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Bayesian Philosophy of Science
Jan Sprenger Stephan Hartmann
1
3
Great Clarendon Street, Oxford, OX2 6DP,
United Kingdom
Oxford University Press is a department of the University of Oxford.
It furthers the University’s objective of excellence in research, scholarship,
and education by publishing worldwide. Oxford is a registered trade mark of
Oxford University Press in the UK and in certain other countries
© Jan Sprenger and Stephan Hartmann 2019
The moral rights of the authors have been asserted
First Edition published in 2019
Impression: 1
All rights reserved. No part of this publication may be reproduced, stored in
a retrieval system, or transmitted, in any form or by any means, without the
prior permission in writing of Oxford University Press, or as expressly permitted
by law, by licence or under terms agreed with the appropriate reprographics
rights organization. Enquiries concerning reproduction outside the scope of the
above should be sent to the Rights Department, Oxford University Press, at the
address above
You must not circulate this work in any other form
and you must impose this same condition on any acquirer
Published in the United States of America by Oxford University Press
198 Madison Avenue, New York, NY 10016, United States of America
British Library Cataloguing in Publication Data
Data available
Library of Congress Control Number: 2019941395
ISBN 978–0–19–967211–0
Printed and bound by
CPI Group (UK) Ltd, Croydon, CR0 4YY
Links to third party websites are provided by Oxford in good faith and
for information only. Oxford disclaims any responsibility for the materials
contained in any third party website referenced in this work.
Ich bin ein Esel, und will getreu,
wie meine Väter, die Alten,
an der alten, lieben Eselei,
am Eseltume halten.
—Heinrich Heine
First Author’s Preface
Like many things in life that you do for the first time, writing a book
is tempting and scary at the same time. It is scary because the stakes
are high: A weaker journal article or edited volume chapter is easily
pardoned by the academic community. It ends up not being cited and
that’s it. A book, however, is measured by different standards: it is
assumed that you have written it without having to satisfy capricious
referees, stressed editors and strict length and style constraints. It is
supposed to show your highest level of philosophical thinking. (The
analogue in music is perhaps the difference between writing a piano
sonata and writing a symphony—especially when it is the first. We
know well how much even the greatest composers have struggled
with this step!) For personalities like me, who tend to be perfectionist
and sloppy at the same time, this means that you spend an endless
amount of time on revisions and corrections. At some point, then, the
entire project feels like a never-ending story and you are just happy to
complete it and to move on to new challenges.
At the same time, writing a book is a great temptation. Not only
because having a bundle of casebound paper on your desk gives a
different feeling of reward than being notified that your article has
been published on the journal’s homepage. Writing a book is some-
thing that allows you to reflect on your professional contributions and
achievements. You can put them into a context that allows the readers
to grasp the bigger picture and to perceive the links between the
different parts of your work. While the process was at times tedious
and frustrating, overall I enjoyed it very much. I enjoy even more that
we have—finally!—brought the project to a successful conclusion.
Like with most young philosophers, the idea of publishing a
book was born when I was about to complete my Ph.D. thesis in
vii
viii First Author’s Preface
on the book. Most of you will not read this book anyway, so I don’t
have to list you all! But please feel included, regardless of whether you
are part of the Doppelkopf clique from high school or the (all-German)
French connection “Où est le vin?”, whether we made friends at the
TSVV Merlijn football club, whether we played chess together for
Leidsche Schaakgenootschap or Šahovski Klub Brda, or whether you
are just a good friend without any affiliations! Last, but certainly not
least, I would like to thank my parents for their continuous support
and belief in me. It is great to have a place that you can always come
back to.
