## 1. Chance




To get clear on the connections and differences between chance and
randomness, it would be good first to have some idea of what chance and
randomness amount to. Interestingly, philosophical attention has
focussed far more on chance than randomness. This may well be a
consequence of the Commonplace Thesis. Whatever its source, we can
appeal to a substantial consensus in the philosophical literature as to
what kind of thing chance must be.




Carnap (1945) distinguished between two conceptions of probability,
arguing that both were scientifically important. His
'probability\(\_1\)' corresponds to an epistemic
notion, nowadays glossed either (following Carnap himself) as
*evidential* probability, or as *credence* or degree of
belief. This is contrasted with Carnap's
'probability\(\_2\)', which is the concept of a
non-epistemic objective kind of probability, better known as
*chance*.




There are many philosophical accounts of what actually grounds
chance, as part of the minor philosophical industry of producing
'interpretations'--really, reductive analyses or
explications--of probability. In this vein we have at least the
*frequency* theory of Reichenbach (1949) and von Mises (1957)
(and Carnap's own explication of probability\(\_2\) was in terms
of frequencies), the *propensity* theory of Popper (1959) and
Giere (1973), as well as many more recent accounts, notably Lewis'
(1994) 'Best System' account of chance (see also Loewer
2004). There is no agreement over which, if any, of these accounts are
right; certainly both the accounts mentioned face difficulties in
giving an adequate account of chance. The consensus mentioned earlier
is not over what actually plays the role of chance, but rather on the
constraints that determine what that role is.




There can be such a consensus because 'chance' is not a
technical term, but is rather an ordinary concept deployed in fairly
familiar situations (games of chance, complicated and unpredictable
scenarios, large ensembles of similar events, etc.). There is
widespread agreement amongst native speakers of English over when
'chance' applies to a particular case, and this agreement
at least indicates that there is a considerable body of ordinary belief
about chance. One needn't take the deliverances of folk intuition as
sacrosanct to recognise that this ordinary belief provides the starting
point for philosophical accounts of chance. It may turn out that
*nothing* fits the role picked out by these ordinary beliefs and
their philosophical precisifications, yet even in that case we'd be
inclined to conclude that chance doesn't exist, not that our ordinary
beliefs about what chance must be are incorrect.




Below, some of the theoretical principles that philosophers have
extracted from commonplace beliefs about chance will be outlined. (In
so doing, we freely use probabilistic notation and concepts; see the
 entry on interpretations of probability,
 Hajek 2012:
 SS1,
 for background
probability theory required to understand these expressions.) Two such
constraints have been widely accepted since the early days of the
philosophy of probability. Firstly, it is required that the mathematics
of chance should conform to some standard mathematical theory of
probability such as Kolmogorov's 1933 axiomatisation of the probability
calculus (or some recognisable variant thereof, like Popper's
axiomatisation of conditional probability). Secondly, chance should be
objective: mind-independent and not epistemic or evidential. But a
number of other constraints have been articulated and defended in the
literature. (Schaffer 2007: SS4 contains a useful discussion of
these and other constraints on the chance role.) While these principles
have been termed 'things we know about chance', this
shouldn't be taken to preclude our discovering that there is no such
thing as chance--rather, the philosophical consensus is that if
there is any such thing as chance, it will (more or less) fit these
constraints.


* Chance should regulate (that is, it is involved with norms
governing) rational belief in line with Lewis' Principal Principle
(Lewis, 1980), or his New Principle (Lewis, 1994; Hall, 2004). Where
\(C\) is a reasonable initial credence function, and \(E\) is
the evidence, the Principal Principle (omitting some complications) is this:



> 
> 
> **(PP)**
> \(C(p \mid \ulcorner\Ch(p) = x\urcorner \wedge E) = x\);
> 
> 


This principle says that rational initial credence should treat
chance as an expert, deferring to it with respect to opinions about
the outcome \(p\), by adopting the corresponding chances as your
own conditional degree of belief. The New Principle--adopted to
deal with some problematic interactions between Lewis' metaphysics and
the PP--advocates deferring to chance in a somewhat different
way. This New Principle NP suggests (more or less) that rational initial credence
should treat chance as an expert with respect to the
outcome \(p\), by adopting the conditional chances, on the
admissible evidence, as your conditional degrees of belief on that
same evidence, as in this principle (this claim corresponds to
equation 3.9 in Hall 2004; see his discussion at pp. 102-5 for
some important qualifications, and the connection to the formulation
of the NP in Lewis 1994):



> 
> **(Chance-Analyst)**
> \(C(p \mid \ulcorner\Ch(p \mid E) = x\urcorner \wedge E) = x\).


 Non-reductionist views about chance, which take chances to be
independent fundamental features of reality, can follow PP.
Reductionists, who take the values of chances to be fixed entirely by
other features of reality (normally frequencies and symmetries, but
chance is typically constrained by them in a quite indirect manner),
 are for technical reasons (to do with undermining, see supplement
 A.1)
 ordinarily forced to adopt NP, and Chance-Analyst, as
norms on credence, though in many ordinary cases, NP and PP give
very similar recommendations. In either case, both formal principles
give content to the intuitively plausible idea that chances should
 guide reasonable
 credence.[1]
* Chance should connect with possibility. Leibniz claimed that
probability was a kind of 'graded possibility', and more
recent authors have largely agreed. In particular, it seems clear that
if an outcome has some chance of occurring, then it is possible that
the outcome occurs. This intuition has been made precise in the Basic
 Chance Principle (BCP) (See supplement
 A.2
 for further details on this
principle):



> 
> 
> Suppose \(x \gt 0\) and
> \(Ch\_{tw}(A) = x\). Then
> \(A\) is true in at least one of those worlds \(w'\)
> that matches \(w\) up to time \(t\) and for which
> \(Ch\_t (A) = x\). (Bigelow
> *et al.*, 1993: 459)




But one needn't accept precisely this version of the BCP to endorse
the general thesis that chance and possibility must be linked--for
other versions of this kind of claim, see Mellor (2000); Eagle
(2011) and the 'realization principle' of Schaffer
(2007: 124).
* Chance should connect with actual frequencies, at least to the
extent of permitting frequencies to be good evidence for the values of
chances. This may be through some direct connection between chance and
frequency, or indirectly through the influence of observed outcome
frequencies on credences about chances via the Principal Principle
(Lewis, 1980: 104-6). But chance should not be identified with
frequency--since a fair coin can produce any sequence of outcomes,
there is no possibility of identifying chance with observed frequency.
(Though of course a fair coin is overwhelmingly likely to produce
roughly even numbers of heads and tails when tossed often enough).
Moreover, there can be a chance for a kind of outcome even when there
are very few instances of the relevant process that leads to that
outcome, resulting in the actual frequencies being misleading or
trivial (for example, if there is only a single actual outcome:
Hajek 1997).
* When considering the connection between frequency and chance, not
just any frequency will do. What is wanted is the frequency in
relevantly similar trials, with the same kind of experimental setup.
The relevance of frequencies in such trial is derived from the
assumption that in such similar trials, the same chances exist:
intra-world duplicate trials should have the same chances. This is
closely related to the 'stable trial principle' (Schaffer,
2003: 37ff). Chances attach to the outcomes of trials, but the physical
grounds of the chance lie in the physical properties of the trial
device or chance setup.




More details on all of these principles can be found in this
supplementary document:



> 
> Supplement A. Some Basic Principles About Chance


### 1.1 'Single-Case' Chance and Chance Processes




Chance, it is commonly said, is 'single-case objective
probability'. Philosophers haven't been very clear on what is
meant by 'single-case', and the terminology is slightly
misleading, as it falsely suggests that perhaps multiple cases have
less claim to their chances. The most minimal version of the claim is
that, at least sometimes, an outcome can have a chance to be a result
of an instance of a given kind of process, or *trial*, even
though no other trials of that process occur. This is what we will
mean by 'single case' chance. (A stronger claim is that
the chance of an outcome resulting from a given process is an
intrinsic property of a single trial. The stronger claim is
inconsistent with standard versions of the frequency theory, and
indeed it can be difficult to see how chance and frequency might be
connected if that stronger claim were true.) Some have claimed that
single-case chance is no part of objective probability; for example,
von Mises (1957: p. 11) remarks that the 'concept of probability
... applies only to problems in which either the same event
repeats itself again and again, or a great number of uniform elements
are involved at the same time.'. However, this is a theoretical
judgment on von Mises' part, based on difficulties he perceived in
giving an account of single-case chance; it is not a judgement derived
from internal constraints on the chance role. And how could it be?
For



> like it or not, we have this concept [of single-case
> chance]. We think that a coin about to be tossed has a certain chance
> of falling heads, or that a radioactive atom has a certain chance of
> decaying within the year, quite regardless of what anyone may believe
> about it and quite regardless of whether there are any other similar
> coins or atoms. As philosophers we may well find the concept of
> objective chance troublesome, but that is no excuse to deny its
> existence, its legitimacy, or its indispensability. If we can't
> understand it, so much the worse for us. (Lewis, 1980: 90)




A number of the constraints discussed above require the legitimacy
of single-case chance. The objection to frequentist accounts of chance
that the frequency might misrepresent the chance if the number of
actual outcomes is too low apparently requires that there be
non-trivial chances even for events resulting from a type of trial that
occurs only very few times, and perhaps even can only occur very few
times (Hajek 2009: 227-8). The strong connections between
possibility and chance mooted by the BCP and variants thereof also
require that there are single-case chances. For the BCP requires that,
for every event with some chance, it is possible that the event has
that same chance and occurs. As noted in Supplement
 A.2,
 this renders the chances
relatively independent of the occurrent frequencies, which in turn
requires single-case chance. For some single outcomes--for
example, the next toss of a coin that is biased 2/3 towards
heads--only very few assignments of credence are reasonable; in
that case, we should, if we are rational, have credence of 2/3 in the
coin landing heads. The rationality of this unequal assignment cannot
be explained by anything like symmetry or indifference. Its rationality
can be explained by the PP only if the single-case chance of heads on
the next toss is 2/3. Moreover, the existence of this constraint on
rational credence should have an explanation. Therefore the PP, if it
is to play this necessary explanatory role, requires single-case
chance.




It is the stable trial principle that has the closest connection
with single-case chance, however. For in requiring that duplicate
trials should receive the same chances, it is natural to take the
chance to be grounded in the properties of that trial, plus the laws of
nature. It is quite conceivable that the same laws could obtain even if
that kind of trial has only one instance, and the very same chances
should be assigned in that situation. But then there are well-defined
chances even though that type of event occurs only once.




