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Shadow Theory

Non-Source Projection and Internal Identifiability

The non-source projection theorem

Jeremy RodgersSection 5 of 14Original PDF ↗Publication DOI ↗

The non-source projection theorem

Targets, essential distinctions, and sufficiency

Definition 4.1 (Target).

A target QQ is a question posed of the source, formalized by a correct-answer map aQ ⁣:S⟶AQ.a_Q\colon S\longrightarrow A_Q . aQ(s)a_Q(s) is the true answer to QQ when the source state is ss. (Nothing is assumed about AQA_Q: it may be a two-point set, a space of numbers, a space of future trajectories, or a space of probability measures.)

Definition 4.2 (Essential distinction).

A pair s0≠s1s_0\neq s_1 in SS is essential for QQ if aQ(s0)≠aQ(s1)a_Q(s_0)\neq a_Q(s_1). It is an essential fiber distinction if in addition p(s0)=p(s1)p(s_0)=p(s_1).

By (2), an essential fiber distinction consists of two states that the model declares physically inequivalent, that the readout cannot tell apart, and that differ in the answer to QQ. That triple of conditions is the witness the whole paper is organized around.

Definition 4.3 (Exact extension sufficient for QQ).

An exact extension of the readout is a pair (E,π)(E,\pi) where EE is a set and π ⁣:E→T1\pi\colon E\to T_1 is a map, together with a surjection e ⁣:S↠Ee\colon S\twoheadrightarrow E satisfying p=π∘e.(10) p=\pi\circ e .\tag{10} (Thus EE refines T1T_1: it is a quotient of SS that remembers at least as much as T1T_1 does. Surjectivity of ee says EE carries no states not realized by the source; (10) says EE determines the readout.)

The extension is sufficient for QQ if aQa_Q descends through ee: ∃ a^ ⁣:E→AQwithaQ=a^∘e.(11) \exists\,\hat a\colon E\to A_Q\quad\text{with}\quad a_Q=\hat a\circ e .\tag{11} Equivalently, by Lemma 3.2, e(s)=e(s′)⇒aQ(s)=aQ(s′)e(s)=e(s')\Rightarrow a_Q(s)=a_Q(s'): the extension’s state determines the correct answer.

Definition 4.4 (Minimal target completion).

Specializing Definition 2.6 to the single relation aQa_Q, put EQ:=Im(p,aQ)={(p(s),aQ(s)):s∈S},(12) E_Q:=\mathop{\mathrm{Im}}(p,a_Q)=\bigl\{(p(s),a_Q(s)):s\in S\bigr\},\tag{12} with eQ(s)=(p(s),aQ(s))e_Q(s)=(p(s),a_Q(s)), uQ(t,a)=tu_Q(t,a)=t, and ρQ(t,a)=a\rho_Q(t,a)=a. By Lemma 2.7, eQe_Q is surjective, uQu_Q is surjective, p=uQ∘eQp=u_Q\circ e_Q, and aQ=ρQ∘eQa_Q=\rho_Q\circ e_Q. In particular (EQ,uQ)(E_Q,u_Q) is an exact extension sufficient for QQ.

The theorem

Theorem 4.5 (Non-source projection).

Let p ⁣:S→T1p\colon S\to T_1 be an exact readout on a reduced source (Definition 2.1), let QQ be a target, and suppose there exist s0,s1∈Ss_0,s_1\in S with p(s0)=p(s1)andaQ(s0)≠aQ(s1).(13) p(s_0)=p(s_1)\qquad\text{and}\qquad a_Q(s_0)\neq a_Q(s_1).\tag{13} Then:

  1. s0≠s1s_0\neq s_1 and pp is not injective; hence pp is not bijective, and the readout does not identify each source state uniquely.

  2. Nevertheless T1T_1 remains the exact quotient: S/ ⁣∼p  ≅  T1S/\!\sim_p\;\cong\;T_1.

  3. No deterministic function of the readout answers QQ correctly on all of SS: there is no aˉ ⁣:T1→AQ\bar a\colon T_1\to A_Q with aQ=aˉ∘pa_Q=\bar a\circ p.

  4. The minimal target completion EQE_Q properly refines T1T_1: uQ ⁣:EQ→T1u_Q\colon E_Q\to T_1 is surjective but not injective.