xiii
xiv Second Author’s Preface
The late Patrick Suppes was my academic mentor for more than
twenty years, and I owe him more than I can say in words. I am also
tremendously thankful for the constant support and encouragement
of Jeremy Butterfield, Roman Frigg and Margie Morrison. Luc Bovens
got me excited about Bayesianism in the late 1990s, for which I am
very grateful. I would also like to thank him for our always enjoyable
and productive collaboration. It turned my academic life around and
opened a whole new field for me. Peter Momtchiloff has been an
excellent and patient editor and it was a pleasure to work again with
him. Several chapters of this book contain material which appeared
already in joint papers with Benjamin Eva, Foad Dizadji-Bahmani,
Richard Dawid, Branden Fitelson, Roman Frigg and Soroush Rafiee
Rad, and I would like to thank them for their input and the wonderful
collaborations. Erik Curiel provided detailed written feedback on an
earlier version of the manuscript and Christopher von Bülow did a
fantastic job as a copy editor. Thank you both! My course “Central
Topics in the Philosophy of Science” at lmu Munich in the academic
years 2015/2016 and 2017/2018 was partly based of the manuscript of
this book, and I would like to thank my students for their very helpful
feedback.
My biggest thanks goes to my friend and co-author Jan Sprenger
who did the lion’s share of this work and who also deserves the lion’s
share of the credit for it. It has been a lot of fun to discuss and work
out with him the ideas presented in this book. I would also like to
thank my friends and family for their support over the years. It means
a lot to me.
xvii
xviii Contents
2.3 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . 75
Appendix: Proofs of the Theorems . . . . . . . . . . . . 78
Bibliography 339
Index 377
List of Figures
xxi
xxii List of Figures
xxiii
Book Overview
The plan for this book emerged in 2011, when we noticed that we were both
using Bayesian models for explicating central scientific concepts and captur-
ing arguments in scientific reasoning, sometimes individually, sometimes
together. We also discovered a lot of common themes in our work; however,
these parallels were difficult to bring out in the compressed form of a journal
article or contribution to an edited volume. So we decided to systematize and
synthesize our work in a monograph with the label “Bayesian Philosophy
of Science”, allowing the reader to appreciate the manifold use of Bayesian
models in philosophy of science—philosophical foundations, conceptual
advances and practical applications in statistical inference.
In some sense, this book is a summary of the work that we have done over
the past ten years. The idea that rational degrees of belief can be described
by the probability calculus and changed via a specific formula—Bayesian
Conditionalization—is a recurring motive in the book and we conjoin it with
central issues of philosophy of science. We do not provide new philosophical
foundations for rational belief, nor do we defend a particular variety of
Bayesian reasoning. In this respect, the book is different from monographs
that aim at rethinking the foundations of rational belief, knowledge or ra-
tional decision-making (Levi 1980; Buchak 2013; Pettigrew 2016; Moss 2018).
Compared to those publications, our effort devotes more space to problems
that are typical of scientific reasoning, and to concepts that are central in
(general) philosophy of science, such as causation, explanation and confirma-
tion. The same holds with respect to Henry Kyburg’s (1961; 1974) classics
on probability and inference, Richard Jeffrey’s (2004) primer on subjective
probability and Franz Huber’s (2019) recent textbook on probability and
induction.
Brössel forthcoming is closer to our project, but while that author shares
our interest in Bayesian reasoning and confirmatory relationships, his work
is more firmly anchored in formal epistemology. From Williamson 2017, we
xxv
xxvi Book Overview
adopt a part of the formal calculus (see also Hailperin 1996), but his focus
is, unlike ours, on inductive logic in the tradition of Rudolf Carnap and Jeff
Paris.
Finally, there are books which aim at evaluating the scope and limits
of Bayesian reasoning as a logic of scientific inference. Earman 1992 is
perhaps the most notable example. There is also Colin Howson and Peter
Urbach’s (2006) spirited defense of subjective Bayesian inference vis-à-vis
other schools of statistical reasoning, and frequentist inference in particular.
