7.1 Categories and Functors
Category theory is a framework for the investigation of mathematical form and structure in their most general manifestations. Central to it is the concept of structure-preserving map , or transformation. While the importance of this notion was long recognized in geometry (witness, for example, Klein’s Erlanger Programm of 1872),1 its pervasiveness in mathematics did not really begin to be appreciated until the rise of abstract algebra in the 1920s and 30s,2 where, in the form of homomorphism, the idea had been central from the beginning. So emerged the view that the essence of a mathematical structure lies not in its internal constitution as a set-theoretical construct, but rather in the nature of its relationship with other structures of the same kind through the network of transformations between them.
This idea achieved its fullest expression in the theory of categories introduced in 1945 by S. Eilenberg (1913–1998) and S. Mac Lane (1909–2005).3 They created an axiomatic framework within which the notion of map and preservation of structure are primitive, that is, are not defined in terms of anything else. As in biology, the viewpoint of category theory is that mathematical structures fall naturally into species or categories. But a category is specified not just by identifying the species of mathematical structure which constitute its objects; one must also specify the transformations linking these objects.
Formally, then, a category consists of two collections of entities called objects and maps. Each map f is assigned an object A called its domain and an object B called its codomain : this fact is indicated by writing f: A → B. Each object A is assigned a map 1A: A → A called the identity map on A. For any pair of maps f: A → B, g: B → C (i.e., such that the domain of g coincides with the codomain of f; such pairs of maps are called composable), there is defined a composite map g ° f: A → C. These prescriptions are subject to the associative and identity laws, viz., given three maps f: A → B, g: B → C, h: C → D, the composites h ∘ (g ∘ f) and (h ∘ g) ∘ f coincide; and for any map f: A → B the composites f ∘ 1A and 1B ∘ f both coincide with f.
domains of variation or types A, B, C, …
transformations or correlations f: A → B or
between such domains: A and B are said to be correlated by f; A is the domain, B the codomain of f.
Space → Time | Analogue clocks |
Natural numbers → Time | Digital clocks |
Time → Space | Motions |
Space → Rational/ Real numbers | Thermometers, barometers, speedometers |
![$$ \frac{A\overset{f}{\to }B\overset{g}{\to }C}{A\overset{g\circ f}{\to }C} $$](../images/474107_1_En_7_Chapter/474107_1_En_7_Chapter_TeX_Equa.png)
![$$ Natural\ numbers\to Time\to Space $$](../images/474107_1_En_7_Chapter/474107_1_En_7_Chapter_TeX_Equb.png)
Associated with each domain
A is an identity correlation satisfying f ∘ 1A = f, g ∘ 1A = g for any
,
These specifications are just the basic data of a category.
A category may also be thought of as the objective presentation of a mathematical form (or idea), with objects as structures manifesting the associated form, and maps as form-preserving transformations between structures. Now topological spaces and continuous functions constitute the objects and maps, respectively, of a category, the category Top of topological spaces. Top may be thought of as the objective presentation of the form of continuity. Other important examples of categories include the category Set of sets, with (arbitrary) sets as objects and (arbitrary) functions as maps; the category Grp of groups, with groups as objects and group homomorphisms as maps ; and the category Man of manifolds, with differentiable manifolds as objects and smooth functions between them as maps. For Set, the associated form is pure discreteness ; for Grp, it is composition-inversion, and for Man, it is smoothness.
A concept central to category theory is that of functor. A functor F: C → D from a category C to a category D is an assignment, to each object A of C, of an object FA of D and to each map f: A → B of C a map Ff: FA → FB of D such a way that composites and identities are preserved, i.e. F(g ∘ f) = Fg ∘ Ff for composable f, g, and F(1A) = 1FA for any object A. As examples of functors we have the so-called “forgetful” functors Top → Set , Grp → Set, and Man → Set that assign to each space, group, or manifold its underlying set of points (i.e., “forgets” the structure); the functor Top → Grp that assigns to each topological space its homology group4 of a prescribed dimension ; and the functor Man → Man that assigns to each manifold its tangent bundle .