  5. Every exact extension sufficient for QQ admits a unique surjection onto EQE_Q commuting with the structure maps (Theorem 4.6).

  6. No change of gauge or of coordinates removes the distinction, since all such redundancies were quotiented in forming SS.

Accordingly, relative to the model (S,≃phys,p)(S,\simeq_{\mathrm{phys}},p) and the target QQ, the readout T1T_1 is a non-source projection.

Proof. (N1) If s0=s1s_0=s_1 then aQ(s0)=aQ(s1)a_Q(s_0)=a_Q(s_1), contradicting (13); so s0≠s1s_0\neq s_1. These two distinct points have the same image under pp, so pp is not injective. Since pp is surjective (Lemma 2.3) but not injective, pp is not bijective; hence the readout does not identify each source state uniquely , the states s0s_0 and s1s_1 share the readout value p(s0)=p(s1)p(s_0)=p(s_1). We emphasize that this argument is direct and invokes no separating hypothesis: Theorem 3.4 is unavailable here, since Assumption 3.3 is not among the hypotheses of the present theorem, and it is not needed , the witness (13) exhibits the noninjectivity outright.

(N2) This is Lemma 2.3, which used only ≃phys\simeq_{\mathrm{phys}}-invariance and surjectivity of ΠT1\Pi_{T_1}, and is untouched by (13). The point deserves emphasis: exactness of the readout and failure of source completeness are perfectly compatible. Losing the fiber’s internal structure is not a defect of exactness; it is what exactness of a noninjective quotient means.

(N3) Suppose such aˉ\bar a existed. By Lemma 3.2((1)⇒\Rightarrow(2)), aQa_Q would be constant on pp-fibers. But p(s0)=p(s1)p(s_0)=p(s_1) places s0,s1s_0,s_1 in one fiber while aQ(s0)≠aQ(s1)a_Q(s_0)\neq a_Q(s_1); contradiction.

(N4) uQu_Q is surjective by Lemma 2.7. Set t:=p(s0)=p(s1)t:=p(s_0)=p(s_1) and consider eQ(s0)=(t, aQ(s0)),eQ(s1)=(t, aQ(s1)).e_Q(s_0)=\bigl(t,\,a_Q(s_0)\bigr),\qquad e_Q(s_1)=\bigl(t,\,a_Q(s_1)\bigr). Both lie in EQE_Q; they are distinct, because their second coordinates differ by (13); and uQu_Q sends both to tt. Hence uQu_Q is not injective, i.e. some fiber of uQu_Q has at least two points, which is what “EQE_Q properly refines T1T_1” asserts.

(N5) Proved as Theorem 4.6 below.

(N6) By construction (1), S=Ω/ ⁣≃physS=\Omega/\!\simeq_{\mathrm{phys}}, so any two raw realizations related by a declared redundancy have already been identified. Since s0≠s1s_0\neq s_1 in SS, no such redundancy relates their representatives; a fortiori no relabelling in the declared class maps one to the other. Cf. (2). ◻

Theorem 4.6 (Universal property of the minimal target completion).

Let (E,π,e)(E,\pi,e) be any exact extension sufficient for QQ (Definition 4.3). Then there is a unique map ϕ ⁣:E⟶EQwithϕ∘e=eQ,\phi\colon E\longrightarrow E_Q \qquad\text{with}\qquad \phi\circ e=e_Q , and ϕ\phi is surjective and satisfies uQ∘ϕ=πu_Q\circ\phi=\pi and ρQ∘ϕ=a^\rho_Q\circ\phi=\hat a.

Proof. Existence. Since ee is surjective, by Lemma 3.2 it suffices to check that eQe_Q is constant on the fibers of ee. Let e(s)=e(s′)e(s)=e(s'). Then:

  • p(s)=π(e(s))=π(e(s′))=p(s′)p(s)=\pi(e(s))=\pi(e(s'))=p(s'), using (10);

  • aQ(s)=a^(e(s))=a^(e(s′))=aQ(s′)a_Q(s)=\hat a(e(s))=\hat a(e(s'))=a_Q(s'), using (11).

