Lecture 1

Categories and functors

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What is done in this lecture? (from chatgpt) We introduce categories and functors, then discuss equivalences of categories and natural transformations. We then describe some universal constructions—products, coproducts, direct and inverse limits, equalizers, and coequalizers; these adapt familiar constructions from algebra and topology to a category-theoretic setting. An optional subsection briefly discusses the set-theoretic size issues that arise when one speaks about categories such as the category of all sets.

1.1 Categories

AI summary (unverified)

A category packages objects, morphisms, identity morphisms, and associative composition. The subsection emphasizes the set-theoretic caveat behind the word “collection,” distinguishes small and locally small categories, and gives a wide range of examples from algebra and topology. It also introduces basic categorical notions such as isomorphisms, full subcategories, opposite categories, and groupoids.

Definition

(Not quite a definition) A category \(\mcC\) consists of:

  • A ‘collection’ \(\Ob \mcC\) whose members are called the objects of \(\mcC\); and

  • For each \(X, Y\) in \(\Ob \mcC\), a ‘collection’ \(\Mor_{\mcC}(X, Y) = \Mor(X, Y)\) whose members are called morphisms in \(\mcC\) from \(X\) to \(Y\) (where each morphism will be remembered together with its source and target), which we might in some cases denote by \(\Hom_{\mcC}(X, Y)\) or \(\Hom(X, Y)\); and

  • For each \(X, Y, Z\) in \(\Ob \mcC\), a map \[\Mor(Y, Z) \times \Mor(X, Y) \rightarrow \Mor(X, Z),\] referred to as a ‘law of composition’, denoted \((g, f) \mapsto g \circ f\),

subject to the following properties:

  • Identity morphisms. For all \(X \in \Ob \mcC\), \(\exists \, \id_X \in \Mor(X, X)\) such that for all \(Y \in \Ob \mcC\), \(f \in \Mor(X, Y)\) and \(g \in \Mor(Y, X)\), we have \(f \circ \id_X = f\) and \(\id_X \circ g = g\).

  • Associativity of composition. If \(f \in \Mor(X, Y), g \in \Mor(Y, Z)\) and \(h \in \Mor(Z, W)\) we have \[(h \circ g) \circ f = h \circ (g \circ f)\] inside \(\Mor(X, W)\).

Remark

  1. This is not quite a definition, because we have not defined what a ‘collection’ means. It may not be a set: for instance, we will soon talk of the category of sets, whose ‘collection’ of objects is the ‘collection’ of sets, which by Russell’s paradox cannot itself be a set. In this course, we will not worry about such set-theoretic issues, although we may occasionally comment on them. Instead, we will use our usual set-theoretic intuition to work with these ‘collections’. However, the optional Subsection §1.5 makes brief comments on one of the ways such issues are dealt with.

  2. There are categories \(\mcC\) where \(\Ob \mcC\) forms a set, as does the collection of all its morphisms (between varying objects): those are called small categories.

  3. It is much more common to find categories \(\mcC\) where, for each \(X, Y \in \Ob \mcC\), \(\Mor(X, Y)\) is a set. These are called ‘locally small’. To a large extent, we will work with locally small categories in this course.1

  4. We just said ‘\(\exists \, \id_X\)’, not the a priori stronger statement ‘we are given \(\id_X\)’: this is because the two statements are equivalent, since \(\id_X\) is anyway uniquely determined: if \(\id_X'\) is another candidate, \(\id_X' = \id_X \circ \id_X' = \id_X\).

When talking about morphisms, we will freely adopt terminology familiar from functions. For instance, we will often:

  • talk of a morphism \(f\) from \(X\) to \(Y\) and write \(f : X \rightarrow Y\) instead of saying \(f \in \Mor(X, Y)\);

  • refer to \(\id_X\) as the identity morphism from \(X\) to \(X\); or

  • for any \(f \in \Mor(X, Y)\), we will refer to \(X\) as the source or the domain of \(f\) and \(Y\) as the codomain or the target of \(f\); or

  • even refer to \(f : X \rightarrow Y\) as a ‘map’ from \(X\) to \(Y\); or

  • refer to the elements of \(\Mor(X, X)\) as endomorphisms of \(X\), and denote \(\Mor(X, X)\) by \(\End_{\mathcal{C}}(X)\) or just \(\End(X)\).

Example

  1. The initial or the empty category has no objects, and hence no morphisms. The terminal category has only one object and its identity morphism.

  2. \(\Set\), the category of sets: \(\Ob \ \Set\) is the collection of sets, \(\Mor(X, Y)\) is the set of functions \(X \rightarrow Y\), and composition is the usual composition of functions.

    We will refer to the category \(\Set\) as the ‘category of sets and functions (between sets)’, since the composition is understood, or even as just ‘the category of sets’, when both morphisms and their composition rules are understood.

    Terminological/notational note. In what follows, we will usually omit describing the composition, and sometimes the morphisms too, but in each case what we omit will be understood from the context.

  3. \(\Grp\), the category of groups and group homomorphisms.

  4. The category, say \(\overline{\Grp}\), whose objects are the groups, and where \(\Mor(G, H)\) is the set of equivalence classes of group homomorphisms \(G \rightarrow H\), where \(f_1 \sim f_2\) if there exists \(h \in H\) such that \(f_1 = \Int h \circ f_2\), where \(\Int h =\) conjugation by \(h\). Composition is induced by the usual composition of homomorphisms: check that it is well-defined.

  5. \(\Ab\), abelian groups and group homomorphisms.

  6. \(\Top\), topological spaces and continuous maps.

  7. \(\HTop\), topological spaces and homotopy classes of continuous maps between them: the well-definedness of composition involves checking, e.g., that if \(f_1, f_2 : X \rightarrow Y\) are homotopic to each other and \(g_1, g_2 : Y \rightarrow Z\) are homotopic to each other, then \(g_1 \circ f_1, g_2 \circ f_2 : X \rightarrow Z\) are homotopic to each other.

  8. \(\Man\), manifolds and smooth maps.

  9. \(\Ring\), rings and ring homomorphisms. In this course, rings are required to contain a multiplicative identity (unless otherwise stated), and the multiplication in a ring is required to be associative, though not necessarily commutative.

    Sometimes, we may consider the category \(\Rng\) of “rings without identity”, whose objects satisfy all that is required of a ring except that they may or may not have a multiplicative identity (and hence homomorphisms are not required to preserve a multiplicative identity either).

  10. For a commutative ring \(R\), recall that an \(R\)-algebra is a ring \(S\) together with a ring homomorphism \(\iota : R \rightarrow S\), called the structure morphism, such that \(\iota(R)\) is contained in the center \(Z(S)\) of \(S\) (i.e., \(\iota(R)\) commutes with every element of \(S\)). Then we have the category of \(R\)-algebras: its objects are \(R\)-algebras, and the morphisms between two objects \((S_1, \iota_1)\) and \((S_2, \iota_2)\) are ring homomorphisms \(f : S_1 \rightarrow S_2\) fitting into a commutative diagram

    Commutative diagram
    In practice, \(\iota\) will be suppressed from notation: when we say that \(S\) is an \(R\)-algebra, it will be understood that a structure morphism \(R \rightarrow S\) has been given, and whenever we write \(R \rightarrow S\) without further comment, it will be understood to refer to the structure morphism.

  11. We also have the following category \(\Alg_R\) of commutative \(R\)-algebras: these are \(R\)-algebras \((S, \iota)\) such that the ring \(S\) is commutative.2

  12. For a not necessarily commutative ring \(R\), we have the category \({}_R\Mod\) (resp., \(\Mod_R\)) of left \(R\)-modules (resp., right \(R\)-modules) and \(R\)-module homomorphisms. Note that \({}_{\ZZ}\Mod\) can be identified with \(\Ab\).

  13. \(\Vect_k := {}_k\Mod\), when \(k\) is a field, so this is the category of vector spaces over \(k\) and \(k\)-linear transformations.

  14. \(\Ban_{\RR}\) (resp., \(\Ban_{\CC}\)), Banach spaces over \(\RR\) (resp., \(\CC\)) and bounded linear maps.