If categories are associated with mathematical forms, then functors may be conceived of as devices for effecting a change of form. 5 Thus, for example, the three “forgetful” functors just mentioned take the forms of continuity, composition-inversion and smoothness, respectively, to the form of pure discreteness . Observe that functors, or “changes of form” can be composed in the evident way. This gives rise to the “meta-category Cat with categories as objects and functors as maps. Cat may be regarded as the category-theoretic embodiment of the idea of mathematical form, and its maps, the functors between categories, as vehicles for inducing morphological variation .
7.2 Pointless Topology
![../images/474107_1_En_7_Chapter/474107_1_En_7_Figa_HTML.gif](../images/474107_1_En_7_Chapter/474107_1_En_7_Figa_HTML.gif)
![../images/474107_1_En_7_Chapter/474107_1_En_7_Figa_HTML.gif](../images/474107_1_En_7_Chapter/474107_1_En_7_Figa_HTML.gif)
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![$$ a\wedge \mathbf{\bigvee}X=\mathbf{\bigvee}\left\{a\wedge x:x\in X\right\}. $$](../images/474107_1_En_7_Chapter/474107_1_En_7_Chapter_TeX_Equc.png)
![$$ x\Rightarrow y=\vee \left\{z:x\wedge z\le y\right\}. $$](../images/474107_1_En_7_Chapter/474107_1_En_7_Chapter_TeX_Equd.png)
What are the counterparts, for locales, of continuous functions between topological spaces ? Recall that a continuous function f: X → Y between topological spaces is characterized by the property that the inverse image f −1[U] of any open set U in Y is open in X. The inverse image operation can accordingly be seen as a function from the topology on Y to that on X. Now the inverse image operation also preserves 1, arbitrary unions and pairwise intersections of subsets. So it is natural to take a continuous map f between locales to be one satisfying the analogous conditions:
![$$ f\left(\mathbf{1}\right)=\mathbf{1};\kern1.5em f\left(x\wedge y\right)=f(x)\wedge f(y);\kern1.5em f\left(\vee X\right)=f\left(\vee X\right). $$](../images/474107_1_En_7_Chapter/474107_1_En_7_Chapter_TeX_Eque.png)
Locales and continuous functions in the sense just defined can now be regarded as constituting the objects and maps of Loc, the category of locales. Associating each topological space with its topology and each continuous map between spaces with its inverse image operation now gives rise to a functor Top → Loc which embeds the former in the latter. If Top can be seen as an embodiment of the idea of continuity but still dependent on the point concept, Loc can be seen as a more general embodiment of the idea of continuity, now freed of all dependence on the point concept.
7.3 Sheaves and Toposes
The most far-reaching generalization of the concept of topological space , and hence the most general embodiment of the idea of continuity, is the category-theoretic concept of topos. The idea of a topos developed from the concept of a sheaf on a topological space. Mac Lane and Moerdijk present the idea underlying the latter in the following terms:
A sheaf [on a space X] is a way of describing a class of functions on X—especially classes of “good” functions, such as the functions on ( parts of) X which are continuous or differentiable. The description tells the way in which a function f defined on an open subset U of X can be restricted to functions f|V on open subsets V ⊆ U and then can be recovered by piecing together (collating) the restrictions to the open subsets V i of a covering of U. The restriction-collation description applies not just to functions, but to other mathematical structures defined “locally” on a space X. 9
Here is the formal definition. We first define a presheaf
10 on a topological space
X to be an assignment to each open set U of a set F(U) and to each pair of open sets U, V such that V ⊆ U of a “restriction” map
F
UV: F(U) → F(V) such that, whenever W ⊆ U ⊆ V, F
UW = F
VW ° F
UV and F
UU is the identity map
on F(U). If s ∈ F(U), write s|V for F
UV(s)—the restriction of s to V. A presheaf F is a
sheaf
if it satisfies the following “covering” condition: whenever and we are given a set {s
i: i ∈ I} such that s
i ∈ F(U
i) for all i ∈ I and s
i | Ui ∩Uj = s
j| Ui ∩Uj for all i, j ∈ I, then there is a unique s ∈ F(U) such that s|Ui = s
i for all i ∈ I. For example, C(U) = set of continuous real-valued functions on U, and s|V = restriction of s to V defines the sheaf of continuous real-valued functions on X.