Or Jon Williamson’s (2010) monograph on Objective Bayesianism and its
philosophical foundations. Finally, there are various manuals for applying
Bayesian inference to data analysis in science (e.g., Bernardo and Smith 1994;
Lee and Wagenmakers 2014). However, apart from Variations 9–11, we do
not engage in comparisons of Bayesian and frequentist statistics. Rather
than proving an alleged superiority of Bayesian inference, or giving a critical
appraisal, we take a constructive approach: we show how to use Bayesian
models for explicating important concepts in philosophy of science, such
as explanatory power, causal strength, intertheoretic reduction or degree
of corroboration, and for reconstructing prominent elements of scientific
argumentation (e.g., the No Alternatives or the No Miracles Argument).
It remarkable that a theory as simple as Bayesian inference, which builds
only on three axioms of probability plus a single updating rule, has such
a broad scope of applications, and that the results can be quite surprising
and illuminating. Since the individual chapters are unified rather by their
methods than by their (quite diverse) topics, we have decided to structure
our book as variations on a common theme: uncertain reasoning in science,
modeled by subjective Bayesian inference.
The biggest part of the book is based on research articles that the authors
wrote in the years 2009–2018. Partly they were published jointly, partly
they were published individually or with other authors. Typically, we have
merged one or two research articles with new material and modified the
writing style for the purpose of this book. We hope that our presentation
outlines the common elements in what is often published as contributions to
specialized debates, and to have convinced the reader that there is a unified
and promising research program in Bayesian philosophy of science.
We conclude this brief overview by relating each chapter to previous
publications. Variation 6 and 11 are suitably amended republications of
recent research articles. The same can be said of Variation 2, but here the
revisions were more substantial. Variation 3, 5 and 8 are each based on
two journal articles; considerable rewriting was necessary in order to give
Book Overview xxvii
Variation 5: The Problem of Old Evidence This chapter merges two pa-
pers on the Problem of Old Evidence: “A Novel Solution to the
xxviii Book Overview
Journal for the Philosophy of Science, Volume 3, No. 1, pp. 101–114; 2013).
© 2012 by Springer Nature, used with permission.
Variation 11: Objectivity This chapter is essentially a republication of Jan
Sprenger’s “The Objectivity of Subjective Bayesian Inference” (Euro-
pean Journal for Philosophy of Science, Volume 8, No. 3, pp. 539–558;
2018). © 2018 by Springer Nature, reproduced with permission. The
conceptual background was provided by Heather Douglas’s book “Sci-
ence, Policy and the Value-Free Ideal” (Douglas 2009b) and the sep
article “Scientific Objectivity” by Julian Reiss and Jan Sprenger (Reiss
and Sprenger 2014).
Variation 12: Models, Idealizations and Objective Chance This chapter is
mainly based on Jan Sprenger’s work in progress “Conditional Degrees
of Belief” (Sprenger 2018a). The application to reasoning with idealized
statistical models is original and unique to this book.
Conclusion: The Theme Revisited The final chapter looks back on the
achievements of Variation 1–12 and sketches future research projects.
Like the introductory chapter, it has been written exclusively for the
purpose of this book.
At this point, it only remains to hope that you, the reader, take a lot of
inspiration from the book, and that you read it with pleasure!
Theme:
Bayesian Philosophy of Science
1
2 Theme: Bayesian Philosophy of Science
identifies adequacy conditions that the explicatum has to satisfy, while for-
mal reasoning leads us to an explicatum that satisfies these constraints.
Strawson (1963) and, more recently, Boniolo (2003) and Eagle (2004), voice
scepticism about Carnapian explication as a philosophical method; Maher
(2007) responds to their objections and defends the philosophical merits of
the explicative program.
Next to the explicative models, there are Bayesian models of scientific
argumentation. In particular, we reconstruct the No Alternatives Argument
(Variation 2) and the No Miracles Argument (Variation 3) from a Bayesian
point of view. To this end, we identify sets of variables that matter for a
particular argument scheme and we define conditions on an agent’s degrees
of belief that validate these arguments from a probabilistic point of view. As
before, this type of research demands a tight interplay between conceptual
analysis and formal modeling. In both the explicative and the argumentative
models, we use empirical and computational methods where appropriate:
experimental findings are evaluated in order to judge the adequacy of an
explicatum with respect to the concept that it targets, and computational
methods are used for exploring the consequences of our models in cases
where we cannot find analytical solutions. Finally, case studies are used to
check our results against scientific practice.
