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arXiv:2603.05682

Order Unit Spaces and Probabilistic Models

John Harding, Alex Wilce

quant-phSubmitted Mar 5, 2026• Announced Mar 9, 2026• 0 citations
v1 · Mar 5, 2026v2 · Jun 18, 2026
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Abstract

We exhibit a functor from the category OUS of order unit spaces and positive, unit-preserving mappings into the category $\Prob$ of probabilistic models (test spaces with designated state spaces) and morphisms thereof. Restricted to any subcategory of OUS monoidal with respect to a positive, normalized, bilinear composition rule, our functor is also monoidal. This shows that the convex-operational approach to physical theories can be subsumed by the test-space approach, without resort to ``generalized test spaces''. A second construction, equipping a probabilistic model with tests representing ``weighted coins'', also sheds light on the nature of unsharp observables.

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We exhibit a functor from the category OUS of order unit spaces and positive, unit-preserving mappings into the category \Prob\Prob\Prob of probabilistic models (test spaces with designated state spaces) and morphisms thereof. Restricted to any subcategory of OUS monoidal with respect to a positive, normalized, bilinear composition rule, our functor is also monoidal. This shows that the convex-operational approach to physical theories can be subsumed by the test-space approach, without resort to generalized test spaces''. A second construction, equipping a probabilistic model with tests representing weighted coins'', also sheds light on the nature of unsharp observables.
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Effectus theory is a relatively new approach to categorical logic that can be seen as an abstract form of generalized probabilistic theories (GPTs). While the scalars of a GPT are always the real unit interval [0,1], in an effectus they can form any effect monoid. Hence, there are quite exotic effectuses resulting from more pathological effect monoids. In this paper we introduce sigma-effectuses, where certain countable sums of morphisms are defined. We study in particular sigma-effectuses where unnormalized states can be normalized. We show that a non-trivial sigma-effectus with normalization has as scalars either the two-element effect monoid 0,1 or the real unit interval [0,1]. When states and/or predicates separate the morphisms we find that in the 0,1 case the category must embed into the category of sets and partial functions (and hence the category of Boolean algebras), showing that it implements a deterministic model, while in the [0,1] case we find it embeds into the category of Banach order-unit spaces and of Banach pre-base-norm spaces (satisfying additional properties), recovering the structure present in GPTs. Hence, from abstract categorical and operational considerations we find a dichotomy between deterministic and convex probabilistic models of physical theories.
From every pair of adjoint functors it is possible to produce a (possibly trivial) equivalence of categories by restricting to the subcategories where the unit and counit are isomorphisms. If we do this for the adjunction between effect algebras and abstract convex sets, we get the surprising result that the equivalent subcategories consist of reflexive order-unit spaces and reflexive base-norm spaces, respectively. These are the convex sets that can occur as state spaces in generalized probabilistic theories satisfying both the no-restriction hypothesis and its dual. The linearity of the morphisms is automatic. If we add a compact topology to either the states or the effects, we can obtain a duality for all Banach order-unit spaces or all Banach base-norm spaces, but not both at the same time.
We interpret ontological models for finite-dimensional quantum theory as functors from the category of finite-dimensional Hilbert spaces and bounded linear maps to the category of measurable spaces and Markov kernels. This uniformises several earlier results, that we analyse more closely: Pusey, Barrett, and Rudolph's result rules out monoidal functors; Leifer and Maroney's result rules out functors that preserve a duality between states and measurement; Aaronson et al's result rules out functors that adhere to the Schr\"odinger equation. We also prove that it is possible to have epistemic functors that take values in signed Markov kernels.
There is a long history of representing a quantum state using a quasi-probability distribution: a distribution allowing negative values. In this paper we extend such representations to deal with quantum channels. The result is a convex, strongly monoidal, functorial embedding of the category of trace preserving completely positive maps into the category of quasi-stochastic matrices. This establishes quantum theory as a subcategory of quasi-stochastic processes. Such an embedding is induced by a choice of minimal informationally complete POVM's. We show that any two such embeddings are naturally isomorphic. The embedding preserves the dagger structure of the categories if and only if the POVM's are symmetric, giving a new use of SIC-POVM's, objects that are of foundational interest in the QBism community. We also study general convex embeddings of quantum theory and prove a dichotomy that such an embedding is either trivial or faithful.
We observe that the existence of sequential and parallel composition supermaps in higher order theories of transformations can be formalised using enriched category theory. Encouraged by relevant examples such as unitary supermaps and layers within higher order causal categories (HOCCs), we treat the modelling of higher order physical theories with enriched monoidal categories in analogy with the modelling of physical theories with monoidal categories. We use the enriched monoidal setting to construct a suitable definition of structure preserving map between higher order physical theories via the Grothendieck construction. We then show that the convenient feature of currying in higher order physical theories can be seen as a consequence of combining the primitive assumption of the existence of parallel and sequential composition supermaps with an additional feature of linking. We then use our definition of structure preserving map to show that categories containing infinite towers of enriched monoidal categories with full and faithful structure preserving maps between them inevitably lead to closed monoidal structures. The aim of the proposed definitions is to step towards providing a broad framework for the study and comparison of novel causal structures in quantum theory, and, more broadly, a paradigm of physical theory where static and dynamical features are treated in a unified way.