The classical version of the surprise examination paradox goes as follows: a teacher tells his students that an examination will take place on the next week, but they will not know in advance the precise date on which the examination will occur. The examination will thus occur surprisingly. The students reason then as follows. The examination cannot take place on Saturday, they think, otherwise they would know in advance that the examination would take place on Saturday and therefore it could not occur surprisingly. Thus, Saturday is eliminated. In addition, the examination can not take place on Friday, otherwise the students would know in advance that the examination would take place on Friday and so it could not occur surprisingly. Thus, Friday is also ruled out. By a similar reasoning, the students eliminate successively Thursday, Wednesday, Tuesday and Monday. Finally, every day of the week is eliminated. However, this does not preclude the examination of finally occurring by surprise, say on Wednesday. Thus, the reasoning of the students proved to be fallacious. However, such reasoning seems intuitively valid. The paradox lies here in the fact the students’ reasoning is apparently valid, whereas it finally proves inconsistent with the facts, i.e. that the examination can truly occur by surprise, as initially announced by the professor.
In order to introduce the dichotomous analysis (Franceschi 2005) that can be applied to the surprise examination paradox, it is worth considering first two variations of the paradox that turn out to be structurally different. The first variation is associated with the solution to the paradox proposed by Quine (1953). Quine considers then the student’s final conclusion that the examination can not take place surprisingly on any day of the week. According to Quine, the student’s error lies in the fact of not having envisaged from the beginning that the examination could take place on the last day. Because the fact of considering precisely that the examination will not take place on the last day finally allows the examination to occur by surprise on the last day. If the student had also considered this possibility from the beginning, he would not have been committed to the false conclusion that the examination can not occur surprisingly.
The second variation of the paradox that proves interesting in this context is the one associated with the remark made by several authors (Hall 1999, p. 661, Williamson 2000), according to which the paradox emerges clearly when the number n of units is large. Such a number is usually associated with a number n of days, but we may as well use hours, minutes, seconds, etc.. An interesting feature of the paradox is indeed that it emerges intuitively more significantly when large values of n are involved. A striking illustration of this phenomenon is thus provided by the variation of the paradox that corresponds to the following situation, described by Timothy Williamson (2000, p 139).
Advance knowledge that there will be a test, fire drill, or the like of which one will not know the time in advance is an everyday fact of social life, but one denied by a surprising proportion of early work on the Surprise Examination. Who has not waited for the telephone to ring, knowing that it will do so within a week and that one will not know a second before it rings that it will ring a second later?
The variation described by Williamson corresponds to the announcement made to someone that he/she will receive a phone call during the week, but without being able to determine in advance at what exact second the latter event will occur. This variation highlights how surprise may occur, in a quite plausible way, when the value of n is high. The unit of time considered here by Williamson is the second, in relation with a time duration that corresponds to one week. The corresponding value of n here is very high and equal to 604800 (60 x 60 x 24 x 7) seconds. However, it is not necessary to take into account a value as large of n, and a value of n equal to 365, for example, should also be well-suited.
The fact that two versions of the paradox that seem a priori quite different coexist suggests that two structurally different versions of the paradox could be inextricably intertwined within the surprise examination paradox. In fact, if we analyse the version of the paradox that leads to Quine’s solution, we find that it has a peculiarity: it is likely to occur for a value of n equal to 1. The corresponding version of the professor’s announcement is then as follows: “An examination will take place tomorrow, but you will not know in advance that this will happen and therefore it will occur surprisingly.” Quine’s analysis applies directly to this version of the paradox for which n = 1. In this case, the student’s error resides, according to Quine, in the fact of having only considered the hypothesis: (i) “the examination will take place tomorrow and I predict that it will take place.” In fact, the student should also have considered three cases: (ii) “the examination will not take place tomorrow, and I predict that it will take place” (iii) “the examination will not take place tomorrow and I do not predict that it will take place” (iv) “the examination will take place tomorrow and I do not predict that it will take place.” And the fact of having envisaged hypothesis (i), but also hypothesis (iv) which is compatible with the professor’s announcement would have prevented the student to conclude that the examination would not finally take place. Therefore, as Quine stresses, it is the fact of having only taken into account the hypothesis (i) that can be identified as the cause of the fallacious reasoning.
As we can see it, the very structure of the version of the paradox on which Quine’s solution is based has the following features: first, the non-surprise may actually occur on the last day, and second, the examination may also occur surprisingly on the last day. The same goes for the version of the paradox where n = 1: the non-surprise and the surprise may occur on day n. This allows to represent such structure of the paradox with the following matrix S[k, s] (where k denotes the day on which the examination takes place and S[k, s] denotes whether the corresponding case of non-surprise (s = 0) or surprise (s = 1) is possible (in this case, S[k, i] = 1) or not (in this case, S[k, i] = 0)):
day
non-surprise
surprise
1
1
1
2
1
1
3
1
1
4
1
1
5
1
1
6
1
1
7
1
1
Matrix structure of the version of the paradox corresponding to Quine’s solution for n = 7 (one week)
day
non-surprise
surprise
1
1
1
Matrix structure of the version of the paradox corresponding to Quine’s solution for n = 1 (one day)
Given the structure of the corresponding matrix which includes values that are equal to 1 in both cases of non-surprise and of surprise, for a given day, we shall term joint such a matrix structure.