Given two presheaves F, G on X, a natural transformation η: F → G is an assignment, to each open set U, of a map ηU: F(U) → G(U) which is compatible with restrictions, i.e. satisfies for V ⊆ U, ηV ∘ F UV = G UV ∘ ηU. Presheaves, or sheaves, on X, together with natural transformations, form categories Pshv(X), Shv( X )—the category of presheaves, or sheaves, 11 respectively. on X. Shv(X) may be regarded as a category-theoretic embodiment of X: it encodes all the information about locally defined structures on X.
A sheaf on a topological space arises by the imposition of a covering condition on a presheaf. In the early 1960s Alexandre Grothendieck (1928–2014) extended the notion of covering, and so also the concept of sheaf to arbitrary categories, thus conferring on both concepts a vast new generality.
To see how this was effected, we require the notion of a set varying over a category C (or C- variable set) , which is defined simply to be a functor from C to the category Set , and the notion of a natural transformation between variable sets. A natural transformation between two C- variable sets F and G is a function assigning to each object A of C a map ηA: FA → GA in such a way that, for each map f: A → B, we have Gf ° ηA = ηB ° Ff. The category Set C of sets varying over C then has as objects C-variable sets and as arrows natural transformations between them.
Now we can define a presheaf on C to be a set varying over the category C
op—the opposite category to C in which all maps are “reversed”.
12 The category is called the category of preheaves on C. There is a natural embedding13—the
Yoneda embedding
—of C into
whose action on objects is defined as follows. For any object C of C, YC is the presheaf on C which assigns, to each object X of C, the set Hom(X, C) of maps X → C in C. YC—the Yoneda presheaf of C—is the natural presheaf representative of C; the two are usually identified.
These three conditions were taken by Grothendieck as being characteristic of the notion of covering; they can be generalized to an arbitrary category C in the following way, giving rise to what has become known as a Grothendieck topology .
- (1)
the maximal sieve consisting of all open subsets of U is a member of J(U);
- (2)
if S ∈ J(U) and V is open in X, then the sieve V∗S = {W: W ∈ S and W ⊆ V} is a member of J(V); that is, the restriction of a covering sieve to a smaller open set is a covering sieve;
- (3)
if S ∈ J(U) and R is a sieve on U such that, for each V ∈ S we have V∗S ∈ J(V), then R ∈ J(U); that is, if the restriction of a sieve R to each member of a covering sieve S is a covering sieve, then R is a covering sieve.
First, by analogy with the above definition of sieve , we define a sieve on an object C of C to be a family S of maps in C, each with codomain C, 14 closed under composition on the right, that is, satisfying f ∈ S ⇒ f ° g ∈ S for any map g composable with f on the right. Equivalently, a sieve on C may be defined as a subfunctor15 of C’s Yoneda presheaf YC. Note that, if S is a sieve on C and h: D → C is any map with codomain C, then the set
h ∗(S) = {g : codomain(g) = D & h ∘ g ∈ S}
Clearly these conditions are immediate generalizations of (1), (2), (3) to the category C. The Grothendieck topology Trv on C in which only the maximal sieves on an object are covering sieves is called the trivial topology.
- (i)
for any C, the maximal sieve {h: codomain (h) = C} is a member of J(C);
- (ii)
if S ∈ J(C) and h: D → C, then the sieve h∗S is a member of J(D);
- (iii)
if S ∈ J(C) and R is a sieve on U such that, for each member h: D → C of S we have h∗R ∈ J(D), then R ∈ J(C).
A category equipped with a covering system was termed by Grothendieck a site . 16 If X is a topological space , and J is defined on the category O(X) of open sets by taking J(U) to be the family of all sieves S on U in the above sense such that ⋃ S = U, then O(X), equipped with the Grothendieck topology J, is a site. It is called the site canonically associated with X. In view of this a site may be regarded as a “generalized topological space”, or indeed as a new embodiment of the idea of a pointless space.
