Categories PDF

Category Theory Background
and Introduction to Coalgebra

MATHLOGAPS 2008: Coalgebra and Circularity
August 2008
My goals for this part of the course
At this point, we have seen examples of circularly-defined sets such

as
the set of streams
the set of infinite trees
One of the main goals of the course is to present a theory of
how these solution spaces work.
The theory is based on the concept of a coalgebra for a functor
and on similar notions from category theory.
This part of the course is a quick introduction to a few of the
concepts which well need.
It is not a systematic presentation of the subject.
Categories
A category C consists of
1
objects c, d, . . .
morphisms f , g , . . ..
Each morphism has a domain and codomain.
f : c d means that c is the domain of f ,
and d is the codomain.
identity morphisms id a for all objects.
a composition operation:
if f : a b and g : b c, then g f : a c.
subject to the requirements that

Composition is associative.
If f : a b, then id b f = f = f id a .
Examples of Categories
We continue with several examples of categories including

the category Set of sets.
the category CMS of complete metric spaces.
Of course, well see constructions of new categories from old
at several places as well.
The category Set
The objects of Set are the sets, and the morphisms

are triples hx, y , f i where f : x y .
The domain of hx, y , f i is x, and the codomain is y .
The identity morphism id a for a set a is ha, a, f i, where f is the
identity function on a.
The composition operation of morphisms is given by:
hy , z, g i hx, y , f i = hx, z, g f i
The category Set
The objects of Set are the sets, and the morphisms

are triples hx, y , f i where f : x y .
The domain of hx, y , f i is x, and the codomain is y .
The identity morphism id a for a set a is ha, a, f i, where f is the
identity function on a.
The composition operation of morphisms is given by:
hy , z, g i hx, y , f i = hx, z, g f i
An alternative presentation of the category of sets would take as
morphism the pairs hy , f i with y {a : (b)hb, ai f }.
The category CMS
This is the category of complete metric spaces,

with distances measured in [0, 1],
and with non-expanding functions as morphisms:
d(x, y ) d(fx, fy ).
One reason for the use of [0, 1] is that this way the homsets
CMS(X , Y )
{f : f is a continuous function from X to Y }
are again objects in the category, with

d(f , g )
sup dY (f (x), g (x)).

xX
Functors
Let C and D be categories.

A functor from C to D consists of
An object mapping a 7 Fa, taking objects of C to
objects of D.
A morphism mapping f 7 Ff , taking morphisms of
C to morphisms of D.
such that
If f : a b, then Ff : Fa Fb.
F id a = id Fa .
F (f g ) = Ff Fg .
A functor from C to itself is an endofunctor.
The easiest examples
Let d be an object of D.
We get F : C D, the constant functor d by:
Fc = d,
Ff = id d .
The composition of functors is again a functor.
Endofunctors on Set related to our examples

of systems
Let A be a fixed set.
Then we get a functor Fy = A y by using the cartesian product
for the object part, and
if f : y z, then Ff : A y A z is given by
Ff (ha, xi)
ha, fxi.
Another way to say this:

Ff (w )
hfst(w ), f (snd(w )i.
Ill omit the verification that this actually is a functor.
Stream systems and their solutions

Let FX = N X .
Stream systems are coalgebras of F , maps of the form e : X FX .
Even more, the solution e : X N would be a coalgebra
morphism:
X
e
/ FX
id
Fe
/ FN
The point is that for x X ,

Fe (e(x)) = Fe hfst(e(x)), snd(e(x))i
= hfst(e(x)), e (snd(e(x)))i
We have seen this formulation before.
The power set endofunctor P
For any set X , PX is the set of subsets of X .

P extends to an endofunctor, taking
f :X Y
to
Pf : PX PY
given by direct images: for a X , Pf (a) = f [a] = {f (x) : x a}.
We similarly have functors such as the finite power set functor Pfin .
Set systems and their solutions

Let FX = PX .
Set systems are coalgebras of F , maps of the form e : X PX .
Even more, the solution e : X V is practically a coalgebra
morphism:
e
X
e
/ PX
id
Pe
/ PV
The point is that for x X ,

Pe (e(x)) = e [e(x)]
= {e (a) : a e(x)}
So e satisfies the equation we saw before.
Signature Functors
A signature is set of function symbols with arities.

