WorksMathematics
Morse-Maxwell Theory for Directed Acyclic Graph
Abstract
The Maxwell graph of a directed acyclic graph is obtained from its iterated basin and hill boundaries. The unweighted counts of extrema at these levels need not satisfy Morse inequalities. We assign multiplicities by the reduced homology of lower and upper order links and retain the vertices with nonzero local homology. The resulting graph preserves both boundary hierarchies, the local groups, and the homology of all sublevel and superlevel order complexes. Its descending and ascending Morse numbers satisfy the weak and strong Morse inequalities over any field. We also construct a Morse chain complex and compute the local groups in several examples. Finally, we consider homology on the original Maxwell graph and prove analogous inequalities for path homology using relative local groups.
Introduction
Let a graph carry a height function with distinct values, and orient each edge from its higher endpoint to its lower endpoint. A vertex may then reach one or several local minima. The vertices that reach at least two minima form the basin boundary. Repeating this operation, and its analogue for maxima, gives two boundary hierarchies. The Maxwell graph retains the extrema of all their levels and the reachability relations between them. We seek Morse inequalities associated with this construction.
Maxwell’s On Hills and Dales [8] describes regions of depression and elevation and the lines separating them. His counting arguments allow several topographic events to occur at one point. The graph construction follows this viewpoint by using all descending paths; related constructions appear in [12, 13]. The number of extrema at each boundary level alone, however, is insufficient for Morse inequalities. The examples below show that local multiplicities are needed and that the original Maxwell reduction can change homology.
Let be a finite directed acyclic graph. Reachability gives a partial order : we write when a directed path leads from to . Let be the simplicial complex whose simplices are the nonempty chains of this order. Fix a field . For each vertex , its lower order link is the order complex of its strict descendants. The local contribution in degree is
We use . Thus a sink contributes one generator in degree zero. A vertex whose lower link has three contractible components contributes two generators in degree one. Define the Morse numbers and Betti numbers by
Theorem 1.1 (Morse inequalities). For every finite directed acyclic graph , every field , and every ,
with equality for all sufficiently large . The weak inequalities also hold.
Reversing all arrows gives the ascending inequalities. To preserve these local groups under reduction, we retain the extrema of both boundary hierarchies and every vertex with nonzero lower or upper local homology. We call the resulting graph the homological Maxwell graph. It has the same boundary levels, local groups, and Betti numbers as . In particular, (1) can be computed entirely on the reduced graph.
The homology in (1) is reachability homology [6]. For a DAG, it is also path homology of the transitive closure [11]. It can differ from path homology of [5] and from singular simplicial homology of the original digraph [3].
Forman’s discrete gradient [4] pairs incident cells of consecutive dimensions, with each cell in at most one pair and no nontrivial closed gradient paths. The unpaired cells are critical; counting gradient paths with signs gives the boundary of the Morse complex. Lin, Wang, and Yau [7] adapt this approach to digraphs, using a Morse function that extends to the transitive closure and a gradient preserving the path chain complex of the original digraph. Their reduction then preserves path homology.
Our construction uses all descending paths determined by the given orientation, without choosing a matching or an auxiliary Morse function. The local homology at a vertex determines its contribution, which may have multiplicity greater than one or occur in several degrees. In smooth Morse theory [9], a nondegenerate critical point of index contributes just one local generator in degree . The proof of (2) uses the standard homological argument behind Morse inequalities; compare [10, 14]. The additional task here is to preserve the two Maxwell hierarchies and the local groups under reduction. The deletion argument is related to reductions of finite posets [2].
§ 5 explains what changes for path homology. Its Betti numbers do not give Morse inequalities for the unweighted Maxwell level counts . A three-leaf star gives an obstruction for any homology with the usual . Nor can path Betti numbers simply replace in (2): the subdivided diamond considered there has but first path Betti number one. We obtain path-homological Morse inequalities for every finite DAG by assigning each vertex the relative path homology of adding it to its strict descendants. The sums of these local dimensions are the appropriate Morse numbers. For the unchanged Maxwell graph, its reachability homology similarly gives inequalities with multiplicities computed on that graph. These chain constructions do not yet give a general graph reduction preserving both path homology and the Maxwell hierarchies.
