Tour of bordered Floer theory

Robert Lipshitza, Peter S. Ozsvthb, and Dylan P. Thurstonc,1

a Department of Mathematics, Columbia University, New York, NY 10027; bDepartment of Mathematics, Massachusetts Institute of Technology, Cambridge, MA 02139; and cDepartment of Mathematics, Barnard College, Columbia University, New York, NY 10027

Edited by Robion C. Kirby, University of California, Berkeley, CA, and approved February 2, 2011 (received for review December 18, 2010)

Heegaard Floer theory is a kind of topological quantum field theory (TQFT), assigning graded groups to closed, connected, oriented 3-manifolds and group homomorphisms to smooth, oriented four-dimensional cobordisms. Bordered Heegaard Floer homology is an extension of Heegaard Floer homology to 3-manifolds with boundary, with extended-TQFT-type gluing properties. In this survey, we explain the formal structure and construction of bordered Floer homology and sketch how it can be used to compute some aspects of Heegaard Floer theory.
Heegaard Floer homology 4-manifolds

To a smooth, compact, oriented cobordism W from Y 1 to Y 2 , maps F W : HFY 1 HFY 2 induced by chain maps f W : CFY 1 CFY 2 .* These maps decompose according to spinc structures on W (3). The maps F W satisfy a topological quantum field theory (TQFT) composition law: If W 0 is another cobordism, from Y 2 to Y 3 , then F W 0 F W F W 0 W (3). The Heegaard Floer invariants are defined by counting pseudoholomorphic curves in symmetric products of Heegaard surfaces. The Heegaard Floer groups were conjectured to be equivalent to the monopole Floer homology groups (defined by counting solutions of the SeibergWitten equations), via d the correspondence: HF Y HM Y , HF Y HMY , HF Y HMY , and similarly for the corresponding cobordism maps. A proof of this conjecture has recently been announced by Kutluhan et al. (4042). Colin et al. have announced an independent proof for the U 0 specialization (43). In particular, the Heegaard Floer package contains enough information to detect exotic smooth structures on 4-manifolds (10, 44). For closed 4-manifolds, this information is contained d in HF and HF ; the weaker invariant HF is not useful for distinguishing smooth structures on closed 4-manifolds.
The Structure of Bordered Floer Theory. Bordered Floer homology is d an extension of HF to 3-manifolds with boundary, in a TQFT form. Bordered Floer homology associates:
^

eegaard Floer homology, introduced in a series of papers (13) of Szab and the second author has become a useful tool in three- and four-dimensional topology. The Heegaard Floer invariants contain subtle topological information, allowing one to detect the genera of knots and homology classes (4); detect fiberedness for knots (59) and 3-manifolds (1013); bound the slice genus (14) and unknotting number (15, 16); prove tightness and obstruct Stein fillability of contact structures (5, 17); and more. It has been useful for resolving a number of conjectures, particularly related to questions about Dehn surgery (18, 19); see also ref. 20. It is either known or conjectured to be equivalent to several other gauge-theoretic or holomorphic curve invariants in low-dimensional topology, including monopole Floer homology (21), embedded contact homology (22), and the Lagrangian matching invariants of 3- and 4-manifolds (2325). Heegaard Floer homology is known to relate to Khovanov homology (2628), and more relations with Khovanov Rozansky-type homologies are conjectured (29). Heegaard Floer homology has several variants; the technically d simplest is HF, which is sufficient for most of the three-dimensional applications discussed above. Bordered Heegaard Floer d homology, the focus of this paper, is an extension of HF to 3-manifolds with boundary (30). This extension gives a conceptually satisfying way to compute essentially all aspects of the Heegaard d Floer package related to HF. [There are also other algorithms for computing many parts of Heegaard Floer theory (3139).] We will start with the formal structure of bordered Heegaard Floer homology. Most of the paper is then devoted to sketching its definition. We conclude by explaining how bordered Floer homology can be used for calculations of Heegaard Floer invariants. Formal Structure
Review of Heegaard Floer Theory. Heegaard Floer theory has many

components. Most basic among them, it associates: To a closed, connected, oriented 3-manifold Y , an abelian group d HFY and ZU modules HF Y , HF Y , and HF Y . c These are the homologies of chain complexes CFY , CF Y , CF Y , and CF Y , respectively. The chain complexes (and their homology groups) decompose into spinc structures, CFY sspinc Y CFY ;s, where CF is any of the four chain complexes. Each CFY ;s has a relative grading modulo c the divisibility of c1 s (1). The chain complex CFY is the U 0 specialization of CF Y .
www.pnas.org/cgi/doi/10.1073/pnas.1019060108

To a closed, oriented, connected surface F, together with some extra markings (see Definition 1), a differential graded (dg) algebra AF. To a compact, oriented 3-manifold Y with connected boundary, together with a diffeomorphism : F Y marking the boundary, a module over AF. Actually, there are two differd ent invariants for Y : CFDY , a left dg module over AF, and CFAY , a right A module over AF, each well-defined up to quasi-isomorphism. We sometimes refer to a 3-manifold Y with Y F; we actually mean Y together with an identification of Y with F. We call these data a bordered 3-manifold. More generally, to a 3-manifold Y with two boundary components L Y and R Y , diffeomorphisms L : F L L Y and R : F R R Y and a framed arc from L Y to R Y (compatible d with L and R in a suitable sense), a dg bimodule CFDDY with commuting left actions of AF L and AF R ; an A d bimodule CFDAY with a left action of AF L and a right d action of AF R ; and an A bimodule CFAAY with commutd ing right actions of AF L and AF R . Each of CFDDY ,
Author contributions: R.L., P.S.O., and D.P.T. performed research; and R.L., P.S.O., and D.P.T. wrote the paper. The authors declare no conflict of interest. This article is a PNAS Direct Submission. *For CF and CF , we mean the completions with respect to the formal variable U.
1

To whom correspondence should be addressed. E-mail: dthurston@barnard.edu.