We now explain the constitutive principles of Bayesian inference (for
recent primers, see Easwaran 2011a,b; Briggs 2015; Titelbaum forthcoming).
The level is introductory; no knowledge of calculus or higher mathematics is
required. We begin with the statics of Bayesian inference: the representa-
tion of degrees of belief by probabilities, the concept of conditional degrees
of belief, and Bayes’ Theorem. Then we turn to the dynamics of Bayesian in-
ference: the principle of Bayesian Conditionalization and its generalizations.
Finally, we introduce causal Bayesian networks and outline the structure of
the book.
• etc.
These are the atomic sentences of L. More complex sentences can be gen-
erated with the sentential connectives “∧” (conjunction, “A and B”), “∨”
(disjunction, “A or B”) and “¬” (negation, “not A”). L denotes the set
of all sentences of L, including the special symbols “>” and “⊥” for the
tautology and the contradiction. In addition, we assume that L is closed
under countable disjunction of its elements so that it has the structure of a
σ-algebra.
Probability functions express our degrees of belief in the truth of these
sentences numerically. However, since epistemologists traditionally view
propositions rather than sentences as objects of degrees of belief, we allow for
some imprecision and identify sentences with the propositions they express,
such as scientific hypotheses. This allows us to stick with common parlance
6 Theme: Bayesian Philosophy of Science
1. p(>) = 1.
2. For any A ∈ L, p(¬A) = 1 − p(A).
3. For sentences A1 , A2 , A3 , . . . ∈ L with mutually exclusive truth
conditions (i.e., for any i 6= j, Ai and A j cannot be jointly true):
∞ ∞
!
∑ p (An ).
_
p An = (T.1)
n =1 n =1
maps propositions—the objects of degrees of belief—to the sets of the possible worlds
where they are true. The probability of a proposition is then equal to the weight of
those worlds which make it true. This semantics gives a particularly intuitive basis
for the three axioms; for example, the third axiom just sums up the weights of the
possible worlds where A1 , A2 , A3 , etc. obtain.
3 Several authors argue that accepting countable additivity amounts to making
that ideally rational agents follow the axioms of probability. To this end,
positivist-minded Bayesians connect degrees of belief to (real or hypothetical)
betting behavior, based on an observation by Ramsey (1926) that human
action is often akin to accepting a bet on the occurrence of an event:
[A]ll our lives we are in a sense betting. Whenever we go to the
station we are betting that a train will really run, and if we had
not a sufficient degree of belief in this we should decline the bet
and stay at home. (Ramsey 1926, 85)
Acting in a certain way corresponds to an implicit bet, and these bets are
informed by degrees of belief. The most pervasive example are perhaps
transactions on financial markets—traders buy and sell stocks, certificates
and options according to their degrees of belief that these will rise or fall,
respectively. Someone with a high degree of belief that an option will become
worthless will sell it eagerly, while someone who is convinced that it will
increase in value will keep it in her portfolio. This approach naturally leads
to a fully dispositional, behaviorist definition of degrees of belief: agent S’s
degree of belief in proposition A is equal to x ∈ [0; 1] if for all stakes smaller
than e x, S would buy a bet on A that pays e 1 if A occurs, and for all stakes
greater than x, S would sell this bet if she were a bookie (e. g., de Finetti
1937).
For example, if S has degree of belief 1/10 in Germany being the 2020
European football champion, then she would at most spend 10 cent on a
bet on this proposition that pays e 1 if successful. The proportion between
return and stakes is called the betting odds. In this case, S’s degrees of belief
correspond to 10 : 1 odds; in general, the odds are just the inverse of the
degrees of belief. A variant of this approach defines S’s degree of belief in
proposition A as the stake e x at which S is indifferent between taking the
role of the bettor and the bookie in a bet that pays e 1 if A occurs. In other
words, S is equally willing to pay e x for a bet on A with payoff e 1 as to sell
that bet for e x. This technique resembles the famous veil of ignorance for
disclosing judgments about the fair distribution of goods in a society (Rawls
1971): the agent has to specify a fair price for the bet, not knowing whether
she will end up as the bettor or as the bookie.