  15. Given a group \(G\), the category of \(G\)-sets, i.e., sets \(X\) together with an action of \(G\), where \(\Mor(X, Y)\) is the set of maps \(X \rightarrow Y\) respecting the \(G\)-actions.

  16. The category of pairs \((G, X)\) where \(G\) is a group acting on a set \(X\); \(\Mor((G, X), (H, Y))\) consists of all pairs consisting of a homomorphism \(G \rightarrow H\) and a function \(X \rightarrow Y\) with the obvious compatibility: if the former maps \(g\) to \(h\) and the latter \(x\) to \(y\), the latter also maps \(g \cdot x\) to \(h \cdot y\).

  17. Pairs \((V, T)\) consisting of a vector space \(V\) over a given field \(k\), and a \(k\)-linear transformation \(T : V \rightarrow V\), with \[\Mor((V, T), (W, U)) = \{f : V \rightarrow W \mid f \circ T = U \circ f\}.\]

  18. Open subsets of \(\mathbb{C}^n\) and holomorphic maps between them.

  19. Given a commutative ring \(R\) and a group \(G\), the category whose objects are \(R\)-modules equipped with a \(G\)-action by \(R\)-module automorphisms, and whose morphisms are morphisms of \(R\)-modules that respect the \(G\)-action. We will denote this category by \(\Rep_R(G)\). If \(R = k\) is a field, this is by definition the category of representations of \(G\) on \(k\)-vector spaces.

Example

Let \(\{\mcC_i \mid i \in I\}\) be a family of categories indexed by a set \(I\).

  • We then have a product category, \(\prod_{i \in I} \mcC_i\), as follows:

    • \(\Ob \left( \prod_{i \in I} \mcC_i \right) := \prod_{i \in I} \Ob \mcC_i\).

    • \(\Mor_{\prod_{i \in I} \mcC_i} ((X_i)_i, (Y_i)_i) = \prod_{i \in I} \Mor_{\mcC_i}(X_i, Y_i)\),

    with component-wise composition. If \(I = \emptyset\), then \(\prod_i \mcC_i\) is the terminal category (see Example (i)).

  • We also have a coproduct or a “disjoint union” category, \(\coprod_{i \in I} \mcC_i\):

    • \(\Ob \left( \coprod_{i \in I} \mcC_i \right) := \coprod_{i \in I} \Ob \mcC_i\).

    • \(\Mor_{\coprod_{i \in I} \mcC_i}(X_j, Y_k) := \begin{cases} \Mor_{\mcC_j}(X_j, Y_k), & \text{if $j = k$, and} \\ \emptyset, & \text{if $j \neq k$.} \end{cases}\)

    If \(I = \emptyset\), then \(\coprod_i \mcC_i\) is the empty or the initial category (see Example (i)).

Example

If \(G\) is a group, define \(*_G\) to be the category such that \(\Ob *_G = \{*\}\) is a singleton set, \(\Mor(*, *) = G\), and composition of morphisms is multiplication in \(G\).

Definition

  1. In a category \(\mcC\), \(f \in \Mor(X, Y)\) is said to be an isomorphism from \(X\) to \(Y\) if there exists \(g \in \Mor(Y, X)\) such that \(g \circ f = \id_X\) and \(f \circ g = \id_Y\). If such an \(f\) exists we say that \(X\) and \(Y\) are isomorphic. Isomorphisms \(X \rightarrow X\) will be referred to as automorphisms of \(X\), and the collection of these will be denoted by \(\Aut(X)\).

  2. A subcategory \(\mcC'\) of \(\mcC\) is a category \(\mcC'\) such that:

    • \(\Ob \mcC' \subset \Ob \mcC\);

    • for all \(X, Y \in \Ob \mcC' \subset \Ob \mcC\), we have \(\Mor_{\mcC'}(X, Y) \subset \Mor_{\mcC}(X, Y)\); and

    • the identity morphisms \(\id_X\) as well as the compositions in \(\mcC'\) are compatible with those in \(\mcC\).

    The subcategory \(\mcC'\) of \(\mcC\) is said to be full if for all \(X, Y \in \Ob \mcC'\), the inclusion \(\Mor_{\mcC'}(X, Y) \subset \Mor_{\mcC}(X, Y)\) is an equality.

  3. If \(\mcC\) is a category, then its opposite category \(\mcC^{\mathrm{op}}\) is the category such that \(\Ob \mcC^{\mathrm{op}} = \Ob \mcC\), and such that for all \(X, Y \in \Ob \mcC\), \(\Mor_{\mcC^{\mathrm{op}}}(X, Y) = \Mor_{\mcC}(Y, X)\), where \(g \circ f : X \overset{f}{\rightarrow} Y \overset{g}{\rightarrow} Z\) in \(\mcC^{\mathrm{op}}\) is \(Z \overset{g}{\rightarrow} Y \overset{f}{\rightarrow} X\) in \(\mcC\) (as usual, one needs to check that this indeed makes \(\mcC^{\mathrm{op}}\) satisfy all the requirements of a category).

  4. \(\mcC\) is said to be a groupoid if every morphism in \(\mcC\) is an isomorphism.

Example

  1. Here are two full subcategories of \(\Alg_R\):

    • the category \(\Alg_R^{\ft}\) of finite type \(R\)-algebras: by definition, these are the \(R\)-algebras that are finitely generated over \(R\), i.e., they are isomorphic to \(R\)-algebras of the form \(R[x_1, \dots, x_n]/I\), where \(R[x_1, \dots, x_n]\) is the polynomial ring in \(n\) variables over \(R\), which is an \(R\)-algebra in an obvious way, and \(I \subset R[x_1, \dots, x_n]\) is some ideal.

    • the category \(\Alg_R^{\fin}\) of finite \(R\)-algebras: these are \(R\)-algebras \(S\) with the property that \(S\), when viewed as an \(R\)-module (using the structure morphism \(R \rightarrow S\)), is finitely generated.

  2. \({}_R\Mod\) has a full subcategory \({}_R\Mod^{\fg}\) of finitely generated \(R\)-modules, and similarly we have \(\Mod_R^{\fg}\). Similarly, \(\Vect_k\) has a full subcategory \(\Vect_k^{\fd} := {}_k\Mod^{\fg}\) of finite dimensional vector spaces.

Example

In familiar categories, the categorical notion of isomorphism recovers the usual one:

  • a bijection in \(\Set\);

  • an isomorphism of groups in \(\Grp\), of rings in \(\Ring\), or of \(R\)-modules in \({}_R\Mod\);

  • a homeomorphism in \(\Top\), a homotopy equivalence in \(\HTop\), and a diffeomorphism in \(\Man\).

Example
  1. \(*_G\) is clearly a groupoid.

  2. The category whose objects are all the vector spaces over a field \(k\), but where \(\Mor(V, W)\) is simply the set of isomorphisms \(V \rightarrow W\), is also a category, and is a groupoid. Similarly with groups, rings or any other category.

  3. The fundamental groupoid of a topological space. If \(X\) is a topological space, we can define the category \(\mcC\) with \(\Ob \mcC = X\), and where for \(x, y \in X = \Ob \mcC\), \(\Mor(x, y)\) is the set of equivalence classes of continuous maps \(f : [0, 1] \rightarrow X\) with \(f(0) = x\) and \(f(1) = y\), where two such paths \(f, g : [0, 1] \rightarrow X\) are equivalent if there exists a continuous map \(H : [0, 1] \times [0, 1] \rightarrow X\) such that \(H(s, 0) = f(s), H(s, 1) = g(s)\), \(H(0, t) = x\) and \(H(1, t) = y\) for all \(s, t \in [0, 1]\). For two paths \(f : [0, 1] \rightarrow X\) and \(g : [0, 1] \rightarrow X\) such that \(f(1) = g(0)\), define \(g \circ f\) by \[(g \circ f)(t) = \begin{cases} f(2t), & \text{if $t \in [0, 1/2]$, and } \\ g(2t - 1), & \text{if $t \in [1/2, 1]$} \end{cases}\] (check that it is well-defined and continuous). Verify that this construction induces a well-defined composition in \(\mcC\), and that with the resulting composition, \(\mcC\) is indeed a category. This category is a groupoid (check), called the fundamental groupoid of \(X\): the inverse of \(f : [0, 1] \rightarrow X\) is the reverse path, \(g : [0, 1] \rightarrow X\) such that \(g(t) = f(1 - t)\) for \(0 \leq t \leq 1\).