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d d CFDAY , and CFAAY is well-defined up to quasi-isomorphism. We call the data Y ; L ; R ; a strongly bordered 3-manifold with two boundary components. To keep the sidedness straight, note that type D boundaries are always on the left, and type A boundaries are always on the right; and for 0;1 F, the boundary component on the left side, f0g F, is oriented as F, whereas the one on the right side is oriented as F. Gluing 3-manifolds corresponds to tensoring invariants; for any valid tensor product (necessarily matching D sides with A sides) there is a corresponding gluing. More concretely (30, 45): Given 3-manifolds Y 1 and Y 2 with Y 1 F Y 2 , there is a quasi-isomorphism d c d ~ CFY 1 F Y 2 CFAY 1 AF CFDY 2 ; [1]

c d CFY 1 F Y 2 MorAFAF CFDD0;1 F; d d CFDY 1 F 2 CFDY 2 : Similarly, if Y 2 has another boundary component F0 , d d CFDY 1 F Y 2 MorAFAF CFDD0;1 F; d d CFDY 1 F 2 CFDDY 2 : [3] [2] then

(If both Y 1 and Y 2 had two boundary components, then the left-hand side would pick up a change of framing.)
Remark 1: Some of the duality properties discussed above can also be seen from the Fukaya-categorical perspective (47). Remark 2: It is natural to expect that to a 4-manifold with corners one would associate a map of bimodules, satisfying certain gluing axioms. We have not done this; however, as discussed below, even without this bordered Floer homology allows one to compute ^ the maps F W associated to cobordisms W between closed 3-manifolds.

~ where denotes the derived tensor product. So, d d d 1 F Y 2 TorAF CFAY 1 ; CFDY 2 . HFY More generally, given 3-manifolds Y 1 and Y 2 with Y 1 F 1 F 2 and Y 2 F 2 F 3 , there are quasi-isomorphisms of bimodules corresponding to any valid tensor product. For instance, d d d ~ CFDDY 1 F2 Y 2 CFDAY 1 AF2 CFDDY 2 d d ~ CFDAY 2 AF2 CFDDY 1 : Also, F 1 or F 3 may be S2 (or empty), in which case these statements reduce to pairing theorems for a module and a bimodule. We refer to theorems of this kind as pairing theorems. There is also a self-pairing theorem. Let Y be a 3-manifold with Y F F and be a framed arc connecting corresponding points in the boundary components of Y . The self-pairing theorem relates the Hochschild homology of the bimodule d CFDAY with the knot Floer homology of a generalized open book decomposition associated to Y and . These invariants satisfy a number of duality properties (46); e.g.: The algebra AF is the opposite algebra of AF. (There are also more subtle duality properties of the algebras; see Remark 4.) d d The module CFDY is dual [over AF] to CFAY : d d CFDY MorAF CFAY ;AF d d CFAY MorAF CFDY ;AF: d d The module CFDDY is the one-sided dual of CFAAY : d d MorAF 2 CFDDY ;AF 2 CFAAY : The symmetric statement also holds, as does the corresponding d statement for CFDAY . As a consequence of these dualities, one can give pairing theorems using the Hom functor rather than the tensor product (46); e.g.: Let Y 1 and Y 2 be 3-manifolds with Y 1 Y 2 F. Then d d c CFY 1 Y 2 MorAF CFDY 1 ; CFDY 2 : d Similar statements hold for CFA and for bimodules. Given 3-manifolds Y 1 and Y 2 with Y 1 F Y 2 ,
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The Algebras As mentioned earlier, the bordered Floer algebras are associated to surfaces together with some extra markings. We encode these markings as pointed matched circles Z, which we discuss next. We then introduce a simpler algebra, An, depending only on an integer n, of which the bordered Floer algebras AZ are subalgebras. The definition of AZ itself is given in the last subsection.
Pointed Matched Circles.

circle Z; 4k points a fa1 ;; a4k g in Z; a matching M of the points in a in pairs, which we view as a fixed-point free involution M: a a; and a basepoint z Z \ a. We require that performing surgery on Z along the matched pairs of points yields a connected 1-manifold. A pointed matched circle Z with jaj 4k specifies:

Definition 1: A pointed matched circle Z consists of an oriented

A closed surface FZ of genus k, as follows: Fill Z with a disk D. Attach a two-dimensional 1-handle to each pair of points in a matched by M. By hypothesis, the result has connected boundary; fill that boundary with a second disk. A distinguished disk in FZ: the disk D (say). A basepoint z in the boundary of the distinguished disk.
Remark 3: Matched circles can be seen as a special case of fat

graphs (48). They are also dual to the typical representation of a genus g surface as a 4g-gon with sides glued together.
The Strands Algebra. We next define a differential algebra An, depending only on an integer n; the algebra AZ associated to a pointed matched circle with jaj 4k will be a subalgebra of A4k. The algebra An has an F 2 basis consisting of all triples S; T; , where S and T are subsets of n f1;; ng and : S T is a bijection such that for all s S, s s. Given such a map , let Inv fs1 ; s2 S S s1 < s2 ; s2 < s1 g and inv jInvj, so inv is the number of inversions of . The product S; T; U; V ; in An is defined to be 0 if U T or if U T, but inv inv inv. If U T and inv inv inv, then let S; T; U; V ; S; V ; . In particular, the elements S; S; I (where I denotes the identity map) are the indecomposable idempotents in An. Given a generator S; T; An and an element s1 ; s2 Inv, let : S T be the map defined by s s if s s1 ; s2 ; s1 s2 ; and s2 s1 . Define a differential on An by
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Fig. 1. The strands algebra. A product, two vanishing products, and a differential. In this notation, the restrictions on the number of inversions means that elements with double crossings in the product or differential are set to 0.

S; T;

Inv inv inv1

S; T; :

S0 S0

S0 ; S0 ; IS\ :

See Fig. 1 for a graphical representation. Given a generator S; T; An, define the weight of S; T; to be the cardinality of S. Let An; i be the subalgebra of An generated by elements of weight i, so An n An;i. i0
The Algebra Associated to a Pointed Matched Circle. Fix a pointed matched circle Z Z; a; M; z with jaj 4k. After cutting Z at z, the orientation of Z identifies a with 4k, so we can view M as a matching of 4k. Call a basis element S;T; of A4k equitable if no two elements of 4k that are matched (with respect to M) both occur in S, and no two elements of 4k that are matched both occur in T. Given equitable basis elements x S; T; and y S0 ; T 0 ; of A4k, we say that x and y are related by horizontal strand swapping, and write x y, if there is a subset U S such that S0 S \ U MU, jS\U jS\U , jU IU , and jMU IMU . Given an equitable basis element x of A4k, let ax yx y. See Fig. 2 for an example. Define AZ A4k to be the F 2 subspace with basis fax x is equitableg. It is straightforward to verify that AZ is a differential subalgebra of A4k. We call the elements ax basic generators of AZ. If x is not equitable, set ax 0 and extend a linearly to a map a: A4k AZ. (This is not an algebra homomorphism.) Indecomposable idempotents of AZ correspond to subsets of the set of matched pairs in a. These generate a subalgebra IZ where all strands are horizontal. The algebra AZ decomposes as k AZ; i, where AZ; i AZ ik A4k; k i. As the figures suggest, we often think of elements of AZ in terms of sets of chords in Z; a, i.e., arcs in Z with endpoints in a, with orientations induced from Z. Given a chord in Z \ fzg; a, let (respectively, ) be the initial (respectively, terminal) endpoint of . Given a set fi g of chords in Z \ fzg; a such that no two i have the same initial (respectively, terminal) endpoint, let f g and f g; we can think of as a i i map : . Let

circle for S2 is F 2 . The algebra AT 2 ; 0 associated to the unique pointed matched circle for T 2 , with 1 3; 2 4, is given by the path algebra with relations:

Example 1: The algebra associated to the unique pointed matched

dimF 2 H AZ; iT i T 2 32T 1 98 32T 1 T 2 :

The algebra associated to the pointed matched circle Z0 for a genus 2 surface with matching 1 5; 2 6; 3 7; 4 8 has Poincar polynomial
i

dimF 2 H AZ0 ; iT i T 2 32T 1 70 32T 1 T 2 :

The ranks in the genus two examples which are equal are explained by the observations that for any pointed matched circle, AZ; k F 2 ; AZ; k 1 has no differential; the dimension of AZ; k 1 is independent of the matching; and the following:
Remark 4: The algebras AZ; i and AZ; i are Koszul dual. (Here, Z denotes the pointed matched circle obtained by reversing the orientation on Z.) Also, given a pointed matched circle Z for F, let Z denote the pointed matched circle corresponding to the dual handle decomposition of F. Then AZ; i and AZ ; i are Koszul dual. In particular, AZ; i is quasi-isomorphic to AZ ; i (46). Remark 5: In Zarevs bordered-sutured extension of the theory (49), the strands algebra An; k has a topological interpretation as the algebra associated to a disk with boundary sutures.

