# Survival bias and the non-empirical confirmation of physical theories

## Survival Bias

drawing by McGeddon

During World War II, the US military did statistics to see where its bombers got primarily damaged. The pattern looked like the picture on the right. The first intuition of the engineers was to reinforce the parts that were hit the most. Abraham Wald, a statistician, realized that the distribution of impacts was observed only for the airplanes that actually came back from combat. Those that were hit somewhere else could probably not even make it back home. Hence it is precisely where the planes seemed to be the least damaged that adding reinforcements was the most useful! This famous story illustrates the problem of survival bias (or survivorship bias).

Definition (Wikipedia): Survival bias is the logical error of concentrating on the people or things that made it past some selection process and overlooking those that did not.

Survival bias is the reason why we tend to believe in planned obsolescence and more generally why we sometimes have the nostalgia of a golden age that never existed. “Back in the days, cars and refrigerators were reliable, unlike today! And back then, buildings were beautiful and lasted forever unlike the crap they construct today!”

But actually none of this is true. Most refrigerators from the sixties stopped working in a few years and the very few that still function today are just in the 0.1% that made it. The same goes for cars which are more reliable than they used to be: the vintage cars we see  around show an impressive number of kilometers, but only because they are part of the infinitesimal fraction that miraculously survived. Finally, most buildings in earlier centuries were poorly constructed, lacking both taste and resistance. Most of them collapsed or got destroyed and this is why new buildings now stand in place of them. The few old monuments that remain are still there precisely because they were particularly beautiful and well constructed for the time. More generally, the remnants of the past we see in our everyday life are not a fair sample of what life used to be. They are, with rare exceptions, the only things that were good enough to not be replaced.

from the great xkcd

Survival bias can explain an impressively wide range of phenomena. For example, most Hedge Funds show stellar historical returns (even after fees) while investing in hedge funds is not profitable on average. This is easy to understand if hedge funds simply have random returns: the hedge funds that lose money after a period go bankrupt or have to downsize for lack of investors while hedge funds that made money survive and increase in size. The same bias explains why the tech success stories are often overrated and why it seems cats do not get more injured when they fall from a higher altitude (wikipedia).

This bias very often misleads us in our daily life. My worry is that it may also mislead us in our assessment of physical theories, especially when we lack experimental data. To understand why, I need to discuss the problem of the “non-empirical confirmation” of physical theories.

## Non-empirical confirmation of physical theories

Physicists always use some form of non-empirical assessment of physical theories. Most theories never get the chance to be explicitly falsified experimentally and are just abandoned for non-empirical reasons: it is just impossible to make computations with them or they turn out to violate principles we thought should be universal. As the time between the invention of new physical theories and their possible experimental test widens, it becomes important to know more precisely what non-empirical reasons we use to temporarily trust theories. The current situation of String Theory, which predicts new physics that seems untestable in the foreseeable future, is a prime example of this need.

This is a legitimate question that motivated a conference in Munich about two years ago “Why trust a theory? Reconsidering scientific methodology in light of modern physics“, which was then actively discussed and reported on online (see e.g. Massimo PigliucciPeter Woit and Sabine Hossenfelder). Among the speakers was philosopher Richard Dawid, who has come up with a theory (or formalization) of non-empirical confirmation in Physics, notably in the book String Theory and the Scientific Method.

Dawid contends that physicists so far use primarily the following criteria to assess physical theories in the absence of empirical confirmation:

• Elegance and beauty,
• Gut feelings (or the gut feelings of famous people),
• Mathematical fertility.

I think Dawid is unfortunately correct in this first analysis. The reasons why physicists momentarily trust theories before they can be empirically probed are largely subjective and sociological. This anecdote recalled by Alain Connes in an interview about 10 years ago is quite telling:

“How can it be that you attended the same talk in Chicago and you left before the end and now you really liked it. The guy was not a beginner and was in his forties, his answer was ‘Witten was seen reading your book in the library in Princeton’.”

Note that this does not mean that science is a mere social construct: this subjectivity only affects the transient regime when “anything goes”, before theories can be practically killed or vindicated by facts. Yet, it means there is at least room for improvement in this transient theory building phase.

