-1} P(L_-) = z P(L_0) to express P(L_+) in terms of the sub-polynomials, generating recursive calls on L_- and L_0 (discarding L_+ after substitution). (4) For multi-component links encountered, factor the polynomial using the rule. (5) Terminate at base cases and back-substitute values up the tree to obtain the full polynomial. This branching structure ensures all possible resolutions are explored systematically. The computational complexity is exponential in the number of crossings, as the tree typically has O(2^n) or worse leaves in the naive implementation, though optimizations like diagram reduction or symmetry exploitation can mitigate this for small n (e.g., up to 12–15 crossings). For instance, the (4₁), with its minimal 4-crossing diagram, yields a compact skein tree: starting at a positive crossing, resolutions lead to branches involving the , a Hopf link, and trivial components after 3–4 levels, resulting in the polynomial P(4_1; a, z) = a^{2} + a^{-2} - z^{2} - 1. Software tools automate this process; the KnotTheory package in Mathematica, for example, implements skein tree recursion to compute HOMFLY polynomials from codes or words, supporting diagrams up to moderate size efficiently on standard hardware.

Closed-Form Expressions for Special Cases

For torus knots T_{p,q}, the HOMFLY polynomial admits a derived from representations of the and invariants. The seminal Jones-Rosso formula expresses the colored HOMFLY polynomial in terms of quantum dimensions and sums over the . For the specific family of (2, 2k+1)-torus knots, the HOMFLY polynomial can be expressed recursively, reflecting the structure from the skein relation adapted to the toroidal geometry. The HOMFLY polynomial for closures of can be evaluated using generalizations of the Burau representation within the framework, where the elements are mapped to matrices in GL_{n-1}(\mathbb{Z}[a^{\pm 1}, z^{\pm 1}]). For an n-strand \beta, the of its closure is the of the Ocneanu trace on the representation \rho(\beta), yielding P(\hat{\beta})(a,z) = \tr(\rho(\beta)) / \dim \rho, with \rho the Hecke module satisfying the quadratic relation (T - a)(T + a^{-1}) = z. This provides a matrix-based closed form for pure closures, generalizing the case where z \to 1. As a representative example, the HOMFLY polynomial for the 3_1 (right-handed T_{2,3}) is P(a,z) = -a^4 + 2a^2 + a^2 z^2, illustrating the quadratic dependence on z and the framing factor a^{w} with writhe w = 3. This can be verified by applying the skein relation repeatedly. For the Hopf link L_{2a1} (linking number +1), the polynomial is P(a,z) = a^{-1}z + z^{-1}(a^{-1} - a^{-3}), demonstrating the link component separation and z^{-1} term from the overcrossing resolution. This expression arises directly from the skein relation applied to the two crossings, with normalization for the unlink.

Relations to Other Invariants

Connection to Alexander Polynomial

The HOMFLY polynomial P(L; a, z) of a link L specializes to the Alexander-Conway polynomial \Delta(L; t) upon setting a = 1 and z = t^{1/2} - t^{-1/2}, yielding P(L; 1, t^{1/2} - t^{-1/2}) = \Delta(L; t). This connection underscores the historical precedence of the Alexander polynomial, introduced by J. W. Alexander in 1923 as the first non-trivial knot invariant, derived from the abelianization of the knot group and represented as a Laurent polynomial in one variable. In the 1960s, John H. Conway reformulated the Alexander polynomial using a simple skein relation \Delta(L_+) - \Delta(L_-) = z \Delta(L_0), along with normalization \Delta(U) = 1 for the unknot U, providing an axiomatic recursive definition that Conway presented in unpublished notes around 1968 and later formalized. This skein form directly generalizes to the HOMFLY relation a P(L_+) - a^{-1} P(L_-) = z P(L_0), establishing the Alexander-Conway polynomial as a foundational special case of the more general two-variable HOMFLY invariant discovered in 1985. The specialization preserves several key properties of the Alexander-Conway polynomial. Both invariants exhibit multiplicativity under disjoint union of links: for disjoint links L_1 and L_2, the HOMFLY polynomial satisfies P(L_1 \sqcup L_2; a, z) = P(L_1; a, z) P(L_2; a, z) \left( -\frac{a + a^{-1}}{z} \right), and substituting the Alexander parameters yields the corresponding multiplicativity \Delta(L_1 \sqcup L_2; t) = \Delta(L_1; t) \Delta(L_2; t) (t^{1/2} - t^{-1/2}). Additionally, the Alexander polynomial detects fibered knots, being monic of degree exactly twice the Seifert genus for such knots, a property inherited from the HOMFLY polynomial's behavior under the specialization. Despite these shared features, the HOMFLY polynomial offers greater discriminatory power than its Alexander specialization. While the Alexander-Conway polynomial fails to distinguish mutant knots—pairs related by mutation on a knot diagram, which preserve the knot group and thus the Alexander invariant—the HOMFLY polynomial can detect such differences in many cases, as demonstrated by explicit computations on mutant pairs like the Kinoshita-Terasaka and mutants. This limitation of the Alexander polynomial highlights the HOMFLY invariant's role in refining classical knot detection.