1.2 Functors

AI summary (unverified)

A functor sends both objects and morphisms from one category to another while preserving identities and composition; a contravariant functor is simply a functor from an opposite category. Examples include forgetful functors, homotopy invariants, group actions viewed as functors from the one-object category *_G, and the Hom functors h_X and h^X. The key lemma is that functors carry isomorphic objects to isomorphic objects.

Historically, categories were introduced in large part in order to understand what we now call functors:

Definition

Let \(\mcC, \mcD\) be categories. A functor \(F : \mcC \longrightarrow \mcD\) consists of the following data:

  1. For each \(A \in \Ob \mcC\), an object \(F(A) \in \Ob \mcD\); and very importantly also

  2. For all \(f : X \rightarrow Y\) in \(\mcC\), a morphism \(F(f) : F(X) \rightarrow F(Y)\) in \(\mcD\), subject to the following properties:

    • \(F(\id_X) = \id_{F(X)}\) for all \(X \in \Ob \mcC\); and

    • \(F(g \circ f) = F(g) \circ F(f)\) whenever \(X \overset{f}{\rightarrow} Y \overset{g}{\rightarrow} Z\) in \(\mcC\).

Let us emphasize that a functor should be defined both at the level of objects and at the level of morphisms, though sometimes one may specify it just at the level of objects when its definition at the level of morphisms is understood.

A functor \(\mcC^{\mathrm{op}} \longrightarrow \mcD\) is also referred to as a contravariant functor from \(\mcC\) to \(\mcD\).

Note that functors between categories can be composed.

Example

  1. The objects of a category are often sets equipped with additional structure (e.g., a multiplication law). Accordingly, we have various ‘forgetful functors’ \[\begin{split} \Forget : \Grp \longrightarrow \Set, \qquad \Forget : {}_R\Mod \longrightarrow \Ab, \\ \Forget : {}_R\Mod \longrightarrow \Set, \qquad \Forget : \Rep_k(G) \longrightarrow \Vect_k, \end{split}\] etc. For instance, \(\Forget : \Grp \longrightarrow \Set\) assigns to each group its underlying set, and assigns to each group homomorphism \(G \rightarrow H\) the same map viewed as a map of sets.

  2. \(\pi_0 : \Top \longrightarrow \Set\) assigns to each topological space its set \(\pi_0(X)\) of connected components, and to each continuous map \(f : X \rightarrow Y\) of topological spaces the induced map \(\pi_0(f) : \pi_0(X) \rightarrow \pi_0(Y)\) of connected components: it is well-defined since the image of a connected component of \(X\) under the continuous map \(f\) is connected and hence contained in a connected component of \(Y\).

  3. However, we don’t have a functor \(\pi_1 : \Top \longrightarrow \Grp\): \(\pi_1\) is not assigned to a topological space \(X\), but to a pointed topological space or a based topological space \((X, x)\), where \(X\) is a topological space and \(x \in X\) is a point. There is a category of pointed topological spaces, say \(\widetilde{\Top}\), where \(\Mor((X, x), (Y, y))\) is the set of continuous maps \(f : X \rightarrow Y\) such that \(f(x) = y\). Such a map \(f\) uniquely determines a group homomorphism \(\pi_1(f) : \pi_1(X, x) \rightarrow \pi_1(Y, y)\). This respects the composition and the identity morphisms, so the assignments \((X,x) \mapsto \pi_1(X,x)\) and \(f \mapsto \pi_1(f)\) define a functor \(\pi_1 : \widetilde{\Top} \rightarrow \Grp\).

    Another way to look at this is the following: if \(X\) is a nonempty path-connected topological space, changing the base-point gives an isomorphism between the corresponding fundamental groups, but this isomorphism is well-defined only up to an inner automorphism. This ambiguity makes \(\pi_1\) non-functorial. However (after choosing a base-point \(x_X\) for each nonempty path connected topological space \(X\) to fix definitions), \(\pi_1\) defines for us a functor \(\pi_1 : \Top^{\mathrm{pc}, \neq \emptyset} \longrightarrow \overline{\Grp}\), where \(\overline{\Grp}\) is the coarser category defined in Example (iv), and \(\Top^{\mathrm{pc}, \neq \emptyset}\) is the category of nonempty path connected topological spaces. The resulting functor is independent of these choices up to a canonical natural isomorphism (a notion we will see soon).

  4. A functor \(F : *_G \longrightarrow \Set\) is simply a set with an action of \(G\): to see this, note that \(X := F(*)\) is a set, while applying \(F\) to any \(g \in G = \Mor(*, *)\) gives \(F(g) \in \Mor_{\Set}(F(*), F(*)) = \{\text{Maps $X \rightarrow X$}\}\), and the rules \(F(g) \circ F(h) = F(g \circ h)\) and \(F(\id_*) = \id_{F(*)}\) translate to \(F(gh) = F(g) F(h)\) and that \(F(\id_*)\) is the identity map \(X \rightarrow X\). Thus, \(g \mapsto F(g)\) is a group homomorphism \(G \rightarrow \mathrm{Bij}(X, X)\), which is the same as giving an action of \(G\) on \(X\): \(g \cdot x = F(g)(x)\).

  5. By the same reasoning, a functor \(F : *_G \longrightarrow \Vect_k\) is simply a representation of \(G\) on a \(k\)-vector space. More generally, a functor \(F : *_G \rightarrow \mcC\) can be thought of as an object of \(\mcC\) equipped with an action of \(G\).

  6. Any group homomorphism \(G \rightarrow H\) induces a functor \(*_G \longrightarrow *_H\).

Example

Let \(\mcC\) be a category. Every \(X \in \Ob \mcC\) determines two functors:

  1. \(h_X := \Mor_{\mcC}(X, -) : \mcC \longrightarrow \Set\), i.e., \(h_X(Y) = \Mor_{\mcC}(X, Y)\), \(h_X(f) = f \circ -\).

  2. \(h^X := \Mor_{\mcC}(-, X) : \mcC^{op} \longrightarrow \Set\), i.e., \(h^X(Y) = \Mor_{\mcC}(Y, X)\), \(h^X(f) = - \circ f\).

In fact, if \(G = \Aut(X)\), these functors can be upgraded to be valued in \(G\)-\(\Set\) rather than \(\Set\): \(g \in G\) acts by pre-composition with \(g^{-1}\) on \(h_X(Y)\), and by post-composition with \(g\) on \(h^X(Y)\).

Lemma

Let \(F : \mcC \longrightarrow \mcD\) be a functor. If \(X, Y \in \Ob \mcC\) are isomorphic, then so are \(F(X), F(Y) \in \Ob \mcD\).

Proof

Proof. If \(f : X \rightarrow Y\) and \(g : Y \rightarrow X\) are such that \(g \circ f = \id_X\) and \(f \circ g = \id_Y\), then \(F(f) : F(X) \rightarrow F(Y)\) and \(F(g) : F(Y) \rightarrow F(X)\) are such that \(F(g) \circ F(f) : F(X) \rightarrow F(X)\) equals \(F(g \circ f) = F(\id_X) = \id_{F(X)}\), and similarly \(F(f) \circ F(g) = \id_{F(Y)}\). This shows that \(F(f) : F(X) \rightarrow F(Y)\) is an isomorphism with inverse \(F(g) : F(Y) \rightarrow F(X)\).