Fig. 2. The algebra AZ. An example of the operation ax and a shorthand for the resulting element of AZ A4k.
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Combinatorial Representations of Bordered 3-Manifolds A bordered 3-manifold is a 3-manifold Y together with an orientation-preserving homeomorphism : FZ Y for some pointed matched circle Z. Two bordered 3-manifolds Y 1 ; 1 : FZ1 Y 1 and Y 2 ; 2 : FZ2 Y 2 are called equivalent if there is an orientation-preserving homeomorphism : Y 1 Y 2 such that 1 2 ; in particular, this implies that Z1 Z2 . Bordered Floer theory associates homotopy equivalence classes of modules to equivalence classes of bordered 3-manifolds. Just as the bordered Floer algebras are associated to combinatorial representations of surfaces, not directly to surfaces, the bordered Floer modules are associated to combinatorial representations of bordered 3-manifolds.
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The algebra associated to the pointed matched circle Z for a genus 2 surface with matching 1 3; 2 4; 5 7; 6 8 has Poincar polynomial (45, Sect. 4)

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regular neighborhood of a connected graph in R3 . According to a classical result of Heegaard (50), every closed, orientable 3-manifold can be obtained as a union of two such handlebodies, H and H . Such a representation is called a Heegaard splitting. A Heegaard splitting along an orientable surface of genus g can be represented by a Heegaard diagram: a pair of g tuples of pairwise disjoint, homologically linearly independent, embedded circles f1 ;; g g and f1 ;; g g in . These curves are chosen so that each i (respectively, i ) bounds a disk in the handlebody H (respectively, H ). Any two Heegaard diagrams for the same manifold Y are related by a sequence of moves, called Heegaard moves; see, for instance, ref. 51 or ref. 1, Sect. 2.1.
Representing 3-Manifolds with Boundary. The story extends easily to 3-manifolds with boundary, using a slight generalization of handlebodies. A compression body (with both boundaries connected) is the result of starting with a connected orientable surface 2 times [0,1] and then attaching thickened disks (three-dimensional 2-handles) along some number of homologically linearly independent, disjoint circles in 2 f0g. A compression body has two boundary components, 1 and 2 , with genera g1 g2 . Up to homeomorphism, a compression body is determined by its boundary. A Heegaard decomposition of a 3-manifold Y with nonempty, connected boundary is a decomposition Y H 2 H , where H is a compression body and H is a handlebody. Let g be the genus of 2 and k the genus of Y . A Heegaard diagram for Y is gotten by choosing g pairwise disjoint circles 1 ;;g in 2 and g k disjoint circles c ;;c in 2 so that 1 gk

The Closed Case. Recall that a three-dimensional handlebody is a

Fix a bordered Heegaard diagram H ; ; ; z for Y . Let SH be the set of g tuples x fxi gg so that there is i1 exactly one point xi on each -circle and on each -circle, and d there is at most one xi on each -arc. The invariant CFAY is a direct sum of copies of F 2 , one for each element of SH, d whereas CFDY is a direct sum of elementary projective AH modules, one for each element of SH. Let XH be the F 2 -vector space generated by SH, which is also the vecd tor space underlying CFAY . Each generator x SH determines a spinc structure sx spinc Y ; the construction (30) is an easy adaptation of the closed case (1, Sect. 2.6). Before continuing to describe the bordered Floer modules, we digress to briefly discuss the moduli spaces of holomorphic curves.
Moduli Spaces of Holomorphic Curves. Fix a bordered Heegaard diagram H ; ; ; z. Let \ . Choose a symplectic form on giving it a cylindrical end and a complex structure j compatible with , making into a punctured Riemann surface. Let p denote the puncture in . We choose the a so i that their intersections with (also denoted a ) are cylindrical i (R-invariant) in a neighborhood of p. We consider curves

u: S; S 0;1 R; f1g R f0g R; holomorphic with respect to an appropriate almost complex structure J, satisfying conditions spelled out in ref. 30. The reader may wish to simply think of a product complex structure j jD , though these complex structures may not be general enough to achieve transversality. Such holomorphic curves u have asymptotics in three places: 0;1 fg. We consider curves asymptotic to g-tuples of strips x 0;1 R at and y 0;1 R at , where x; y SH. f pg 0;1 R, which we denote e. We consider curves asymptotic to chords i in ; a at a point 1; ti 0;1 R. [These are chords for the coisotropic foliation of 0;1 R, whose leaves are the circles fs0 ; t0 g.] We impose the condition that these chords i not cross z . Topological maps of this form can be grouped into homology classes. Let 2 x; y denote the set of homology classes of maps asymptotic to x 0;1 at and y 0;1 at . Then 2 x; x is canonically isomorphic to H 2 Y ; Y ; 2 x; y is nonempty if and only if sx sy; and if sx sy then 2 x; y is an affine copy of H 2 Y ; Y , under concatenation by elements of 2 x; x [or 2 y; y] (30). [Again, these results are easy adaptations of the corresponding results in the closed case (1, Sect. 2).] Note that our usage of 2 x; y differs from the usage in ref. 1, where homology classes are allowed to cross z, but agrees with the usage in ref. 30. Given generators x; y SH, a homology class B 2 x; y, and a sequence ~ 1 ;; n of sets i fi;1 ;; i;mi g of Reeb f chords, let MB x; y; ~ denote the moduli space of embedded holomorphic curves u in the homology class B, asymptotic to x 0;1 at , y 0;1 at , and i;j 1; ti at e, for some sequence of heights t1 < < tn . There is an action of R on f f MB x; y; ~ , by translation. Let MB x; y; ~ MB x; y; ~ R. d d The modules CFDH and CFAH will be defined using counts of zero-dimensional moduli spaces MB x; y; ~ . Proving that these modules satisfy 2 0 and the A relations, respectively, involves studying the ends of one-dimensional moduli spaces. These ends correspond to the following four kinds of degenerations:
Lipshitz et al.