The upshot of this discussion is that chance is a *process*
notion, rather than being entirely determined by features of the
outcome to which the surface grammar of chance ascriptions assigns the
chance. For if there can be a single-case chance of \(\frac{1}{2}\) for a coin to
land heads on a toss even if there is only one actual toss, and it
lands tails, then surely the chance cannot be fixed by properties of
the outcome 'lands heads', as that outcome does not
 exist.[2]
 The chance must rather be grounded in features
of the process that can produce the outcome: the coin-tossing trial,
including the mass distribution of the coin and the details of how it
is tossed, in this case, plus the background conditions and laws that
govern the trial. Whether or not an event happens by chance is a
feature of the process that produced it, not the event itself. The fact
that a coin lands heads does not fix that the coin landed heads by
chance, because if it was simply placed heads up, as opposed to tossed
in a normal fashion, we have the same outcome not by chance. Sometimes
features of the outcome event cannot be readily separated from the
features of its causes that characterise the process by means of which
it was produced. But the upshot of the present discussion is that even
in those cases, whether an outcome happens by chance is fixed by the
properties of the process leading up to it, the causal situation in
which it occurs, and not simply by the fact that an event of a given
character was the product of that
 process.[3]


### 1.2 Physics and Chance




Do chances exist? The best examples of probability functions that
meet the principles about chance are those provided by our best
physical theories. In particular, the probability functions that
feature in radioactive decay and quantum mechanics have some claim to
being chance functions. In orthodox approaches to quantum mechanics,
some measurements of a system in a given state will not yield a result
that represents a definite feature of that prior state (Albert 1992).
So, for example, an \(x\)-spin measurement on a system in a
determinate \(y\)-spin state will not yield a determinate result
reflecting some prior state of \(x\)-spin, but rather has a 0.5
probability of resulting in \(x\)-spin \(= +1\), and a 0.5 probability
of resulting in \(x\)-spin \(= -1\). That these measurement
results cannot reflect any prior condition of the system is a
consequence of various *no-hidden variables* theorems, the most
famous of which is Bell's theorem (Bell 1964; see the entry on Bell's
 theorem,
 Shimony 2009).
 Bell's theorem
shows that the probabilities predicted by quantum mechanics, and
experimentally confirmed, for spin measurements on a two-particle
entangled but spatially separated system cannot be equal to the joint
probabilities of two independent one-particle systems. The upshot is
that the entangled system cannot be represented as the product of two
independent localised systems with determinate prior \(x\)-spin
states. Therefore, there can be no orthodox local account of these
probabilities of measurement outcomes as reflecting our ignorance of a
hidden quality found in half of the systems, so that the probabilities
are in fact basic features of the quantum mechanical systems
 themselves.[4]




The standard way of understanding this is that something--the
process of measurement, on the Copenhagen interpretation, or
spontaneous collapse on the GRW theory--induces a
non-deterministic state transition, called *collapse*, into a
state in which the system really is in a determinate state with respect
to a given quality (though it was not previously). These transition
probabilities are dictated entirely by the state and the process of
collapse, which allows these probabilities to meet the stable trial
principle. The models of standard quantum mechanics explicitly permit
two systems prepared in identical states to evolve via collapse into
any state which has a non-zero prior probability in the original state,
which permits these probabilities to meet the BCP. And the no-hidden
variables theorems strongly suggest that there is no better information
about the system to guide credence in future states than the chances,
which makes these probabilities play the right role in the PP. These
basic quantum probabilities governing state transitions seem to be
strong candidates to be called chances.




The foregoing argument makes essential use of collapse. The
existence of collapse as an alternative rule governing the evolution of
the quantum state controversial, and it is a scandal of quantum
mechanics that we have no satisfactory understanding of why collapse
(or measurement) should give rise to basic probabilities. But that
said, the existence of well-confirmed probabilistic theories which
cannot be plausibly reduced to any non-probabilistic theory is some
evidence that there are chances. (Though the Everettian
('many-worlds') program of generating quantum probabilities
from subjective uncertainty, without basic chance in the present sense,
has recently been gaining adherents--see Barrett 1999; Wallace
2007.) Indeed, it looks like the strongest kind of evidence that there
are chances. For if our best physical theories did not feature
probabilities, we should have little reason to postulate them, and
little reason to take chances to exist. This will become important
below
 (SS5),
 when we discuss classical physics.
The conventional view of classical physics, including statistical
mechanics, is that it does not involve basic probability (because the
state transition dynamics is deterministic), and is not accordingly a
theory that posits chances (Loewer
 2001).[5]
 Below, we will examine
this view, as well as some of the recent challenges to this
conventional view. But there is at least enough evidence from
fundamental physics for the existence of chances for us to adopt it
already at this point as a defensible assumption.


## 2. Randomness




As mentioned in the introduction, some philosophers deliberately use
'random' to mean 'chancy'. A random process, in
their view, is one governed by chance in the sense of the previous
section. This generates stipulative definitions like this one:



> 
> 
> I group random with stochastic or chancy, taking a random process to
> be one which does not operate wholly capriciously or haphazardly but
> in accord with stochastic or probabilistic laws. (Earman 1986:
> 137)




This process conception of randomness is perfectly legitimate, if
somewhat redundant. But it is not adequate for our purposes. It makes the Commonplace Thesis a triviality, and thereby neither
interesting in itself nor apt to support the interesting conclusions
some have drawn from it concerning explanation or experimental
design. Moreover, 




The invocation of a notion of process randomness is inadequate in another way, as it does not cover all cases of randomness. Take a clear case of process randomness, such as one thousand consecutive tosses of a fair coin. We would expect, with very high confidence, to toss at least one head. But as that outcome has some chance of not coming to pass, it counts as process random even when it does. This is at variance with what we would ordinarily say about such an outcome, which is not at all unexpected, haphazard, or unpredictable. We could search for some refinement of the notion of process randomness that would reserve the word 'random' for more irregular looking outcomes. But a better approach, and the one we pursue in this entry, is to distinguish between randomness of the process generating an outcome (which we stipulate to amount to its being a chance process), and randomness of the *product* of that random process. In the case just envisaged, we have a random process, while the outomce 'at least one head in 1000 tosses' is not a random product. 



The introduction of product randomness helps us make sense of some
familiar uses of 'random' to characterise an entire
collection of outcomes of a given repeated process. This is the sense
in which a *random sample* is random: it is an unbiased
representation of the population from which it is drawn--and that
is a property of the entire sample, not each individual member. If a random sample is to do its job, it should be irregular and haphazard with respect to the population variables of interest. We should not be able to predict the membership of the sample to any degree of reliability by making use of some other feature of individuals in the population. (So we should not be able to guess at the likely membership of a random sample by using some feature like 'is over 180cm tall'.) A random sample is one that is representative in the sense of being *typical* of the underlying population from which it is drawn, which means in turn that--in the ideal case--it will exhibit no order or pattern that is not exemplified in that underlying population.


While
many random samples will be drawn using a random process, they need not
be. For example, if we are antecedently convinced that the final digit
of someone's minute of birth is not correlated with their family
income, we may draw a random sample of people's incomes by choosing
those whose birth minute ends in '7', and that process of
choice is not at all random. To be sure that our sample is random, we
may wish to use random numbers to decide whether to include a given
individual in the sample; to that end, large tables of random digits
have been produced, displaying no order or pattern (RAND Corporation
1955). This other conception of randomness, as attaching primarily to
collections of outcomes, has been termed *product
randomness*.




Product randomness also plays an important role in scientific
inference. Suppose we encounter a novel phenomenon, and attempt to give
a theory of it. All we have to begin with is the data concerning what
happened. If that data is highly regular and patterned, we may attempt
to give a deterministic theory of the phenomenon. But if the data is
irregular and disorderly--random--we may offer only a
stochastic theory. As we cannot rely on knowing whether the phenomenon
is chancy in advance of developing a theory of it, it is extremely
important to be able to characterise whether the data is random or not
directly, without detouring through prior knowledge of the process
behind it. We might think that we could simply do this by examination
of the data--surely the lack of pattern will be apparent to the
observer? (We may assume that patternlessness is good evidence for
randomness, even if not entailed by it.) Yet psychological research has
repeatedly shown that humans are poor at discerning patterns, seeing
them in completely random data, and (for precisely the same reason, in
fact) failing to see them in non-random data (Gilovich *et al.*,
1985; Kahneman and Tversky, 1972; Bar-Hillel and Wagenaar, 1991; Hahn
and Warren, 2009). So the need for an objective account of randomness
of a sequence of outcomes is necessary for reliable scientific
inference.




It might seem initially that giving a rigorous characterisation of
disorder and patternlessness is a hopeless task, made even more difficult by the fact that we need to characterise it without using the notion of chance. (Otherwise we make CT trivial.) Yet a series of
mathematical developments in the theory of *algorithmic
randomness*, culminating in the early 1970s, showed that a
satisfactory characterisation of randomness of a sequence of outcomes
was possible. This notion has shown its theoretical fruitfulness not
only in the foundations of statistics and scientific inference, but
also in connection with the development of information theory and
complexity theory. The task of this section is to introduce the
mathematical approach to the definition of random sequences, just as
we introduced the philosophical consensus on chance in the previous
section. We will then be in a position to evaluate the Commonplace
Thesis, when made precise using theoretically fruitful notions of chance and randomness.




The fascinating mathematics of algorithmic randomness are largely
unknown to philosophers. For this reason, I will give a fairly detailed
exposition in this entry. Various points of more technical interest
have been relegated to this supplementary document:



> Supplement B. Further Details Concerning Algorithmic Randomness




Most proofs will be skipped, or relegated to this supplementary
document:



> Supplement C. Proofs of Selected Theorems




Fuller discussions can be found in the cited references.




Throughout the focus will be on a simple binary process, which has
only two types of outcome \(O = \{0,1\}\). (The theory of
randomness for the outcome sequences of such a simple process can be
extended to more complicated sets of outcomes, but there is much of interest even in the question *which binary sequences are product random?*) A *sequence of
outcomes* is an ordered collection of events, finite or infinite,
such that each event is of a type in \(O\). So a sequence
\(x = x\_1 x\_2 \ldots x\_k\ldots\),
where each \(x\_i \in O\). The set of all
*infinite* binary sequences of outcomes is known as the
*Cantor space*. One familiar example of a process the outcomes
of which form a Cantor space is an infinite sequence of independent
flips of a fair coin, where 1 denotes heads and 0 tails. Notions from
measure theory and computability theory are used in the discussion
below; an elementary presentation of the mathematics needed can be
found in supplement
 B.2.


### 2.1 Product Randomness: Random Sequences are Most Likely




 Perhaps counterintuitively, we begin with the case of infinite binary sequences. Which of these should count as random products of our binary process?

Each individual infinite sequence, whether orderly or not, has
measure zero under the standard (Lebesgue) measure over the Cantor space.
We cannot determine whether an individual sequence is random from
considering what fraction it constitutes of the set of all such
sequences. But, intuitively, almost all such infinite sequences should
be random and disorderly, and only few will be orderly (an observation
first due to Ville 1939). A *typical* infinite sequence is one
without pattern; only exceptional cases have order to them. If the
actual process that generate the sequences are perfectly deterministic,
it may be that a typical product of that process is not random. But we
are rather concerned to characterise which of all the possible
sequences produced by any process whatsoever are random, and it seems
clear that most of the ways an infinite sequence might be produced, and
hence most of the sequences so produced, will be random. This fits with
intuitive considerations:



> We arrange in our thought, all possible events in various
> classes; and we regard as *extraordinary* those classes which
> include a very small number. In the game of heads and tails, if heads
> comes up a hundred times in a row, then this appears to us
> extraordinary, because the almost infinite number of combinations that
> can arise in a hundred throws are divided in regular sequences, or
> those in which we observe a rule that is easy to grasp, and in
> irregular sequences, that are incomparably more numerous. (Laplace
> 1826)


 This fertile remark underscores both that random sequences should be *unruly*, and that they should be *common*. In the present framework: the set of *non*-random sequences should
have measure zero, proportional to the set of all such
sequences--correspondingly, the set of random sequences should
have measure one (Dasgupta, 2011: SS3; Gaifman and Snir,
1982: 534; Williams, 2008: 407-11).