Please note how the axioms defining a functor — that it respects composition and identity morphisms — were used crucially in this argument. ◻

A consequence of the above lemma: Let \(X\) and \(Y\) be homeomorphic path connected topological spaces, with \(f : X \rightarrow Y\) a homeomorphism. Then for any \(x \in X\), letting \(y := f(x)\), \((X, x)\) and \((Y, y)\) are isomorphic in the category \(\widetilde{\Top}\) of pointed topological spaces. Thus, by the above lemma, we have \(\pi_1(X, x) \cong \pi_1(Y, y)\). In other words, we can show two path connected topological spaces to be non-homeomorphic, if we show that their fundamental groups are not isomorphic, e.g., \(\RR^2 \setminus \{0\}\) and \(\RR^2\).

In your topology course, you will see functors: \[H_i : \Top \longrightarrow \Ab, \ \ \ \ H^i : \Top^{\mathrm{op}} \longrightarrow \Ab,\] for each integer \(i \geq 0\). This can sometimes be used to show that two given topological spaces are not homeomorphic. For instance, for each \(n \geq 1\), we have (as you will see in your topology course): \[H_i(S^n) \cong \begin{cases} \ZZ, & \text{ if $i = 0$ or $n$, and } \\ 0, & \text{ otherwise. } \end{cases}\] Thus, if \(m \neq n\) and \(m, n \geq 1\), then by Lemma we have that \(S^m\) and \(S^n\) are not homeomorphic to each other, since \(H_n(S^m) = 0 \not\cong \ZZ \cong H_n(S^n)\).

1.3 Full, faithful and essentially surjective functors

AI summary (unverified)

Summary not yet supplied for this subsection.

Definition

A functor \(F : \mcC \longrightarrow \mcD\) is said to be

  1. faithful (resp., full; resp., fully faithful) if, for all \(X,Y\in\Ob\mcC\), the map \[\Mor(X,Y)\longrightarrow\Mor(F(X),F(Y)),\qquad f\longmapsto F(f),\] is injective (resp., surjective; resp., bijective).

  2. essentially surjective, if for all \(A \in \Ob \mcD\), there exists \(X \in \Ob \mcC\) such that \(F(X)\) is isomorphic to \(A\) in the category \(\mcD\) (we are not requiring that \(A\) itself is of the form \(F(X)\), it just needs to be isomorphic to something of that form).

  3. an equivalence of categories, if it is fully faithful and essentially surjective. Although this definition looks asymmetric despite the word ‘equivalence’, one can make it more symmetric; see Remark below.

There is an obvious, much stronger notion of an isomorphism of categories, but it rarely appears: equivalence of categories is far more ubiquitous and hence useful in practice. Guiding idea. Equivalence is the categorical notion of sameness: the objects may be presented differently, but the morphisms and all categorical structure are preserved.

Example
  1. The forgetful functors \[\Grp\longrightarrow\Set,\qquad {}_R\Mod\longrightarrow\Ab,\qquad {}_R\Mod\longrightarrow\Set,\qquad \Top\longrightarrow\Set\] are all faithful, but none of them is full. The obvious inclusion functor \(\Ab\longrightarrow\Grp\) is fully faithful.

  2. If \(G \rightarrow H\) is a group homomorphism, the functor \(*_G \longrightarrow *_H\) discussed in Example (vi) is faithful (resp., full; resp., fully faithful) if and only if \(G \rightarrow H\) is injective (resp., surjective; resp., bijective).

  3. Consider the category \(\Vect_k^{\fd}\) of finite-dimensional \(k\)-vector spaces and \(k\)-linear transformations, and its full subcategory \(\mcC\) consisting of vector spaces of the form \(k^n\) for some \(n \in \ZZ_{\geq 0}\): this means that the members of \(\Ob \mcC\) are simply the \(k\)-vector spaces of the form \(k^n\), and that \(\Mor_{\mcC}(X, Y) = \Mor_{\Vect_k^{\fd}}(X, Y)\) for all \(X, Y \in \Ob \mcC\). Then, by definition, the inclusion functor \(\mcC \longrightarrow \Vect_k^{\fd}\) is fully faithful. Since every finite-dimensional \(k\)-vector space is isomorphic to some \(k^n\), this functor is also essentially surjective, and hence is an equivalence of categories. Note that \(\mcC\) is small, while \(\Vect_k^{\fd}\) is not.

  4. \(\Vect_k^{\fd}\) is equivalent to \((\Vect_k^{\fd})^{\mathrm{op}}\), by the functor that takes \(V\) in \(\Ob \Vect_k^{\fd}\) to its dual \(V^{\vee} := \Hom_k(V, k)\), and each linear map \(T : V \rightarrow W\) to the transpose (or “pull-back under \(T\)”) map \(\,^tT : W^{\vee} \rightarrow V^{\vee}\), thought of as an element of \(\Mor_{(\Vect_k^{\fd})^{\mathrm{op}}}(V^{\vee}, W^{\vee})\).

  5. Later, we will see that for any integer \(n \geq 1\), \(\Vect_k^{\fd}\) is equivalent to ‘\({}_{\M_n(k)}\Mod^{\fg}\)’, by a functor that, at the level of objects, takes \(V\) to \(h_{k^n}(V) := \Hom_k(k^n, V)\), viewed as a module over \(\End_k(k^n)^{\mathrm{op}} \cong \M_n(k)\); note that this is only a slight variant of the description in Example (i). This is an example of what is known as a Morita equivalence.

  6. We will see in the second half of this course that the fundamental theorem of Galois theory can be formulated as an equivalence of categories. Namely, if \(K/k\) is a finite Galois extension, then we have an equivalence of categories: \[\label{eqn: Galois theory functor} h^K : \{\text{Finite separable $k$-algebras that are $K$-split}\} \longrightarrow (\Gal(K/k)\text{-}\FinSet)^{\mathrm{op}},\] where \(\Gal(K/k)\text{-}\FinSet\) is the category of finite sets with a \(\Gal(K/k)\)-action.

    In fact, this equivalence is defined exactly as in Example (ii): \(\Gal(K/k)\) is simply the automorphism group of the object \(X := K\) of the source category, and \(h^K(A) = h^X(A) := \Hom_{\Alg_k}(A, K)\) is viewed as a set with a \(\Gal(K/k)\)-action. An example of a finite separable \(k\)-algebra that is \(K\)-split is a finite separable extension of \(k\) contained in \(K\). At first sight, this can look like a bizarre complication, but this formulation turns out to be natural, with many uses. The finiteness requirement on \(K/k\) can be removed by using a continuity condition.

  7. In functional analysis, the Gelfand-Naimark theorem for commutative \(C^*\)-algebras gives an equivalence between the opposite category \(\CHaus^{\mathrm{op}}\) of the category \(\CHaus\) of compact Hausdorff spaces, and the category of commutative unital \(C^*\)-algebras (where the homomorphisms are required to be unital \(*\)-homomorphisms).

  8. Here are some categories from algebraic geometry that you may encounter in later courses. In algebraic geometry, given a commutative ring \(R\), the category of affine schemes over \(R\) (or over “\(\Spec R\)”) is equivalent to the opposite category \((\Alg_R)^{\mathrm{op}}\) of the category of commutative \(R\)-algebras.

    Given a commutative ring \(R\), you will study the category of affine schemes of finite type over \(R\). This category is equivalent to the opposite category \((\Alg_R^{\ft})^{\mathrm{op}}\).

    Now suppose that \(R\) is a field \(k\), say algebraically closed. If we instead consider the subcategory \(\Alg_k^{\ft, \red}\) of \(\Alg_k^{\ft}\) consisting of finite type \(k\)-algebras that are reduced (i.e., having no nilpotent elements), then its opposite category \((\Alg_k^{\ft, \red})^{\mathrm{op}}\) is equivalent to the category of affine algebraic sets over \(k\). If we only consider the category of finitely generated \(k\)-algebras that are integral domains, its opposite is equivalent to the category of affine varieties over \(k\).

    One can enlarge these categories by ‘patching their objects’ to obtain the categories of (not necessarily affine) schemes over \(R\), algebraic schemes over \(k\) and algebraic varieties over \(k\).

Fully faithful functors satisfy the following stronger (“if and only if”) version of Lemma :

Lemma

Let \(F : \mcC \longrightarrow \mcD\) be a fully faithful functor. Then two objects \(X, Y \in \Ob \mcC\) are isomorphic if and only if \(F(X), F(Y) \in \Ob \mcD\) are.