If we examine the above-mentioned variation of the paradox set by Williamson, it presents the particularity, in contrast to the previous variation, of emerging neatly when n is large. In this context, the professor’s announcement corresponding for example to a value of n equal to 365, is the following: “An examination will take place in the coming year but the date of the examination will be a surprise.” If such a variation is analysed in terms of the matrix of non-surprise and of surprise, it turns out that this version of the paradox has the following properties: the non-surprise cannot occur on the first day while the surprise is possible on this very first day; however, on the last day, the non-surprise is possible whereas the surprise is not possible.
day
non-surprise
surprise
1
0
1
…
…
…
365
1
0
Matrix structure of the version of the paradox corresponding to Williamson’s variation for n = 365 (one year)
The foregoing allows now to identify precisely what is at fault in the student’s reasoning, when applied to this particular version of the paradox. Under these circumstances, the student would then have reasoned as follows. The surprise cannot occur on the last day but it can occur on day 1, and the non-surprise can occur on the last day, but cannot occur on the first day. These are proper instances of non-surprise and of surprise, which prove to be disjoint. However, the notion of surprise is not captured exhaustively by the extension and the anti-extension of the surprise. But such a definition is consistent with the definition of a vague predicate, which is characterized by an extension and an anti-extension which are mutually exclusive and non-exhaustive. Thus, the notion of surprise associated with a disjoint structure is that of a vague notion. Thus, the student’s error of reasoning at the origin of the fallacy lies in not having taken into account the fact that the surprise is in the case of a disjoint structure, a vague concept and includes therefore the presence of a penumbra corresponding to borderline cases between non-surprise and surprise. Hence, the mere consideration of the fact that the surprise notion is here a vague notion would have prohibited the student to conclude that S[k, 1] = 0, for all values of k, that is to say that the examination can not occur surprisingly on any day of the period.
Finally, it turns out that the analysis leads to distinguish between two independent variations with regard to the surprise examination paradox. The matrix definition of the cases of non-surprise and of surprise leads to two variations of the paradox, according to the joint/disjoint duality. In the first case, the paradox is based on a joint definition of the cases of non-surprise and of surprise. In the second case, the paradox is grounded on a disjoint definition. Both of these variations lead to a structurally different variation of the paradox and to an independent solution. When the variation of the paradox is based on a joint definition, the solution put forth by Quine applies. However, when the variation of the paradox is based on a disjoint definition, the solution is based on the prior recognition of the vague nature of the concept of surprise associated with this variation of the paradox.
As we finally see it, the dichotomous analysis of the surprise examination paradox leads to consider the class of the matrices associated with the very definition of the paradox and to distinguish whether their structure is joint or disjoint. Therefore, it follows an independent solution for each of the resulting two structurally different versions of the paradox.
Franceschi, P., “Éléments d’un contextualisme dialectique” (in english), in Liber Amicorum Pascal Engel, J. Dutant, G. Fassio & A. Meylan (éd.), Université de Genève, 2014, pp. 581-608.
Hempel’s paradox is based on the fact that the two following assertions:
(H) All ravens are black
(H*) All non-black things are non-ravens
are logically equivalent. By its structure (H*) presents itself indeed as the contrapositive form of (H). It follows that the discovery of a black raven confirms (H) and also (H*), but also that the discovery of a non-black thing that is not a raven such as a red flame or even a grey umbrella, confirms (H*) and therefore (H). However, this latter conclusion turns out to be paradoxical.
We shall endeavour now to detail the dichotomous analysis on which is based the solution proposed in Franceschi (1999). The corresponding approach is based on finding a reference class associated with the statement of the paradox, which may be defined with the help of an A/Ā duality. If we scrutinise the concepts and categories that underlie propositions (H) and (H*), we first note that there are four categories:
ravens
black objects
non-black objects
non-black objects.
It turns out that three of the four classes do not pose any particular problem. To begin with, a raven is precisely defined within the taxonomy in which it inserts itself. A category such as that of the ravens can be considered well-defined, since it is based on a precise set of criteria defining the species corvus corax and allowing the identification of its instances. Similarly, the class of black objects can be accurately described, from a taxonomy of colours determined with respect to the wave lengths of light. Finally, we can see that the class of non-black objects can also be a definition that does not suffer from ambiguity, in particular from the specific taxonomy of colours which has been just mentioned.
A blue blackbird
However, what about the class of non-ravens? What does constitute then an instance of a non-raven? Intuitively, a blue blackbird, a red flamingo, a grey umbrella and even a natural number, are non-ravens. But should we consider a reference class that goes up to include abstract objects? Should we thus consider a notion of non-raven that includes abstract entities such as integers and complex numbers? Or should we limit ourselves to a reference class that only embraces the animals? Or should we consider a reference class that encompasses all living beings, or even all concrete things, also including this time the artefacts? Finally, it follows that the initial proposition (H*) is susceptible of giving rise to several variations, which are the following:
(H1*) All that is non-black among the corvids is a non-raven
(H2*) All that is non-black among the birds is a non-raven
(H3*) All that is non-black among the animals is a non-raven
(H4*) All that is non-black among the living beings is a non-raven
(H5*) All that is non-black among the concrete things is a non-raven
(H6*) All that is non-black among the concrete and abstract objects is a non-raven
Thus, it turns out that the statement of Hempel’s paradox and in particular of proposition (H*) is associated with a reference class, which allow to define the non-ravens. Such a reference class can be assimilated to corvids, birds, animals, living beings, concrete things, or to concrete and abstract things, etc.. However, in the statement of Hempel’s paradox, there is no objective criterion for making such a choice. At this point, it turns out that one can choose such a reference class restrictively, by assimilating it for example to corvids. But in an equally legitimate manner, we can choose a reference class more extensively, by identifying it for example to the set of concrete things, thus notably including umbrellas. Why then choose such or such reference class defined in a restrictive way rather than another one extensively defined? Indeed, we are lacking a criterion allowing to justify the choice of the reference class, whether we proceed by restriction or by extension. Therefore, it turns out that the latter can only be defined arbitrarily. But the choice of such a reference class proves crucial because depending on whether you choose such or such class reference, a given object such as a grey umbrella will confirm or not (H*) and therefore (H). Hence, if we choose the reference class by extension, thus including all concrete objects, a grey umbrella will confirm (H). On the other hand, if we choose such a reference class by restriction, by assimilating it only to corvids, a grey umbrella will not confirm (H). Such a difference proves to be essential. In effect, if we choose a definition by extension of the reference class, the paradoxical effect inherent to Hempel’s paradox ensues. By contrast, if we choose a reference class restrictively defined, the paradoxical effect vanishes.
