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Additivity Requirements in Classical and Quantum Probability

John Earman

Published May 4, 2017• 2 citations
OpenAlex

Abstract

The discussion of different principles of additivity (finite vs. countable vs. complete additivity) for probability functions has been largely focused on the personalist interpretation of probability. Very little attention has been given to additivity principles for physical probabilities. The form of additivity for quantum probabilities is determined by the algebra of observables that characterize a physical system and the type of quantum state that is realizable and preparable for that system. We assess arguments designed to show that only normal quantum states are realizable and preparable and, therefore, quantum probabilities satisfy the principle of complete additivity. We underscore the little remarked fact that unless the dimension of the Hilbert space is incredibly large, complete additivity in ordinary non-relativistic quantum mechanics (but not in relativistic quantum field theory) reduces to countable additivity. We then turn to ways in which knowledge of quantum probabilities may constrain rational credence about quantum events and, thereby, constrain the additivity principle satisfied by rational credence functions.

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AbstractStandard quantum mechanics is formulated using complex Hilbert spaces, real-valued probabilities, continuous one-parameter dynamics, and—where particles and fields have continuous degrees of freedom —function spaces constructed over continua such as R3 . In that precise mathematical sense, the real and complex continua are deeply embedded in the standard theory. It does not follow, however, that experiments have demonstrated the physical existence of an uncountable set of exact real numbers, still less that individual quantum systems physically “store” infinitely many digits. Every preparation, control operation, and measurement has finite precision, and many quantum predictions can be approximated arbitrarily closely using countable or finite descriptions.This distinction matters because the continuum is sometimes blamed for quantum theory's conceptual strangeness. That diagnosis is mostly unsupported. Superposition, interference, uncertainty, noncommutativity, entanglement, contextuality, Bell-inequality violations, and no-cloning already occur in finite-dimensional quantum systems and do not depend in any straightforward way on continuous position space or arbitrary irrational numbers. Restricting a Hilbert space to rational, algebraic, computable, or finitely specified states therefore does not automatically produce classical physics. Indeed, dense restricted subsets can approximate ordinary quantum predictions to arbitrary finite accuracy, although turning such a subset into a complete physical theory requires much more: closed dynamics, a composition rule, a measurement theory, robustness, and new empirical predictions.A particularly developed contemporary alternative is Tim Palmer's Invariant Set Theory and its recent formulation as Rational Quantum Mechanics (RaQM). RaQM is not accurately described as simply “quantum mechanics with irrational numbers banned.” It restricts the bases in which states are physically defined through number-theoretic rationality conditions, represents admissible states using finite bit strings, invokes a fractal invariant state space equipped with a non-Euclidean, p-adic-like metric, and violates Bell measurement independence at the level of exact counterfactual settings. Palmer's 2026 proposal further predicts a finite qubit-information capacity and an eventual saturation of quantum computational advantage. These are genuine, potentially falsifiable proposals, but they remain speculative and have not displaced standard quantum theory.The strongest conclusion is consequently asymmetric. There is a serious foundational question about whether the continuum is an ontological feature of nature or an extraordinarily efficient mathematical completion. Finite precision prevents existing experiments from proving a literal continuum. But there is presently little evidence that continuum mathematics causes quantum phenomena. Any discrete replacement must still account quantitatively for interference, contextuality, Bell correlations, entanglement, spectroscopy, atomic structure, and quantum computation. Discreteness can change quantum physics only when it is accompanied by additional physical postulates—and those postulates, rather than discreteness alone, must ultimately face experiment.

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David Lewis' "Principal Principle" is a purported principle of rationality connecting credence and objective chance. Almost all of the discussion of the Principal Principle in the philosophical literature assumes classical probability theory, which is unfortunate since the theory of modern physics that, arguably, speaks most clearly of objective chance is the quantum theory, and quantum probabilities are not classical probabilities. Given the generally accepted updating rule for quantum probabilities, there is a straight forward sense in which the Principal Principle is a theorem of quantum probability theory for any credence function satisfying a suitable additivity requirement. No additional principle of rationality is needed to bring credence into line with objective chance.

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The topic of probabilty in quantum mechanics is rather vast, and in this article, we shall choose to discuss it from the perspective of whether and in what sense quantum mechanics requires a generalisation of the usual (Kolmogorovian) concept of probability. We shall focus on the case of finite-dimensional quantum mechanics (which is analogous to that of discrete probability spaces), partly for simplicity and partly for ease of generalisation. While we shall largely focus on formal aspects of quantum probability (in particular the non-existence of joint distributions for incompatible observables), our discussion will relate also to notorious issues in the interpretation of quantum mechanics. Indeed, whether quantum probability can or cannot be ultimately reduced to classical probability connects rather nicely to the question of 'hidden variables' in quantum mechanics. An abridged version of this essay will appear in A. Hajek and C. Hitchcock (eds.), 'The Oxford Handbook of Probability and Philosophy', Oxford University Press. The present version includes in particular many more footnotes and references and the Appendix with the proofs of the Lemma and Proposition of Section 5.