Proof

Proof. Easy exercise. ◻

1.4 Natural transformations

AI summary (unverified)

A natural transformation is a morphism between functors: it consists of component maps that commute with every morphism in the source category. Natural isomorphisms are precisely the isomorphisms in the functor category Fun(C,D). This language gives the symmetric form of categorical equivalence: an equivalence has a quasi-inverse whose two composites are naturally isomorphic, rather than equal, to the relevant identity functors.

Definition

  1. Let \(F, G : \mcC \longrightarrow \mcD\) be functors. A natural transformation \(\phi\) from \(F\) to \(G\) is a collection of morphisms in \(\mcD\) indexed by \(\Ob \mcC\), \[\phi = (\phi_X : F(X) \rightarrow G(X))_{X \in \Ob \mcC}\] (i.e., each \(\phi_X\) lies in \(\Mor_{\mcD}(F(X), G(X))\)), respecting morphisms in the sense that for all \(f : X \rightarrow Y\) in \(\mcC\), the following diagram commutes:

    Commutative diagram
    Clearly natural transformations can be composed.

  2. We say that \(\phi\) as above is a natural isomorphism if it has an inverse natural transformation, i.e., a natural transformation \(\psi\) from \(G\) to \(F\) such that for all \(X \in \Ob \mcC\), \[\psi_X \circ \phi_X : F(X) \overset{\phi_X}{\rightarrow} G(X) \overset{\psi_X}{\rightarrow} F(X) \ \ \ \ \text{ and } \phi_X \circ \psi_X : G(X) \overset{\psi_X}{\rightarrow} F(X) \overset{\phi_X}{\rightarrow} G(X)\] are identity morphisms, namely \(\id_{F(X)}\) and \(\id_{G(X)}\). In other words, the composite natural transformation \(\phi \circ \psi\) is the identity natural transformation from \(G\) to itself, and \(\psi \circ \phi\) is the identity natural transformation from \(F\) to itself.

  3. Given categories \(\mcC\) and \(\mcD\), we have a category \(\Fun(\mcC, \mcD)\) whose objects are the functors from \(\mcC\) to \(\mcD\), and where the morphisms between two functors \(F\) and \(G\) are the natural transformations \(\phi\) from \(F\) to \(G\) (composition is understood to be the composition of natural transformations).

Example

Recall Example , parts (iv) and (v): expanding on the reasoning there, it follows that the category \(\Fun(*_G, \Set)\) can be identified with the category \(G\text{-}\Set\) of sets with a \(G\)-action (Example (xv)), and the category \(\Fun(*_G, \Vect_k)\) with \(\Rep_k(G)\).

Example

Given a category \(\mcC\), there will be two categories of interest for the next lecture: the category \(\Presh(\mcC) = \Fun(\mcC^{\mathrm{op}}, \Set)\) and the category \(\Presh(\mcC^{\mathrm{op}}) = \Fun(\mcC, \Set)\).

Exercise

Show that a natural transformation \(\phi\) from \(F\) to \(G\) is a natural isomorphism if and only if the following apparently weaker condition holds: for all \(X \in \Ob \mcC\), the map \(\phi_X : F(X) \rightarrow G(X)\) is an isomorphism.

Remark

  1. One can show that the functor \(F : \mcC \longrightarrow \mcD\) is an equivalence of categories if and only if it has a quasi-inverse \(G : \mcD \longrightarrow \mcC\): here, \(G : \mcD \longrightarrow \mcC\) is said to be a quasi-inverse to \(F : \mcC \rightarrow \mcD\) if \(G \circ F\) is naturally isomorphic (i.e., isomorphic in the category \(\Fun(\mcC, \mcC)\)) to the identity functor \(\mcC \longrightarrow \mcC\), and such that \(F \circ G\) is naturally isomorphic to the identity functor \(\mcD \longrightarrow \mcD\). For more details, see Arvind’s notes; this result uses a form of axiom of choice that applies to classes which may not be sets.

  2. Note that \(G \circ F\) and \(F \circ G\) are not required to be identity functors at all: that would make the definition too restrictive to be useful; this would be the notion of ‘isomorphism of categories’, which is not nearly as useful as equivalence of categories.

  3. While a two-sided inverse of a map is unique, a quasi-inverse of a functor \(F\) is not unique. One instead has the following version: if \(G, G'\) are quasi-inverses to \(F\), then the functors \(G\) and \(G'\) can be shown to be naturally isomorphic.

1.5 Optional section: Universes

AI summary (unverified)

This optional subsection sketches one standard response to size problems in category theory. A Grothendieck universe is a large set closed under the ordinary set-forming operations needed for mathematics, and one can speak of U-small sets and categories relative to such a universe. The commonly used universe axiom amounts to assuming arbitrarily large strongly inaccessible cardinals.

Earlier, I said that the definition of a category (Definition ) ignored set-theoretic issues (see Remark (i)).

I am not very familiar with these issues myself, so I will make only a few informal comments: essentially, a list of keywords that may serve as a starting point for those of you who would like to read further but do not know where to begin. One such workaround is the use of proper classes; another is the use of Grothendieck universes: think of a Grothendieck universe as a large set containing many “smaller sets”, such that any mathematics you want to do involving these smaller sets can be done purely within this larger set.

Briefly, a universe is a nonempty set \(U\) such that:

  • If \(x, y \in U\), then the following all belong to \(U\): any element of \(x\), the set \(\{x, y\}\), and the power set of \(x\).

  • If \(\{x_{\alpha}\}_{\alpha \in I}\) is a family of elements of \(U\), where the indexing set \(I\) itself is an element of \(U\), then the union \(\bigcup_{\alpha} x_{\alpha}\) is an element of \(U\).

Here, when one says ‘any element of \(x\) belongs to \(U\)’, this makes sense in ZFC (Zermelo-Fraenkel set theory), wherein every element is thought of as a set.

By a \(U\)-small set, one refers to any set that is in bijection with an element of \(U\).

To actually work with universes, one often assumes a hypothesis of Grothendieck: for every set \(X\), there exists a universe \(U\) which contains \(X\). The idea then is that if we work in categories \(\mcC\) that are \(U\)-small — namely \(\Ob \mcC\) as well as \(\Mor_{\mcC}(X, Y)\) for each \(X, Y \in\Ob \mcC\) are in bijection with members of \(U\) — then most of the categorical constructions we use, such as the set of natural transformations between such categories, again land us in \(U\)-small sets.

This hypothesis is equivalent to the following statement: given a ‘cardinal’ \(\lambda\), there exists a cardinal \(\kappa\) such that \(\lambda < \kappa\), and \(\kappa\) satisfies a property called ‘strong inaccessibility’.

1.6 Products

AI summary (unverified)

The categorical product is characterized not by its elements but by a universal mapping property: maps Y→∏X_i are the same as compatible families of maps Y→X_i. The empty product is a terminal object. Products, when they exist, are uniquely determined in a stronger “unique isomorphism” sense, which is what makes product constructions functorial; familiar products in Set, Grp, Top, modules, and rings fit this definition.

Why this definition? Given two sets \(X\) and \(Y\), we have the product set \(X \times Y = \{(x, y) \mid x \in X, y \in Y\}\). Similarly, we have products of groups, topological spaces, manifolds, affine algebraic varieties, etc. Some of you may have seen the result that the Zariski topology on a product \(X \times Y\) of affine varieties \(X\) and \(Y\) is not the product of the Zariski topologies on \(X\) and \(Y\). So what should a product mean in general? Can we define it in the context of a category?