Each gives us H : Set Set by
H (X )
for g : X Y
H g (hf , x1 , . . . , xn i)
{hf , x1 , . . . , xn i : arity (f ) = n; x X }
hf , g (x1 ), . . . , g (xn )i
So H (X ) is like the one-level trees,

allowing elements of X to appear on the leaves.
Signature Functors

H (X )
for g : X Y
H g (hf , x1 , . . . , xn i)
hf , g (x1 ), . . . , g (xn )i
Example: has a binary symbol and a 0-ary e.

H ({x, y }) = {hei, h, x, xi, h, x, y i, h, y , xi, h, y , y i}.
Signature Functors
H (X )
for g : X Y
H g (hf , x1 , . . . , xn i)
hf , g (x1 ), . . . , g (xn )i
The point is that now tree systems and solutions are represented:
X
e
Tr
/ H X
id
H e
/ H (Tr )
The discrete measure functor D
A discrete measure on a set A is a function : A [0, 1] such

that
1
2
has finite support: {a A | (a) > 0} is finite.

P
aA (a) = 1.
D(A) is the set of discrete measures on A.

We make D into a functor by setting,
for f : P
A B, Df ()(b) = (f 1 (b));
this is {(a) : f (a) = b}.
(This extends discrete measures on A to functions on P(A) by
summing.)
Functions from a fixed set
Let A be a set, and write X A for the functions from A to X .

Let F be defined by FX = X A ,
and for f : X Y , Ff : X A Y A is
??
.
Coproducts
Let C be a category.
A coproduct of objects x and y , is an object x + y
with morphisms inl : x x + y and inr : y x + y meeting the
following condition:
if f : x z and g : y z, then there is a unique
[f , g ] : x + y z such that [f , g ] inl = f and [f , g ] inr = g .
x
inl
[f ,g ]
$
x +O y _ _ _ _ _ _ _ _ _ _ _:/ z
inr
Coproducts
Let C be a category.
A coproduct of objects x and y , is an object x + y
with morphisms inl : x x + y and inr : y x + y meeting the
following condition:
if f : x z and g : y z, then there is a unique
[f , g ] : x + y z such that [f , g ] inl = f and [f , g ] inr = g .
Technically, the coproduct of x and y is the triple (x + y , inl, inr).
Usually theres no need to add the names of the objects to the
coproduct maps inl and inr.
But if we would need to, we could write
inla,a+b : a a + b,
and similarly for inrb,a+b .
Using coproducts
If f : a b and g : c d, then we have
f +g :a+c b+d
given by
f + g = [inl f , inr g ].
In pictures,
a
a+b
/c N
NNN
NNinl
NNN
NNN
'
[inlf ,inrg ]
/c +d
8
ppp
p
p
ppp
ppp inr
p
/d
Categories with coproducts
C has coproducts if every two objects have a coproduct.

A category with coproducts is a tuple (C , +), where C is a
category and + is a coproduct operation on C , giving for each x
and y the triple (x + y , inlx,x+y , inry ,x+y ).
E.g., (Set, +), where
x +y
(x {0}) (y {1}),
also, inl(a) = (a, 0) for a x, and inr(b) = (b, 1) for b y .
Coproducts of functors
Let C be a category and (D, +) be a category with coproducts.

If F : C D and G : C D, we define
F +G :C D
by (F + G )a = Fa + Ga,
and if f : a b, then
(F + G )f : Fa + Ga Fb + Gb
is given by
(F + G )f
Ff + Gf
Initial and Final Objects
In a category C , an object c is called initial

if for every object a, there is a unique ! : c a.

In Set, is initial.
For every a, the empty function is the unique function from to a.

c is terminal, or final
if for every object a, there is a unique ! : a c.
In Set, the final objects are exactly the singletons.
Algebras for a Functor
Let F : C C be a functor.
An algebra for F is a pair (A, a), where a : FA A in C .
The leading example is when F is a signature functor, say F .
Then an F -algebra is a set A together with interpretations of the
symbols in .