Definitions and proofs occupy § 2 and § 3; the latter also gives a Morse complex and computational bounds. § 4 contains the examples, including a six-vertex graph with .
Definitions
Directed graphs and their order complexes
Throughout, is a finite directed acyclic graph (DAG), without loops or parallel arrows. We use for reachability, allowing a path of length zero. A sink has no outgoing arrow and a source has no incoming arrow. The opposite graph reverses all arrows. A height function is a function strictly decreasing on arrows. Every DAG admits a height function. Different choices give the same construction, since only reachability is used.
Definition 2.1. The reachability order is given by if . Its order complex has one simplex for each nonempty chain of . For , write for the restricted order and .
For example, determines a triangle in , even if is not an arrow of . Thus is not generally the one-dimensional underlying graph. Throughout the paper homology has coefficients in the fixed field . We use ordinary homology for and augmented reduced homology for local links. The empty complex has and no other reduced homology. A complex is acyclic over if all its augmented reduced homology groups vanish; in particular it is nonempty.
Basins, hills, and the Maxwell graph
For , let denote the induced directed subgraph.
Definition 2.2. The basin and hill of a vertex are
The sets of reachable sinks and preceding sources are
The basin boundary and hill boundary are
Thus the basin boundary consists of vertices from which descending paths lead to different minima. Basins may overlap. The word “boundary” refers to this combinatorial definition.
Definition 2.3. The descending and ascending boundary hierarchies are
The boundary of the empty graph is empty. The topographically essential set is
At each step we use the extrema of the current stage. Since a nonempty stage loses its extrema at the next step, both hierarchies terminate. A vertex may belong to both a descending and an ascending level.
Definition 2.4. For , let be the downward Hasse diagram of . There is an arrow exactly when and no element of lies strictly between them. The Maxwell graph is
An arrow of can represent a path through omitted vertices. The Hasse diagram is the transitive reduction of the restricted comparability graph [1].
Local Morse data
For , let and denote its strict lower and upper sets.
Definition 2.5. The lower and upper order links, local groups, and multiplicities are
A vertex is descending critical if some is nonzero, and ascending critical if some is nonzero. Otherwise it is regular in the corresponding direction. Write and for these two critical sets.
The links contain all strict descendants or ancestors. Regularity requires every local group to vanish; a zero alternating sum of their dimensions is insufficient. We call the degree of a local generator its Morse degree. It need not agree with the boundary level of the vertex.
The descending Morse numbers are from (1). The ascending ones are
The order complexes of and its opposite have the same simplices, so they have the same Betti numbers.
The homological Maxwell graph
Definition 2.6. The homological essential set and homological Maxwell graph are
The graph retains the labels , and the local groups at its vertices.
Some vertices are retained only because they belong to and may have zero local groups in both directions. The set can depend on the coefficient field.
Vertices outside contribute zero to and . Proposition 3.5 shows that the local groups at retained vertices can also be computed in the restricted order .
Proofs
The Morse inequalities
Choose a linear extension of in which strict lower elements appear first. Set
At step we attach all chains whose greatest element is .
Lemma 3.1 (Local attachment). *For every ,
Proof. The new closed star is the cone , and its intersection with is . Therefore its relative chains are the augmented chains of shifted up by one degree. This also covers a sink: the empty lower link supplies one relative generator in degree zero.
Proof of Theorem 1.1. Let be the rank of the connecting map
Here (ordinary ). Set . Exactness gives
Summing over the vertices, with , gives
Since each is a sum of ranks, the weak inequalities follow. Alternating sums cancel , while , giving
All groups vanish in high degrees, giving eventual equality.
For the polynomial form of the inequalities, write and .
Corollary 3.2. There is a polynomial with nonnegative integer coefficients such that
In particular .
Proof. Take in (3), and then evaluate at .