Definition

  1. Let \(X_1, X_2 \in \Ob \mcC\). A product of \(X_1\) and \(X_2\) is a triple \((X, \pi_1, \pi_2)\) consisting of an object \(X \in \mcC\), typically denoted \(X_1 \times X_2\), and morphisms \(\pi_1 : X \rightarrow X_1\) and \(\pi_2 : X \rightarrow X_2\), satisfying the following universal property: For every \(Y \in \Ob \mcC\) and every pair of morphisms \(f_1 : Y \rightarrow X_1\) and \(f_2 : Y \rightarrow X_2\), there exists a unique morphism \(f : Y \rightarrow X = X_1 \times X_2\) such that \(f_1 = \pi_1 \circ f\) and \(f_2 = \pi_2 \circ f\):

    Commutative diagram
    In other words, the following map is a bijection: \[\label{eqn: binary product} \textstyle\Mor_{\mcC}(Y, X) \overset{(\pi_1 \circ -, \pi_2 \circ -)}{\rightarrow} \Mor_{\mcC}(Y, X_1) \times \Mor_{\mcC}(Y, X_2).\]

  2. We can similarly define \((X = \prod_{i \in I} X_i, (\pi_i : X \rightarrow X_i)_{i \in I})\), a product of a family \((X_i)_{i \in I}\) indexed by some (say nonempty) set \(I\):

    Commutative diagram
    In other words, the following map is a bijection: \[\label{eqn: small product} \textstyle\Mor_{\mcC}(Y, X) \overset{(\pi_i \circ -)_{i \in I}}{\rightarrow} \prod_{i \in I} \Mor_{\mcC}(Y, X_i).\] (i) is a special case of this, and will be referred to as a ‘binary product’.

  3. A terminal object or a final object in the category \(\mcC\) is an object \(* \in \Ob \mcC\) such that for all \(Y \in \Ob \mcC\), \(\Mor_{\mcC}(Y, *)\) is a singleton. We can interpret or extend the definition in (ii) to apply to the case where \(I = \emptyset\): An ‘empty product’ in a category \(\mcC\) is by definition a terminal or a final object in \(\mcC\).

  4. We say that a category \(\mcC\) has small products if every collection \((X_i)_{i \in I}\) of objects of \(\mcC\) has a product (since \(I\) can be empty, this includes the requirement that \(\mcC\) has a final object). These are called small products (‘small’ because \(I\) is a set). Similarly, we define what it means for \(\mcC\) to have binary products, etc.

A product in a category need not exist, but if it does, it is suitably unique:

Exercise

  1. Show that in a category \(\mcC\), a product of \((X_i)_{i \in I}\) need not exist, but if it exists, it is ‘uniquely unique’: namely, if \((X, (\pi_i)_{i \in I})\) and \((X', (\pi_i')_{i \in I})\) are both products of the \(X_i\), then there exists a unique isomorphism \(\tau : X \rightarrow X'\) such that \(\pi_i = \pi_i' \circ \tau\) for each \(i \in I\). (For \(I = \emptyset\), this is saying that a terminal object of the category, if it exists, is uniquely unique).

  2. Suppose \(\mcC\) has binary products. Show that the binary product defines a functor \(\mcC \times \mcC \longrightarrow \mcC\). Similarly with products indexed by an arbitrary set \(I\).
    Note: This will involve choosing a product \(X_1 \times X_2\) for each \(X_1, X_2 \in \Ob \mcC\). The definition of the binary product as a functor is only possible because of the uniqueness assertion in (i) above: to define the functor at the level of morphisms, we need not only uniqueness up to an isomorphism, but in fact uniqueness up to a unique isomorphism. Please make sure you see this.

The uniqueness assertion in the above exercise is what justifies writing \(\prod_i X_i\) for the object underlying a product of the \(X_i\) (and similarly \(X_1 \times X_2\) for a binary product).

Example

The following categories have arbitrary small products, which coincide with what you have already seen called the products of their objects: \(\Set, \Grp, \Top, \Ab, {}_R\Mod, \Vect_k, \Ring\). For instance, if \((X_i)_{i \in I}\) is a family of topological spaces, we take \(\prod_{i \in I} X_i\) to be the set-theoretic product of the \(X_i\), given the product topology, and \(\pi_j : \prod_{i \in I} X_i \rightarrow X_j\) to be the projection onto the \(j\)-th factor. We also need to account for the empty product, namely a terminal object, which exists in each of these cases: a singleton set \(\{*\}\) for \(\Set\), a trivial group for \(\Grp\) and \(\Ab\), a singleton topological space for \(\Top\), the zero module \(0\) for \({}_R\Mod\) (and similarly with \(\Vect_k\)), and the zero ring for \(\Ring\).

For example, for any topological space \(Y\), giving a continuous map \(f_i : Y \rightarrow X_i\) for each \(i\) is equivalent to giving a single continuous map \(f : Y \rightarrow \prod_i X_i\), such that for each \(i\), \(f\) projects along the \(i\)-th factor to \(f_i\). This is why the product topology was defined the way it was: the familiar basic open sets, etc. By the uniqueness of products (Exercise ), this was the only way the product topological space could have been defined.

For those of you who are familiar with algebraic varieties, the category of algebraic varieties over \(k\) has binary products, which is the ‘usual’ binary product of algebraic varieties.

Exercise

In the category of fields, products usually do not exist (e.g., the category of fields cannot contain a product of a field with a field of another characteristic — why?), nor does the category have a terminal object.

Exercise

Prove the following enhancement of the fact that products exist in \(\Set\): For any category \(\mcC\), the category \(\Presh(\mcC) = \Fun(\mcC^{\mathrm{op}}, \Set)\) has arbitrary small products.

More precisely, given functors \((G_i : \mcC^{\mathrm{op}} \longrightarrow \Set)_{i \in I}\), take \(\prod_{i \in I} G_i\) to be the functor \(G : \mcC^{\mathrm{op}} \longrightarrow \Set\) such that for each \(X \in \Ob \mcC\), \[G(X) = \prod_{i \in I} G_i(X), \ \ \ \ \text{this product being taken in $\Set$}.\] It is clear how to complete the definition of \(G\) by defining it for morphisms, and it is clear how to define the \(\pi_i : G \rightarrow G_i\).

1.7 Coproducts

AI summary (unverified)

Coproducts are the arrow-reversed dual of products. A map from a coproduct ∐X_i to Y is equivalent to giving maps X_i→Y for every i, and the empty coproduct is an initial object. Familiar examples include disjoint unions, direct sums, and free products; the universal property, rather than the concrete construction, is the categorical content.

As with products, coproducts are constructions we have already seen in the categories \(\Set, \Ab, \Top\), etc., even if not under that name: we have seen the notion of a disjoint union of sets or topological spaces, and a direct sum of abelian groups. Some of you may have seen a free product of groups. Again, the following definition spells out the category-theoretic requirement that such constructions should satisfy.

Here things are as in Subsection §1.6, but with all arrows reversed — coproducts in \(\mcC\) are products in the opposite category \(\mcC^{\mathrm{op}}\) — so we will be relatively brief.

Definition

  1. A coproduct, or a categorical sum, of a family \((X_i)_{i \in I}\) in a category \(\mcC\) is a pair \((X = \coprod_{i \in I} X_i, (\iota_i)_{i \in I})\), where \(X \in \Ob \mcC\) and \(\iota_i : X_i \rightarrow X\) in \(\mcC\) for each \(i\), such that given \(Y \in \Ob \mcC\) and morphisms \(f_i : X_i \rightarrow Y\) for each \(i \in I\), there exists a unique morphism \(f : X \rightarrow Y\) such that for each \(i \in I\), the following diagram commutes:

    Commutative diagram
    In other words, for each \(Y \in \Ob \mcC\) we have a bijection \[\label{eqn: small coproduct} \textstyle\Mor_{\mcC}(\coprod_i X_i, Y) \overset{(- \circ \iota_i)_i}{\rightarrow} \prod_i \Mor_{\mcC}(X_i, Y).\] When \(I = \{1, 2\}\), we get the special case of a ‘binary coproduct’.

  2. An initial object or a coterminal object in the category \(\mcC\) is an object \(X \in \Ob \mcC\) such that for all \(Y \in \Ob \mcC\), \(\Mor_{\mcC}(X, Y)\) is a singleton. We can interpret or extend the definition in (i) to apply in the case where \(I = \emptyset\): An ‘empty coproduct’ in a category \(\mcC\) is by definition an initial object.