The circles 1 ;;g bound disks D1 ;;Dg in H such that H \ D1 Dg is topologically a ball, and The circles c ;;c bound disks Dc ;;Dc in H such that 1 gk 1 gk H \ Dc Dc is topologically the product of a surface 1 gk and an interval. To specify a parametrization, or bordering, of Y , we need a little more data. A bordered Heegaard diagram for Y is a tuple z}|{ z}|{ z}|{ H ; c ;; c ; a ;; a ; 1 ;; g ; z; 1 1 gk 2k where is an oriented surface with a single boundary component; D2 ; c ; is a Heegaard diagram for Y ; a ;;a are pairwise disjoint, embedded arcs in with bound1 2k ary on , and are disjoint from the c ; i \ c c a a is a disk with 2g k holes; 1 1 gk 2k z is a point in , disjoint from all of the a . i Let a c . A bordered Heegaard diagram H specifies a pointed matched circle ZH Z ; a a ; M; z, where two points in a are matched in M if they lie on the same a . A bordered i Heegaard diagram for Y also specifies an identification : FZ Y , well-defined up to isotopy. There are moves, analogous to Heegaard moves, relating any two bordered Heegaard diagrams for equivalent bordered 3-manifolds. The Modules and Bimodules As discussed above, there are two invariants of a 3-manifold Y d with boundary FZ. CFDY has a straightforward module structure but a differential that counts holomorphic curves, d whereas CFAY uses holomorphic curves to define the module structure itself.
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c a

See Fig. 3 for examples of the first three kinds of degenerations.

Remark 6: This analytic setup builds on the cylindrical reformulation of Heegaard Floer theory (52). It relates to the original formulation of Heegaard Floer theory, in terms of holomorphic disks in Symg , by thinking of a map D Symg as a multivalued map D and then taking the graph. See, for instance, ref. 52, Sect. 13. Some of the results were previously proved in ref. 53.

d Remark 7: Because 2 x;y is empty unless sx sy, CFDY decomposes as a direct sum over spinc structures on Y .
Type A Modules. Again, fix a bordered Heegaard diagram H and a suitable almost complex structure J, but now let Z H. Given a generator x SH, let I A x denote the indecomposable idempotent in AZ;0 AZ corresponding to the set of -arcs intersecting x [opposite of I D x], again making XH into a module over IZ AZ. Define an A action of AZ on XH by setting

table almost complex structure J. Let Z H be the orientation reverse of the pointed matched circle given by H. Given a generator x SH, let I D x denote the indecomposable idempotent of AZ;0 AZ corresponding to the set of -arcs that are disjoint from x. This gives an action of the subring IZ of d AZ on XH. As a module, CFDH AZ IZ XH: d Define a differential on CFDH by x
ySH

Type D Modules. Fix a bordered Heegaard diagram H and a sui-

mn1 x;a1 ;;an

ySH B 2 x;y

#MB x;y; 1 ;;n y;

d and extending multilinearly. As for CFD, to ensure finiteness of these sums, we need to assume that H is provincially admissible.
Theorem 4. The operations mn1 satisfy the A module relation.

B 2 x;y 1 ;;n

#MB x; y; f1 g;; fn g af1 gafn g y;

Proof sketch: Because AZ is a differential algebra, the A

d relation for CFAY takes the form 0

ijn2

mi mj x; a1 ;; aj1 ;; an mn1 x; a1 ;; a ;; an mn x; a1 ;; a a1 ;; an : [4]

1 n1

The first term in Eq. 4 corresponds to degenerations of type 1. The second term corresponds to degenerations of types 2 and 4, depending on whether one of the strands in the crossing being resolved is horizontal (2) or not (4). The third term corresponds to degenerations of type 3. This proves the result.
Fig. 3. Degenerations of holomorphic curves. Degenerations of types 1, 2, and 3 are shown, in that order. The dots indicate branch points, which can be thought of as the ends of cuts. (This figure is drawn from ref. 30.)

d CFAH is independent of the (provincially admissible) bordered Heegaard diagram H representing the bordered 3-manifold Y .
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Theorem 5. (30) Up to A homotopy equivalence, the A module

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1. Breaking into a two-story holomorphic building. That is, the R coordinate of some parts of the curve go to with respect to other parts, giving an element of MB1 x; y; ~1 MB2 x; y; ~2 , where B is the concatenation B1 B2 and ~ is the concatenation ~1 ; ~2 . 2. Degenerations in which a boundary branch point of the projection u approaches e, in such a way that some chord i;j splits into a pair of chords a , b with i;j a b . This degeneration results in a curve at e, a join curve, and an element of MB x; y; ~ 0 , where ~ 0 is obtained by replacing the chord i;j i ~ with two chords, a and b . 3. The difference in R coordinates ti1 ti between two consecutive sets of chords i and i1 in ~ going to 0. In the process, some boundary branch points of u may approach e, degenerating a split curve, along with an element of MB x; y; ~ 0 , where ~ 0 1 ;; i i1 ;; n and i i1 is gotten from i i1 by gluing together any pairs of chords i;j ;i1; where i;j ends at the starting point of i1; (i.e., ). i1; i;j 4. Degenerations in which a pair of boundary branch points of u approach e, causing a pair of chords i;j and i; in some i whose endpoints and are nested, say i;j i; < < < , to break apart and recombine into a i;j i; i; i;j pair of chords a ; i; and b ; . This gives an i;j i;j i; odd shuffle curve at e and an element of MB x; y; ~ 0 , where ~ 0 is obtained from ~ by replacing i;j and i; in i with a and b .

with the convention that the number of elements in an infinite set is zero. Here denotes a chord in H;a with orientation reversed, so as to be a chord in Z. [To ensure finiteness of these sums, we need to impose an additional condition on the Heegaard diagram H, called provincial admissibility (30).] Extend d to all of CFDH by the Leibniz rule.
Theorem 2. (30) The map is a differential, i.e., 2 0.