This helps, but not much. For there are many measure one subsets of
the Cantor space, and we need some non-arbitrary way of selecting a
privileged such subset. (The natural option, to take the intersection
of all measure one subsets, fails, because the complement of the
singleton of any specific sequence is measure one, so for each sequence
there is a measure one set which excludes it; therefore the
intersection of all measure one sets excludes every sequence, so is the
empty set.) The usual response is to take the random sequences to be
the intersection of all measure one subsets of the space which have
'nice' properties, and to give some principled delimitation
of which properties are to count as 'nice' and why.




For example, if a sequence is genuinely random, we should expect that
in the long run it would tend to have features we associate with the
outputs of (independent, identically distributed trials of) a chancy
process. The sequence should look as disorderly as if it were the expected product of genuine chance. This approach is known accordingly as the *typicality* approach to randomness. Typicality is normally defined with respect to a prior probability function, since what is a typical series of fair coin toss outcomes might not be a typical series of unfair coin toss outcomes (Eagle 2016: 447). In the present case, we use the Lebesgue measure as it is the natural measure definable from the symmetries of the outcome space of the binary process itself.




A typical sequence should satisfy all of the various 'properties
of stochasticity' (Martin-Lof 1966: 604). What are these
properties? They include the property of large numbers, the claim that
the limit frequency of a digit in a random sequence should not be
biased to any particular digit. The (strong) *law* of large
numbers is the claim that, with probability 1, an infinite sequence of
independent, identically distributed Bernoulli trials will have the
property of large numbers. If we concentrate on the sequence of
outcomes as independently given mathematical entities, rather than as
the products of a large number of independent Bernoulli trials, we can
follow Borel's (1909) characterisation of the strong law. Let
\(S\_n (x)\) be the number of 1s occurring in the first \(n\) places of
sequence \(x\) (this is just \(\sum^{n}\_{k=1}x\_{k}\)), and let \(B\)
be the set of infinite sequences \(x\) such that the limit of \(S\_n
(x)/n\) as \(n\) tends to infinity is \(\frac{1}{2}\). Borel's
theorem is that \(B\) has measure one; almost all infinite sequences
are, in the limit, unbiased with respect to digit frequency.




Clearly, the property of large numbers is a necessary condition for
randomness of a sequence. It is not sufficient, however. Consider the
sequence 10101010.... This sequence is not biased. But it is
clearly not random either, as it develops in a completely regular and
predictable fashion. So we need to impose additional constraints. Each
of these constraints will be another property of stochasticity we
should expect of a random sequence, including all other such limit
properties of 'unbiasedness'.




One such further property is *Borel normality*, also defined
in that paper by Borel. A sequence is Borel normal iff each finite
string of digits of equal length has equal frequency in the
 sequence.[6]
 Borel proved that a measure one set of
sequences in the Cantor space are Borel normal. Borel normality is a
useful condition to impose for random sequences, as it has the
consequence that there will be no predictable pattern to the sequence:
for any string \(\sigma\) appearing multiple times in a sequence, it will as
commonly be followed by a 1 as by a 0. This lack of predictability
based on the previous elements of the sequence is necessary for genuine
randomness. But again Borel normality is not sufficient for randomness.
The *Champernowne* sequence (Champernowne 1933) is the sequence
of digits in the binary representations of each successive non-negative
integer:



\[
011011100101110111\ldots
\]



This is Borel normal, but perfectly predictable, because there is a
general law which states what the value of the sequence at each index
will be--not because it can be predicted from prior elements of the sequence, but because it can be predicted from the index.




We must impose another condition to rule out the Champernowne
sequence. We could proceed, piecemeal, in response to various problem
cases, to successively introduce further stochastic properties, each of
which is a necessary condition for randomness, eventually hoping to
give a characterisation of the random sequences by aggregating enough
of them together. Given the complex structure of the Cantor space, the
prospects for success of such a cumulative approach seem dim. A more
promising bolder route is to offer one stochastic property that is by
itself necessary and sufficient for randomness, the possession of which
will entail the possession of the other properties we've mentioned (the
property of large numbers, Borel normality, etc.).


#### 2.1.1 Randomness and Gambling Systems--von Mises' Account




The first detailed and sophisticated attempt at a bolder approach to
defining randomness for a sequence with a single stochastic property
was by von Mises (von Mises, 1957; von Mises, 1941). Suppose you were
presented with any subsequence \(x\_1 , \ldots ,x\_{n-1}\) of (not necessarily consecutive
members of) a sequence, and asked to predict the value of
\(x\_n\). If the sequence were really random,
then this information--the values of any previous members of the
sequence, and the place of the desired outcome in the
sequence--should be of no use to you in this task. To suppose
otherwise is to suppose that there is an exploitable regularity in the
random sequence; a gambler could, for example, bet reliably on their
preferred outcome and be assured of a positive expected gain if they
were in possession of this information. A gambling system selects
points in a sequence of outcomes to bet on; a successful gambling
system would be one where the points selected have a higher frequency
of 'successes' than in the sequence as a whole, so that by
employing the system one can expect to do better than chance. But the
failure of gambling systems to make headway in games of chance suggests
that genuinely random sequences of outcomes aren't so exploitable. Von
Mises, observing the empirical non-existence of successful gambling
systems, makes it a condition of randomness for infinite sequences that
they could not be exploited by a gambling system (his '*Prinzip
vom ausgeschlossenen Spielsystem*'). The idea is that without what
effectively amounts to a crystal ball, there is no way of selecting a
biased selection of members of a random sequence.




Shorn of the inessential presentational device of selecting an
outcome to bet on based on past outcomes, von Mises contends that it is
a property of stochasticity that a random sequence should not be such
that information about any initial subsequence
\(x\_1 x\_2 \ldots x\_{k-1}\)
provides information about the contents of outcome
\(x\_k\). He formally implements this idea by defining a
*place selection* as 'the selection of a partial sequence
in such a way that we decide whether an element should or should not be
included without making use of the [value] of the element' (von
Mises 1957: 25). He then defines a random sequence as one such that
every infinite subsequence selected by an admissible place selection
retains the same relative digit frequencies as in the original sequence
(so one cannot select a biased subsequence, indicating that this is a
genuine property of stochasticity). In our case this will mean that
every admissibly selected subsequence will meet the property of large
numbers with equal frequency of 1s and
 0s.[7]
 One way to characterise
the resulting set of von Mises-random (vM-random) sequences is that it
is the largest set which contains only infinite sequences with the
right limit frequency and is closed under all admissible place
selections. If the limit frequency of a digit is 1, say in the sequence
\(111\ldots\), it is true that every admissible place selection
determines a subsequence with the same limit frequency. Von Mises
intends this result, for this is what a random sequence of outcomes of
trials with probability 1 of obtaining the outcome 1 looks like. This
sequence does not meet the property of large numbers, however. So we
modify von Mises' own condition, defining the vM-random sequences as
the largest set of infinite sequences which have the limit frequency
\(\frac{1}{2}\), and which is closed under all admissible place selections.




Von Mises' original proposals were deliberately imprecise about what
kinds of procedures count as admissible place selections. This
imprecision did not concern him, as he was disposed to regard the
'right' set of place selections for any particular random
collective as being fixed by context and not invariantly specifiable.
But his explicit characterisation is subject to counterexamples. Since
'any increasing sequence of natural numbers
\(n\_1 \lt n\_2 \lt \ldots\)
defines a corresponding selection rule, ... given an arbitrary
sequence of 0s and 1s ... there is among the selection rules the
one which selects the 1s of the given sequence, so the limit frequency
is changed' (Martin-Lof 1969b: 27). This clearly violates
von Mises' intentions, as he presumably intended that the place
selections should be constructively specified, yet the notion of
vM-randomness remains tantalisingly vague without some more concrete
specification.




Such a specification arrived in the work of Church (1940), drawing
on the then newly clarified notion of an effective procedure. Church
observed that



> To a player who would beat the wheel at roulette a system
> is unusable which corresponds to a mathematical function known to exist
> but not given by explicit definition; and even the explicit definition
> is of no use unless it provides a means of calculating the particular
> values of the function. ... Thus a [gambling system] should be
> represented mathematically, not as a function, or even as a definition
> of a function, but as an effective algorithm for the calculation of the
> values of a function. (Church 1940: 133)




Church therefore imposes the condition that the admissible place
selections should be, not arbitrary functions, but *effectively
computable* functions of the preceding outcomes in a sequence.
Formally, we consider (following Wald 1938) a place selection as a
function \(f\) from an initial segment
\(x\_1 x\_2 \ldots x\_{i-1}\)
of a sequence \(\sigma\) into \(\{0,1\}\), such that the selected
subsequence \(\sigma' = \{x\_i : f(x\_1 \ldots x\_{i - 1}) = 1\}\), Church's proposal is that we admit only those
place selections which are *computable* (total recursive)
 functions.[8]
 Church's proposal applies equally to the
sequences von Mises is concerned with, namely those with arbitrary
non-zero outcome frequencies for each type of outcome; to get the
random sequences, we again make the restriction to those normal binary
sequences where the limit relative frequency of each outcome is \(\frac{1}{2}\)
(these are sometimes called the *Church stochastic*
sequences).




As Church points out, if we adopt the Church-Turing computable
functions as the admissible place selections, it follows quickly that
the set of admissible place selections is countably infinite. We may
then show:



> 
> 
> **Theorem 1 (Doob-Wald).** The set of
>  random sequences forms a measure one subset of the Cantor space.
> 
> 
> 
> 
>  [Proof]
> 
> 




Thus von Mises' conception of randomness was made mathematically
robust (Martin-Lof 1969b). We can see that various properties of
stochasticity follow from this characterisation. For example, we can
show:



> 
> 
> **Corollary 1.** Every von
>  Mises-random sequence is Borel normal.
> 
> 
> 
> 
>  [Proof]
> 
> 




These successes for the approach to randomness based on the
impossibility of gambling systems were, however, undermined by a
theorem of Ville (1939):



> 
> 
> **Theorem 2 (Ville).** For any
>  countable set of place selections \(\{\phi\_n\}\)
> (including the identity), there exists an infinite binary
> sequence \(x\) such that:
> 
> 
> 1. for all \(m\), \(\lim\_{m \rightarrow \infty}
> (\sum^{m}\_{k=1}(\phi\_n (x))\_k)/m = \frac{1}{2}\); but
> 2. for all \(m,
> (\sum^{m}\_{n=1}x\_{n})/m \gt \frac{1}{2}\).
> 




That is, for any specifiable set of place selections, including the
total recursive place selections proposed by Church as the invariantly
appropriate set, there exist sequences which have the right limit
relative frequencies to satisfy the strong law of large numbers (and
indeed Borel normality), as do all their acceptable subsequences, but
 which are biased in all initial
 segments.[9]




Why should this be a problem for random sequences? The property of
large numbers shows that almost all infinite binary sequences have
limit digit frequency \(\frac{1}{2}\), but says nothing about how quickly
this convergence happens or about the statistical properties of the
initial segments. There certainly exist sequences that converge to
\(\frac{1}{2}\) but
where \(S\_n (x)/n \gt \frac{1}{2}\) for all \(n\) (the sequence has the right mean but
converges 'from above'). In the 'random walk'
model of our random sequences, where each element in the sequence is
interpreted as a step left (if 0) or right (if 1) along the integer
line, this sequence would consist of a walk that (in the limit) ends
up back at the origin but always (or even eventually) stays to the
right. Intuitively, such a sequence is not random.