Preservation under the Maxwell reduction
We first prove that retaining preserves both boundary hierarchies, and then show that regular vertices can be deleted without changing the local homology groups.
Lemma 3.3 (The boundary hierarchies). If , then
for every . The stage vertex sets are and , respectively.
Proof. The basin boundary is predecessor-closed: if and reaches two sinks, then reaches them as well. Repetition shows that each is predecessor-closed in . Consequently every directed path ending in that stage remains in it, so its internal reachability is the restricted original order.
Every comparable pair in a finite poset is joined by a chain of covers. Hence realizes exactly the order . Induct on . At stage zero the asserted vertex set is immediate. Suppose it is known at stage . Every vertex of the original stage reaches a sink in , and all those sinks belong to . The restricted stage therefore has exactly the same sinks. Each retained vertex reaches the same stage sinks as before, so the condition of reaching at least two gives the required vertex set at stage . Reverse arrows for the ascending statement.
Lemma 3.4 (Deletion of a regular vertex). Suppose is acyclic over . Deleting from a finite poset preserves the homology of and the reduced homology of every remaining lower order link. The upper statement holds when is acyclic over .
Proof. For a simplicial complex and vertex ,
This follows by taking the cone on the link modulo its base. For an order complex,
Over a field, a join with an acyclic factor is acyclic: the augmented join formula is
The indices include . With our augmented convention, , and the term gives . The relative groups in (5) vanish, proving preservation of the homology of the full complex.
The lower link at a remaining vertex changes only if . Inside , the link of is
Its first factor is acyclic. The same relative argument proves preservation of the reduced homology of . Reversing the order proves the upper statement.
Proposition 3.5 (Preservation of the data). Let and . Inclusion induces homology isomorphisms. At every retained vertex it also induces isomorphisms on all lower and upper local groups. The levels are unchanged.
Proof. Delete the vertices outside one at a time. They are initially regular in both directions. At each step, Lemma 3.4 preserves the global homology and all remaining local groups. Thus every vertex still to be deleted is regular in the current restricted order, and induction gives the homology isomorphisms. The boundary levels are preserved by Lemma 3.3, since .
Corollary 3.6 (Idempotence). The homological Maxwell graph is canonical for and , and
Its Morse numbers and Betti numbers equal those of .
Proof. The vertex set and its Hasse diagram are defined without choices. Proposition 3.5 preserves , both critical sets, and their local groups. Their union in the reduced graph is therefore exactly . Taking its Hasse diagram again changes nothing. Vertices outside contribute zero to the Morse sums.
An order ideal contains all lower elements of each of its vertices; an order filter contains all upper elements.
Proposition 3.7 (Sublevel and superlevel homology). For every order ideal or order filter , inclusion
induces homology isomorphisms. These isomorphisms commute with inclusions between nested such sets.
Proof. For an ideal, delete with larger vertices first. When is deleted, all of its original lower elements are still present, so its lower link is the original acyclic . Apply Lemma 3.4 at each step. For a filter use smaller vertices first and upper links. For , both composites are the same inclusion. This proves naturality.
In particular, for a height function decreasing on arrows, the sets are ideals and are filters. Hence the reduced and original order complexes have isomorphic sublevel and superlevel persistent homology. The conclusion is a homology isomorphism; acyclic links need not give homotopy equivalences.
A Morse chain complex
The local groups form the chain groups of a Morse complex.
Proposition 3.8. There is a differential on
making chain homotopy equivalent to . A nonzero component of the differential from the summand at to the summand at requires .
Proof. Group simplices according to their greatest vertex. Their boundary matrix is triangular with respect to the poset labels: a face has the same greatest vertex or a smaller one. The diagonal block at is the relative complex of .
Over a field, choose bases in each diagonal block separating its homology representatives from elementary acyclic pairs. A pair has consecutive degrees, the same vertex label, and a nonzero coefficient of in . It can be cancelled in the full complex. Replace by and subtract suitable multiples of from the other generators of its degree to remove their new coefficient. The equation then splits off this two-term acyclic summand. This is a chain homotopy equivalence.