Proof sketch: Let ax;y denote the coefficient of y in x. The equation 2 x 0 simplifies to the equation that, for all y, dax;y w ax;w aw;y 0. As usual in Floer theory, we prove this by considering the boundary of the one-dimensional moduli spaces of curves. Of the four types of degenerations, type 4 does not occur, because each i is a singleton set. Type 1 gives the terms of the form ax;w aw;y . Type 3 with a split curve degenerating corresponds to dax;y . Type 3 with no split curves cancel in pairs against themselves and type 2. See also ref. 54.

d Theorem 3. (30) Up to homotopy equivalence, the module CFDH is independent of the (provincially admissible) bordered Heegaard diagram H representing the bordered 3-manifold Y . The proof is similar to the closed case (1, Theorem 6.1). Thed orem 3 justifies writing CFDY for the homotopy equivalence d class of CFDH for any bordered Heegaard diagram H for Y .

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Again, the proof is similar to the closed case (1, Theorem 6.1). d d Remark 8: Like CFDY , the module CFAY breaks up as a sum over spinc structures on Y .
Remark 9: It is always possible to choose a Heegaard diagram H

Given a surface F, let GF be the Z-central extension of H 1 F, Z GF H 1 F, where 1 Z maps to GZ. Explicitly, GF 1 Z H 1 F with 2 k1 ;1 k2 ;2 k1 k2 1 2 ;1 2 : Here, denotes the intersection pairing on H 1 F. It turns out that AZ has a grading by GFZ; (30, Sect3.3). Similarly, given a 3-manifold Y bordered by FZ, one can construct d d GFZ-set gradings on CFAY and CFDY (30). Even in the closed case, the grading on Heegaard Floer homology has a somewhat nonstandard form: a partial relative cyclic grading. That is, generators do not have well-defined gradings, but only well-defined grading differences grx; y; the grading difference grx; y is defined only for generators representing the same spinc structure; and grx; y is well-defined only modulo the divisibility of c1 sx. A partial relative cyclic grading is precisely a grading by a Z set. This leads naturally to a graded version of the pairing theorems, including Eq. 1 (30). Deforming the Diagonal and the Pairing Theorems. The tensor product pairing theorems are the main motivation for the definitions of the modules and bimodules. We will sketch the proof of the archetype, Eq. 1. Fix bordered Heegaard diagrams H1 and H2 for Y 1 and Y 2 , respectively, with H1 H2 . It is easy to see that H H1 H2 is a Heegaard diagram for Y 1 Y 2 . There are two sides to the proof, one algebraic and one analytic. We start with the algebra. Typically, the A tensor product ~ M N of A modules M and N is defined using a chain complex whose underlying vector space is M k T A k N (where T A is the tensor algebra of A, and k is the ground ring of Afor us, the ring of idempotents). This complex is typically infinite-dimenc sional, and so is unlikely to align easily with CF. d However, the differential module CFDH2 has a special form: It is given as AZ IZ XH2 , so the differential is encoded by a map 1 : XH2 AZ IZ XH2 . This allows us to define a smaller model for the A tensor product. Let n : XH2 AZn XH2 be the result of iterating 1 n d times. For notational convenience, let M CFAH1 and d d X XH2 . Define CFAH1 CFDH2 to be the F 2 -vector space M IZ X, with differential (graphically depicted in Fig. 4) m IX IM i : i1
i0

d for Y so that the higher products mn , n > 2, vanish on CFAH, d so that CFAH is an honest differential module. One way to do so is using an analogue of nice diagrams (31).
Bimodules. Next, suppose Y is a strongly bordered 3-manifold with