Then an F -algebra is a set A together with interpretations of the
symbols in .
Example: has a binary symbol and a 0-ary symbol e.
An algebra as usually presented might have universe {x, y };
interpret e by y , and interpret by
x
y
x
x
y
y
x
x
We would trade all this in for a : H ({x, y }) {x, y }:

a(hei)
= y
a(h, x, xi) = x
a(h, x, y i) = x
a(h, y , xi) = y
a(h, y , y i) = x
A morphism from (A, a) to (B, b) is h : A B such that
FA
Fh
/A
FB
/B
commutes.
This gives a category of F -algebras.
Initial algebras
Lets return to with and e, and its associated H : Set Set.
Let T0 be the set of finite trees (=terms) on the signature.
So T0 contains e, (e, e), ((e, e), e), etc.
We have
i
H(T0 )
c
T0
For example, i(h, (e, e), ei) = ((e, e), e).

Then (T0 , i) is an initial algebra of H.
For any (A, a), the unique H-algebra morphism
from the term algebra (T0 , i) to (A, a)
is evaluation of terms : T0 A.
an initial algebra of another functor

Consider now Pfin on Set.
Then V = Pfin V is the set of hereditarily finite sets.
(V , id) is an initial algebra of Pfin .
That is, given (A, a : Pfin A A), we need a unique h : V A
such that
id /
Pfin V
V
Pfin h
Pfin A
/A
We get h by -recursion, and the formula is

h(x) =
??
an initial algebra of another functor

Consider now Pfin on Set.
Then V = Pfin V is the set of hereditarily finite sets.
(V , id) is an initial algebra of Pfin .
That is, given (A, a : Pfin A A), we need a unique h : V A
such that
id /
Pfin V
V
Pfin h
Pfin A
/A
We get h by -recursion, and the formula is

h(x)
a(Pfin h(x))
a({h(y ) : y x}).
Coalgebras for a Functor
A coalgebra for F is a pair (A, a), where a : A FA in C .
Well shortly see many examples.
A morphism from (A, a) to (B, b) is h : A B such that
A
h
/ FA
Fh
/ FB
commutes.
Why are we studying coalgebras?
stream systems are

coalgebras for FX = N X
tree systems are
coalgebras for FX = H X , where is x, y , ,
set systems (= graphs) are
coalgebra for FX = PX
Solutions are coalgebra morphisms into final coalgebras.
Next time well see a result that gives us final coalgebras in all
cases except PX
(but it works for Pfin X ).
Why are we studying coalgebras?

stream systems are
coalgebras for FX = N X
tree systems are
coalgebras for FX = H X , where is x, y , ,
set systems (= graphs) are
coalgebra for FX = PX
Solutions are coalgebra morphisms into final coalgebras.
Next time well see a result that gives us final coalgebras in all
cases except PX
(but it works for Pfin X ).
belief spaces are
coalgebras for FX = ([0, 1] X ) on Meas
Automata and languages

Let A = {a, b, c} be a set which we think of as alphabet symbols,
and consider the functor FX = X A 2, where 2 = {0, 1}.
A coalgebra for this F is a re-packaged version of a deterministic
automaton.
a,b
a,c

9y
xM m
b
b,c
ze
Here S = {x, y , z}, and e : S FS is

e(x)
e(y )
e(z)
=
=
=
h{ha, xi, hb, xi, hc, y i}, 0i

h{ha, y i, hb, xi, hc, y i}, 1i y is accepting
h{ha, zi, hb, xi, hc, xi}, 0i
Automata and languages

a,b

9y
xM m
b,c
ze a
Let A be the set of finite words on A, including the empty word .
We define : X A X by recursion:
a,c
(s, )
(s, wi)
=
=
s
fst(e((s, w )))(i)
For example (x, bacabc) = y .

Also, let L be the set P(A ) of languages on A.
We define acc : X L, the language acceptance function by
acc(s)
=
=
{w A : (a, w ) is an accepting state}

{w A : snd((a, w )) = 1}
L carries a coalgebra structure

Let l : L F L be given by
l(L)
hi 7 {w : wi L}, 1 iff Li.
This is the language automaton (L, l).