Hence eQ(s)=(p(s),aQ(s))=(p(s′),aQ(s′))=eQ(s′)e_Q(s)=(p(s),a_Q(s))=(p(s'),a_Q(s'))=e_Q(s'). Lemma 3.2 now supplies a unique ϕ ⁣:E→EQ\phi\colon E\to E_Q with ϕ∘e=eQ\phi\circ e=e_Q, which is also the asserted uniqueness.

Surjectivity. eQe_Q is surjective onto EQE_Q (Lemma 2.7) and factors as ϕ∘e\phi\circ e; hence Imϕ⊇Im(ϕ∘e)=EQ\mathop{\mathrm{Im}}\phi\supseteq\mathop{\mathrm{Im}}(\phi\circ e)=E_Q.

Compatibility. For s∈Ss\in S: uQ(ϕ(e(s)))=uQ(eQ(s))=p(s)=π(e(s))u_Q(\phi(e(s)))=u_Q(e_Q(s))=p(s)=\pi(e(s)), and since ee is surjective, uQ∘ϕ=πu_Q\circ\phi=\pi on all of EE. Likewise ρQ(ϕ(e(s)))=ρQ(eQ(s))=aQ(s)=a^(e(s))\rho_Q(\phi(e(s)))=\rho_Q(e_Q(s))=a_Q(s)=\hat a(e(s)), giving ρQ∘ϕ=a^\rho_Q\circ\phi=\hat a. ◻

Remark 23 (Direction of the universal map, and what it means).

The map runs from an arbitrary sufficient extension onto EQE_Q, not the reverse. The reading is: EQE_Q is the coarsest sufficient extension , it retains exactly the readout plus the answer to QQ and nothing else , and any other sufficient extension, being at least as fine, projects onto it. In categorical language EQE_Q is terminal in the category of exact extensions sufficient for QQ (with morphisms the maps commuting with the ee’s), and terminality gives both the uniqueness of ϕ\phi and, in the usual way, uniqueness of EQE_Q up to canonical isomorphism. It is exactly the wrong intuition to expect a map EQ→EE_Q\to E: a completion that remembers more than QQ requires cannot be manufactured out of QQ’s answer.

Corollaries: relation, linear, and equivariant forms

Corollary 4.8 (Relation form).

Let r ⁣:S→Vr\colon S\to V be an invariant relation and suppose QQ is active in rr, meaning aQa_Q factors as aQ=θ∘ra_Q=\theta\circ r for some θ ⁣:V→AQ\theta\colon V\to A_Q. If rr varies on some pp-fiber and that variation changes θ\theta, i.e. there are s0,s1s_0,s_1 with p(s0)=p(s1)p(s_0)=p(s_1) and θ(r(s0))≠θ(r(s1))\theta(r(s_0))\neq\theta(r(s_1)), then all conclusions of Theorem 4.5 hold, and E{r}E_{\{r\}} properly refines T1T_1.

Proof. The hypothesis says exactly aQ(s0)=θ(r(s0))≠θ(r(s1))=aQ(s1)a_Q(s_0)=\theta(r(s_0))\neq\theta(r(s_1))=a_Q(s_1) with p(s0)=p(s1)p(s_0)=p(s_1), i.e. (13); apply Theorem 4.5. For the last claim, r(s0)≠r(s1)r(s_0)\neq r(s_1) (else θ\theta would take equal values), so e{r}(s0)≠e{r}(s1)e_{\{r\}}(s_0)\neq e_{\{r\}}(s_1) while u{r}u_{\{r\}} identifies them, exactly as in the proof of (N4). ◻

The qualification in Corollary 4.8 is not decorative. Mere variation of rr on a fiber is not enough for a target obstruction: if θ\theta is constant on the values rr takes in that fiber, the target does not see the variation. Obstruction is always relative to a target.

Corollary 4.9 (Bounded-linear observation form).