The foregoing permits to describe accurately the elements of the preceding analysis of Hempel’s paradox in terms of one-sidedness bias such as it has been defined above: to the paradox and in particular to proposition (H*) are associated the reference class of non-ravens, which itself is susceptible of being defined with regard to the extension/restriction duality. However, for a given object such as a grey umbrella, the definition of the reference class by extension leads to a paradoxical effect, whereas the choice of the latter by restriction does not lead to such an effect.
Franceschi, P., « Comment l’urne de Carter et Leslie se déverse dans celle de Carter », Canadian Journal of Philosophy, vol. 29, Mars 1999, pages 139-156, The Doomsday Argument and Hempel’s problem (English translation)
Franceschi, P., “Éléments d’un contextualisme dialectique” (in english), in Liber Amicorum Pascal Engel, J. Dutant, G. Fassio & A. Meylan (éd.), Université de Genève, 2014, p. 581-608.
Posprint in English (with additional illustrations from wikimedia commons) of a paper published in French in the Canadian Journal of Philosophy Vol.29, July 1999, pp. 139-56 under the title “Comment l’Urne de Carter et Leslie se Déverse dans celle de Hempel”. I begin by describing a solution to Hempel’s Problem. I recall, second, the solution to the Doomsday Argument described in my previous Une Solution pour l’Argument de l’Apocalypse (Canadian Journal of Philosophy 1998-2) and remark that both solutions are based on a similar line of reasoning. I show thirdly that the Doomsday Argument can be reduced to the core of Hempel’s Problem.
Alasdair Richmond, The Doomsday Argument, Philosophical Books Vol. 47 No. 2 April 2006, pp. 129–142
The Doomsday Argument and Hempel’s Problem
Postprint – with additional illustrations from Wikimedia commons) – of a paper originally pubslihed in French in the Canadian Journal of Philosophy under the title « Comment l’urne de Carter et Leslie se déverse dans celle de Carter », vol. 29, March 1999, pages 139-156.
Paul Franceschi
I Hempel’s Problem
Hempel’s Problem (thereafter, HP) is based on the fact that the two following assertions:
(H) All ravens are black
(H’) Everything that is non-black is a non-raven
are logically equivalent. The logical structure of (H) is:
(H1) All X are Y
that is to say x (Xx Yx), whereas that of (H’) has the form:
(H1′) All non-Y are non-X
Carl Hempel
that is to say x (~Yx ~Xx). In fact, the structure of the contrapositive form (H1′) is clearly equivalent to that of (H1). It follows that the discovery of a black raven confirms (H) and also (H’), but also that the discovery of a non-black thing which is not a raven such as a pink flame or even a grey umbrella, confirms (H’) and thus (H). This last conclusion appears paradoxical. The propositions (H1) and (H1′) are based on four properties X, ~X, Y and ~Y, respectively corresponding to raven, non-raven, black, and non-black in the original version of HP. These four properties determine four categories of objects: XY, X~Y, ~XY and ~X~Y, which correspond respectively to black ravens, non-black ravens, black non-ravens and non-black non-ravens. One can observe here that a raven is defined with precision in the taxonomy within which it fits. A category as that of the ravens can be regarded as well defined, because it is based on a set of precise criteria defining unambiguously the species corvus corax and allowing the identification of its instances. It also appears that one can build without difficulty a version of HP where a variation with regard to the X class is operated. If one replace the X class with that of the tulips or that of the dolphins, etc. by adapting correlatively the Y property, one still obtains a valid version of HP. It appears thus that changes can be operated at the level of the X class without loosing the problem inherent to HP.
Corvus corax
Similarly, the black property can be specified with precision, on the basis of a taxonomy of colours established with regard to the wavelengths of the light.1 Moreover, one can consider variations with regard to the Y property. One will thus be able to choose properties such as whoselength is smaller than 50 cm, living less than 10 years, etc. Such variations also lead to acceptable versions of HP. Lastly, it should be noted that the non-black property can be the subject of a definition which does not suffer from ambiguity, in particular with the help of the precise taxonomy of colours which has been just mentioned. Similarly, if one takes into account variations of the Y property such as smaller than 40 cm, or whose diameter is larger than 25 cm, etc, one arrives to definitions of the non-Y property which just as non-black are established with precision and lead in addition to versions of HP presenting the same problem as the original version. Thus, the X class, just as the properties Y and non-Y can be the subject of a precise and nonambiguous definition. Moreover, variations operated at the level of these classes lead to acceptable versions of HP. In contrast, the situation is not the same for the non-X class.
II The reference class Z
The concept of non-raven present in the original version of HP leads to highlight an important problem. What constitutes an instance of a non-raven? Intuitively a blue jay, a pink flame, a grey umbrella and even a natural integer constitute non-ravens. One is thus confronted with the definition of a new reference class – call it Z – including X and non-X. The Z class allows defining complementarily the class of non-X, and in the original version of Hempel, the class of non-ravens. Thus Z is the implicit reference class with regard to which the definition of the X class allows that of non-X. Does one have then to consider a Z class that goes until including abstract objects? Is it necessary to consider a concept of non-raven including abstract entities such as natural integers and complex numbers? Or is it necessary to limit oneself to a Z class, which only embraces concrete things? Such a discussion has its importance, because there are infinitely many abstract objects, whereas there are only finitely many individualised concrete objects. This fact is likely to influence later importantly the possible application of a bayesian reasoning. One could thus have a reference class Z including at the same time abstract objects (natural integers, real and complex numbers, etc.) and concrete objects such as artefacts but also natural entities such as humans, animals, plants, meteorites, stars, etc. Such a reference class is defined very extensively. And the consequence of such a choice is that the discovery of any object confirms (H’) and thus (H). At this stage, anything2 confirms (H). It should be noted that one can also have a definition of Z including all concrete objects that have been just mentioned, but excluding this time the abstract objects.