For example, if
L
{, ab, abab, ababab, abababab, . . .}
then
l(L)
h(a 7 , b 7 {a, aba, ababa, . . .}, c 7 ), 1i
l(L)

For all languages L and words w A , (L,l) (L, w ) = {v : vw L}.
l(L)

In it,
acc(L,l) (L)
=
=
=
=
{w : (L, w ) is an accepting state}

{w : {v : vw L} contains }
{w : w L}
L
The language automaton is a final coalgebra
One first checks that acc is a coalgebra morphism:

S
acc
/ FS
F acc
/ FL
Second, every coalgebra morphism preserves language acceptance.
The language automaton is a final coalgebra

One first checks that acc is a coalgebra morphism:
e
S
acc
/ FS

F acc
/ FL
Second, every coalgebra morphism preserves language acceptance.

To prove the uniqueness of acc, let : S L be a coalgebra
morphism.
Then for all states s of S,
acc(S,e) (s)
acc(L,l) ((s))
(s).
And this just says that = acc.

The big picture
algebra
initial algebra
least fixed point
congruence relation
Foundation Axiom
iterative conception
equational logic
recursion: map out of
an initial algebra
useful in syntax
construct
bottom-up
coalgebra
final coalgebra
greatest fixed point
bisimulation equivalence relation
Anti-Foundation Axiom
coiterative conception
modal logic
corecursion: map into
a final coalgebra
useful in semantics
observe
top-down
Lambeks Lemma
Lemma (Lambeks Lemma)

Let C be a category, let F : C C be a functor,
and let (a, f ) be an initial algebra for F .
Then f is an isomorphism:
there is a morphism g : Fa a such that
g f = id a and f g = id Fa .
The same statement holds for final coalgebras of F .
Proof of Lambeks Lemma

Note first that (Fa, Ff ) is an algebra for F . The square below
commutes:
Ff /
FFa
Fa
Ff
Fa
/a
By initiality, there is a morphism g : a Fa so that the square on

the top commutes:
Fa
Fg
FFa
Ff
Ff
Fa
/a
g
/ Fa

/a
The bottom is obvious, the outside of the figure thus commutes.

Proof of Lambeks Lemma, continued

By initiality, there is a morphism g : a Fa so that the square on
the top commutes:
Fa
Fg
F (f g )
FFa
Ff
/a
Ff
/ Fa
f g
Fa

/a}
By initiality, we see that f g = id a .

And then from that top square again,
g f = Ff Fg = F (f g ) = F id a = id Fa .
This completes the proof.
There are no initial algebras or final

coalgebras of P
An isomorphism in Set is a bijection.
And there are no maps from any set onto its power set (Cantors
Theorem).
Together with Lambeks Lemma, we see that P on Set has no
initial algebra and no final coalgebra.
To get around this, one either
1
2
moves from Set to the category Class.

moves from P to P , the functor giving the subsets of a set of
size < .
Well generally go the second route, and in particular consider Pfin .

It turns out that (H , id) is an initial algebra of P .
Well see the final coalgebra later.
Natural transformations
Let F : C D be a functor between two categories,
and let G : C D also be a functor between the same two.
Then a natural transformation from F to G is a family
of morphisms of D indexed by objects of C , in particular each x
is a morphism in D from Fx to Gx.
The requirement on is that for each morphism in C of the form
f : x y , the square below commutes:
x

Fx
f
Ff
Fy
/ Gx

Gf
/ Gy
In symbols, Gf x = y Ff .
One writes : F G .
For each object x of C , x is called the component of at x.
Constructions on natural transformations

Suppose first that : F G , and let H : B C be another
functor.
Then F H : B D and G H : B D.
We get a natural transformation called H from F H to G H by
H b
Hb .
Now let H : D E . So now H F and H G are functors from C

to E .
We get a natural transformation from H F to H G , this time
called H, by
(H)x = Hx .
That is, we apply the functor H to the morphism x . The
verification of naturality is a little different: we apply H
throughout.