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The discussion of different principles of additivity (finite vs. countable vs. complete additivity) for probability functions has been largely focused on the personalist interpretation of probability. Very little attention has been given to additivity principles for physical probabilities. The form of additivity for quantum probabilities is determined by the algebra of observables that characterize a physical system and the type of quantum state that is realizable and preparable for that system. We assess arguments designed to show that only normal quantum states are realizable and preparable and, therefore, quantum probabilities satisfy the principle of complete additivity. We underscore the little remarked fact that unless the dimension of the Hilbert space is incredibly large, complete additivity in ordinary non-relativistic quantum mechanics (but not in relativistic quantum field theory) reduces to countable additivity. We then turn to ways in which knowledge of quantum probabilities may constrain rational credence about quantum events and, thereby, constrain the additivity principle satisfied by rational credence functions.
Introduction Quantum probability is a generalization of both classical probability theory and quantum mechanics that allows to describe the probabilistic aspects of quantum mechanics. This generalization is formulated in two steps. First, the theory is reformulated in terms of algebras of functions on probability spaces. Therefore, the notion of a probability space (Ω, ℱ , P ) is replaced by the pair ( L ∞ (Ω), E (.) = ∫ Ω . d P ) consisting of the commutative von Neumann algebra of bounded random variables and the expectation functional. Then, the commutativity condition is dropped. In this way we arrive at the notion of a (von Neumann) algebraic probability space ( N ,Φ) consisting of a von Neumann algebra N and a normal (faithful tracial) state Φ. As we have seen this includes classical probability spaces in the form ( L ∞ (Ω), E ), it also includes quantum mechanical systems modeled by a Hilbert space H and a pure state ψ ∊ H (or a mixed state ρ ∊ S ( H )), if we take N = B ( H ) and Ф the state defined by Ф( X ) = 〈 ψ, X ψ 〉 (or Ф ( X ) = tr(ρ X )) for X ∊ B ( H ). Note that in this course we shall relax the conditions on N and Φ and work with involutive algebras and positive normalized functionals, that is, *-algebraic probability spaces. A striking feature of quantum probability (also called noncommutative probability) is the existence of several notions of independence. This is the starting point of this course, which intends to give an introduction to the theory of quantum stochastic processes with independent increments. However, before we come to these processes, we will give a general introduction to quantum probability. In Section 1.2, we recall the basic definitions of quantum probability and discuss some fundamental differences between classical probability and quantum probability. In Section 1.3 we address the question ‘Why do we need Quantum Probability?’ We discuss the EPR experiment and the Kochen–Specker Theorem, which show that we cannot model quantum physics with classical probability spaces because the values of observable quantities do not exist unless we specify which measurement we will carry out and which quantities we will determine. In this sense quantum physics requires a more radical description of chance.
AbstractStandard quantum mechanics is formulated using complex Hilbert spaces, real-valued probabilities, continuous one-parameter dynamics, and—where particles and fields have continuous degrees of freedom —function spaces constructed over continua such as R3 . In that precise mathematical sense, the real and complex continua are deeply embedded in the standard theory. It does not follow, however, that experiments have demonstrated the physical existence of an uncountable set of exact real numbers, still less that individual quantum systems physically “store” infinitely many digits. Every preparation, control operation, and measurement has finite precision, and many quantum predictions can be approximated arbitrarily closely using countable or finite descriptions.This distinction matters because the continuum is sometimes blamed for quantum theory's conceptual strangeness. That diagnosis is mostly unsupported. Superposition, interference, uncertainty, noncommutativity, entanglement, contextuality, Bell-inequality violations, and no-cloning already occur in finite-dimensional quantum systems and do not depend in any straightforward way on continuous position space or arbitrary irrational numbers. Restricting a Hilbert space to rational, algebraic, computable, or finitely specified states therefore does not automatically produce classical physics. Indeed, dense restricted subsets can approximate ordinary quantum predictions to arbitrary finite accuracy, although turning such a subset into a complete physical theory requires much more: closed dynamics, a composition rule, a measurement theory, robustness, and new empirical predictions.A particularly developed contemporary alternative is Tim Palmer's Invariant Set Theory and its recent formulation as Rational Quantum Mechanics (RaQM). RaQM is not accurately described as simply “quantum mechanics with irrational numbers banned.” It restricts the bases in which states are physically defined through number-theoretic rationality conditions, represents admissible states using finite bit strings, invokes a fractal invariant state space equipped with a non-Euclidean, p-adic-like metric, and violates Bell measurement independence at the level of exact counterfactual settings. Palmer's 2026 proposal further predicts a finite qubit-information capacity and an eventual saturation of quantum computational advantage. These are genuine, potentially falsifiable proposals, but they remain speculative and have not displaced standard quantum theory.The strongest conclusion is consequently asymmetric. There is a serious foundational question about whether the continuum is an ontological feature of nature or an extraordinarily efficient mathematical completion. Finite precision prevents existing experiments from proving a literal continuum. But there is presently little evidence that continuum mathematics causes quantum phenomena. Any discrete replacement must still account quantitatively for interference, contextuality, Bell correlations, entanglement, spectroscopy, atomic structure, and quantum computation. Discreteness can change quantum physics only when it is accompanied by additional physical postulates—and those postulates, rather than discreteness alone, must ultimately face experiment.