Ramsey argues that no system of degrees of belief can be reasonable if
it allows for constructing a system of bets that implies a sure loss for the
bettor—or the bookie. Such a system of bets is called a Dutch book. By
the above mapping between degrees of belief and betting odds, Ramsey
grounds the famous Dutch Book Theorem: degrees of belief which violate
10 Theme: Bayesian Philosophy of Science
the axioms of probability will give rise to Dutch books and imply a sure loss
for one side. Since the proof is quite instructive, we give it below in the main
text (less mathematically minded readers may skip it).
Proof of the Dutch Book Theorem: For each axiom that is violated, we
construct a Dutch book. It is assumed that p denotes the degrees of belief of
an agent, and that these degrees of belief conflict with one (or more) of the
axioms.
First Axiom: p(>) = 1. Suppose that p(>) < 1, in violation of the first
axiom. If a bookie offers a bet on the tautology with odds greater
than 1 : 1 (e.g., a stake of 80 cents for a return of e 1), then he will lose
money for sure since > is always the case. Thus we have constructed
a Dutch book.
The cogency of Dutch book arguments has been debated in various places
(e.g., de Finetti 1972; Howson 2008; Hájek and Hartmann 2010; Hartmann
and Sprenger 2010; Easwaran 2011a,b; Vineberg 2016). For the sake of
simplicity, suppose a fully behaviorist interpretation of degrees of belief.
The Dutch Book Theorem assumes that the agent accepts all bets where the
proposed odds are higher than her personal odds (viz., degrees of belief),
and is ready to act as bookie on all bets where the proposed odds are lower
than her personal odds. Real agents, however, are often risk-averse: the size
of the stake may influence their willingness to take a side in the bet. When
degrees of belief are identified with betting odds, an agent’s degree of belief
in a proposition may thus depend on the size of the stake in the elicitation
procedure. In particular, the agent may be unwilling to engage in any bet
if the stakes are high enough, and may be willing to suffer a Dutch book
if the stakes are low enough (e.g., 1 cent). None of these behaviors strikes
us as blatantly irrational unless we presuppose what is to be shown: that
rationality equals immunity to Dutch books.
These objections suggest that a straightforward operationalization of de-
grees of belief in terms of betting behavior, or in terms of fairness judgments
about bets, is problematic (see also Eriksson and Hájek 2007). However, when
12 Theme: Bayesian Philosophy of Science
the link between degrees of belief and fair betting odds crumbles, a Dutch
book argument for Probabilism loses part of its normative force. Sure, in
many situations we can still argue for a strong dependency between degrees
of belief and betting odds, but it might go too far to identify both concepts
with each other. For this reason, we now move to the second argument in
favor of Probabilism: the representation of rational preferences in terms of
subjective degrees of belief.
The idea of this argument is that probabilistic degrees of belief can
represent the epistemic state of an agent who bases her choices on rational
preferences. First, a number of axioms are imposed on rational preference,
represented by the binary relation . For example, it is usually assumed
that such preferences are transitive: if an agent prefers apples to bananas and
bananas to cherries, then she will also prefer apples to cherries. Similarly, it
is often assumed that such preferences are complete: either the agent strictly
prefers one of two options or is indifferent between them.
In his 1954 landmark book The Foundations of Statistics, Leonard J. Savage
sets up an entire system of such axioms, called p1–p7 (for an accessible
overview, see Ellsberg 1961). They contain transitivity and completeness
as well as more demanding axioms, such as the Sure-Thing Principle (or
Axiom p2): Preference between two actions cannot depend on states of
the world where they yield the same payoff. Suppose, for example, that in
Table T.3, the agent prefers Gamble i to Gamble ii. Apparently, her preference
for Gamble i can only be explained by the fact that she considers A more
likely than B. After all, if neither A nor B is the case, her choice does not
make a difference. Likewise, there seems to be no rational explanation
of preferring Gamble iv to Gamble iii unless she considers B more likely
than A. Taken together, both preferences lead to inconsistent (implicit) beliefs,
however. Therefore, Savage postulates that anybody who prefers Gamble i
to Gamble ii should also prefer Gamble iii to Gamble iv (see also Ellsberg
1961, 648–649).