Larus audouinii
The instances of this class are now finitely denumerable, just as the cardinal of the corresponding set: the reference class Z then includes animals, plants, stars, etc. But alternatively, one could still consider a Z class associating the ravens (corvus corax) and the Audouin’s gulls3 (larus audouinii). In this case, the instances of the X class (corvus corax) are in a number larger than those of the non-X class (larus audouinii). And we always face the corresponding version of HP.4
Lastly, nothing seems to prohibit, at a very restrictive level, to choose a Z class made up of the X class, only added with one single element such as a red tulip. With this definition of Z, we still face a minimal version of HP. Of course, any object, added to the class of X and constituting the non-X class will be appropriate and then confirm at the same time (H’) and (H). Thus, any object ~X~Y will lead to confirm (H). The remarks which have just been made call however an immediate objection. With various degrees, it is allowed to think that the choice of each reference class Z that has been just mentioned is arbitrary. Because it is allowed to reject on those grounds extreme definitions of Z such as the one defined above and including all abstract objects. Similarly, a Z class including the natural integers or the complex numbers can also be eliminated. The X class is defined with regard to the concrete objects that are the ravens and there is not particular reason to choose a Z class including abstract entities.
A red tulip
Similarly, one will be able to reject a definition of Z based on a purely artificial restriction, simply associating with X a determinate object such as a red tulip. Because I can choose arbitrarily, the object that constitutes the complement of X, i.e. I can define Z as I wish. Such an extreme conception appears as without relationship with the initial definition of X. A Z class thus defined is not homogeneous. And there is no justification to legitimate the association of a red tulip to the class of the ravens to build that of Z. The association within a same Z class of the ravens and the Audouin’s gulls, appears analogously as an illegitimate choice. Why not then the association of the ravens and the goldfinches? Such associations are symptomatic of a purely artificial selection. Thus, the choices of reference classes Z mentioned above reveal an arbitrary and artificial nature. Indeed, shouldn’t one make one’s possible to find a Z class which is the most natural and the most homogeneous possible, taking into account the given definition of X? One can think that one must attempt to operate a determination of the Z class, which is the most objective possible. In the original version of HP, doesn’t the choice of the ravens for the X class implicitly determine a Z class which is directly in connection with that of the ravens? A Z class naturally including that of the ravens such as that of the corvidae, or that of the birds, seems a good candidate. Because such a class is at least implicitly determined by the contents of the X class. But before analysing versions of HP built accordingly, it is worth considering before some nonparadoxical versions of HP.
III The analogy with the urn
It is notoriously admitted that certain versions5 of HP are not paradoxical. Such is in particular the case if one considers a reference class Z associated with boxes, or a set of playing cards. One can also consider a version of HP associated with an urn. An X class is thus considered where the objects are finitely denumerable and which only includes balls and tetrahedrons. The Y class itself is reduced to two colours: red and green. One has thus four types of objects: red balls, green balls, red tetrahedrons and green tetrahedrons. In this context, we have the following version of HP:
(H2) All balls are red
(H2′) All non-red objects are non-balls
It appears here that the case of red tetrahedrons can be ignored. Indeed, their role is indifferent and one can thus ignore their presence in the urn. They can be regarded as parasitic objects, whose eventual presence in the urn does not have importance. One is thus brought to take into account an urn containing the significant objects consisting in red balls, green balls and green tetrahedrons. And the fact that non-red objects can only be green, and that non-balls can only be tetrahedrons leads to consider equivalently:
(H3) All balls are red
(H3′) All green objects are tetrahedrons
that clearly constitutes a nonparadoxical version of HP. Indeed, the draw of a red ball confirms (H3) and (H3′) whereas the draw of a green tetrahedron confirms (H3′) and (H3).
Consider now the case where the urn contains six significant objects.6 One has just drawn three red balls and one green tetrahedron (the draw is 3-0-17) and one makes then the hypothesis (H3). At this stage, the probability that all balls are red corresponds to three draws (3-0-3, 4-0-2 and 5-0-1) among six possible draws (3-0-3, 3-1-2, 3-2-1, 4-0-2, 4-1-1, 5-0-1). Similarly, the probability that all green objects are tetrahedrons is identical. Thus, P(H3) = P(H3′) = 1/2 and also P(~H3) = P(~H3′) = 1/2. These initial probabilities being stated, consider now the case where one has just carried out a new draw in the urn. Another red ball is drawn (the draw is 4-0-1). This corresponds to three possible compositions of the urn (4-0-2, 4-1-1, 5-0-1). Let E be the event consisting in the draw of a red ball in the urn. We have then the probability of drawing a red ball if all the balls of the urn are red, i.e. P(E, H3) such as P(E, H3) = 2/3, since two cases (4-0-2, 5-0-1) correspond to the fact that all balls are red. In the same way, P(E, ~H3) = 1/3. The situation is identical if one considers P(E, H3′) and P(E, ~H3′). One is then in a position to calculate the posterior probability that all balls are red using Bayes formula: P'(H3) = [P(H3) X P(E, H3)] / [P(H3) X P(E, H3) + P(~H3) X P(E, ~H3)] = (0,5 X 2/3) / (0,5 X 2/3 + 0,5 X 1/3) = 2/3. And P'(~H3) = 1/3. There are identical results concerning P'(H3′) and P'(~H3′). Thus, P'(H3) > P(H3) and P'(H3′) > P(H3′), so that the hypothesis (H3) just as the equivalent hypothesis (H3′) are confirmed by the draw of a new red ball.