Let K ⁣:Hsrc→HobsK\colon\mathcal{H}_{\mathrm{src}}\to\mathcal{H}_{\mathrm{obs}} be bounded, let S=HsrcS=\mathcal{H}_{\mathrm{src}}, and let p=Kp=K (corestricted to RanK\mathop{\mathrm{Ran}}K), so that pp-fibers are the cosets Ψ+ker⁡K\Psi+\ker K. Let aQ ⁣:Hsrc→AQa_Q\colon\mathcal{H}_{\mathrm{src}}\to A_Q be a target. If there exist Ψ∈Hsrc\Psi\in\mathcal{H}_{\mathrm{src}} and n∈ker⁡Kn\in\ker K with aQ(Ψ+n)≠aQ(Ψ),(14) a_Q(\Psi+n)\neq a_Q(\Psi),\tag{14} then RanK\mathop{\mathrm{Ran}}K is a non-source projection for QQ in the sense of Theorem 4.5: no function of KΨK\Psi alone computes aQa_Q on all of Hsrc\mathcal{H}_{\mathrm{src}}, and every exact extension sufficient for QQ surjects onto EQE_Q and therefore distinguishes the cosets Ψ+n\Psi+n and Ψ\Psi.

Proof. K(Ψ+n)=KΨ+Kn=KΨK(\Psi+n)=K\Psi+Kn=K\Psi, so p(Ψ+n)=p(Ψ)p(\Psi+n)=p(\Psi); with (14) this is the witness (13) with s0=Ψs_0=\Psi, s1=Ψ+ns_1=\Psi+n. (Note n≠0n\neq0 follows from (14).) Apply Theorem 4.5 and Theorem 4.6. That every sufficient extension separates the two cosets: if e(Ψ)=e(Ψ+n)e(\Psi)=e(\Psi+n), sufficiency (11) would force aQ(Ψ)=aQ(Ψ+n)a_Q(\Psi)=a_Q(\Psi+n), contradiction. ◻

We note what Corollary 4.9 does not assume: no closed range (that was needed only for the Banach-space isomorphism (8), not for the set-level obstruction), no self-adjointness, no linearity of aQa_Q. If aQa_Q happens to be a bounded linear functional ⟨ξ,⋅⟩\langle\xi,\cdot\rangle, then (14) holds for some n∈ker⁡Kn\in\ker K iff ξ∉(ker⁡K)⊥=RanK∗‾\xi\notin(\ker K)^{\perp}=\overline{\mathop{\mathrm{Ran}}K^{*}} , a clean spectral criterion, and a good way to test the hypothesis in a concrete linear model.

For the equivariant obstruction we first fix notation.

Definition 4.10 (Group action, stabilizer, fixed set).

Let a group GG act on SS and on T1T_1, and suppose pp is equivariant: p(g⋅s)=g⋅p(s)p(g\cdot s)=g\cdot p(s) for all g∈Gg\in G, s∈Ss\in S. For t∈T1t\in T_1 let Gt:={g∈G:g⋅t=t}G_t:=\{g\in G: g\cdot t=t\} be its stabilizer. Equivariance implies GtG_t acts on the fiber p−1(t)p^{-1}(t): if p(s)=tp(s)=t and g∈Gtg\in G_t then p(g⋅s)=g⋅t=tp(g\cdot s)=g\cdot t=t. Write the fixed-point set of that action FixGt(p−1(t)):={s∈p−1(t) : g⋅s=s  ∀g∈Gt}.\mathop{\mathrm{Fix}}_{G_t}\bigl(p^{-1}(t)\bigr):=\bigl\{s\in p^{-1}(t)\ :\ g\cdot s=s\ \ \forall g\in G_t\bigr\}. A GG-equivariant source selector is a map σ ⁣:T1→S\sigma\colon T_1\to S with p∘σ=idT1p\circ\sigma=\mathop{\mathrm{id}}_{T_1} and σ(g⋅t)=g⋅σ(t)\sigma(g\cdot t)=g\cdot\sigma(t) for all g,tg,t.

Corollary 4.11 (Symmetry-compatible reconstruction obstruction).

In the setting of Definition 4.10, if there exists t∈T1t\in T_1 with FixGt(p−1(t))=∅,(15) \mathop{\mathrm{Fix}}_{G_t}\bigl(p^{-1}(t)\bigr)=\varnothing,\tag{15} then no GG-equivariant source selector σ\sigma exists. In particular, no reconstruction rule that respects the readout symmetry can choose a source representative in every fiber.