Such sequences do indeed violate at least one property of
stochasticity, as it turns out that in a measure one set of sequences,
\(S\_n (x)/n\) will be above
the mean infinitely many times, and below the mean infinitely many
times. So stated, this is the *law of symmetric oscillation*
(Dasgupta, 2011:
 13).[10]
 Since the law of symmetric oscillations
holds for a measure one set of sequences, it is a plausible property of
randomness (it is naturally of a family with other properties of
stochasticity). Ville's result shows that von Mises' definition in
terms of place selections cannot characterise random sequences exactly
because it includes sequences that violate this law (so don't
correspond to a truly random random walk). Indeed, such sequences don't
even correspond to von Mises' avowed aims. As Li and Vitanyi say
(2008: 54), 'if you bet 1 all the time against such a sequence of
outcomes, your accumulated gain is always positive'. As such,
Ville-style sequences seem to permit successful gambling, despite the
fact that they do not permit a system to be formulated in terms of
place selections.


#### 2.1.2 Randomness and Effective Tests: Martin-Lof-Randomness




Von Mises and Church identified a class of sequences, those with
limit frequencies invariant under recursive place selections, that
satisfied a number of the measure one stochastic properties of
sequences that are thought characteristic of randomness. But the class
they identified was too inclusive. The next insight in this area was
due to (Martin-Lof 1966), who realised that rather than looking
for another *single* property of sequences that would entail
that the sequence met all the further conditions on randomness, it was
simpler to adopt as a definition that a sequence is random iff the
sequence has all the measure one properties of randomness that can be
specified. Here again recursion theory plays a role, for the idea of
*a measure one property of randomness that can be specified* is
equivalent to the requirement that there be an effective procedure for
testing whether a sequence violates the property. This prompts the
following very bold approach to the definition of random sequences:



> 
> **Martin-Lof Randomness**:
>   
> 
> A random sequence is one which cannot be effectively determined to
> violate a measure one randomness property (Downey and Hirschfeldt
> 2010: SS5.2; Dasgupta 2011: SS6.1; Porter 2016: 461-2).




Recalling the definition of effective measure zero from
 supplement
 B.2,
 Martin-Lof suggests that a
random sequence is any that does not belong to any effective measure
zero set of sequences, and thus belongs to every effective measure one
set of sequences. An effective measure zero set of sequences will
contain sequences which can be effectively determined to have a
'special hallmark' (for example, having a '1'
at every seventh place, or never having the string '000000'
occurring as a subsequence). It is part of von Mises' insight that no
random sequence will possess any of these effectively determinable
special hallmarks: such hallmarks would permit exploitation as part of
a gambling system. But Martin-Lof notices that all of the commonly
used measure one properties of stochasticity are effective measure one.
Any sequence which violates the property of large numbers, or the law
of symmetric oscillations, etc., will do so on increasingly long
initial subsequences. So the violation of any such property will also
be a special hallmark of a non-random sequence, an indicator that the
sequence which possesses it is an unusual one. Since the unusual
properties of non-stochasticity in question are effective measure zero,
we can therefore say that the random sequences are those which are not
special in any effectively determinable way. To formalise this,
Martin-Lof appeals to the language of significance testing. His
main result is sometimes put as the claim that random sequences as
those which pass all recursive significance tests for sequences
(Schnorr 1971: SS1)--they are never atypical enough to prompt us to reject the hypothesis that they are random. See supplement
 B.1.1
 for more detail on this
point.




Note that the restriction to effective properties of sequences is
crucial here. If we allowed, for example, the property *being
identical to my favourite random sequence x*, that would define a
test which the sequence \(x\) would fail, even though it is
random. But it follows from our observations about von Mises randomness
(which is still a necessary condition on randomness) that no
effectively computable sequence is random (if it were, there would be a
place selection definable from the algorithm that selected all the 1s
in the sequence). So there is no effective test that checks whether a
given sequence is identical to some random sequence.




The central result of Martin-Lof (1966) is the following:



> 
> 
> **Theorem 3 (Universal Tests and the
>  Existence of Random Sequences).** There is a universal test
> for ML-randomness; moreover, only a measure zero set of infinite
> binary sequences fails this test. So almost all such sequences are
> ML-random.
> 
> 
> 
> 
>  [Proof]
> 
> 




The universal test does define an effective measure one property,
but (unlike normality, or having no biased admissible subsequences), it
is far from a naturally graspable property. Nevertheless,
Martin-Lof's result does establish that there are random sequences
that satisfy all the properties of stochasticity, and that in fact
almost all binary sequences are random in that sense. Returning to
 Ville's theorem
 2,
 it can be shown that all
ML-random sequences satisfy the law of symmetric oscillations (van
Lambalgen 1987a: SS3.3). Hence the kind of construction Ville uses
yields vM-random sequences which are not ML-random. All the ML-random
sequences have the right limit relative frequencies, since they satisfy
the effective measure one property of large numbers. So Martin-Lof
random sequences satisfy all the intuitive properties we would expect
of a sequence produced by tosses of a fair coin, but are characterised
entirely by reference to the effectively specifiable measure one sets
of infinite sequences. We have therefore characterised random sequences
entirely in terms of the explicit features of the product, and not of
the process that may or may not lie behind the production of these
sequences.




There are other accounts that develop and extend Martin-Lof's
account of randomness, in the same kind of framework, such as that of
Schnorr (1971); for some further details, see supplement
 B.1.2.


### 2.2 Product Randomness: Random Sequences are Most Disorderly




For infinite binary sequences, the Martin-Lof definition in
terms of effective tests is a robust and mathematically attractive
notion. However, it seems to have the major flaw that it applies only
to infinite binary sequences. (Since finiteness of a sequence is
effectively positively decidable, and the set of all finite sequences
is measure zero, every finite sequence violates an effective measure
one randomness property.) Yet ordinarily we are happy to characterise
even quite small finite sequences of outcomes as random. As mentioned
 above
 (SS2),
 there is room for doubt at our
ability to do so correctly, as we seem to be prone to mischaracterise
sequences we are presented with, and perform poorly when asked to
produce our own random sequences. However, there is nothing in this
literature to suggest that we are fundamentally mistaken in applying the notion of randomness to finite sequences at all. So one might think
this shows that the Martin-Lof approach is too
restrictive.




Yet there is something in the idea of ML-randomness that we might
apply profitably to the case of finite sequences. Since being generated
by an effective procedure is a measure zero property of infinite
sequences, given that there are only countably many effective
procedures, it follows immediately that no ML-random sequence can be
effectively produced. This fits well with the intuitive idea that
random sequences don't have the kind of regular patterns that any
finite algorithm, no matter how complex, must exploit in order to
produce an infinite sequence. This contrast between random sequences
which lack patterns that enable them to be algorithmic generated, and
non-random sequences which do exhibit such patterns, does not apply
straightforwardly to the finite case, because clearly there is an
effective procedure which enables us to produce any particular finite
sequence of outcomes--simply to list those outcomes in the
specification of the algorithm. But a related contrast does
exist--between those algorithms which are simply crude lists of
outcomes, and those which produce outcomes which involve patterns and
regularities in the outcome sequence. This leads us to the idea that
finite random sequences, like their infinite cousins, are not able to
be generated by an algorithm which exploits patterns in the outcome
sequence. The outcomes in random sequences are thus patternless, or
*disorderly*, in a way that is intuitively characteristic of
random sequences.


#### 2.2.1 Kolmogorov Complexity and Randomness




Disorderly sequences, in the above sense, are highly
*incompressible*. The best effective description we can give of
such a sequence--one that would enable someone else, or a
computer, to reliably reproduce it--would be to simply list the
sequence itself. This feature allows us to characterise the random
sequences as those which cannot be produced by a compact algorithm
(compact with respect to the length of the target sequence, that is).
Given that algorithms can be specified by a list of Turing machine
instructions, we have some basic idea on how to characterise the length
of an algorithm. We can then say that a random sequence is one such
that the shortest algorithm which produces it is approximately (to be
explained below) the same length as the sequence itself--no
greater compression in the algorithm can be attained. This proposal,
suggested by the work of Kolmogorov, Chaitin and Solomonov (KCS),
characterises randomness as the algorithmic or informational
*complexity* of a sequence. Comprehensive surveys of complexity
and the complexity-based approach to randomness are Li and
Vitanyi 2008 and Downey and Hirschfeldt 2010: Part I. (See also
Chaitin 1975, Dasgupta 2011: SS7, Downey et al. 2006:
SSSS1-3, Earman 1986: 141-7, Kolmogorov 1963,
Kolmogorov and Uspensky 1988, Smith (1998: ch. 9) and van Lambalgen
1995.)




If \(f\) is effectively computable--a recursive
function--let us say that \(\delta\) is an \(f\)-description of a
finite string \(\sigma\) iff \(f\) yields \(\sigma\) on input
\(\delta\). We may define the \(f\)*-complexity* of a string
\(\sigma , C\_f (\sigma)\), as the length of the shortest string
\(\delta\) that \(f\)-describes \(\sigma\). If there is no such
\(\delta\), let the \(f\)-complexity of \(\sigma\) be infinite. \(f\)
is thus a *decompression* algorithm, taking the compressed
description \(\delta\) back to the original string \(\sigma\). There
are obviously many different kinds of decompression algorithm. One
boring case is the identity function (the empty program), which takes
each string to itself. The existence of this function shows that there
are decompression algorithms \(f\) which have a finite
\(f\)-complexity for any finite string. Any useful decompression
algorithm will, however, yield an output string significantly longer
than the input description, for at least some input descriptions.




One example is this algorithm: on input of a binary string \(\delta\)
of length \(4n\), the algorithm breaks the input down into \(n\)
blocks of 4, which it turns into an output sequence \(\sigma\), as
follows. Given a block \(b\_1 , \ldots ,b\_4\), it produces a block of
the symbol contained in \(b\_1\), the length of which is governed by
the binary numeral \(b\_2 b\_3 b\_4\). So the block 1101 produces a
string of five 1s. The output sequence is obtained by concatenating
the output of successive blocks in order. Every string \(\sigma\) can
be represented by this algorithm, since the string \(\sigma '\) which
involves replacing every 1 in \(\sigma\) by 1001, and every 0 by 0001,
will yield \(\sigma\) when given as input to this algorithm. So this
algorithm has finite complexity for any string. But this algorithm can
do considerably better; if the original string, for example, is a
string of sixteen 1s, it can be obtained by input of this description:
11111111, which is half the length. Indeed, as reflection on this
algorithm shows, this algorithm can reconstruct an original string
from a shorter description, for many strings, particularly if they
contain reasonably long substrings of consecutive 1s or 0s.




However, there is a limit on how well any algorithm can compress a
string. If \(\lvert\sigma\rvert\) is the length of \(\sigma\), say
that a string \(\sigma\) is *compressed* by \(f\) if there is
an \(f\)-description \(\delta\) such that \(\sigma = f(\delta)\) and
\(\lvert\delta\rvert \lt \lvert\sigma\rvert\). If a useful decompression
algorithm is such that for some fixed \(k\), \(\lvert f(\delta)\rvert \le \lvert\delta\rvert +
k\), so that \(f\)-descriptions are at least \(k\) shorter than the
sequence to be compressed, then it follows that very few strings
usefully compress. For there are \(2^l\) strings \(\sigma\) such that
\(\lvert\sigma\rvert = l\); so there are at most \(2^{l - k} f\)-descriptions;
since \(f\) is a function, there are at most \(2^{l-k}\) compressible
strings. As a proportion of all strings of length \(l\), then, there
are at most \(2^{l-k}/2^{l} = \frac{1}{2}^{k}\) compressible strings
. This means that as the amount of compression required increases, the
number of sequences so compressible decreases exponentially. Even in
the most pitiful amount of compression, \(k = 1\), we see that at most
half the strings of a given length can be compressed by any algorithm
\(f\).