Now we can sketch how Grothendieck
went on to extend the concept of sheaf
to arbitrary sites.17 Recall that any sieve S on an object C of C may be regarded as a subfunctor of C’s Yoneda functor
YC. Now suppose we are given an object F of —a presheaf on C—and a map
f: S → F in
—a natural transformation
from S to F. A map g: YC → F is called an extension of f to YC if its restriction (in the evident sense) to the subfunctor S coincides with f. The presheaf F is then a (J-)sheaf if, for any object C and any J-covering sieve S on C, each map f: S → F in
has a unique extension to YC. Speaking figuratively, a J-sheaf is a presheaf which “believes” that (the Yoneda presheaf
of) any object C is “really covered” by any of its J-covering sieves, in the sense that, in
is, any map from a J-covering sieve
to F fully determines a map from YC to F. Note that every presheaf is a Trv-sheaf.
Now the category Shv
J(C) of sheaves on a site (C, J) has objects all sheaves and as maps all natural transformations
between them. So in particular Shv
Trv(C) is just the category of presheaves on C. There is a natural functor L: called the associated sheaf functor
which sends each presheaf F to the to the sheaf LF which “best approximates” it in an appropriate sense.18
Grothendieck assigned the term “topos”19 to any category of sheaves associated with a site . So in particular all categories of presheaves, or variable sets , are toposes. Grothendieck saw the topos concept as uniting the continuous and the discrete:
This idea encapsulates, in a single topological intuition, both the traditional topological spaces , incarnation of the world of the continuous quantity … and a huge number of other sorts of structures which … had appeared to belong irrevocably to the “arithmetic world” of “discontinuous” or “discrete” aggregates. 20
- (a)
E has a “terminal” object 1 such that, for any object A, there is a unique map A → 1. (In Set, 1 may be taken to be any singleton, in particular {0}. Note that elements of a set A correspond to maps 1 → A.)21
- (b)
Any pair of objects A, B of E has a (Cartesian) product A × B in E.
- (c)
For any pair of objects A, B in E one can form in E the ‘exponential” object B A of all maps A → B.
- (d)
E has a “truth-value” object Ω containing a distinguished element true such that for each object A there is a natural correspondence between subobjects of A and maps A → Ω. (In Set , Ω may be taken to be the set 2 = {0, 1}, and true the element 1; maps A →Ω are then characteristic functions on A and the exponential ΩA corresponds to the power set of X.)
- (e)
E has a “natural numbers” system, that is, a triple (N, s, o) consisting of an object N and maps s: N → N, o: 1 → N. These are subject to the Peano-Lawvere axiom
For any diagram
in E, there is a unique map
for which the diagram
commutes.
Thus Set and all categories of “sets undergoing variation ” such as sheaves and presheaves are toposes.
![$$ {\updelta}_{i{i}^{\prime }}={\updelta}_{i^{\prime }i}\kern1em \left(\mathrm{symmetry}\right) $$](../images/474107_1_En_7_Chapter/474107_1_En_7_Chapter_TeX_Equf.png)
The category
Set
H of H-valued sets has as objects all H-valued sets. A Set
H -arrow f: (I, δ) → (J, ε) is a map f: I × J → H such that
![$$ {\updelta}_{i{i}^{\prime }}\wedge fij\le {f}_{i^{\prime }j}\ {f}_{ij}\wedge {\upvarepsilon}_{j{j}^{\prime }}\le {f}_{i{j}^{\prime }}\kern1em \left(\mathrm{preservation}\ \mathrm{of}\ \mathrm{identity}\right) $$](../images/474107_1_En_7_Chapter/474107_1_En_7_Chapter_TeX_IEq16.png)
![$$ {f}_{ij}\wedge {f}_{i{j}^{\prime }}\le {\upvarepsilon}_{j{j}^{\prime }}\kern1em \left(\mathrm{single}\hbox{-} \mathrm{valuedness}\right) $$](../images/474107_1_En_7_Chapter/474107_1_En_7_Chapter_TeX_Equg.png)
![$$ {\vee}_{i\in I}{f}_{ij}={\updelta}_{ii}\kern0.24em \left(\mathrm{denined}\;\mathrm{on}\;\mathrm{I}\right) $$](../images/474107_1_En_7_Chapter/474107_1_En_7_Chapter_TeX_Equh.png)
There are three principal types of topos:
Type I: categories of “sets undergoing variation These include sheaves and presheaves.