Proof. Suppose σ\sigma were such a selector and let tt satisfy (15). Since p(σ(t))=tp(\sigma(t))=t, we have σ(t)∈p−1(t)\sigma(t)\in p^{-1}(t). Let g∈Gtg\in G_t. Then, using equivariance of σ\sigma and g⋅t=tg\cdot t=t, g⋅σ(t)=σ(g⋅t)=σ(t).g\cdot\sigma(t)=\sigma(g\cdot t)=\sigma(t). As g∈Gtg\in G_t was arbitrary, σ(t)\sigma(t) is fixed by every element of GtG_t, i.e. σ(t)∈FixGt(p−1(t))\sigma(t)\in\mathop{\mathrm{Fix}}_{G_t}(p^{-1}(t)), contradicting (15). ◻

Remark 28.

Corollary 4.11 obstructs equivariant selectors only. A non-equivariant selector may well exist , indeed, for pp surjective, the axiom of choice always supplies some set-theoretic section σ\sigma with pσ=idp\sigma=\mathop{\mathrm{id}}. The content is that any such section must break the symmetry GG: reconstruction is possible only at the cost of a choice that the readout’s own symmetry group does not sanction. This is the precise sense in which the obstruction is a symmetry obstruction and not a cardinality one.

The scope of Theorem 4.5

Theorem 4.5 is conditional on four supplied objects: the source domain SS, the physical equivalence ≃phys\simeq_{\mathrm{phys}} used to build it, the readout pp, and the essential witness (13). It derives none of them. Its strength is precisely delimited: once those four are established for a model, the non-source conclusion follows with no further interpretive step , one does not additionally need to argue that the projection “loses something real”, because the witness (13) says so in the model’s own terms. Its weakness is equally precise: it says nothing whatever about whether our universe supplies them. We return to this in §10, and we do not claim more anywhere.

Example 4.13 (Finite source, nontrivial fiber, proper completion).

Let S={s0,s1,s2},T1={t,t′},p(s0)=p(s1)=t,p(s2)=t′.S=\{s_0,s_1,s_2\},\qquad T_1=\{t,t'\},\qquad p(s_0)=p(s_1)=t,\quad p(s_2)=t'. Assume the model has already reduced by ≃phys\simeq_{\mathrm{phys}}, so s0,s1,s2s_0,s_1,s_2 are pairwise physically inequivalent. Take the target QQ with AQ={0,1}A_Q=\{0,1\} and aQ(s0)=0,aQ(s1)=1,aQ(s2)=1.a_Q(s_0)=0,\qquad a_Q(s_1)=1,\qquad a_Q(s_2)=1 . Then (13) holds with the pair (s0,s1)(s_0,s_1). Compute the minimal target completion: EQ=Im(p,aQ)={(t,0), (t,1), (t′,1)},E_Q=\mathop{\mathrm{Im}}(p,a_Q)=\bigl\{(t,0),\,(t,1),\,(t',1)\bigr\}, a three-element set. The projection uQ ⁣:EQ→T1u_Q\colon E_Q\to T_1 sends (t,0)↦t(t,0)\mapsto t, (t,1)↦t(t,1)\mapsto t, (t′,1)↦t′(t',1)\mapsto t'; it is surjective, and its fiber over tt has two elements, so it is not injective , EQE_Q properly refines T1T_1, as (N4) requires. Note also that eQ ⁣:S→EQe_Q\colon S\to E_Q is here a bijection, so in this example EQE_Q happens to recover SS completely; that is an accident of aQa_Q separating s0s_0 from s1s_1, not a general feature. Indeed, modify the target to aQ′(s0)=aQ′(s1)=0a_{Q'}(s_0)=a_{Q'}(s_1)=0, aQ′(s2)=1a_{Q'}(s_2)=1. Now aQ′a_{Q'} is fiber-constant, hence descends (aˉQ′(t)=0\bar a_{Q'}(t)=0, aˉQ′(t′)=1\bar a_{Q'}(t')=1), EQ′={(t,0),(t′,1)}≅T1E_{Q'}=\{(t,0),(t',1)\}\cong T_1, and T1T_1 is complete relative to Q′Q' while remaining kinematically incomplete. Both targets, one readout: obstruction is target-relative, and Corollary 3.6 bites only for families that separate , {aQ′}\{a_{Q'}\} does not separate s0s_0 from s1s_1.

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