Let us examine finally the situation where, instead of a red ball, one draws a green tetrahedron (the draw is 3-0-2) in the urn. Let thus F be the event consisting in the draw of a green tetrahedron. In this case, we have three possible combinations (3-0-3, 3-1-2, 4-0-2). But among these, two (3-0-3, 4-0-2) correspond to a situation where hypotheses (H3) and (H3′) are confirmed. Thus, P(F, H3) = P(F, H3′) = 2/3 and P(F, ~H3) = P(F, ~H3′) = 1/3. A bayesian calculation provides the same results as on the preceding hypothesis of the draw of a red ball. Thus, on the hypothesis of the draw of a green tetrahedron, one calculates the posterior probabilities P'(H3) = P'(H3′) = 2/3 and P'(~H3) = P'(~H3′) = 1/3. Thus, the draw of a green tetrahedron confirms at the same time (H3′) and (H3). It should be noted that one can easily build versions of HP allowing to establish nonparadoxically the preceding reasoning. Consider a cubic mineral block of 1m on side. Such an object of 1m3 is divided into 1000 cubic blocks of 1 dm3, consisting either of quartz, or of white feldspar. One examines fifty of these blocks, and one notes that several of them consist of white feldspar of gemmeous quality. One is brought to make the hypothesis that all blocks of white feldspar are of gemmeous quality. We have then the following version of HP:
(H4) All blocks of white feldspar are of gemmeous quality
(H4′) All blocks of non-gemmeous quality are not white feldspar
that is equivalent to:
(H5) All blocks of white feldspar are of gemmeous quality
(H5′) All blocks of non-gemmeous quality are quartz
where we have in effect the equivalence between (H5) and (H5′) and where a correct bayesian reasoning can be established. Such an example (call it the mineral urn) can also be transposed to other properties X and Y, since identical conditions are preserved.
IV A solution to the problem
One must, taking into account the above developments,8 attempt to highlight a definition of the Z class that does not present an arbitrary and artificial nature, but proves on the contrary the most natural and the most homogeneous possible, with regard to the given definition of X. Consider accordingly the following9 version of HP:
(H6) All Corsican-Sardinian goshawks have a wingspan smaller than 3,50 m
(H6′) All birds having a wingspan larger than 3,50 m are not Corsican-Sardinian goshawks
In this particular version of (H’), the X class is that of the Corsican-Sardinian goshawks,10 and the reference class Z is that of the birds. This last class presents an obvious relationship with that of the Corsican-Sardinian goshawks. It is allowed to think that such a way of defining Z with regard to X is a natural one. Indeed such a definition does not present an arbitrary nature as obviously as that was the case with the examples of Z classes mentioned above. Of course, one can observe that it is possible to choose, in a more restricted but so natural way, a Z class corresponding to the accipiter genus. Such a class presents a homogeneous nature. It includes in particular the species accipiter gentilis (northern goshawk) but also accipiter nisus (European sparrowhawk), accipiter novaehollandiae (grey goshawk), accipiter melanoleucus (black and white goshawk).
Accipiter gentilis
However, alternatively and according to the same viewpoint, one could also extend the Z class to the instances of the – wider – family of accipitridae11 including at the same time the accipiter genus which have been just mentioned, but also the milvus (kite), buteo (buzzard), aquila (eagle), etc. genus. Such a class includes in particular the species milvus migrans (black kite), milvus milvus (red kite), buteo buteo (common buzzard), aquila chrysaetos (golden eagle), etc. These various acceptable definitions of the Z class find their justification in the taxonomy within which the Corsican-Sardinian goshawk inserts itself. More systematically, the latter belongs to the subspecies accipiter gentilis arrigonii, to the species accipiter gentilis, to the accipiter genus, to the family of accipitridae, to the order of falconiformes, to the class of birds, to the subphylum of vertebrates, to the phylum of chordates,12 to the animal reign, etc. It ensues that the following variations of (H’) are acceptable, in the context which has just been defined:
(H7′) All northern goshawks having a wingspan larger than 3,50 m are not Corsican-Sardinian goshawks
(H8′) All goshawks having a wingspan larger than 3,50 m are not Corsican-Sardinian goshawks
(H9′) All accipitridae having a wingspan larger than 3,50 m are not Corsican-Sardinian goshawks
(H10′) All falconiformes having a wingspan larger than 3,50 m are not Corsican-Sardinian goshawks
(H11′) All birds having a wingspan larger than 3,50 m are not Corsican-Sardinian goshawks
(H12′) All vertebrates having a wingspan larger than 3,50 m are not Corsican-Sardinian goshawks
(H13′) All chordates having a wingspan larger than 3,50 m are not Corsican-Sardinian goshawks
(H14′) All animals having a wingspan larger than 3,50 m are not Corsican-Sardinian goshawks
There are thus several versions of (H’) corresponding to variations of the Z class which themselves are made possible by the fact that the Corsican-Sardinian goshawk belongs to n categories, determined by the taxonomy to which it belongs. And in fact, when I meet one northern goshawk belonging to the nominal form (accipiter gentilis gentilis), it is at the same time a northern goshawk (accipiter gentilis) non- Corsican-Sardinian (non-accipiter gentilis arrigonii), a goshawk (accipiter) non-Corsican-Sardinian goshawk, an accipitridae non-Corsican-Sardinian goshawk, a falconiformes non-Corsican-Sardinian goshawk, a bird (aves) non-Corsican-Sardinian goshawk, but also a vertebrate non-Corsican-Sardinian goshawk, a chordate non-Corsican-Sardinian goshawk, an animal non-Corsican-Sardinian goshawk. Thus, the instance of accipiter gentilis gentilis that I have just observed, belongs at the same time to all these categories. And when I meet a grey whale, it is not a bird non-Corsican-Sardinian goshawk, but it is indeed a vertebrate non-Corsican-Sardinian goshawk, as well as a chordate non-Corsican-Sardinian goshawk, and also an animal non-Corsican-Sardinian goshawk.