Savage then proceeds to proving his famous representation theorem. If
the preferences of an agent X satisfy the axioms p1–p7, then there is
such that for any two acts f and g, act g is preferred to act f if and only if
the expected utility of g relative to p exceeds the expected utility of f. In
Probability and Degrees of Belief 13
formulas:
E p u( f ) ≤ E p u( g) .
fg ⇔
Y otra noche
sintió la mala tristeza
que enturbia la pura llama,
y el corazón que bosteza,
y el histrión que declama.
XIX
¡Verdes jardinillos,
claras plazoletas,
fuente verdinosa
donde el agua sueña,
donde el agua muda
resbala en la piedra!...
Las hojas de un
verde
mustio, casi negras,
de la acacia, el viento
de septiembre besa,
y se lleva algunas
amarillas, secas,
jugando, entre el polvo
blanco de la tierra.
Linda doncellita,
que el cántaro llenas
de agua transparente,
tú, al verme, no llevas
a los negros bucles
de tu cabellera,
distraídamente,
la mano morena,
ni, luego, en el limpio
cristal te contemplas...
Tú miras al aire
de la tarde bella,
mientras de agua clara
el cántaro llenas.
DEL CAMINO
XX
PRELUDIO
XXI
XXII
imágenes amigas,
a la vuelta florida del sendero,
y quimeras rosadas
que hacen camino... lejos...
XXIII
El salmo verdadero
de tenue voz hoy toma
al corazón, y al labio,
la palabra quebrada y temblorosa.
XXIV
XXV
XXVI
miserables ungidos
de eternidades santas,
manos que surgen de los mantos viejos
y de las rotas capas!
XXVII
La tarde todavía
dará incienso de oro a tu plegaria,
y quizás el cénit de un nuevo día
amenguará tu sombra solitaria.
Mas no es tu fiesta el Ultramar lejano,
sino la ermita junto al manso río;
no tu sandalia el soñoliento llano
pisará, ni la arena del hastío.
XXVIII
y guardar el secreto
de nuestros rostros pálidos,
porque en las bacanales de la vida
vacías nuestras copas conservamos,
XXX
XXXII
XXXIII
XXXIV
Respondí a la mañana:
Sólo tienen cristal los sueños míos.
Yo no conozco el hada de mis sueños;
ni sé si está mi corazón florido.
XXXV
Al borde del sendero un día nos sentamos.
Ya nuestra vida es tiempo, y nuestra sola
cuita
son las desesperantes posturas que
tomamos
para aguardar... Mas ella no faltará a la cita.
XXXVI
XXXVII
Abril florecía
frente a mi ventana.
Entre los jazmines
y las rosas blancas
de un balcón florido,
vi las dos hermanas. La
menor cosía,
la mayor hilaba...
Entre los jazmines
y las rosas blancas,
la más pequeñita,
risueña y rosada
—su aguja en el aire—
miró a mi ventana.
La mayor seguía,
silenciosa y pálida,
el huso en su rueca,
que el lino enroscaba,
abril florecía
frente a mi ventana.
XXXIX
DE LA VIDA
(coplas elegíacas)
XL
INVENTARIO GALANTE
De tu morena gracia,
de tu soñar gitano,
de tu mirar de sombra
quiero llenar mi vaso.
Me embriagaré una noche
de cielo negro y bajo,
para cantar contigo,
orilla al mar salado,
una canción que deje
cenizas en los labios...
De tu mirar de sombra
quiero llenar mi vaso.
XLI
XLII
XLIII