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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
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.
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.
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
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
The initial or the empty
category has no objects, and hence no morphisms. The terminal category
has only one object and its identity morphism.
\(\Set\), 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.
\(\Grp\), the category of groups
and group homomorphisms.
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.
\(\Ab\), abelian groups and
group homomorphisms.
\(\Top\), topological spaces and
continuous maps.
\(\HTop\), 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.
\(\Man\), manifolds and smooth
maps.
\(\Ring\), 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).
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 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.
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
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 \(\Ab\).
\(\Vect_k := {}_k\Mod\), when
\(k\) is a field, so this is the
category of vector spaces over \(k\)
and \(k\)-linear
transformations.
\(\Ban_{\RR}\) (resp., \(\Ban_{\CC}\)), Banach spaces over \(\RR\) (resp., \(\CC\)) and bounded linear maps.
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.
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 \(h \cdot y\).
Pairs \((V, T)\) consisting of a
vector space \(V\) over a given field
\(k\), and a \(k\)-linear transformation \(T : V \rightarrow V\), with \[\Mor((V, T), (W, U)) = \{f : V \rightarrow W \mid
f \circ T = U \circ f\}.\]
Open subsets of \(\mathbb{C}^n\)
and holomorphic maps between them.
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:
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
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 \(\Aut(X)\).
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.
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).
\(\mcC\) is said to be a
groupoid if every morphism in \(\mcC\)
is an isomorphism.
Example
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.
\({}_R\Mod\) 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
\(*_G\) is clearly a
groupoid.
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.
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:
For each \(A \in \Ob \mcC\), an
object \(F(A) \in \Ob \mcD\); and very
importantly also
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
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.
\(\pi_0 : \Top \longrightarrow
\Set\) 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 \(Y\).
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).
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 \(X\): \(g \cdot x
= F(g)(x)\).
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 \(G\).
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:
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
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).
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).
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
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.
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).
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.
\(\Vect_k^{\fd}\) 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 \(\Mor_{(\Vect_k^{\fd})^{\mathrm{op}}}(V^{\vee},
W^{\vee})\).
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.
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.
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).
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
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: Clearly natural transformations can be composed.
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.
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
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.
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.
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
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 \(f_2 = \pi_2 \circ
f\): In other words, the following map is a bijection: \[\label{eqn: binary product}
\textstyle\Mor_{\mcC}(Y, X) \overset{(\pi_1 \circ -, \pi_2 \circ
-)}{\rightarrow}
\Mor_{\mcC}(Y, X_1) \times \Mor_{\mcC}(Y, X_2).\]
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 \(I\): 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’.
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 \(\mcC\).
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
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).
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
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: 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’.
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.
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
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 \(i,j\leq k\).
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:
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:
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.
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
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.
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.
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 \[\psi_i=g\circ\iota_i\qquad\text{for every }i\in
I.\]
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
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).
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
In \(\Set\), a morphism \(f : X \rightarrow Y\) is a monomorphism
(resp., epimorphism) if and only if it is an injective (resp.,
surjective) function.
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 \(\Set\)).
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 \(\mcC\).
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 \(h = eq \circ g\):
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 \(h = g \circ coeq\):
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
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 \(Y \rightarrow
Q\).
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 \(x \in X\).
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).
In \(\Presh(\mcC) :=
\Fun(\mcC^{\mathrm{op}}, \Set)\), the equalizer is the
“object-wise set-theoretic equalizer” (make this precise and prove
it).
Exercise
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.
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.
We cannot entirely restrict to them, since the ‘presheaf
category’ of a non-small locally small category may not be locally
small.↩︎
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.↩︎
While dealing with the category of rings, please keep in
mind that ring homomorphisms are required to send \(1\) to \(1\).↩︎