So our interest must be in those decompression functions which do best
overall. We might hope to say: \(f\) is better than \(g\) iff for all
\(\sigma , C\_f (\sigma) \le C\_g (\sigma)\). Unfortunately, no function
is best in this sense, since for any given string \(\sigma\) with
\(f\)-complexity \(\lvert\sigma\rvert - k\), we can design a function
\(g\) as follows: on input 1, output \(\sigma\); on
input *n\(\delta\)* (for any \(n)\), output
\(f(\delta)\). (Generalising, we can add arbitrarily long prefixes of
length \(m\) onto the inputs to \(g\) and have better-than\(-f\)
compression for \(2^m\) sequences.) But we can define a notion of
*complexity near-superiority* of \(f\) to \(g\) iff
there is some constant \(k\) such that for any string,
\(C\_f (\sigma) \le C\_g (\sigma) + k.
f\) is least as good as \(g\), subject to some constant
which is independent of the functions in question. If \(f\) and
\(g\) are both complexity near-superior to each other, for the
same \(k\), we say they are *complexity equivalent*.




Kolmogorov (1965) showed that there is an optimal decompression
algorithm:



> 
> 
> **Theorem 4 (Kolmogorov).** There
>  exists a decompression algorithm which
> is near-superior to any other program. Moreover, any such optimal
> algorithm is complexity equivalent to any other optimal algorithm (see
> also Chaitin 1966 and Martin-Lof 1969a).
> 
> 
> 
> 
>  [Proof]
> 
> 




Such a universal function Kolmogorov called *asymptotically
optimal* (for as \(\lvert\sigma\rvert\) increases, the constant
\(k\) becomes asymptotically negligible).




Choose some such asymptotically optimal function \(u\), and
define the complexity (simpliciter) \(C(\sigma) = C\_u (\sigma)\). Since \(u\) is optimal,
it is near-superior to the identity function; it follows that there
exists a \(k\) such that \(C(\sigma) \le \lvert\sigma\rvert
+ k\). On the other hand, we also know that the number of
strings for which \(C(\sigma) \le \lvert\sigma\rvert
- k\) is at most \(\frac{1}{2} ^k\). We know
therefore that all except \(1 - 2^k\) sequences
of length \(n\) have a complexity within \(k\)
of \(n\). As \(n\) increases, for fixed large \(k\),
therefore, we see that almost all sequences have complexity of
approximately their length. All this can be used to make precise the
definition of randomness sketched above.



> 
> **Kolmogorov random**:
>   
> 
> We say that a sequence \(\sigma\) is *Kolmogorov-random*
> iff \(C(\sigma) \approx \lvert\sigma\rvert\).




It follows from what we have just said that there exist random
sequences for any chosen length \(n\), and that as \(n\)
increases with respect to \(k\), random sequences come to be the
overwhelming majority of sequences of that length.



> 
> **Theorem 5.** A random sequence
>  of a given length cannot be effectively produced.
> 
> 
> 
> 
>  [Proof]
> 
> 




An immediate corollary is that the complexity function \(C\) is
not a recursive function. If it were, for any \(n\), we could
effectively compute \(C(\sigma)\) for any \(\sigma\) of
length \(n\). By simply listing all such sequences, we could halt
after finding the first \(\sigma\) for which \(C(\sigma)
\ge n\). But then we could effectively produce a random
sequence, contrary to theorem
 5.




The notion of Kolmogorov randomness fits well with the intuitions
about the disorderliness of random sequences we derived from the
Martin-Lof account. It also fits well with other intuitions about
randomness--random sequences don't have a short description, so
there is no sense in which they are produced in accordance with a
plan. As such, Kolmogorov randomness also supports von Mises'
intuitions about randomness being linked to the impossibility of
gambling systems, as there will be no way of effectively producing a
given random sequence of outcomes using a set of initially given data
any smaller than the sequence itself. There is no way of predicting a
genuinely random sequence in advance because no random sequence can be
effectively produced, yet every predictable sequence of outcomes can
(intuitively) be generated by specifying the way in which future
outcomes can be predicted on the basis of prior outcomes. Moreover,
because for increasing \(k\) the number of strings of length
\(n\) which are random increases, and because for increasing
\(n\) we can choose larger and larger \(k\), there is some
sense in which the great majority of sequences are random; this matches
well the desiderata in the infinite case that almost all sequences
should be random. Finally, it can be shown that the Kolmogorov
randomness of a sequence is equivalent to that sequence passing a
battery of statistical tests, in the Martin-Lof
sense--indeed, that the Kolmogorov random sequences are just those
that pass a certain universal test of non-randomness (Martin-Lof
1969a:
 SS2).[11]


#### 2.2.2 Prefix-Free Kolmogorov Complexity




The plain Kolmogorov complexity measure is intuitively appealing.
Yet the bewildering variety of permitted \(f\)-descriptions
includes many unmanageable encodings. In particular, for a given
decompression algorithm \(f\), there are \(f\)-descriptions
\(\gamma\) and \(\delta\) such that \(\delta = \gamma\unicode{x2040}\tau\), for some string
\(\tau\). This is an inefficient encoding, because if
\(\gamma\) can occur both as a code itself, and as the initial
part of another code, then an algorithm cannot decode its input string
'on the fly' as soon as it detects a comprehensible input,
but must wait until it has scanned and processed the entire input
before beginning to decode it. An efficient coding, such that no
acceptable input is an initial substring of another acceptable input,
is called *prefix-free* (because no member is a prefix of any
other member). A good example of an encoding like this is the encoding
of telephone numbers: the telephone exchange can, on input of a string
of digits that it recognises, immediately connect you; once an
acceptable code from a prefix-free set has been input, no other
acceptable code can follow it.




Prefix-free encodings are useful for a number of practical purposes,
and they turn out to be useful in defining randomness also. (As we will
see in
 SS2.3,
 they are of special importance in
avoiding a problem in the definition of infinite Kolmogorov random
sequences.) The change is the natural one: we appeal, not to the plain
complexity of a sequence in defining its randomness, but the so-called
*prefix-free* complexity (Downey and Hirschfeldt 2010:
SS2.5ff; Dasgupta 2011: SS8).




To fix ideas, it is useful to have an example of a prefix-free
encoding in mind. Suppose we have a string
\(\sigma =x\_1 \ldots x\_k\)
of length \(k\). This is the initial part of the string
\(\sigma 1\), so if any string was an acceptable input, we would
not have a prefix-free encoding. But if the code contained information
about the *length* of the string encoded, we would know that the
length of \(\sigma , k\), is less than the length of
\(\sigma 1\). We can make this idea precise as follows (using a
code similar to that used to a different end in the
 proof
 of Theorem
 4).
Let the code of \(\sigma\) be the string
\(1^{[\lvert\sigma\rvert]}0\sigma\)--that is, the
code of a string consists of a representation of the length of the
string, followed by a 0, followed by the string. This is clearly a
prefix-free
 encoding.[12]
 This coding is not particularly efficient,
but more compact prefix-free encodings do exist.




The notion of prefix-free complexity is defined in exactly the same
way as plain complexity, with the additional restriction that the
allowable \(f\)-descriptions of a string, given a decompression
function \(f\), must form a prefix-free set. With an appropriate
choice of coding, we can get a set of \(f\)-descriptions which is
monotonic with increasing length, i.e., if \(\lvert\gamma\rvert \lt \lvert\delta\rvert\) 
then \(\lvert f(\gamma)\rvert \lt \lvert f(\delta)\rvert\). Our definition 
goes much as before: The prefix free Kolmogorov complexity, given a
decompression function
\(f\) with a prefix-free domain, of a string \(\sigma\),
denoted \(K\_f (\sigma)\), is the
length of the shortest \(f\)-description of \(\sigma\) (and
infinite otherwise). Since
\(1^{[\lvert\sigma\rvert]}0\sigma\) is a finite
prefix-free code for \(\sigma\), we know there are at least some
prefix-free decompression algorithms with finite
\(K\_f\) for every string. As before, we can
show there exist better decompression algorithms than this one, and
indeed, that there exists a universal prefix-free decompression
algorithm \(u\), such that for every other algorithm \(m\)
there is a \(k\) such that
\(K\_u (\sigma) \le K\_m (\sigma) + k\), for all
\(\sigma\) (Downey and Hirschfeldt 2010: SS2.5). We define
\(K(\sigma) = K\_u (\sigma)\).




Since the set of prefix-free codes is a subset of the set of all
possible codes, we should expect generally that
\(C(\sigma) \le K(\sigma)\). On the
other hand, we can construct a universal prefix-free algorithm
\(u\) as follows. A universal Turing machine \(u'\)
takes as input the Godel number of the Turing machine we wish to
simulate, and the input we wish to give to that machine. Let us
concatenate these two inputs into a longer input string that is itself
uniquely readable; and we then encode that longer string into our
prefix-free encoding. The encoding is effectively computable, clearly,
so we can chain a decoding machine together with our universal machine
\(u'\); on input an acceptable prefix-free string, the
decoder will decompose it into the input string, we then decompose the
input string into the Godel number and the input, and run the
machine \(u'\) on that pair of inputs. Depending on the
particular encoding we choose, we may establish various bounds on
\(K\); one obvious bound we have already established is that
\(C(\sigma) \le K(\sigma) \lt C(\sigma) + 2\lvert\sigma\rvert\). By using a more
efficient prefix-free coding of a \(u'\)-description, we can
establish better
 bounds.[13]
 (Some more results on the connection
between \(K\) and \(C\) are in Downey and Hirschfeldt 2010:
SSSS3.1-3.2.)




With prefix-free complexity in hand, we may define:



> 
> **Prefix-free Kolmogorov Randomness**:
>   
> 
> A string \(\sigma\) is Prefix-free Kolmogorov random iff
> \(K(\sigma) \ge \lvert\sigma\rvert\) (modulo an
> additive constant).




Again, there do exist prefix-free random sequences, since we know
that there are plain random sequences, and given the greater length of
a prefix-free encoding, we know that the prefix-free code of ordinary
random sequence will be generally longer than an arbitrary code of it,
and thus random too. Indeed, there will be more prefix-free random
sequences because strings compress less effectively under \(K\)
than \(C\). Yet \(K\) and \(C\) behave similarly enough
that the success of plain Kolmogorov complexity at capturing our
intuitions about randomness carry over to prefix-free Kolmogorov
randomness, and the label 'Kolmogorov random' has come to
be used generally to refer to prefix-free Kolmogorov random
sequences.


### 2.3 Schnorr's theorem: Kolmogorov and ML-randomness coincide




Both plain and prefix-free Kolmogorov randomness provide
satisfactory accounts of the randomness of finite sequences. One
difficulty arises, as I suggested earlier, when we attempt to extend
plain Kolmogorov randomness to the case of infinite sequences in the
most obvious way, that is, by defining an infinite sequence as
Kolmogorov random iff all finite initial segments are Kolmogorov
random. It would then turn out that no infinite sequence is random.
Why? Because of the following theorem, which shows that there is no
sequence such that all of its initial segments are random:



> 
> 
> **Theorem 6 (Martin-Lof
>  1966)**. For any sufficiently long string, there will always 
> be some fairly compressible initial segments. (See also Li and Vitanyi 2008:
> SS2.5.1 and Downey and
> Hirschfeldt 2010: SS2.1.)
> 
> 
> 
> 
>  [Proof]
> 
> 




This dip in complexity of an initial subsequence will occur infinitely
often in even a random infinite sequence, a phenomenon known
as *complexity oscillation* (Li and Vitanyi 2008:
SS2.5.1). This phenomenon means that 'it is difficult to
express a universal sequential test precisely in terms
of \(C\)-complexity' (Li and Vitanyi 2008: 151), and
the best that can be precisely done is to find upper and lower bounds
expressible in terms of ordinary Kolmogorov complexity between which
the set of ML-random sequences falls (Li and Vitanyi 2008:
SS 2.5.3). 