Cancellation preserves the order condition. A new matrix entry from label to label can only factor through the cancelled label , so . In particular no other diagonal block changes. Cancel all the acyclic pairs. The surviving graded space at is , and the remaining differential strictly lowers its vertex label. Every vertex outside has zero local groups, giving the displayed direct sum.
The basis choices affect the differential but not the numbers . Writing gives
Coefficients may connect vertices separated by several cover arrows. This differential is therefore not generally the incidence matrix of the reduced graph viewed as a one-dimensional complex. Reversing the order gives an ascending Morse complex.
First boundary levels and subdivision
Proposition 3.9. A nonsink reaching exactly one sink has zero descending local groups. If reaches sinks of , then
Proof. In the first case the unique sink is a least element of the lower order, so its complex is a cone. In the second case every strict descendant of lies outside the first basin boundary: otherwise predecessor closure would contradict . Each descendant therefore reaches exactly one sink. Partition them by this sink. There are nonempty parts, each with a least element, and elements of different parts are incomparable. The lower link is a disjoint union of cones.
The proposition applies within each boundary stage. The groups computed there may differ from the local groups in the original order.
Proposition 3.10. Adding or removing transitive arrows does not change . Subdividing an arrow into a directed path through new vertices of indegree and outdegree one preserves the graph, its levels, and its local multiplicities, with the natural identification of old vertices.
Proof. Transitive arrows do not change reachability. For a single subdivision , the strict lower set of has greatest element , and its strict upper set has least element . Both order links are cones. Deleting recovers the original order, and Lemma 3.4 preserves all old local groups.
The vertex reaches the same sinks as . Inductively, in every descending stage containing , the vertex is present and their membership at the next step agrees. Thus is never a stage sink. The dual statement uses and the ascending stages. All old levels are unchanged, so belongs to neither nor . Iterate for a longer subdivision.
Computing the construction
Let , , and let be the number of nonempty chains of .
The boundary hierarchy can be computed by propagating at most two distinct reachable-sink identifiers per vertex in reverse topological order. One identifier means a unique reachable sink; two suffice to detect ambiguity. Repeat on the retained boundary, and reverse arrows for the hill hierarchy. Each stage costs , and there are at most stages in each direction. The total is time with working space when stages are stored by exit labels.
Reachability itself can be computed in time by a search from each vertex. Once the order complex is listed, dense boundary-rank computations give a coarse bound of field operations for all lower and upper local groups, treating them one at a time, with storage. The cancellation procedure in Proposition 3.8 takes at most steps, each with matrix updates, hence field operations.
After is known, the Hasse diagram on it can be obtained in time. For each retained , scan its retained descendants with larger elements first. Select an uncovered as a cover of , then mark and all its descendants. Every noncover is marked by a preceding cover, and a cover cannot be marked by a different retained element without an intermediate vertex. Sharing the marking set among these searches gives work per .
These bounds describe direct implementations. Since a total order has , enumerating the order complex can already require exponential time. Recognizing conical links and using sparse matrices or cancellations can reduce the computation. Over , the bounds above count field operations rather than bit operations.
Examples
We compute the descending Morse numbers; reversing arrows gives the ascending ones. In each example the identity , with having nonnegative coefficients, verifies all the Morse inequalities.
A three-leaf star
Let have arrows ; see Figure 1(a). The sinks each contribute . The lower link of is three isolated points, so . All vertices are retained:

Figure 1. Two different roles for degree-one generators: component mergers in (a), and a merger together with a surviving cycle in (b). Crossings of arrows are not vertices.
The inequalities read
Equivalently, .
Take and two generators at in degree one, with
The boundary has rank two. Adding joins three components into one, and the multiplicity two counts the two independent mergers.
A directed bipartite graph
Take sources , sinks , and all four arrows from a source to a sink, as in Figure 1(b). There are no directed paths of length two, so the order complex is the four-cycle itself. Each source has a two-point lower link. Thus
The strong inequalities are and . The polynomial difference is .