In general, a given object x which has just been discovered belongs to n levels in the taxonomy within which it fits. It belongs thus to a subspecies,13 a species, a sub-genus, a genus, a super-genus, a subfamily, a family, a super-family, a subphylum, a junction, a reign… One can assign to the subspecies the level14 1 in the taxonomy, to the species the level 2…, to the super-family the level 8, etc. And if within (H), the class X is at a level p, it is clear that Z must be placed at a level q such as q > p. But how to fix Z at a level q which is not arbitrary? Because the reference class Z corresponds to a level of integration. But where must one stop? Does one have to attach Z to the level of the species, the sub-genus, the genus…, the reign? One does not have an objective criterion allowing the choice of a level q among the possibilities that are offered. I can choose q close to p by proceeding by restriction; but in a so conclusive way, I am authorised to choose q distant from p, by applying a principle of extension. Then why choose such class of reference restrictively defined rather than such other extensively defined? One does not have actually a criterion to legitimate the choice, according to whether one proceeds by restriction or by extension, of the Z class. Consequently, it appears that the latter can only be defined arbitrarily. And it follows clearly here that the determination of the Z class and thus of the non-X class is arbitrary. But the choice of the reference class Z appears fundamental. Because according to whether I choose such or such reference class Z, it will result from it that a given object x will confirm or not (H). For any object x, I can build a Z class such as x belongs to non-X, as I can choose a Z class such as x does not belong to non-X. Thus, this choice is left to my arbitrary.
For a given object x, I can build a Z class such as this object confirms (H) and another Z class such as this object does not confirm (H). Of course, if Z is selected arbitrarily, the bayesian reasoning inherent to HP “works”, but corresponds to an arbitrary and artificial point of view: having found an object x, (H) is confirmed. But one can as well choose, in a so artificial and more restrictive way, a Z class where x misses and where x does not confirm (H). Thus, one is not enabled to conclude objectively that the discovery of the object x confirms (H). Because to reason thus would amount to conferring a universal and general value to a viewpoint which is only the expression of an arbitrary choice.
How this result can be reconciled with the facts mentioned above,15 concerning the existence of nonparadoxical versions of HP? It is worth noting here that the bayesian reasoning can be established in each case where the Z class is finite, and where this fact is known before the experiment.16 One can then show a bayesian shift. But at this stage, it is worth distinguishing the cases where the Z class is determined before the experiment by an objective criterion and the cases where it is not the case. In the first case, the contents of the Z class are given before the experiment and the Z class is thus not selected arbitrarily, but according to an objective criterion. Consequently, the bayesian reasoning is correct and provides relevant information. Such is in particular the case when one considers a version of HP applied to an urn, or a version such as the mineral urn. On this last hypothesis, the composition of the Z class is fixed in advance. There is then a significant difference with Nicod’s criterion:17 an object ~X~Y confirms (H) and an object XY confirms (H’).
Conversely, when the Z class is not fixed and is not determined before the experiment by an objective criterion, one can subjectively choose Z at any level of extension or restriction, but the conclusions resulting from the bayesian reasoning must be regarded as purely arbitrary and do not present thus an objective value. Because one then does not have a base and a justification to choose such or such level of restriction or extension. Thus, in this case, Nicod’s criterion according to which any object ~X~Y is neutral with respect to (H) and any object XY is neutral with respect to (H’), can apply itself. It should be observed that the present solution has the effect of preserving the equivalence of a proposition and its contraposition. And similarly, the principle of the confirmation of a generalisation by each of its instances is also preserved.
V A common solution to Hempel’s Problem and the Doomsday Argument
The Doomsday Argument (thereafter, DA) attributed to Brandon Carter, has been described by John Leslie (1992).18 DA can be described as follows. Consider an event A: the final extinction of the human race will occur before year 2150. One can estimate at 1 chance from 100 the probability that this extinction occurs: P(A) = 0,01. Let also ~A be the event: the final extinction of the human race will not occur before 2150. Consider also the event E: I live during the 1990s. In addition one can estimate today at 50 billions the number of humans having existed since the birth of humanity: let H1997 be such a number. In the same way, the current population can be evaluated to 5 billions: P1997 = 5×109. One calculates thus that one human from ten, if event A occurs, will have known the 1990s. The probability that humanity is extinct before 2150 if I have known the 1990s, is thus evaluated: P(E, A) = 5×109/5×1010 = 0,1. On the other hand, if the human race passes the course of the 2150s, one can think that it will be destined to a much more significant expansion, and that the number of humans will be able to rise for example to 5×1012. In this case, the probability that the human race is not extinct after 2150 if I have known the 1990s, can be evaluated as follows: P(E, ~A) = 5×109/5×1012 = 0,001. This now makes it possible to calculate the posterior probability of the human race extinction before 2150, using Bayes formula: P'(A) = [P(A) x P(E, A)] / [P(A) x P(E, A) + P(~A) X P(E, ~A)] = (0,01 x 0,1) / (0,01 x 0,1 + 0,99 x 0,001) 0,5025. Thus, the fact of taking into account the fact that I live currently has made the probability of the human race extinction before 2150 shift from 0,01 to 50,25.