However, the phenomenon of complexity oscillation does not pose as
significant a problem for prefix-free Kolmogorov
complexity. Complexity oscillation does arise, but in fact the
inefficiency of prefix-free encodings is a benefit here:
'\(K\) exceeds \(C\) by so much that the complexity of
the prefix does not drop below the length of the prefix itself (for
random infinite \(\omega)\)' (Li and Vitanyi 2008:
221). That is, while the complexity of some initial segments dips
down, it always remains greater than the length of the prefix. So it
can be that, uniformly, when \(x\) is an infinite sequence, for
any of its initial subsequences \(\sigma , K(\sigma) \ge 
\lvert\sigma\rvert\). This suggests that we can extend prefix-free Kolmogorov
complexity to the infinite case in the straightforward way: *an
infinite sequence* \(x\) is prefix-free Kolmogorov random iff
every finite initial subsequence is prefix-free Kolmogorov random.




With this definition in hand we obtain a very striking result. The
class of infinite prefix-free Kolmogorov random sequences is certainly
non-empty. Indeed: it is just the class of ML-random sequences!



> 
> 
> **Theorem 7 (Schnorr)**. A sequence 
>  is ML-random iff it is prefix-free Kolmogorov random. 
> 
> 
> 
> 
>  [Proof]
> 
> 




Schnorr's theorem is evidence that we really have captured the
intuitive notion of randomness. Different intuitive starting points
have generated the same set of random sequences. This has been taken
to be evidence that ML-randomness or equivalently (prefix-free)
Kolmogorov randomness is really the intuitive notion of randomness, in
much the same way as the coincidence of Turing machines, Post
machines, and recursive functions was taken to be evidence
for *Church's Thesis*, the claim that any one of these notions
captures the intuitive notion of effective computability. Accordingly,
Delahaye (1993) has proposed the *Martin-Lof-Chaitin
Thesis*, that either of these definitions captures the intuitive
notion of randomness. If this thesis is true, this undermines at least
some sceptical contentions about randomness, such as the claim of
Howson and Urbach (1993: 324) that 'it seems highly doubtful
that there is anything like a unique notion of randomness there to be
explicated'.



There are some reasons to be suspicious of the Martin-Lof-Chaitin
Thesis, despite the mathematically elegant convergence between these
two mathematical notions. For one, there is quite a bit of intuitive
support for accounts of randomness which do not make it primarily a
property of sequences, and those other accounts are no less able to be
made mathematically rigorous (see especially the
'epistemic' theories of randomness discussed in
SS6.2, as well as theories of randomness as
indeterminism discussed in SS7.2). The
existence of other intuitive notions makes the case of randomness
rather unlike the supposedly analogous case of Church's Thesis, where
no robust alternative characterisation of effective computability is
available. 


 Even if we accept that randomness, like disorder, is at root a
product notion, there are a number of candidates in the vicinity of
the set identified by Schnorr's thesis that might also deserve to be
called the set of random sequences. Most obviously, there is Schnorr's
own conception of randomness (SS2.1.2;
supplement B.1.2). Schnorr
(1971) suggests that, for technical and conceptual reasons, Schnorr
randomness is to be preferred to Martin-Lof randomness as an
account of the intuitive notion. While results that parallel the
convergence of ML-randomness and Kolmogorov randomness have been given
(Downey and Griffiths 2004), the relevant compressibility notion of
randomness for Schnorr randomness was not known until quite recently,
and is certainly less intuitively clear than Kolmogorov
randomness. Moreover, since the set of ML-random sequences is a strict
subset of the set of Schnorr random sequences, any problematic members
of the former are equally problematic members of the latter; and of
course there will be Schnorr random sequences which fail some
Martin-Lof statistical test, which might lead some to reject the
viability of Schnorr's notion from the start.


Schnorr's result showing the convergence between prefix-free
Kolmogorov complexity and Martin-Lof randomness is very
suggestive. As has become clear, the existence of other notions of
randomness--incluing Schnorr randomness, as well as a number of
other proposals (Li and Vitanyi 2008: SS2.5; Porter 2016: 464-6)--shows that
we should be somewhat cautious in yielding to its suggestion. 



This is especially true in light of a recent argument by Porter (2016: 469-70). He considers a certain schematic characterisation of computable functions, something like this: for every computable function \(f\) with property \(P\_i, f\) is differentiable at \(x\) iff \(x\) corresponds to a random\(\_i\) sequence. It turns out that for each sense of randomness (ML randomness, Schnorr randomness, computable randomness, etc.), there is some corresponding property of computable functions. Most importantly, none of these properties look overwhelmingly more natural or canonical than the others. For example, computable functions of bounded variation are differentiable at the Martin-Lof random points, while nondecreasing computable functions are differentiable at the computably random points. The difficulty for the Martin-Lof-Chaitin Thesis is this: these results give us the notion of a typical sequence, with respect to the differentiability of various kinds of function. Unfortunately, these notions of typical sequence diverge from one another. Unlike Church's thesis, where all the notions of effective computability line up, here we have a case where various notions of a typical sequence do not line up with each other (though there is significant overlap). Porter concludes that 'no single definition of randomness can do the work of capturing every mathematically significant collection of typical points' (Porter 2016: 471). 




That conclusion may well be justified. But we can largely sidestep the dispute over whether there is a single precise notion of
randomness that answers perfectly to our intuitive conception of
random sequence. Kolmogorov-Martin-Lof randomness is a reasonable and
representative exemplar of the algorithmic approach to randomness, and it overlaps almost everywhere with any other plausible definition of randomness. It is adopted here as a useful working account of randomness for
sequences. None of the difficulties and problems I raise below for the
connection between random sequences and chance turns in any material
way on the details of which particular set of sequences gets counted
as random (most are to do with the mismatch between the process notion
of chance and any algorithmic conception of randomness, with
differences amongst the latter being relatively unimportant). So while
the observations below are intended to generalise to Schnorr
randomness and other proposed definitions of random sequences, I will
explicitly treat only KML randomness in what follows.


## 3. The Commonplace Thesis Refined




The notions of chance and randomness discussed and clarified in the
previous two sections are those that have proved scientifically and
philosophically most fruitful. Whatever misfit there may be between
ordinary language uses of these terms and these scientific
precisifications, is made up for by the usefulness of these concepts.
This is particularly so with the notion of randomness, chance being in
philosopher's mouths much closer to what we ordinarily take ourselves
to know about chance. On these conceptions, randomness is
fundamentally a product notion, applying in the first instance to
sequences of outcomes, while chance is a process notion, applying in
the single case to the process or chance setup which produces a token
outcome. Of course the terminology in common usage is somewhat
slippery; it's not clear, for example, whether to count random
sampling as a product notion, because of the connection with
randomness, or as a process notion, because sampling is a process. The
orthodox view of the process, in fact, is that it should be governed
by a random sequence; we enumerate the population, and sample an
individual \(n\) just in case the \(n\)-th outcome in a
pre-chosen random sequence is 1. (Of course the sample thus selected
may not be random in some intuitive sense; nevertheless, it will not
be biased because of any defect in the selection procedure, but rather
only due to bad luck.)




With these precise notions in mind, we can return to the Commonplace
Thesis CT connecting chance and randomness. Two readings make
themselves available, depending on whether we take single outcomes or
sequences of outcomes to be primary:



> 
> 
> 
> \(\mathbf{CTa}\):
>   
> 
> A sequence of outcomes happens by chance iff that sequence is
> random.
> 
> 
> 
> 
> \(\mathbf{CTb}\):
>   
> 
> An outcome happens by chance iff there is a random sequence of outcomes
> including it.
> 
> 




Given the standard probability calculus, any sequence of outcomes is
itself an outcome (in the domain of the chance function defined over a
\(\sigma\)-algebra of outcomes, as in standard mathematical probability);
so we may without loss of generality consider only (CTb). But a
problem presents itself, if we consider chancy outcomes in possible
situations in which only very few events ever occur. It may be that
the events which do occur, by chance, are all of the same type, in
which case the sequence of outcomes won't be random. This problem is
analogous to the 'problem of the single case' for
 frequency views of chance
 (Hajek 2012:
 SS3.3),
 because
randomness is, like frequency, a property of an outcome sequence. The
problem arises because the outcomes may be too few or too orderly to
properly represent the randomness of the entire sequence of which they
are part (all infinite random sequences have at least some non-random
initial subsequences). The most common solution in the case of
frequentism was to opt for a hypothetical outcome sequence--a
sequence of outcomes produced under the same conditions with a stable
limit frequency (von Mises 1957: 14-5). Likewise, we may refine
the commonplace thesis as follows:



> 
> 
> \(\mathbf{RCT}\):
>   
> 
> An outcome happens by chance iff, were the trial which generated that
> outcome repeated often enough under the same conditions, we would
> obtain a random sequence including the outcome (or of which the
> outcome is a subsequence).




Here the idea is that chancy outcomes would, if repeated often
enough, produce an appropriately homogenous sequence of outcomes which
is random. If the trial is actually repeated often enough, this
sequence should be the actual sequence of outcomes; the whole point of
Kolmogorov randomness was to permit finite sequences to be random.




RCT is intuitively appealing, even once we distinguish process and
product randomness in the way sketched above. It receives significant
support from the fact that fair coins, tossed often enough, do in our
experience invariably give rise to random sequences, and that the
existence of a random sequence of outcomes is compelling evidence for
chance. The truth of RCT explains this useful constraint on the
epistemology of chance, since if we saw an actual finite random
sequence, we could infer that the outcomes constituting that sequence
happened by chance. However, in the next two sections, we will see that
there are apparent counterexamples even to RCT, posing grave
 difficulties for the Commonplace Thesis. In
 SS4
 we
will see a number of cases where there are apparently chancy outcomes
 without randomness, while in
 SS5
 we will see cases
of apparent randomness where there is no chance involved.




A fundamental problem with RCT seems to emerge when we consider the
fate of hypothetical frequentism as a theory of chance. For there
seems to be no fact of the matter, in a case of genuine chance, as to
what sequence of outcomes would result: as Jeffrey (1977: 193) puts
it, 'there is no telling whether the coin would have landed head
up on a toss that never takes place. That's what probability is all
about.' Many philosophers (e.g., Hajek 2009) have
followed Jeffrey in scepticism about the existence and tractability of
the hypothetical sequences apparently required by the right hand side
of RCT. However, there is some reason to think that RCT will fare
better than hypothetical frequentism in this respect. In particular,
RCT does not propose to *analyse* chance in terms of these
hypothetical sequences, so we can rely on the law of large numbers to
guide our expectation that chance processes produce certain outcome
frequencies, in the limit, with probability 1; this at least may
provide some reason for thinking that the outcome sequences will
behave as needed for RCT to turn out true. Even so, one might suspect
that many difficulties for hypothetical frequentism will recur for
RCT. However, these difficulties stem from general issues with merely
possible evidential manifestations of chance processes, and have
nothing specifically to do with randomness. The objections canvassed
below are, by contrast, specifically concerned with the interaction
between chance and randomness. So these more general potential worries
will be set aside, though they should not be forgotten--they may
even be, in the end, the most significant problem for RCT (if the
right kind of merely possible sequence doesn't exist, we must retreat
to CTa or CTb and their problems).