Dawid puts forward 3 principles, which I will detail below, to more rigorously ground the assessment of physical theories in the absence of experimental data. Before going any further I have to clarify what we may expect from non-empirical confirmation. There is a weak form: we mean by non-empirical confirmation simply a small improvement in the fuzzily defined Bayesian prior we have that a theory will turn out to be correct. This is the uncontroversial understanding of non-empirical confirmation, but one that Dawid deems too weak. There is also a strong form, where “confirmation” is understood in its non-technical sense, that of definitely validating the theory without even requiring experimental evidence. This one, which some high energy theorists might sometimes foolishly defend, is manifestly too strong. Part of the controversy around non-empirical confirmation is that Dawid wants something stronger than the weak form (which would be trivial in his opinion) but weaker than the strong form (which would be simply wrong). However, because it is quite difficult to understand precisely where this sweet spot would lie, Dawid has often been caricatured as defending an unacceptably strong form of his theory.

What we may expect from non-empirical hints is an important question and I will come back to it later. Right now, I ask: can we find good guides to increase our chances to stay on the right track whilst experiments are still out of reach?

## Dawid’s principles

1. No Alternative Argument (aka “only game in town”):
Physicists tried hard to find alternatives, they did not succeed.
$~$
2. Meta-Inductive Argument:
Theories with the same characteristics (obeying the same heuristic principles) proved successful in the past.
$~$
3. Unexpected Explanatory Interconnections:
The theory was developed to solve a problem but surprisingly solves other problems it was not meant to.

These principles are manifestly crafted with String Theory in mind for which they seem to fit perfectly. String Theory is not the only game in town but it is arguably more developed than the alternatives (and arguably more developed than some alternatives I find interesting). String Theory also fares well on the Meta Inductive Argument: it uses extensively the ideas and principles that made the success of previous theories, especially those of quantum field theory. In the course of the development of String Theory, a lot of unexpected interconnections also emerged. Many of them are internal to the theory: different formulations of String Theory actually seem to describe different limits of the same thing. But there are also unexpected byproducts: e.g. a theory constructed to deal with the strong nuclear force ends up containing gravitational physics.

At this stage, one may be tempted to nitpick and find good reasons why String Theory does not actually satisfy Dawid’s principles, possibly to defend one’s alternative theory. However, I am not sure this is a good line of defense and think it draws the attention away from the interesting question: independently of String Theory, are Dawid’s principles a good way to get closer to the truth?

## Naive meta check

We may do a first meta check of Dawid’s principle, i.e. ask the question:

Would these principles have worked in the past?
or
Would they have guided us to what we now know are viable theories?

We may carry this meta check on the Standard Model of particle physics (an instance of Quantum Field Theory) and General Relativity.

At first sight, both theories fare pretty well. It seems that quantum field theory quickly became the main tool to describe fundamental particles while being the simplest extension of the principles that were previously successful (quantum mechanics and special relativity). Further, quantum field theoretic techniques unexpectedly applied to a wide range of problems including classical statistical mechanics. General relativity also seemed like it was the only game in town, minimally extending the earlier principles of special relativity introduced by Einstein. The question of the origins of the universe, which General Relativity did not primarily aim to answer, was also unexpectedly brought from metaphysics to the realm of physics. I chose simple examples, but it seems that for these two theories, there are plenty of details which fit into the 3 guiding principles proposed by Dawid. The latter look almost tailored to get the maximum number of points in the meta check game.

## Fooled by survival bias

As convincing as it may seem, the previous meta check is essentially useless. It shows that successful theories indeed fit Dawid’s principles. But we have looked only at the very small subset of successful theories. It does not tell thus that following the principles would have led us to successful theories rather than unsuccessful ones. In the previous assessment, we were being dangerously fooled by survival bias. We looked at the path ultimately taken in the tree of possibilities, focusing on its characteristics, but forgetting that what matters is rather the difference with other possible paths.

To really meta check Dawid’s principles, it is important to study failures as well: the theories that looked promising but then were disproved and ultimately forgotten. For obvious reasons, such theories are no longer taught thus all too easy to overlook.

## A brief History of failures

Let us start our brief History of promising-theories-that-failed by Nordström’s gravity. This theory is slightly anterior to General Relativity and was proposed by Gunnar Nordström in 1913 (with crucial improvements by Einstein, Laue, and others; see Norton for its fascinating history). It is built upon the same fundamental principles as General Relativity and differs only subtly in its field equations. Mainly, General Relativity is a tensor theory of gravity, in that the Einstein’s tensor $G_{\mu\nu}= R_{\mu\nu} - \frac{1}{2} R g_{\mu\nu}$ is proportional to the matter stress-energy tensor $T_{\mu\nu}$:

$R_{\mu\nu} - \frac{1}{2} R g_{\mu\nu} = \frac{8 \pi G}{c^4} T_{\mu\nu}$

Nordström’s theory is a simpler scalar theory of gravity. The curvature $R$ is sourced by the trace $T:=T_{\mu}^\mu$ of the stress-energy tensor. This field equation is insufficient to fully fix the metric and one just adds the constraint that the Weyl tensor $C_{abcd}$ is zero:

$R = \frac{24 \pi G}{c^4} T$
$C=0$

This makes Nordström’s theory arguably mathematically neater than Einstein’s theory. Further, while it brings all the modern features of metric theories of gravity, its prediction are in many cases quantitatively closer to the predictions of Newton’s theory. Finally, for two years, it was the only game in town as Einstein’s tensor theory was not yet finished.