The emergence of intrinsic probability has long been one of the most important and puzzling problems in quantum mechanics, and the law most directly related to this problem is the Born rule. For a century, there have been many attempts to derive the Born rule as a theorem rather than postulating it. However, existing derivations of the Born rule are each based on different frameworks and have attracted different criticisms. The assumptions from which they start are also highly divergent, and the connections between them have not been sufficiently studied. These possible connections are very likely to be the key to answering questions about the origin of probability in quantum mechanics. This paper focuses on proving the necessity and indispensability of the additivity assumption in the derivation of the Born rule. This supports the view that the Born rule cannot be derived solely from other non-probabilistic quantum or additional postulates. We first prove that additivity cannot be derived from two other commonly used non-probabilistic additional assumptions, non-contextuality and normalization. Then we analyze the crucial role of the additivity assumption in five important existing derivations of the Born rule. These include Gleason's Theorem, Busch's extension of Gleason's Theorem, the Deutsch-Wallace Theorem, Zurek's envariance proof, and the Finkelstein-Hartle Theorem. We show that these derivations either depend heavily on the additivity assumption or lead to obvious loopholes due to the lack of additivity. We also point out some problems arised from the lack of a non-contextuality assumption. Our results provide a novel insight into the important role of additivity assumption in quantum measurement, as well as into the origin of probability in quantum mechanics.
It is a scientific truism nowadays that quantum mechanical predictions are of statistical or rather of probabilistic nature: a quantum theory assigns a probability distribution to each measurable quantity (observable) of a physical system prepared according to a given preparation prescription (state). Such sets of probability distributions represent the most general quantitative predictions of physical theories. The aim of this study is to determine all theoretical frameworks which yield such a kind of output taking the probabilistic nature of quantitative physical predictions as initial hypothesis. Astonishingly, this project succeeds with a minimal number of additional assumptions, which arise quite naturally in the course of the analysis, and which essentially amount to regularity conditions. The result is that there exist only two classes of physical theories providing quantitative probabilistic predictions: classical theories where observables are represented by real functions over a phase space and states are represented by probability measures upon the phase space, and quantum theories where observables are represented by selfadjoint operators acting on a complex Hilbert space and states are represented by state operators. On empirical grounds, classical theories cannot provide the all-encompassing, fundamental frame for the mathematical description of physical systems. Quantum theories remain, and there is no more complete formal frame for quantitative physical theories. As an additional result, it is shown that there exist physical systems which possess a quantum mechanical but no classical description; a prominent example is the spin system of two spin-1/2 particles. The classical hidden variables model, which J. Bell relates to this system in order to prove his theorem, cannot be a true description of it because no such classical model exists, and Bell's theorem loses its foundation.
David Lewis' "Principal Principle" is a purported principle of rationality connecting credence and objective chance. Almost all of the discussion of the Principal Principle in the philosophical literature assumes classical probability theory, which is unfortunate since the theory of modern physics that, arguably, speaks most clearly of objective chance is the quantum theory, and quantum probabilities are not classical probabilities. Given the generally accepted updating rule for quantum probabilities, there is a straight forward sense in which the Principal Principle is a theorem of quantum probability theory for any credence function satisfying a suitable additivity requirement. No additional principle of rationality is needed to bring credence into line with objective chance.
The topic of probabilty in quantum mechanics is rather vast, and in this article, we shall choose to discuss it from the perspective of whether and in what sense quantum mechanics requires a generalisation of the usual (Kolmogorovian) concept of probability. We shall focus on the case of finite-dimensional quantum mechanics (which is analogous to that of discrete probability spaces), partly for simplicity and partly for ease of generalisation. While we shall largely focus on formal aspects of quantum probability (in particular the non-existence of joint distributions for incompatible observables), our discussion will relate also to notorious issues in the interpretation of quantum mechanics. Indeed, whether quantum probability can or cannot be ultimately reduced to classical probability connects rather nicely to the question of 'hidden variables' in quantum mechanics. An abridged version of this essay will appear in A. Hajek and C. Hitchcock (eds.), 'The Oxford Handbook of Probability and Philosophy', Oxford University Press. The present version includes in particular many more footnotes and references and the Appendix with the proofs of the Lemma and Proposition of Section 5.