Suppose first that : F G , and let H : B C be another
functor.
Then F H : B D and G H : B D.
We get a natural transformation called H from F H to G H by
H b
Hb .
To check that this is indeed natural, let f : x y be a morphism

in B. Then for each x in B (H)x : (F H)x G H)x. And we
have the diagram
(F H)x
(F H)f
(H)x
(F H)y
/ (G H)x

(H)y
(G H)f
/ (G H)y
This is literally the same as

F (Hx)
Hx
/ G (Hx)

If : F G and : F H, then we get a natural
transformation : F H by ( )x = x x . The
verification of naturality is easy.
Finally, suppose that F , G : D E and H, K : C D, and let
: F G and : H K . We get a natural transformation
: F H K G by
F
F HII
II
G H
/F K
II
G
II$
/G K
That is, we claim that the outside of the figure commutes, and
then we define to be the composite in either direction; this
will be a natural transformation by the three constructions which
we have already seen. But for each object x of C the square above
is a naturality square for , applied to the morphsim
x : Hx Kx.
Functors preserving (weak) pullbacks
Definition
A functor F : C D preserves pullbacks if the image of every
pullback square is a pullback square.
Lemma
Concerning preservation of pullbacks:
1
Constant functors preserve pullbacks.
If F and G preserve pullbacks, so do F + G , F G , and F G .
P, Pfin , and D do not preserve pullbacks.
Set-functors and surjective maps

Lemma
Every functor F on Set preserves all surjective maps.
Proof.
Suppose g : X Y is surjective.
Let h : Y X be such that g h = id Y .
Then Fg Fh = id FY , and so Fg must be surjective.
Proposition
If FX = for some X 6= , then F is the constant functor .
Proof.
Let Y be any set. Then there is f : Y X ; f could be a
constant, for example. And now Ff : FY . So FY must be
empty also, since there are no maps from a non-empty set to .

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Category Theory Background

and Introduction to Coalgebra

MATHLOGAPS 2008: Coalgebra and Circularity

Category Theory Background

My goals for this part of the course

At this point, we have seen examples of circularly-defined sets such

MATHLOGAPS 2008: Coalgebra and Circularity

Category Theory Background

identity morphisms id a for all objects.

subject to the requirements that

MATHLOGAPS 2008: Coalgebra and Circularity

Category Theory Background

We continue with several examples of categories including

MATHLOGAPS 2008: Coalgebra and Circularity

Category Theory Background

The category Set

The objects of Set are the sets, and the morphisms

MATHLOGAPS 2008: Coalgebra and Circularity

Category Theory Background

The category Set

The objects of Set are the sets, and the morphisms

MATHLOGAPS 2008: Coalgebra and Circularity

Category Theory Background

The category CMS

This is the category of complete metric spaces,

{f : f is a continuous function from X to Y }

are again objects in the category, with

sup dY (f (x), g (x)).

MATHLOGAPS 2008: Coalgebra and Circularity

Category Theory Background

Let C and D be categories.

MATHLOGAPS 2008: Coalgebra and Circularity

Category Theory Background

The easiest examples

The composition of functors is again a functor.

MATHLOGAPS 2008: Coalgebra and Circularity

Category Theory Background

Endofunctors on Set related to our examples

Another way to say this:

hfst(w ), f (snd(w )i.

Ill omit the verification that this actually is a functor.

MATHLOGAPS 2008: Coalgebra and Circularity

Category Theory Background

Stream systems and their solutions

The point is that for x X ,

MATHLOGAPS 2008: Coalgebra and Circularity

Category Theory Background

The power set endofunctor P

For any set X , PX is the set of subsets of X .

MATHLOGAPS 2008: Coalgebra and Circularity

Category Theory Background

Set systems and their solutions

The point is that for x X ,

MATHLOGAPS 2008: Coalgebra and Circularity

Category Theory Background

A signature is set of function symbols with arities.

So H (X ) is like the one-level trees,

MATHLOGAPS 2008: Coalgebra and Circularity

Category Theory Background

A signature is set of function symbols with arities.

Example: has a binary symbol and a 0-ary e.

MATHLOGAPS 2008: Coalgebra and Circularity

We get h by -recursion, and the formula is

We get h by -recursion, and the formula is