A Morse complex has degree-one generators with . Its boundary has rank one, and generates . In the basis , the first generator joins components and the second represents the cycle.
More generally, orient from its sources to its sinks, where . All vertices are essential and retained. Each source has a lower link consisting of points, giving
Hence
For this gives and . There are only three vertices in , so unweighted level counts would fail even the weak degree-one inequality.
The diamond
Let the arrows be , , , . There is one source and one sink. The first basin and hill boundaries are empty, and . Every nonsink has a conical lower link with least element ; every nonsource has a conical upper link with greatest element . Thus as well.
The full order complex consists of the two triangles and joined along their common edge . This edge is present in the order complex because reaches . The complex is a disc, although the underlying one-dimensional graph is a circle. Only contributes to the descending Morse numbers:

Figure 2. The diamond reduces to an arrow. Both reachability order complexes are contractible.
All Morse inequalities are equalities.
A six-vertex graph with second homology
Arrange six vertices in three pairs , , . Include all four arrows from the -pair to the -pair and all four from the -pair to the -pair; see Figure 3. The descending levels are the -, -, and -pairs, respectively, and every vertex is retained.

Figure 3. A DAG whose order complex is the boundary of an octahedron. The annotations give the single nonzero descending multiplicity at each vertex.
Each is a sink. The lower link of each is the two-point set . The lower link of each is the four-cycle on the - and -pairs. Consequently
A chain contains at most one vertex from each pair, and any such selection is a chain. Therefore
The strong inequalities are
The polynomial calculation is
Choose generators in degree two, in degree one, and in degree zero. One choice of differential is
Both maps have rank one and their composition is zero. Thus , , and , giving the stated Betti numbers.
A vertex missed by the original hierarchy
Consider the nine-vertex directed tree with arrows
Its only nonempty levels are
Hence the original Maxwell graph deletes .

Figure 4. The original reduction removes and changes reachability homology. The homological Maxwell graph retains and equals the tree on the left.
The vertex is comparable with every vertex of , so is a cone. After removing , every element of is above every element of . The first set has order complex equal to the path and an isolated ; the second gives the path and an isolated . Each is homotopy equivalent to . Their join is the order complex of the original Maxwell graph, hence
The original reduction has changed the first Betti number from zero to one.
Both links at have two contractible components, so . The modified construction retains . The nonzero descending contributions are
with all others zero. Thus and
The inequalities are the same as for the three-leaf star. For example, choose degree-one generators with and . Their boundary has rank two. The generator at is absent from the original Maxwell graph.
| Digraph | |||
| Three-leaf star | |||
| Directed | |||
| Directed | |||
| Diamond | |||
| Six-vertex example | |||
| Nine-vertex tree |
Table 4.
Computations verify these values over , , and . They also check the reduction and both Morse complexes on all 1,099 DAGs compatible with a fixed topological ordering through five vertices. The computations provide additional checks of the examples and the reduction.
The original Maxwell graph and path homology
An obstruction to unweighted level counts
Write . The following obstruction applies to any homology theory with the usual zeroth Betti number.
Proposition 5.1. There is no assignment of nonnegative Betti numbers , with equal to the number of weakly connected components, for which the strong Morse inequalities with hold for every DAG.
Proof. Take the star with arrows , , where . Its only nonempty descending levels have sizes and . It is connected, so the degree-one strong inequality would give
This contradicts nonnegativity.
The star is its own Maxwell graph. Passing to cohomology over a field leaves its Betti numbers unchanged and does not remove the obstruction.
Homology on the unchanged Maxwell graph
Put , , and define
Define the local multiplicities in the reachability order of by
Proposition 5.2. The numbers and satisfy the weak and strong Morse inequalities, including eventual equality. The groups are invariant under the original Maxwell reduction, under changes of transitive arrows, and under directed subdivision. The original boundary hierarchies are retained.
Proof. Apply Theorem 1.1 to . Lemma 3.3, with , gives the same levels and hence . Thus . Changing transitive arrows preserves . The topographic argument in Proposition 3.10 shows that subdivision introduces no new essential vertex and leaves the restricted order on the old essential vertices unchanged.