Type II: categories of sets with a generalized equality relation.
Type III: categories arising as models of intuitionistic many- sorted theories (see below)
Lawvere and Tierney established a striking connection between topos theory and logic . This originates with the observation that in the category of sets we have the usual logical operations ∧ (conjunction), ∨ (disjunction), ¬ (negation), → (implication), ∀ (universal quantification), ∃ (existential quantification) defined on the object 2 = {0, 1} of truth values. The richness of a topos E’s internal structure enables analogous “logical operations” to be defined on its object Ω of truth values. The remarkable thing is that the body of laws satisfied by the logical operations in a topos—its “internal logic”—does not, in general, correspond to classical logic, but rather to the intuitionistic or constructive logic of Brouwer and Heyting in which the law of excluded middle is not affirmed.22
To be precise, to each topos E can be associated a certain formal language (E)—its
internal language
23
—which resembles the usual language of set theory in that included among its primitive signs are equality (=), membership (∈) and the set formation operator ({:}).
(E) is a many-sorted language—let us call it a topos language— with each of its sorts corresponding to an object of E. Thus, in particular, for each object A of E,
(E) contains a list of variables of sort A. Each term t of
(E) with free variables x
1, …, x
n, of sorts A
1, …, A
n is then assigned an object B as a sort in such a way as to enable a map
〚t〛 : A
1 × … × A
n → B —the
interpretation
of t in E—to be defined. Terms of sort Ω are called formulas, or propositions. A formula φ is said to be true, or to hold, in E if its interpretation 〚φ〛 : A
1 × … × A
n → Ω has constant value true. It can be shown then that all the axioms and rules of inference of (free) intuitionistic logic
24 formulated in
(E) are true in E. It is in this sense that the “internal logic” of a topos
is intuitionistic or constructive.25
The set of all sentences of (E) which are true in E is called the (internal) theory Th
(E) of E. Th
(E) is an intuitioistic many-sorted theory. A topos E is then, in a natural sense, a model of Th
(E). Within the internal language
and the associated theory of a topos mathematical concepts can be formulated, arguments carried out and constructions performed much as one does in “ordinary” set theory, only observing the rules of intuitionistic logic
. In fact, any topos may be regarded as a model of intuitionistic set theory IST.26 This means that, within a topos, mathematical constructions can be carried out as if within IST. In particular, the rational numbers can be defined as usual and the real numbers
oconstructed by employing either Dedekind
’s procedure of making cuts in the rationals or Cantor’s procedure employing equivalence classes of Cauchy
sequences of rationals. While classically these two constructions lead to isomorphic results, this is not true in constructive logic
: indeed, a number of toposes have been constructed in which (in the topos’s
internal logic), the ordered rings of Dedekind
and Cantor
reals fail to be isomorphic.27
Accordingly, in a topos-theoretic or constructive universe there is more than one candidate28 for the role of the mathematical continuum. The classical view that the linear continuum is a uniquely determined entity is replaced by a pluralistic conception under which the continuum has a number of realizations with essentially different properties. And even if one decides, for example, to choose the Dedekind reals as one’s continuum, its properties may fall far short of those possessed by its classical counterpart. For example, in constructive logic it cannot be proved that the Dedekind reals satisfy the least upper bound property. It can be shown, in fact,29 that, in a topos’s internal theory, the Dedekind reals possess this property exactly when the logical law30 ¬(α ∧ β) → (¬α ∨ ¬β) holds there. This is an arresting instance of the connection between logic and the properties of the mathematical continuum made visible by the shift from classical to constructive logic .
We have mentioned that in 1924 Brouwer proved from his intuitionistic principles that every real-valued function on a closed interval of the real numbers is uniformly continuous. A number of toposes have been constructed in which the corresponding statement for Dedekind reals holds. One such31 is the topos of sheaves on the space of irrational numbers. In any topos in which Brouwer’s theorem holds all closed intervals are cohesive .32
Topos theory thus allows a remarkable flexibility in the handling of the continuum. In Chap. 10 we shall describe a still more remarkable representation of the continuum made possible by topos theory, one in which the infinitesimal plays a key role.