Connection to Jones Polynomial

The HOMFLY polynomial establishes a direct connection to the Jones polynomial through a of its variables. Specifically, substituting a = t^{-1} and z = t^{1/2} - t^{-1/2} into the HOMFLY polynomial P(L; a, z) for a link L yields the Jones polynomial V(L; t). This reduction highlights how the HOMFLY polynomial generalizes the one-variable Jones invariant while preserving its essential properties under this parameter choice. The quantum origins of this connection trace back to . The Jones polynomial emerges from the fundamental of the U_q(\mathfrak{sl}(2)), which induces a faithful of the via the universal R-matrix satisfying the Yang-Baxter equation; the link invariant is then obtained by applying the unique Markov trace to the colored braid closure. The HOMFLY polynomial extends this framework by incorporating two parameters, effectively unifying the quantum structure of the Jones polynomial with classical invariants through its broader parameterization. Further reductions from the HOMFLY polynomial include the Kauffman polynomial, achieved via alternative substitutions that align the variables to produce the two-variable Kauffman F(L; a, w).

Applications and Extensions

Use in Knot Recognition

The HOMFLY polynomial exhibits significant discriminative power in knot recognition, assigning distinct values to a large majority of prime knots. For prime knots with up to crossings—totaling 12,965 in number—it produces 10,595 distinct polynomials, enabling the and of approximately 82% of these knots based on their unique or shared values. This capability has proven essential in computational , where the polynomial's values help filter and organize vast enumerations of knot types. Despite its strengths, the HOMFLY polynomial is not a complete knot invariant and fails to distinguish certain non-isotopic knots, particularly mutants generated by flype operations on knot diagrams. A prominent example is the pair consisting of the Kinoshita-Terasaka knot (11n_{42}) and the (11n_{34}), which share identical HOMFLY polynomials despite differing topologically; distinguishing them requires colored versions of the polynomial or supplementary invariants. Such limitations underscore the need to pair the HOMFLY polynomial with others, like the Kauffman polynomial, to enhance detection accuracy in complex cases. In knot tabulation efforts, the HOMFLY polynomial facilitated key advancements beyond the Rolfsen table (which covers knots up to 10 crossings). Morwen Thistlethwaite employed it to enumerate all prime s up to 13 crossings, confirming the counts and properties for this range. Building on this, Hoste and Thistlethwaite incorporated HOMFLY computations into extended tables up to 16 crossings, using the to verify knot distinctness and support systematic classification in tools like KnotScape. The HOMFLY polynomial also extends to practical applications in biology and chemistry, where topological analysis of molecular structures is crucial. In biology, it classifies knotted topologies in DNA strands, such as trefoils and figure-eights formed during replication, by computing invariants for chain models of double-crossover links to assess knot complexity and chirality. In chemistry, it characterizes synthetic molecular knots and polyhedral links, aiding in the design of topologically complex molecules like catenanes, where the polynomial reveals handedness and stability differences.

Quantum Invariants and Categorification

The Reshetikhin-Turaev construction provides a framework for quantum link invariants derived from representations of quantum groups, such as U_q(\mathfrak{sl}_N), where the invariant for a link colored by the fundamental representation recovers the HOMFLY polynomial in the limit as N varies, with variables a = q^N and z = q - q^{-1}. This approach unifies the HOMFLY polynomial with other quantum invariants, like the Jones polynomial (a specialization at N=2), by associating to each link a trace in the representation category of the quantum group, invariant under Kirby moves for framed links. The colored HOMFLY polynomial extends this by allowing arbitrary irreducible representations of U_q(\mathfrak{sl}_N), yielding more refined invariants that detect additional link properties through higher-dimensional representations. Categorification elevates the HOMFLY polynomial to a triply graded theory, introduced by Khovanov and Rozansky using Soergel bimodules and , where the graded recovers the polynomial. This , often called HOMFLY-PT , generalizes (which categorifies the Jones polynomial) to higher rank Lie algebras, with the \mathfrak{sl}_N case providing a to the full triply graded version. Analogs for broader HOMFLY variants include annular Khovanov for links in thickened annuli, which captures torsion and higher ranks, and superpolynomials proposed as a unified refinement incorporating both quantum and homological gradings. Post-2000 developments include the Gukov-Schwarz-Vafa conjecture, which posits that the Poincaré polynomial of \mathfrak{sl}_N counts BPS states in open on a determined by the complement, linking invariants to invariants via refined Chern-Simons theory. This has spurred computations of HOMFLY homologies and explorations of their geometric realizations. Recent computations (as of 2024) have determined the Khovanov–Rozansky HOMFLY for all prime s up to 11 crossings, and new planar decomposition techniques have been developed for bipartite diagrams. Open problems persist in achieving a universal triply graded categorification stable across all N, and establishing precise relations between HOMFLY and Heegaard , such as through sequences connecting them for alternating s.

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