For the nine-vertex tree of § 4, the Morse and Poincaré polynomials are and ; their difference is , but . Functoriality holds for order-preserving maps carrying essential vertices to essential vertices.
The original counts suffice if each has lower link in with the reduced homology of , and all vertices of have acyclic lower links. Then . This holds in the six-vertex example, but not in the three-leaf star.
Local Morse numbers for path homology
Let be the vector space spanned by allowed elementary paths , with an arrow for every . Following [5], set
Here is the alternating vertex-deletion boundary and . In general is a space of linear combinations; its basis need not consist of elementary paths.
For a vertex , use the induced digraphs
with their original arrows, without adding transitive arrows. The inclusion embeds their path chain complexes: an allowed chain with allowed boundary in the smaller graph has the same property in the larger graph. Define relative local groups and their dimensions by
Write and . The corresponding polynomials are and .
Proposition 5.3 (Path-homological Morse inequalities). *For every finite DAG and every ,
with equality for all sufficiently large . Also . If is transitive, then .*
Proof. Choose a linear extension with descendants first. For its first vertices put . The inclusions identify the quotient chain complexes:
Indeed, every new allowed path starts at , and all its remaining vertices are strict descendants. The condition that a boundary be allowed also separates according to the initial vertex: deleting an endpoint always leaves an allowed path, whereas every forbidden face comes from an interior deletion and retains the initial vertex. Consequently forbidden faces cannot cancel between chains with different initial vertices, so each initial-vertex component of an -chain is itself an -chain. It follows that
The subcomplex identities give the chain isomorphism (9).
The exact sequences of this filtration give , where and , as in Theorem 1.1. Bounded path lengths give eventual equality. For a transitive DAG, is the simplicial chain complex of , and the local quotient is the cone–base complex of Lemma 3.1.
The local groups are independent of the linear extension. Reversing arrows gives and the ascending inequalities.
Grouping paths by their initial vertex makes the differential triangular, with diagonal homology . The cancellation proof of Proposition 3.8, or algebraic Morse reduction [14], therefore produces
Its differential lowers the reachability label. Set
By Lemma 3.3, the Hasse diagram on retains both hierarchies. The chain model carries extra data: its differential depends on choices and may connect nonadjacent comparable vertices. It need not be the ordinary path complex of this Hasse diagram.
Subdivision and admissible deletions
The diamond provides a simple obstruction to preserving path homology by the original Maxwell reduction. Subdivide its arrow to obtain the graph :
Both original Maxwell graphs are the single arrow . For the diamond, is spanned by , whose boundary fills its only undirected cycle. Thus its first path Betti number is zero. In , the three allowed two-paths have distinct forbidden shortcut faces , , and . Hence . Its five arrows and five vertices form a connected cycle, so
Thus the original Maxwell graph does not determine path homology, which is also not subdivision-invariant. Since has a unique sink, all nonsink lower order links are cones, so . This also proves the failure of substituting path Betti numbers in (2) noted in the introduction.
In , only contributes in degree zero and only contributes in degree one:
Removing leaves a directed tree, so its relative group records the cycle; all other nonsink local groups vanish. Reversing arrows gives . The chain model has one generator in each of degrees zero and one and zero differential. The arrow itself has no degree-one path homology.
A useful deletion is possible when has exactly one incoming arrow , one outgoing arrow , and is already present. The retraction sending to and fixing other vertices satisfies via , where is inclusion. Thus deletion preserves path homology; see [15 Section 6]. It preserves reachability on the remaining vertices, and belongs to no boundary level by the argument of Proposition 3.10. Both hierarchies therefore survive. Inserting a missing shortcut first is not allowed.
It remains to characterize when Maxwell levels agree with local homological degrees, and to find a canonical graph reduction preserving both path homology and the two hierarchies.
AI use statement. LLMs were used for proof refinement, literature review, and manuscript revision.
The University of Texas Rio Grande Valley, Brownsville, Texas, USA
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