  3. We say that a category \(\mcC\) has small coproducts if every collection \((X_i)_{i \in I}\) of objects of \(\mcC\) has a coproduct (since the set \(I\) is allowed to be the empty set, this includes the requirement that \(\mcC\) has an initial object).

Guiding idea. Products are characterized by maps into them; coproducts are characterized by maps out of them.

A coproduct in a category need not exist, but if it does, it is suitably unique:

Exercise

Formulate and prove an analogue of Exercise for coproducts.

Again, it is the uniqueness of the coproduct (Exercise ) that justifies writing \(\coprod_i X_i\) for the object underlying a coproduct of the \(X_i\) (and similarly \(X_1 \coprod X_2\) for a binary coproduct).

Example

The following categories have arbitrary small coproducts:

  • In \(\Set\), coproduct is given by the disjoint union: \(\coprod_i X_i\) can be taken to be the disjoint union \(X\) of the \(X_i\), and \(\iota_j : X_j \rightarrow X\) to be the obvious inclusion. Of course, one also needs to remark that \(\Set\) does have an initial object, which is \(\emptyset\).

  • In \(\Grp\), coproduct is given by the free product: the free product \(G * H\) of \(G\) and \(H\) consists of words \(s_1 \cdots s_n\) with each \(s_i\) belonging to \(G\) or \(H\), modulo the obvious reductions: identity elements may be removed, and two successive terms belonging to the same group may be multiplied together. Equivalently, each element has a unique reduced expression as either the empty word or an alternating sequence of nonidentity elements of \(G\) and \(H\). The maps \(G \rightarrow G * H\) and \(H \rightarrow G * H\) are obvious. \(\Grp\) does have an initial object, the trivial group.

  • For \(\Ring\), a coproduct exists, and is a “ring-theoretic free product amalgamated over \(\mathbb{Z}\)”, but we will not need an explicit construction here. \(\ZZ\) is an initial object in \(\Ring\) (the zero ring cannot be an initial object, because by definition, ring homomorphisms are required to send \(1\) to \(1\)).

  • In \(\Ab, {}_R\Mod\) and \(\Vect_k\), coproduct is given by direct sum (and the trivial group or the \(0\) group or module or vector space is the initial object). Thus, in all these categories, finite coproducts and finite products can be identified with each other, though not infinite ones.

  • In \(\Top\), again, coproduct is given by the disjoint union, but make sure you know how to define the ‘correct’ topology on \(\bigsqcup_i X_i\): the \(X_i \subset X\) are all open and disjoint, and the topology of each \(X_i\) coincides with the one it gets from the inclusion \(X_i \subset X\). Again, \(\emptyset\) serves as an initial object.

For example, for any topological space \(Y\), giving a continuous map \(f_i : X_i \rightarrow Y\) for each \(i\) is equivalent to giving a single continuous map \(f : \coprod_i X_i \rightarrow Y\), such that for each \(i\), \(f\) restricts to \(X_i\) as \(f_i\).

1.8 Direct and inverse limits

AI summary (unverified)

A directed set indexes direct systems with maps going forward and inverse systems with maps going backward. In Set, the direct limit is constructed from a disjoint union modulo the transition-map identifications, while the inverse limit is the subset of the product formed by compatible tuples. The exercises isolate their universal properties and prepare the next lecture’s general language of cones, cocones, limits, and colimits.

In the next lecture, we will study limits and colimits, which are substantial generalizations of products and coproducts. To prepare for that, let us recall direct and inverse limits, which are special cases of colimits and limits, respectively.

Definition
  1. A directed set is a pair \((I, \leq)\)—often written simply \(I\) when the relation is understood—consisting of a set \(I\) with a preorder \(\leq\) (that is, a reflexive and transitive, but not necessarily antisymmetric, binary relation), such that any two elements have an upper bound: if \(i,j\in I\), then there exists \(k\in I\) with \(i,j\leq k\).

  2. Let \(I\) be a directed set. A direct system of sets over \(I\) is a family \((X_i)_{i\in I}\) together with maps \[f_{ji}:X_i\longrightarrow X_j\qquad (i\leq j),\] such that \(f_{ii}=\id_{X_i}\) and \[f_{ki}=f_{kj}\circ f_{ji}\qquad (i\leq j\leq k).\] Thus the first subscript records the target and the second the source:

    Commutative diagram

  3. An inverse system of sets over \(I\) is a family \((X_i)_{i\in I}\) together with maps \[f_{ij}:X_j\longrightarrow X_i\qquad (i\leq j),\] such that \(f_{ii}=\id_{X_i}\) and \[f_{ik}=f_{ij}\circ f_{jk}\qquad (i\leq j\leq k).\] Again the first subscript is the target and the second the source:

    Commutative diagram

  4. Given a direct system \((X_i)_{i\in I}\), its direct limit is usually defined to be the pair \((X,(\iota_i)_{i\in I})\), where \[X=\left(\bigsqcup_{i\in I}X_i\right)\big/\!\sim,\] where \(\sim\) is the equivalence relation generated by \(x_i\sim f_{ji}(x_i)\) for \(i\leq j\); equivalently, \[x_i\sim x_j \quad\Longleftrightarrow\quad \text{there exists }k\geq i,j\text{ such that }f_{ki}(x_i)=f_{kj}(x_j);\] and \(\iota_i:X_i\longrightarrow X\) is the canonical map. We write \(X=\varinjlim_{i\in I}X_i\) when the transition maps are understood.

  5. Given an inverse system \((X_i)_{i\in I}\), its inverse limit is usually defined to be the pair \((X,(\pi_i)_{i\in I})\), where \[X=\left\{(x_i)_i\in\prod_{i\in I}X_i\ \middle|\ x_i=f_{ij}(x_j)\text{ whenever }i\leq j\right\};\] and \(\pi_i:X\longrightarrow X_i\) is the \(i\)-th projection. We write \(X=\varprojlim_{i\in I}X_i\) when the transition maps are understood.

Looking ahead. The symbols \(\iota_i\) and \(\pi_i\) are deliberate. In the next lecture, the maps \(\iota_i:X_i\to X\) will be the structural maps of a cocone, while the maps \(\pi_i:X\to X_i\) will be the structural maps of a cone. The following exercise isolates the universal properties before we package them into the general definitions of colimit and limit.

Exercise
  1. Direct limits generalize unions. Let \(Y\) be a set. Suppose a direct system \((X_i)_{i\in I}\) is such that each \(X_i\subseteq Y\) and each \(f_{ji}:X_i\to X_j\) is the inclusion whenever \(i\leq j\). Show that its direct limit \((X,(\iota_i)_i)\) can be identified with \[\left(\bigcup_{i\in I}X_i,\;\left(X_i\hookrightarrow\bigcup_{j\in I}X_j\right)_{i\in I}\right).\] Make the phrase “can be identified with” precise.

  2. Inverse limits generalize intersections. Let \(Y\) be a set. Suppose an inverse system \((X_i)_{i\in I}\) is such that each \(X_i\subseteq Y\) and each \(f_{ij}:X_j\to X_i\) is the inclusion whenever \(i\leq j\). Show that its inverse limit \((X,(\pi_i)_i)\) can be identified with \[\left(\bigcap_{i\in I}X_i,\;\left(\bigcap_{j\in I}X_j\hookrightarrow X_i\right)_{i\in I}\right).\] Again, make the phrase “can be identified with” precise.

  3. The universal property of direct limits. Let \((X,(\iota_i)_{i\in I})\) be the direct limit of a direct system \((X_i)_{i\in I}\). Show that for every set \(Y\) and every family of maps \[\psi_i:X_i\longrightarrow Y\qquad(i\in I)\] satisfying \(\psi_i=\psi_j\circ f_{ji}\) whenever \(i\leq j\), there exists a unique map \(g:X\to Y\) such that \[\psi_i=g\circ\iota_i\qquad\text{for every }i\in I.\]

  4. The universal property of inverse limits. Let \((X,(\pi_i)_{i\in I})\) be the inverse limit of an inverse system \((X_i)_{i\in I}\). Show that for every set \(Y\) and every family of maps \[\phi_i:Y\longrightarrow X_i\qquad(i\in I)\] satisfying \(\phi_i=f_{ij}\circ\phi_j\) whenever \(i\leq j\), there exists a unique map \(g:Y\to X\) such that \[\phi_i=\pi_i\circ g\qquad\text{for every }i\in I.\]

1.9 Monomorphisms and epimorphisms

AI summary (unverified)

Summary not yet supplied for this subsection.