## 4. Chance Without Randomness


### 4.1 Unrepresentative Outcome Sequences




It is possible for a fair coin--i.e., such that the chances of
heads and tails are equal--to be tossed infinitely many times, and
to land heads on every toss. An infinite sequence of heads has, on the
standard probability calculus, zero chance of occurring. (Indeed, it
has zero chance even on most non-standard views of probability:
Williamson 2007.) Nevertheless if such a sequence of outcomes did
occur, it would have happened by chance--assuming, plausibly, that
if each individual outcome happens by chance, the complex event
composed by all of them also happens by chance. But in that case we
would have an outcome that happened by chance and yet the obvious
suitable sequence of outcomes is not KML-random. This kind of example
exploits the fact that while random sequences are a measure one set of
possible outcome sequences of any process, chancy or otherwise, measure
one does not mean *every*.




This counterexample can be resisted. For while it is possible that a
fair coin lands only heads when tossed infinitely many times, it may
not be that this all heads outcome sequence is a suitable sequence. For
if we consider the counterfactual involved in RCT--what would
happen, if a fair coin were tossed infinitely many times--we would
say: it would land heads about half the time. That is (on the standard,
though not uncontroversial, Lewis-Stalnaker semantics for
counterfactuals: Lewis 1973), though the all-heads outcome sequence is
possible, it does not occur at any of the nearest possibilities in
which a fair coin is tossed infinitely many times.




If we adopt a non-reductionist account of chance, this line of
resistance is quite implausible. For there is nothing inconsistent on
such views about a situation where the statistical properties of the
occurrent sequence of outcomes and the chance diverge arbitrarily far,
and it seems that such possibilities are just as close in relevant
respects as those where the occurrent outcome statistics reflect the
chances. In particular, as the all-heads sequence has some chance of
coming to pass, there is (by BCP) a physical possibility sharing
history and laws with our world in which all-heads occurs. This looks
like a legitimately close possibility to our own.




Prospects look rather better on a reductionist view of chance
 (Supplement
 A.3).
 On such a view, we
can say that worlds where an infinite sequence of heads does occur at
some close possibility will look very different from ours; they differ
in law or history to ours. In such worlds, the chance of heads is much
closer to 1 (reflecting the fact that if a coin were tossed infinitely
many times, it might well land heads on each toss)--the coin is
not after all fair. The response, then, is that in any situation where
the reductionist chance of heads really is 0.5, suitable outcome
sequences in that situation or its nearest neighbours *are* in
fact *all* unbiased with respect to outcome frequencies. That is
to say, they at least satisfy the property of large numbers; and
arguably they can be expected to meet other randomness properties also.
So, on this view, there is no counterexample to RCT from the mere
possibility of these kinds of extreme outcome sequences. This response
depends on the success of the reductionist similarity metrics for
chancy counterfactuals developed by Lewis (1979a) and Williams (2008);
the latter construction, in particular, invokes a close connection
between similarity and randomness. (Lewis' original construction is
criticised in Hawthorne 2005.)




However, we needn't use such an extreme example to make the point.
For the same phenomenon exists with almost any unrepresentative outcome
sequence. A fair coin, tossed 1000 times, has a positive chance of
landing heads more than 700 times. But any outcome sequence of 1000
tosses which contains more than 700 heads will be compressible (long
runs of heads are common enough to be exploited by an efficient coding
algorithm, and 1000 outcomes is long enough to swamp the constants
involved in defining the universal prefix-free Kolmogorov complexity).
So any such outcome sequence will not be random, even though it quite
easily could come about by chance. The only way to resist this
counterexample is to refuse to acknowledge that such a sequence of
outcomes can be an appropriate sequence in RCT. This is implausible,
for such sequences can be actual, and can be sufficiently long to avoid
the analogue of the problem of the single case, certainly long enough
for the Kolmogorov definition of randomness to apply. The only reason
to reject such sequences as suitable is to save RCT, but that is
clearly question begging in this context. In this case of an
unrepresentative finite sequence, even reductionism about chance
needn't help, because it might be that other considerations suffice to
fix the chance, and so we can have a genuine fair chance but a biased
and non-random outcome sequence.


### 4.2 The Reference Class Problem




Any given token event is an instance of many different types of
trial:



> 
> 
> It is obvious that every individual thing or event has an indefinite
> number of properties or attributes observable in it, and might
> therefore be considered as belonging to an indefinite number of
> different classes of things... (Venn 1876: 194)




Suppose Lizzie tosses a coin on Tuesday; this particular coin toss
may be considered as a coin toss; a coin toss on a Tuesday; a coin toss
by Lizzie; an event caused by Lizzie; etc. Each of these ways of typing
the outcome give rise to different outcome sequences, some of which may
be random, while others are not. Each of these outcome sequences is
unified by a homogenous kind of trial; as such, they may all be
suitable sequences to play a role in RCT.




This is not a problem if chance too is relative to a type of trial,
for we may simply make the dependence on choice of reference class
explicit in both sides of RCT. If chances were relative frequencies, it
would be easy enough to see why chance is relative to a type of trial.
But chances aren't frequencies, and single-case chance is almost
universally taken to be not only well-defined for a specific event, but
unique for that event. We naturally speak of *the* chance that
this coin will lands heads on its next toss, with the chance taken to
be a property of the possible outcome directly, and not mediated by
some particular description of that outcome as an instance of this or
that kind of trial. Moreover, for chance to play its role in the
 Principal Principle
 (SS1
 and Supplement
 A.1),
 there must be a unique chance for a
given event that is to guide our rational credence, as we have only one
credence in a particular proposition stating the occurrence of that
event. (Indeed, the inability of frequentists to single out a unique
reference class, the frequency in which is the chance, was taken to be
a decisive objection to frequentism.) On the standard understanding of
chance, then, there is a mismatch between the left and right sides of
the RCT. And this gives rise to a counterexample to RCT, if we take an
event with a unique non-trivial single-case chance, but such that at
least one way of classifying the trial which produced it is such that
the sequence of outcomes of all trials of that kind is not random. The
trivial case might be this: a coin is tossed and lands heads. That
event happened by chance, yet it is of the type 'coin toss which
lands heads', and the sequence consisting of all outcomes of that
type is not random.




The natural response--and the response most frequentists
 offered, with the possible exception of von
 Mises[14]--was
 to narrow
 the available reference classes. (As noted in Supplement
 A.3,
 many frequentists were explicit that
chances were frequencies in repetitions of natural kinds of processes.)
Salmon (1977) appeals to objectively homogenous reference classes
(those which cannot be partitioned by any relevant property into
subclasses which differ in attribute frequency to the original
reference class). Salmon's proposal, in effect, is that homogeneous
reference classes are random sequences, the evident circularity of
which will hardly constitute a reply to the present objection.
Reichenbach (1949: 374) proposed to 'proceed by considering the
narrowest class for which reliable statistics can be compiled',
which isn't circular, but which fails to respond to the objection since
it provides no guarantee that there will be only one such class. There
may well be multiple classes which are equally 'narrow' and
for which reliable statistics can be collected (Gillies, 2000: 816). In
the present context, this will amount to a number of sequences long
enough to make for reliable judgements of their randomness or lack
thereof.




This objection requires the chance of an event to be insensitive to
reference class. Recently, Hajek (2007) has argued that
*no* adequate conception of probability is immune to a reference
class problem, so that this requirement cannot be met. (For a related
view of relativised chance, though motivated by quite different
considerations, see Glynn 2010.) However, as Hajek notes, this
conclusion makes it difficult to see how chance could guide credence,
and it remains an open question whether a relativised theory of chance
that meets the platitudes concerning chance can be developed.


### 4.3 Bias




The two previous problems notwithstanding, many have found the most
compelling cases of chance without randomness to be situations in which
there is a biased chance process. A sequence of unfair coin tosses will
have an unbalanced number of heads and tails, and such a sequence
cannot be random. But such a sequence, and any particular outcome in
that sequence, happens by chance.




That such sequences aren't random can be seen by using both
Martin-Lof- and Kolmogorov-style considerations. In the latter
case, as we have already seen, a biased sequence will be more
compressible than an unbiased sequence, if the sequence is long enough,
because an efficient coding will exploit the fact that biased sequences
will typically have longer subsequences of consecutive digits, and
hence will not be random. In the former case, a biased sequence will
violate at least one measure one property, on the standard Lebesgue
measure on infinite binary sequences--in particular, a measure one
 subset of the Cantor space will be Borel normal
 (SS2.1),
 but no biased sequence is Borel normal. So on the
standard account of randomness, no sequences of outcomes of a biased
chance process are random, but of course these outcomes happened by
chance.




One response to this problem is to try and come up with a
characterisation of randomness which will permit the outcomes of
biased chances to be random. It is notable that von Mises' initial
characterisation of randomness was expressly constructed with this in
mind--for him, a random sequence is one for which there is no
admissible subsequence having a frequency differing from the frequency
in the original sequence. This account is able to handle any value for
the frequency, not only the case where each of two outcomes are
equifrequent. Given that the Martin-Lof approach is a
generalisation of von Mises', it is not surprising that it too can be
adapted to permit biased sequences to be random. Consider a binary
process with outcome probabilities \((p, 1 - p)\). The law of large numbers in a general form tells
us that a measure one set of sequences of independent trials of such a
process will have limit frequencies of outcomes equal to \((p, 1 - p)\). This measure is not the standard Lebesgue
measure, but rather a measure defined by the chance function in
question. We can similarly re-interpret the other effective
statistical tests of randomness. Drawing as we did above
(SS2.1.2) on the language of statistical
testing, we can characterise the random sequences as those which are
not significant with respect to the hypothesis that the outcome
chances are \((p, 1 - p)\)--those which, as
it were, conform to our prior expectations based on the underlying
chances.




To approach the topic of randomness of biased sequences through
Kolmogorov complexity, suppose we are given--somehow--any
computable probability measure \(\lambda\) over the set of infinite
binary sequences (that is, the probability of a given sequence can be
approximated arbitrarily well by a recursive function). A sequence
\(\sigma\) is \(\lambda\)-incompressible iff for each \(n\), the
Kolmogorov complexity of the length \(n\) initial subsequence of
\(\sigma\) (denoted \(\sigma\_n )\) is greater than or
equal to \({-}\log\_2 (\lambda(\sigma\_n ))\). Where \(\lambda\) is the
Lebesgue measure
(supplement B.2), it
follows that



\[
{-}\log\_2 (\lambda(\sigma\_n )) = {-}\log\_2 (1/2^n ) = n,
\]


so we get back the original
definition of Kolmogorov complexity in that special case. With this
generalised definition of Kolmogorov randomness in hand, it turns out
that we can show a generalisation of Schnorr's theorem
(SS2.3): a sequence \(\sigma\) is
\(\lambda\)-incompressible iff \(\sigma\) is ML-random with respect to
\(\lambda\).[15] In
the framework of
supplement B.1.1, a
sequence is ML-random in this generalised sense iff the measure, under
our arbitrary computable measure \(\lambda\), of the \(n\)th
sequential significance test is no greater than
\(1/2^n\). (There are some potential pitfalls,
suggesting that perhaps the generalisation to an arbitrary computable
measure is an overgeneralisation: see
supplement B.1.3 for
some details.)