ing, respectively, both L Y and R Y in type D fashion; L Y in type D fashion, and R Y in type A fashion; and both L Y and R Y in type A fashion. An important special case of 3-manifolds with two boundary components is mapping cylinders. Given an isotopy class of maps : FZ1 FZ2 taking the distinguished disk of FZ1 to the distinguished disk of FZ2 and the basepoint of FZ1 to the basepoint of FZ2 called a strongly based mapping class the mapping cylinder M of is a strongly bordered 3-manifold d d with two boundary components. Let CFDD CFDDM , d d d d CFDA CFDAM , and CFAA CFAAM . The set of strongly based mapping classes forms a groupoid, with objects the pointed matched circles representing genus g surfaces and HomZ1 ;Z2 the strongly based mapping classes FZ1 FZ2 . In particular, the automorphisms of a particular pointed matched circle Z form the (strongly based) mapping class group. d Remark 10: The functors CFDA give an action of the strongly based mapping class group on the (derived) category of left AZ modules; this action categorifies the standard action on H 1 FZ; F 2 . This action is faithful (55). Gradings Let Z Z; a; M; z denote the genus 1 pointed matched circle from Example 1. Consider the following elements of AZ;1: x af1; 2g; f2; 3g; 1 3; 2 2 y af1; 2g; f1; 4g; 1 1; 2 4: A short computation shows that y x ddx y. It follows that there is no Z grading on AZ;1 with homogeneous basic generators. A similar argument applies to AZ0 ; i for any Z0 , as long as AZ0 ; i involves at least two moving strands. There is, however, a grading in a more complicated sense. Let G be a group and G a distinguished central element. A grading of a differential algebra A by G; is a decomposition A gG Ag so that dAg A1 g and Ag Ah Agh . Taking G Z and 1 recovers the usual notion of a Z grading of homological type. The corresponding notion for modules is a grading by a G set. A grading of a left differential A module M by a left G set S is a decomposition M sS M s so that Ag M s M gs and M s M 1 s . Similarly, right modules are graded by right G sets. If M is graded by a G set S and N is graded by T, then M A N is graded by S G T, which retains an action of . These more general kinds of gradings have been considered by, e.g., Nstsescu and Van Oystaeyen (56).
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two boundary components. By this we mean that we have a 3-manifold Y with boundary decomposed as Y L Y R Y , homeomorphisms L : FZL L Y and R : FZR R Y , and a framed arc connecting the basepoints in FZL and FZR and pointing into the preferred disks of FZL and d FZR . Associated to Y are bimodules AZL ;AZR CFDDY ; d d ; and CFAAY defined by treatAZ CFDAY
L

AZR

AZL ;AZR

[5]

The sum in Eq. 5 is not a priori finite. To ensure that it is finite, we need to assume an additional boundedness condition on d d either CFAH1 or CFDH2 . These boundedness conditions correspond to an admissibility hypothesis for Hi , which in turn guarantees that H1 H2 is (weakly) admissible.
Lemma 1. There is a canonical homotopy equivalence

d d d d ~ CFAH1 AZ CFDH2 CFAH1 AZ CFDH2 : The proof is straightforward. We turn to the analytic side of the argument next. Because d d of how the idempotents act on CFAH1 and CFDH2 , there is an obvious identification between generators xL xR of d c d CFAH1 CFDH2 and generators x of CFH. c Let Z H1 H2 H. The differential on CFH counts rigid J-holomorphic curves in 0;1 R. For a sequence of almost complex structures J r with longer and longer necks at Z, such curves degenerate to pairs of curves uL ; uR for H1 and H2 , with matching asymptotics at e. More precisely, in the limit as we stretch the neck, the moduli space degenerates to a fibered product
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A
Fig. 4.

d The operation . (A) Graphical representation of 1 for CFD. (B) Grad phical representation of mn1 (n 3) for CFA. (C) Graphical representation of the sum from Eq. 5. In all cases, dashed lines represent module elements and solid lines represent algebra elements.

(with respect to appropriate Heegaard diagrams), where T k S1 k is the k-dimensional torus. Let be the top-dimensional generator of H T k ; F 2 and the bottom-dimensional gen^ ^ erator of H T ; F 2 . Then f W 1 is x x , whereas f W 3 takes x x and x 0 if gr > gr. ^ By contrast, f W 2 is defined by counting holomorphic triangles in a suitable Heegaard triple diagram. Two additional properties ^ of bordered Floer theory allow us to compute f W i : d The invariant CFDH of a handlebody H is rigid, in the sense that it has no nontrivial graded automorphisms. This allows one to compute the homotopy equivalences between the rec sults of making different choices in the computation of CFY . There is a pairing theorem for holomorphic triangles. ^ Given these, one can compute f W as follows: Using results c from the previous section, we can compute CFY 2 [respectively, c CFY 3 ] using a Heegaard decomposition making the decomposition Y 2 Y 1 #k S2 S1 [respectively, Y 3 Y 4 # S2 S1 ] ^ manifest. With respect to this decomposition, the map f W 1 (respec^ ) is easy to read off. tively, f W 3 ^ To compute f W 2 one works with Heegaard decompositions of Y 2 and Y 3 with respect to which the cobordism W 2 takes a particularly simple form, replacing one of the handlebodies H of a Heegaard decomposition of Y 2 with a differently framed d handlebody H0 . It is easy to compute the triangle map CFDH d 0 . By the pairing theorem for triangles, extending this CFDH map by the identity map on the rest of the decomposition gives ^ the map f W 2 . Finally, the rigidity result allows one to write down c c the isomorphisms between CFY 2 [and CFY 3 ] computed in ^ the two different ways. The map f W is then the composition of ^ and the equivalences connecting the two the three maps f
Wi

1 ;;i

MxL ; yL ; 1 ;; i evL evR MxR ; yR ; 1 ;; i :

[6]