We continue with the convention that, unless otherwise stated, any category that we will encounter is locally small, though we will make an exception for presheaf categories on the categories we work with.

Definition

  1. A morphism \(f : X \rightarrow Y\) in a category \(\mcC\) is said to be a monomorphism if it has “left cancellation”, i.e., if \(g_1, g_2 : Z \rightarrow X\) are such that \(f \circ g_1 = f \circ g_2 : Z \rightarrow Y\), then \(g_1 = g_2\). (Equivalently: \(h^X \rightarrow h^Y\) is objectwise injective).

  2. A morphism \(f : X \rightarrow Y\) is said to be an epimorphism if it has “right cancellation”, i.e., if \(g_1, g_2 : Y \rightarrow Z\) are such that \(g_1 \circ f = g_2 \circ f : X \rightarrow Z\), then \(g_1 = g_2\). (Equivalently: \(h_Y \rightarrow h_X\) is objectwise injective).

Thus, \(f : X \rightarrow Y\) in \(\mcC\) is a monomorphism if and only if, viewed as a morphism in \(\mcC^{\mathrm{op}}\), it is an epimorphism.

Example
  1. In \(\Set\), a morphism \(f : X \rightarrow Y\) is a monomorphism (resp., epimorphism) if and only if it is an injective (resp., surjective) function.

  2. The “if” part of the analogous assertion is true in \(\Grp, \Ab, \Ring, {}_R\Mod\), \(\Vect_k\) and \(\Top\), and also in the full subcategory \(\HausTop\) of \(\Top\) consisting of the Hausdorff topological spaces. This can be viewed more category-theoretically: if \(F : \mcC \longrightarrow \Set\) is a faithful functor, then \(f : X \rightarrow Y\) is a monomorphism (resp., epimorphism) whenever the map \(F(f) : F(X) \rightarrow F(Y)\) of sets is (for these categories, this is true with \(F\) the forgetful functor to \(\Set\)).

  3. However, the “only if” part, while true for \(\Grp, \Top, \Ab, {}_R\Mod\) and \(\Vect_k\) (a bit of work is needed to show this for \(\Grp\) and \(\Top\)), is not true for \(\Ring\) or \(\HausTop\): it is an easy exercise to check that every monomorphism is injective in these categories (as also in \(\Grp, \Top\)), but epimorphisms may not be surjective in \(\Ring\) or \(\HausTop\): in \(\Ring\), \(\ZZ \rightarrow \QQ\) is an epimorphism, 3 while in \(\HausTop\), any morphism with a dense image is an epimorphism (easy but good exercise).

1.10 Equalizers and coequalizers

AI summary (unverified)

An equalizer universally captures where two parallel maps agree, while a coequalizer universally forces them to agree after passing to a quotient. In Set these are an agreement subset and an equivalence-relation quotient; in abelian groups, modules, and vector spaces they become the kernel and cokernel of f_1−f_2. Equalizers are monomorphisms and coequalizers are epimorphisms.

An ‘equalizer’ of \(f_1, f_2 : X \rightarrow Y\) tries to capture the notion of the ‘subset of \(X\) where \(f_1\) and \(f_2\) agree’. Formally:

Definition

Let \(f_1, f_2 : X \rightarrow Y\) be morphisms in \(\mcC\).

  1. An equalizer of \(f_1\) and \(f_2\) is a morphism \(eq : E \rightarrow X\) in \(\mcC\), satisfying \(f_1 \circ eq = f_2 \circ eq\), and satisfying the following universal property: for any morphism \(h : Z \rightarrow X\) such that \(f_1 \circ h = f_2 \circ h\), there exists a unique morphism \(g : Z \rightarrow E\) such that \(h = eq \circ g\):

    Commutative diagram

  2. A coequalizer of \(f_1\) and \(f_2\) is a morphism \(coeq : Y \rightarrow Q\), satisfying \(coeq \circ f_1 = coeq \circ f_2\), and satisfying the following universal property: for any morphism \(h : Y \rightarrow Z\) such that \(h \circ f_1 = h \circ f_2\), there exists a unique morphism \(g : Q \rightarrow Z\) such that \(h = g \circ coeq\):

    Commutative diagram

Exercise

Formulate a statement that captures “Equalizers and coequalizers are uniquely unique”, and prove it.

Please note that the equalizer and the coequalizer refer to the morphisms \(eq : E \rightarrow X\) and \(coeq : Y \rightarrow Q\), and not just to the objects \(E\) and \(Q\). However, by abuse of notation, we might often write just \(E\) and \(Q\), and leave out the maps \(eq : E \rightarrow X\) and \(coeq : Y \rightarrow Q\) as understood.

Example
  1. In \(\Set\), an equalizer \(E\) of \(f_1, f_2 : X \rightarrow Y\) is simply the (largest) subset of \(X\) where \(f_1\) and \(f_2\) agree, while their coequalizer \(Q\) is the quotient of \(Y\) by the equivalence relation generated by the relation “\(f_1(x) \sim f_2(x)\) for all \(x \in X\)”. In \(\Top\), the prescriptions for the equalizer \(E\) and the coequalizer \(Q\) are the same as for \(\Set\), except that \(E\) should be given the induced topology from \(X\) and that \(Q\) should be given the quotient topology dictated by \(Y \rightarrow Q\).

  2. In \(\Grp\), the equalizer is as in \(\Set\) (but it forms a subgroup of \(X\) and one remembers it as a subgroup, not as a subset), and the coequalizer of \(f_1, f_2 : X \rightarrow Y\) is the quotient of \(Y\) by the smallest normal subgroup of \(Y\) containing \(f_1(x) f_2(x)^{-1}\) for each \(x \in X\).

  3. In \(\Ab, {}_R\Mod\) and \(\Vect_k\), the equalizer of \(f_1\) and \(f_2\) is the (inclusion of the) kernel of \(f_1 - f_2\), and their coequalizer is the cokernel of \(f_1 - f_2\) (thus, for \(\Ab\), the equalizer and the coequalizer are the same as in \(\Grp\), only the description simplifies due to abelianness).

  4. In \(\Presh(\mcC) := \Fun(\mcC^{\mathrm{op}}, \Set)\), the equalizer is the “object-wise set-theoretic equalizer” (make this precise and prove it).

Exercise

  1. Show that every equalizer is a monomorphism, and that every coequalizer is an epimorphism. The converse does not hold, but let us not bother about that now.

  2. Example from Wikipedia: Show that in \(\Top\), the coequalizer of the two maps \(f_1, f_2 : \{*\} \rightarrow [0, 1]\), where \(f_1(*) = 0\) and \(f_2(*) = 1\), is \(S^1\).

Historical remark (from chatgpt) Category theory was introduced by Samuel Eilenberg and Saunders Mac Lane in the 1940s, initially in order to formalize the naturality phenomena that arose in algebraic topology: categories, functors, and natural transformations appeared together, rather than categories being invented first as an abstract language. During the 1950s and 1960s, category-theoretic ideas became increasingly central in homological algebra and algebraic geometry, especially through the work of Grothendieck and others. Many of the constructions discussed here—products, quotients, direct and inverse limits—were already familiar in particular settings; category theory revealed that their essential feature is not their construction but their universal property.


  1. We cannot entirely restrict to them, since the ‘presheaf category’ of a non-small locally small category may not be locally small.↩︎

  2. Admittedly, the notation is slightly awkward: \(\Alg_R\) does not denote the category of all \(R\)-algebras, but only of the commutative ones. While we will study general \(R\)-algebras, we will usually not name their category.↩︎

  3. While dealing with the category of rings, please keep in mind that ring homomorphisms are required to send \(1\) to \(1\).↩︎