Homo erectus’ skull (photo by Ryan Somma)
I have presented in my paper ‘Une Solution pour l’Argument de l’Apocalypse’19 a solution to DA, whose main lines can be described as follows. The DA reasoning is based on a single reference class, which is that of the humans.20 But how this reference class has to be defined? Should it be limited to the only representatives of our current subspecies Homo sapiens sapiens? Or does one have to extend it to all the representatives of the species Homo sapiens, by including this time, in addition to Homo sapiens sapiens, Homo sapiens neandertalensis…? Or is it necessary to include in the reference class the entire Homo genus, including then all the successive representatives of Homo erectus, Homo habilis, Homo sapiens, etc? And isn’t it still necessary to go until envisaging a wider class, including all the representatives of a super-genus S, made up not only of the Homo genus, but also of the new genus Surhomo, Hyperhomo, etc. which will result from the foreseeable evolutions from our current species? It appears thus that one can consider a reduced reference class by proceeding by restriction, or apprehend a larger class by making the choice of a reference class by extension. One can thus operate for the choice of the reference class by applying either a principle of restriction or a principle of extension. And according to whether one applies one or the other principle, various levels of choice are each time possible.
But it appears that one does not have an objective criterion, which makes it possible to legitimate the choice of such or such a reference class. And even our current subspecies Homo sapiens sapiens cannot be regarded as a natural and an adequate choice for the reference class. Because isn’t it allowed to think that our paradigmatic concept of human has to undergo evolutions? And in addition, the fact of excluding from the reference class a subspecies such as Homo sapiens neandertalensis or the future evolutions of our species, doesn’t it reveal an anthropocentric viewpoint? Since one does not have an objective selection criterion, one can choose arbitrarily one or the other of the classes that have been just described. One can for example identify the reference class to the species Homo sapiens, and observe a bayesian shift. There is indeed then an increase in the posterior probability of the extinction of Homo sapiens. But this bayesian shift is worth as well for a still more restricted reference class, such as our subspecies Homo sapiens sapiens. There too, the application of Bayes formula leads to an appreciable increase in the posterior probability of the nearest end of Homo sapiens sapiens. However identically, the bayesian shift also applies to a still more reduced reference class, which is that of the representatives of Homo sapiens sapienshaving not known the computer. Such a reference class will certainly face a nearest extinction. There however, such a conclusion is not likely to frighten us, because the evolutionary potentialities of our species are such that the succession of a new species to those which preceded them, constitutes one of the characteristics of our evolution mode.
It should be mentioned that this solution leads here to accept the conclusion (the bayesian shift) of Carter and Leslie for a given reference class, while placing it in comparison with conclusions of comparable nature relating to other reference classes, completely inoffensive. The fact of taking into account various levels of restriction, made legitimate by the lack of an objective criterion of choice, leads finally to the harmlessness of the argument. Thus, it appears that the argument based on the reference class and its arbitrary choice by restriction or extension constitutes a common solution to HP and DA. HP and DA are ultimately underlain by the same problem inherent to the definition of the Z class of HP and the single reference class of DA. One thus has a solution of comparable nature for the two paradoxes. It is worth here concluding by presenting an element that tends to confirm the common source of the two problems. One will observe first that one is not able to highlight a version of DA corresponding veritably to the original version of HP, a reference class such as that of the ravens being not transposable in DA. The inherent argument in DA is indeed based on the use of the anthropic principle and requires obviously a reference class made up of intelligent beings. When Leslie21 considers the extension of the reference class, he specifies expressly that the condition for the membership of the reference class is the aptitude to produce an anthropic reasoning. On the other hand it is possible to describe a version of HP made up from the elements of DA. If one takes X for our current subspecies Homo sapiens sapiens and Y for are alive only before 2150, one obtains the following version of HP:
(H15) All Homo sapiens sapiens will be alive only before the year 2150
(H15′) All those which will live after 2150 will be non-Homo sapiens sapiens
In this context, an alive human being in 1997 constitutes an instance confirming (H15). In parallel, the discovery of an Homo sapiens sapiens after 2150 leads to refute (H15). Lastly, the discovery of an alive non-Homo sapiens sapiens after 2150 constitutes a confirmation of (H15′) and thus of (H15). Taking into account this particular formulation, it is clear that one currently only observes instances confirming (H15). On the other hand, after 2150, one will be able to have instances refuting (H15) or instances confirming (H15′).
It is worth noting here that (H15) does not allow veritably to be used as support of a version of DA. Indeed, the reference class identifies itself here precisely as Homo sapiens sapiens, whereas in the original version of DA, the reference class consists in the human race. Consequently, one has not, strictly speaking, an identity between the event underlie by (H15) and A, so that (H15)-(H15′) does not constitute a joint version22 of DA and HP.
But this version of HP being made up with the elements of DA, one must be able, at this stage, to verify the common origin of the two problem, by showing how the argument raised in defence of DA with regard to the reference class, can also be used in support of HP. One knows the response made by Leslie to the objection that the reference class for DA is ambiguous or, due to the evolutions of Homo sapiens sapiens, leads to a heterogeneous reference class, of composite nature. It is exposed in the response made to Eckhardt:
How far should the reference class extend? (…) One can place the boundary more or less where one pleases, provided that one adjusts one’s prior probability accordingly. Exclude, if you really want to, all future beings with intelligence quotients above five thousand, calling them demi-gods and not humans23.
The moral could seem to be that one’s reference class might be made more or less what one liked. (…) What if we wanted to count our much-modified descendants, perhaps with three arms or with godlike intelligence, as ‘genuinely human’? There would be nothing wrong in this. Yet if we were instead interested in the future only of two-armed humans, or of humans with intelligence much like that of humans today, then there would be nothing wrong in refusing to count any others25.