But Nordström’s theory predicts no light deflection by gravitational fields and the wrong value (by a factor $-\frac{1}{6}$) for the advance of the perihelia of Mercury. These experimental results were not known in 1913. If we had had to compare Nordström’s and Einstein’s theories with Dawid’s principles, I think we would have hastily given Nordström the win.

Another example of a promising theory that was ultimately falsified is the $SU(5)$ Grand Unified theory, proposed by Georgi and Glashow in 1974. The idea is to embed the Gauge groups $U(1)\times SU(2) \times SU(3)$ of the Standard Model into the simple Gauge group $SU(5)$. In this theory, the 3 (non gravitational) forces are the low energy manifestations of a single force. Going towards greater unification had been a successful way to proceed, from Maxwell’s fusion of electric and magnetic phenomena to Glashow-Salam-Weinberg’s electroweak unification. Further, the introduction of a simple Gauge group mimics earlier approaches successfully applied to quarks and the strong interaction. The theory of Georgi and Glashow seems to leverage the unreasonable effectiveness of mathematics (coined by Wigner) in its purest form.

The $SU(5)$ Grand Unified Theory predicts that protons can decay and have a lifetime of $~10^{31}$ years. The Super-Kamiokande detector in Japan has looked for such events, without success: if protons actually decay, they do so at least a thousand times too rarely to be compatible with $SU(5)$ theory. Despite the early enthusiasm and its high score at the non-empirical confirmation game, this theory is now falsified.

Physics is full of such examples of theoretically appealing yet empirically inadequate ideas. We may mention also Kaluza-Klein type theories unifying gauge theories and gravity, S-matrix approaches to the understanding of fundamental interactions, and Einstein’s and Schrödinger’s attempts at unified theories. We can probably add many supersymmetric extensions of the Standard Model to this list given the recent LHC null results. In many cases, we have theories that fit Dawid’s principles even better than our currently accepted theories, but that nonetheless fail experimental tests. The Standard Model and General Relativity do pretty well in the non-empirical confirmation game, but they would have been beaten by many alternative proposals. Only experiments allowed to choose the right yet not-so-beautiful path.

## Conclusion

Looking at failed theories makes Dawid’s principles seem less powerful than a test on a surviving subset. But I do not have a proposal to improve on them. It may very well be that they are the best one can get: perhaps we just cannot expect too much from non-empirical principles. In the end, I am not sure we can defend more than the weakest meaning of non-empirical confirmation: a slight improvement of an anyway fuzzily defined Bayesian prior.

Looking at modern physics, we see an extremely biased sample of theories: they are the old fridge that is still miraculously working. Their success may very well be more contingent than we think.

I think this calls for more modesty and open-mindedness from theorists. In light of the historically mixed record of non-empirical confirmation principles, we should be careful not to put too much trust in neat but untested constructions and remain open to alternatives.

Theorists often behave like deluded zealots, putting an absurdly high level of trust in their models and the principles on which they are built. While it may be efficient to obtain funding, it is suboptimal to understand Nature. Theoretical physicists too can be fooled by survival bias.

This post is a write up of a talk I gave for an informal seminar at MPQ a few months ago. As main reference, I have used Dawid’s article The Significance of Non-Empirical Confirmation in Fundamental Physics (arXiv:1702.01133) which is Dawid’s contribution to the “Why trust a theory” conference.

## 5 thoughts on “Survival bias and the non-empirical confirmation of physical theories”

1. Mario Hubert

In my opinion, the notion “confirmation” is either too strong or not appropriate. It would be better to call the project “non-empirical criteria” or “non-empirical qualities” of a physical theory or “non-empirical corroboration” to make the connection with Popper. No one would disagree that there are theoretical features in favor of a theory apart from its empirical adequacy.