Here, evL : Mx; y; 1 ;; i Ri R is given by taking the successive height differences (in the R coordinate) of the chords 1 ;; i , and similarly for evR . Also, we are suppressing homology classes from the notation. Because we are taking a fiber product over a large-dimensional space, the moduli spaces in Formula 6 are not conducive to defining invariants of H1 and H2 . To deal with this, we deform the matching condition, considering instead the fiber products, MxL ; yL ; 1 ;; i RevL evR MxR ; yR ;1 ;; i ; and sending R . In the limit, some of the chords on the left collide, whereas some of the chords on the right become infinitely far apart. The result exactly recaptures the definitions of d d CFAHL and CFDHR and the algebra of Eq. 5 (30).
Remark 11: In ref. 30, we also give another proof of the pairing

theorem (Eq. 1), using the technique of nice diagrams (31). Computing with Bordered Floer Homology

c Computing CF. Let Y be a closed 3-manifold. As discussed earlier,

Y admits a Heegaard splitting into two handlebodies, glued by some homeomorphism between their boundaries. Via the paird ing theorems (Eqs. 2 and 3), this reduces computing HFY to d g for some particular bordered handlebody computing CFDH d Hg of each genus g and CFDD for arbitrary in the strongly d based mapping class group. For an appropriate Hg , CFDHg is d easy to compute. Moreover we do not need to compute CFDD for every mapping class, just for generators for the mapping class groupoid. This groupoid has a natural set of generators: arcslides (compare refs. 57 and 58). It turns out that the type DD invariants of arcslides are determined by a small amount of geometric input (essentially, the set of generators and a nondegeneracy condition for the differential) and the condition that 2 0 (59). These techniques also allow one to compute all types of the bordered invariants for any bordered 3-manifold.
Cobordism Maps. Next, we discuss how to compute the map ^ c c f W : CFY 1 CFY 4 associated to a 4-dimensional cobordism W from Y 1 to Y 4 . The cobordism W can be decomposed into three cobordisms W 1 W 2 W 3 , where W i : Y i Y i1 consists of ^ i-handle attachments and f W is a corresponding composition ^ ^ ^ f W3 f W2 f W1 . ^ ^ The maps f W 1 and f W 3 are simple to describe: k S2 S1 , whereas Y Y # S2 S1 ; CFS2 S1 is c Y 2 Y 1 # 3 4 1 ; F ; and the invar(homotopy equivalent to) F 2 F 2 H S 2 d iant HFY satisfies a Knneth theorem for connect sums, so

c c different models of CFY 2 and of CFY 3 . The details will appear in forthcoming work.
Polygon Maps and the OzsvthSzab Spectral Sequence. Khovanov introduced a categorification of the Jones polynomial (60). This categorification associates to an oriented link L a bigraded abelian group Khi;j L, the Khovanov homology of L, whose graded Euler characteristic is q q1 times the Jones polynomial JL. f There is also a reduced version KhL, whose graded Euler characteristic is simply JL. The skein relation for JL is replaced by a skein exact sequence. Given a link L and a crossing c of L, let L0 and L1 be the two resolutions of c. Then there is a long exact sequence relating the (reduced) Khovanov homology groups of L, L1 , and L0 . Szab and the second author observed that the Heegaard d Floer group HFDL of the double cover of S3 branched over L satisfies a similar skein exact triangle to (reduced) Khovanov homology and takes the same value on an n-component unlink (with some collapse of gradings). Using these observations, they produced a spectral sequence from Khovanov homology (with F 2 d coefficients) to HFDL (26). [Because of a difference in conventions, one must take the Khovanov homology of the mirror rL of L.] Baldwin recently showed (61) that the entire spectral f d sequence KhrL HFDL is a knot invariant. Bordered Floer homology can be used to compute this spectral sequence (62). Write L as the plat closure of some braid B, and decompose B as a product of braid generators s11 skk . The i i branched double cover of a braid generator s is the mapping i cylinder of a Dehn twist, and the branched double covers of c the plats closing B is a handlebody H. So CFDK is quasiisomorphic to
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c c CFY 1 #k S2 S1 CFY 1 F 2 H T k ; F 2
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MATHEMATICS

SPECIAL FEATURE

d d d d CFAH CFDAi1 CFDAik CFDH:

[7]

The bordered invariant of a Dehn twist along FZ can be written as a mapping cone of a map between the identity c'obordism I 0;1 FZ and the manifold Y 0 obtained by 0-surgery on 0;1 FZ along : d d d CFDA ConeCFDAI0 CFDAI; d d d CFDA1 ConeCFDAI CFDAI0 : [8] [9]

d The next step is to compute the groups CFDAI0 for the curves corresponding to the braid generators and the maps from Formulas 8 and 9, which again requires a small amount of geometry (62). Finally, we identify this spectral sequence with the earlier spectral sequence from ref. 26. The key ingredient is another pairing theorem identifying the algebra of tensor products of mapping cones with counts of holomorphic polygons.
ACKNOWLEDGMENTS. We thank Mathematical Sciences Research Institute for hosting us in the spring of 2010, during which part of this research was conducted. R.L. was supported by National Science Foundation (NSF) Grant DMS-0905796 and a Sloan Research Fellowship. P.S.O. was supported by NSF Grant DMS-0505811. D.P.T. was supported by NSF Grant DMS-1008049.
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Applying this observation to the tensor product in Formula 7 c endows CFDK with a filtration by f0;1gn . The resulting spectral sequence has E1 page the Khovanov chain complex d and E page HFDK.
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