For Leslie, one can go until including in the reference class, the descendants of humanity become very distant from our current species due to the fact of evolution. But Leslie also accepts liberally that one limits the reference class to the only individuals close to our current humanity. One is thus free to choose the reference class that one wishes, while operating either by extension, or by restriction. It will be enough in each case to adjust the initial probability accordingly. It appears here that this type of answer can be transposed, literally, to an objection to HP of comparable nature, based on the reference class of (H15)-(H15′). One can fix, so the objection goes, the Z class as one wishes, and assign to “all those” the desired content. One can for example limit Z to the species Homo sapiens, or well associate it to the whole of the Homo genus, including then the evolutions of our species such as Homo spatialis, Homo computeris, etc. What is important – could continue this defender – is to determine preliminarily the reference class and to conserve this definition when the various instances are then met. Thus, it proves that the arguments advanced in support of the reference class of DA can be transposed in defence of HP. This constitutes an additional element, going in the direction of the common origin of the two problems, dependent on the definition of a reference class. DA and HP need consequently a same type of answer. Thus, the urn of Carter and Leslie flows in that of Hempel.26
References
ECKHARDT, W. 1993. “Probability Theory and the Doomsday Argument.” Mind, 102 (1993): 483-8
FRANCESCHI, P. 1998, “Une Solution pour l’Argument de l’Apocalypse.” Canadian Journal of Philosophy, 28 (1998): 227-46
GOODMAN, N. 1955. Fact, Fiction and Forecast. Cambridge: Harvard University Press.
HEMPEL, C. 1945. “Studies in the logic of confirmation.” Mind, 54 (1945): 1-26 et 97-121
LESLIE, J. 1992. “Time and the Anthropic Principle.” Mind, 101 (1992): 521-40
—. 1993. “Doom and probabilities.” Mind, 102 (1993): 489-91
—. 1996. The End of the World: the science and ethics of human extinction. London and New York: Routledge.
PAPINEAU, D. 1995. “Methodology: the Elements of the Philosophy of Science.” In Philosophy A Guide Through the Subject, ed. A.C. Grayling. Oxford: Oxford University Press.
SAINSBURY, M. 1988. Paradoxes. New York: Cambridge University Press.
THIBAULT, J-C. 1983. Les oiseaux de Corse. Paris: De Gerfau.
1 It is known that a monochromatic light, of single wavelength, meets practically only in laboratory. But the natural colours can be modelled in terms of subtraction of lights of certain wavelengths, starting from the white light of the Sun.
2 Any object ~X~Y in the Z class thus extensively defined.
3 The total population of Audouin’s gulls is evaluated with approximately 3000 couples (cf. Thibault 1983, 132).
4 This incidentally makes it possible to verify that HP does not find its origin in a disproportion of the X class compared to that of the non-X. The fact that the instances of the X class are in a number larger than those of the non-X does not prevent the emergence of a version of HP.
5 Properly speaking, these are not thus versions of HP, since they are nonparadoxical. But the corresponding propositions have the logical structure of (H) and (H’).
6 The red tetrahedrons possibly found in the urn are regarded as nonsignificant objects.
7 With the notation: n–p–q (red balls – green balls – green tetrahedrons).
9 This particular version of HP is chosen here because it is based on an X class corresponding to the subspecies accipiter gentilis arrigonii. Conversely, the original version of HP is grounded on the species corvus corax. The choice of a subspecies for the X class allows simply here a supplementary level of integration.
10 The Corsican-Sardinian goshawks (accipiter gentilis arrigonii) constitute a subspecies of the northern goshawk, specific to Corsica and Sardinia. This endemic subspecies differs from the nominal form of the northern goshawk by the following characteristics (cf. Thibault 1983): the colouring of the head is blackish instead of brown blackish; the back is brown; the lower part is darker.
11 The ornithologists still distinguish the class of the accipitriformes, corresponding to all accipitridae, to which are added the pandlionidae, such as pandlion haliaetus (osprey), etc.
12 The phylum of chordata includes all vertebrates and some invertebrates, which present the property of having a dorsal chord, at least at a given period of their life.
13 It is possible to consider alternatively, if one wishes, another taxonomy that our current scientific taxonomy. That does not affect the current reasoning, since the conclusions are identical, since the principles of classification are respected.
14 It is obviously possible to take into account finer taxonomies and including additional subdivisions starting from the various subspecies. Obviously, that does not affect the current line of reasoning.
16 As we have seen, the bayesian reasoning cannot take place when one considers a Z class including infinite sets such as natural integers, real numbers, etc.
17 Nicod’s criterion is defined as follows (Hempel 1945, 11), with S1 = (H) and S2 = (H’): ‘(…) let has, B, C, D Be furnace objects such that has is has raven and black, B is has raven goal not black, C not has raven goal black and D neither has raven NOR black. Then, according to Nicod’ S criterion, has would confirm S1, goal Be neutral with respect to S2; B would disconfirm both S1 and S2; C would Be neutral with respect to both S1 and S2, and D would confirm S1, goal Be neutral with respect to S2.’
18 John Leslie, ‘Time and the Anthropic Principle.’ Mind, 101 (1992): 521-40.
19Canadian Journal of Philosophy 28 (1998) 227-46.
21 ‘How much widening of the reference class is appropriate when we look towards the future? There are strong grounds for widening it to include our evolutionarily much-altered descendants, three-armed or otherwise, as ‘humans’ for doomsday argument purposes – granted, that’s to say, that their intelligence would remain well above the chimpanzee level.’ (1996, 262)
22 I.e. comprising simultaneously the two problems.
23 W. Eckhardt, ‘Probability Theory and the Doomsday Argument.’ Mind, 102 (1993): 483-8; cf. John Leslie, ‘Doom and probabilities.’ Mind, 102 (1993): 489-91
24 This point of view is detailed by Leslie, in the part entitled ‘Just who should count have being human?’ (The End of the World, 256-63).