I’m not sure whether Dawid’s principles are the best principles. As you explain, the No Alternative Argument is not correct. The Meta-Inductive Argument needs also be taken with a grain of salt. For this would amount to motivating future quantum theories not to solve the measurement problem since standard QM is so successful. This principle would also have prevented Boltzmann to develop statistical mechanics, because alternative approaches, like energetics, relied on positivism which was supported by thermodynamics. The third principle (Unexpected Explanatory Interconnections) seems ok and is connected to unification. Successful theories fulfill this principle.

Elegance, beauty, gut feeling, and mathematical fertility (whatever that means) may guide physicists to invent new theories but they are too fuzzy and subjective to prefer one theory over another. I myself lack any sense of mathematical or physical elegance and beauty. I find a tuxedo elegant and a Palladio villa beautiful, but I don’t have this aesthetic experience with an equation.

I would ask the following questions to evaluate a theory:
1. What is the ontology?
2. How does this ontology explain (observable) phenomena?
3. Do these explanations need fine-tuning?
4. Is the theory consistent? (cf. self-interaction problem)

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1. Antoine Tilloy Post author

As I am sure you expect, I agree with your comment. Just like you, I have never really felt that a mathematical formalism was more beautiful or elegant than another.

The principles you put forward also seem sound. What I find amazing is that they have not been required nor even ultimately fulfilled by quantum field theory and the Standard Model. The SM has no ontology and is inconsistent if taken too seriously (it allows to make predictions only in a certain energy range). It is fined tuned in the sense of effective field theory, but perhaps it is not in the sense you give to the concept, which usually means explanations requiring absurd fine-tuning of initial conditions to account for certain correlations (as in local accounts of Bell inequality violations).

Your principles are likely well suited for a theory that can, at least in principle, be a final answer. Interestingly, the current most “fundamental” theory cannot (even in principle) be the final thing (because of the measurement problem and short distance breakdown).

An interesting question would be the following. Even if deep down you are a realist and think a yet-to-be-found ultimate theory has to fulfill these 4 principles, would there be a superior set of principles if the objective is only to make progress via some slightly broken effective prediction tool. If your objective is purely operational and you want only to find new phenomena and predictions, no matter how dirty and inconsistent the tool is, can you do faster? The answer, to me, is not clear. Having a clear ontology definitely guides theory building and for me it is a vital intuition pump, but hardcore operationalism (if you strip it off its claims of being the only thing allowed) has no doubt been successful as well.

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2. Mario Hubert

If a theory is just empirically adequate and violates the criteria I mentioned, I wouldn’t call this a theory in the first place. It may be a recipe, an algorithm, or a framework, but not a theory. On the other hand, a theory that doesn’t make empirical predictions but that may fulfill some non-empirical criteria is not a physical theory either; it’s rather a piece of mathematics, which may provide some deep mathematical insights, though.

Of course, it takes time to fully develop a theory as it takes time to build a house. When thermodynamics was developed in the 19th century, positivists, like Mach, Ostwald, Mayer, the young Planck, and many others, were opposing Boltzmann who wanted to provide an ontology with his particles and in doing so to explain the second law. They acknowledged that thermodynamics was a kind for framework and agreed with Boltzmann to complete the theory. They disagreed, however, that particles can do the job because particles are unobservable. So they tried to replace Boltzmann’s particles by energy; energy was the stuff everything was supposed to be made of, and energy is measurable. We know how this story ended.
Something similar we can see in current physics, with the difference that modern positivists don’t see the need for any completion or for any kind of ontology. I think that’s fine as long as you focus on applying the theory and acknowledge that the theory is still incomplete.

I would say that an ontology is needed for any kind of physical theory, fundamental and non-fundamental. The ontology just answers the question, “What is there?” And someone who does solid state physics or hydrodynamics must say what is there, too. Even if what there is may not be the final answer, these unobservable objects explain. They explain the second law of thermodynamics, they explain the periodic table, they explain the Born rule, they explain why measurement devices behave the way they behave, etc. One may be sceptical that these unobservable objects are the real building blocks of nature; this would be the anti-realist position. But one cannot deny that there are these microscopic building blocks out there in nature or that a physical theory is complete without an ontology; this would result in idealism or an extreme form of operationalism.

I doubt that an extreme operationalist can really do all branches of physics. What would be such an operational cosmology? Or such an operational statistical mechanics? Wouldn’t it be against the spirit of such an attitude to judge the theory with respect to non-empirical criteria? It seems, though, that Dawid’s criteria would be applicable also for extreme-operational theories: the first two principles compare theories, and the third one focuses on predictions. What’s lacking in his criteria is how theories explain, and an ontology can explain a lot.

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