While the above approach, with the modifications suggestion in the
supplement taken on board, does permit biased random sequences, it
comes at a cost. While the Lebesgue measure is a natural one that is
definable on the Cantor space of sequences directly, the
generalisation of ML-randomness requires an independent computable
probability measure on the space of sequences to be provided. While
this may be done in cases where we antecedently know the chances, it
is of no use in circumstances where the existence of chance is to be
inferred from the existence of a random sequence of outcomes, in line
with RCT--for every sequence there is some chance measure
according to which it is random, which threatens to trivialise the
inference from randomness to chance. As Earman (1986: 145) also
emphasises, this approach to randomness seems to require essentially
that the chanciness of the process producing the random sequence is
conceptually prior to the sequence being random. This kind of process
approach to randomness has some intuitive support, and we will return
to it below (SS6.2), but it risks turning RCT
into an uninformative triviality. By contrast, the Lebesgue measure
has the advantage of being *intrinsically* definable from the
symmetries of the Cantor space, a feature other computable measures
lack.




The main difficulty with the suggested generalisation to biased
sequences lies in the simple fact that biased sequences, while they
might reflect the probabilities in the process which produces them,
simply don't seem to be random in the sense of disorderly and
incompressible. The generalisation above shows that we can define a
notion of disorderliness that is relative to the probabilities
underlying the sequence, but that is not intrinsic to the sequence
itself independently of whatever measure we are considering. As Earman
puts it (in slightly misleading terminology): 



> 
> [T]here is a concept of randomness and a separable concept of
> disorder. The concept of disorder is an intrinsic notion; it takes the
> sequence at face value, caring nothing for genesis, and asks whether
> the sequence lacks pattern.... By contrast, the concept of
> randomness is concerned with genesis; it does not take the sequence at
> face value but asks whether the sequence mirrors the probabilities of
> the process of which it is a product. There is a connection between
> this concept of randomness and the concept of disorder, but it is not
> a tight one. (Earman 1986: 145)


As we might put it: Kolmogorov randomness is conceptually linked to
disorderliness, and while we can gerry-rig a notion of 'biased
disorder', that doesn't really answer to what we already know
about the incompressibility of disorderly sequences. While we might
well regard a sequence featuring even numbers of heads and tails, but
produced by successive tosses of an *unfair* coin, to be biased
in some sense with respect to the underlying measure of process behind
it, it is still plausible that this *unrepresentativeness* of
the sequence isn't conceptually connected with disorder in any
interesting sense. It is very intuitive, as this remark from Dasgupta
suggests, to take that biasedness--the increased orderliness of
the sequence--to contrast with randomness:



> 
> if for a sequence \(x\) this limiting frequency exists but is not
> equal to 1/2, then, in view of our underlying fair coin
> model, \(x\) would clearly be biased, not random. ... Thus,
> it is natural to view this 'stochastic law of
> unbiasedness' as a 'stochastic law of
> randomness'. (Dasgupta 2011: SS3.2)
> 




As the bias in a chance process approaches extremal values, it is very
natural to reject the idea that the observed outcomes are random. (As
an example, we may consider human behaviour--while people aren't
perfectly predictable, and apparently our behaviour doesn't obey
non-probabilistic psychological laws, nevertheless to say that people
act randomly is incorrect.) Moreover, there is a relatively
measure-independent notion of disorder or incompressibility of
sequences, such that biased sequences really are less disorderly. We
can define a measure-dependent notion of disorder for biased sequences
only by ignoring the availability of better compression techniques
that really do compress biased sequences more than unbiased ones. To
generalise the notion of randomness, as proposed above, permits highly
non-random sequences to be called random as long as they reflect the
chances of highly biased processes. So there is at least some
intuitive pull towards the idea that if randomness does bifurcate as
Earman suggests, the best deserver of the name is Kolmogorov
randomness in its original sense. But this will be a sense that
contrasts with the natural generalisation of ML-randomness to deal
with arbitrary computable probability measures, and similarly
contrasts with the original sense of randomness that von Mises must
have been invoking in his earliest discussions of randomness in the
foundations of probability.


In light of the above discussion, while there has been progress on
defining randomness for biased sequences in a general and
theoretically robust way, there remain difficulties in using that
notion in defence of any non-trivial version of RCT, and difficulties
in general with the idea that biased sequences can be genuinely
disorderly. But the generalisation invoked here does give some succour
to von Mises, for a robust notion of randomness for biased sequences
is a key ingredient of his form of frequentism.



### 4.4 Dependence: Randomness is Indifferent to History




A further counterexample to RCT, related to the immediately previous
one, is that randomness is indifferent to history, while chance is not.
Chance is history-dependent. The simplest way in which chance is
history-dependent is when the conditions that may produce a certain
event change over time:



> 
> 
> Suppose you enter a labyrinth at 11:00 a.m., planning to choose your
> turn whenever you come to a branch point by tossing a coin. When you
> enter at 11:00, you may have a 42% chance of reaching the center by
> noon. But in the first half hour you may stray into a region from
> which it is hard to reach the center, so that by 11:30 your chance of
> reaching the center by noon has fallen to 26%. But then you turn
> lucky; by 11:45 you are not far from the center and your chance of
> reaching it by noon is 78%. At 11:49 you reach the center; then and
> forevermore your chance of reaching it by noon is 100%. (Lewis, 1980:
> 91)




But there are more complicated types of history-dependence. In Lewis'
example, the property which changes to alter the chances is how close
the agent is to the centre. But there are cases where the property
which changes is a previous outcome of the very same process. Indeed,
any process in which successive outcomes of repeated trials are
not *probabilistically independent* will have this feature.




One example of chance without randomness involves an unbiased urn
where balls are drawn *without* replacement. Each draw (with the
exception of the last) is an event which happens by chance, but the
sequence of outcomes will not be random (because the first half of the
sequence will carry significant information about the composition of
the second half, which may aid compressibility). But a more compelling
example is found in stochastic processes in which the chances of future
outcomes depend on past outcomes. One well-known class of such process
are Markov chains, which produce a discrete sequence of outcomes with
the property that the value of an outcome is dependent on the value of
the immediately prior outcome (but that immediately prior outcome
screens off the rest of the history). A binary Markov chain might be
the weather (Gates and Tong 1976): if the two possible outcomes are
'sunny' and 'rainy', it is plausible to suppose
that whether tomorrow is rainy depends on whether today was rainy (a
rainy day is more likely to be preceded by another rainy day); but
knowing that today was rainy arguably makes yesterday's weather
irrelevant.




If a Markov chain is the correct model of a process, then even when
the individual trial outcomes happen by chance, we should expect the
entire sequence of repeated trials to be non-random. In the weather
case just discussed, we should expect a sunny day to be followed by a
sunny day, and a rainy day by a rainy one. In our notation 11 and 00
should be more frequent than 10 or 01. But the condition of Borel
normality, which all random sequences obey, entails that every finite
sequence of outcomes of equal length should have equal frequency in the
sequence. So no Borel normal sequence, and hence no random sequence,
can model the sequence of outcomes of a Markov chain, even though each
outcome happens by chance.


### 4.5 Pseudorandom Sequences




At least some non-random sequences satisfy many of the measure one
properties required of random sequences. For example, the Champernowne
sequence, consisting of all the binary numerals for every non-negative
integer listed consecutively (i.e., 011011100101110111...), is
Borel normal. This sequence isn't random, as initial subsequences of
reasonable length are highly compressible. But it looks like it
satisfies at least some desiderata for random sequences. This sequence
is an attempt at producing a *pseudorandom* sequence--one
that passes at least some statistical tests for randomness, yet can be
easily produced. (The main impetus behind the development of
pseudorandom number generators has been the need to efficiently produce
numbers which are random for all practical purposes, for use in
cryptography or statistical sampling.) Much better examples exist than
the Champernowne sequence, which meet more stringent randomness
 properties.[16]
 One simple technique for generating
pseudorandom sequences is a *symbol shift* algorithm (Smith
1998: 53). Given an initial 'seed' numeral
\(s\_1, s\_2 , \ldots ,s\_n\), the algorithm simply spits out the
digits in order. Obviously this is useless if the seed is known, or can
in some way be expected to be correlated with the events to which one
is applying these pseudorandom numbers. But in practical applications,
the seed is often chosen in a way that we do expect it to carry no
information about the application (in simple computer pseudorandom
number generators, the seed may be derived in some way from the time at
which the seed is called for). With a finite seed, this sequence will
obviously repeat after a some period. A symbol shift is the simplest
possible function from seed to outcome sequence; better algorithms use
a more complicated but still efficiently computable function of the
seed to generate outcome sequences with a longer period, much longer
than the length of the seed (e.g., the 'Mersenne twister'
of Matsumoto and Nishimura 1998 has a period of \(2^{19937} - 1)\).




If the seed is not fixed, but is chosen by chance, we can have
chance without randomness. For example, suppose the computer has a
clock representing the external time; the time at which the algorithm
is started may be used as a seed. But if it is a matter of chance when
the algorithm is started, as it well may be in many cases, then the
particular sequence that is produced by the efficient pseudorandom
sequence generator algorithm will be have come about by chance, but not
be random (since there is a program which runs the same algorithm on an
explicitly given seed; since the seed is finite, there will be such a
program; and since the algorithm is efficient, the length before the
sequence produced repeats will be longer than the code of the program
plus the length of the seed, making the produced sequence
compressible). Whether the seed is produced by chance or explicitly
represented in the algorithm, the sequence of outcomes will be the
same--one more way in which it seems that the chanciness of a
sequence can vary while whether or not it is random remains constant.
(Symbol shift dynamics also permit counterexamples to the other
direction of RCT--see
 SS5.2.)




Much the same point could have been made, of course, with reference
to any algorithm which may be fed an input chosen by chance, and so may
produce an outcome by chance, but where the output is highly
compressible. (One way in which pseudorandom sequence generators are
nice in this respect is that they are designed to produce highly
compressible sequences, though non-obviously highly compressible ones).
The other interesting thing about those algorithms which produce
pseudorandom sequences is that they provide another kind of
counterexample to the epistemic connection between chance and
randomness. For our justification in thinking that a given sequence is
random will be based on its passing only finitely many tests; we can be
justified in believing pseudorandom sequence to be random (in some
respectable sense of justification, as long as justification is weaker
than truth), and justified in making the inference to chance via RCT.
But then we might think that this poses a problem for RCT to play the
right role epistemically, even if it were true. Suppose one sees a
genuinely random sequence and forms the justified belief that it is
random. The existence of pseudorandom sequences entails that things
might seem justificatorily exactly as they are and yet the sequence not
be random. But such a scenario, arguably, defeats my knowing that the
sequence is random, and thus defeats my knowing the sequence to have
been produced by chance (and presumably undermines the goodness of the
inference from randomness to chance).


## 5. Randomness Without Chance




The counterexamples to RCT offered in
 SSSS4.3-4.4
 suggest strongly that
the appeal of RCT depends on our curious tendency to take independent
identically distributed trials, like the Bernoulli process of fair coin
tossing, to be paradigms of chance processes. Yet when we widen our
gaze to encompass a fuller range of chance processes, the appeal of the
right-to-left direction of RCT is quite diminished. It is now time to
examine potential counterexamples to the other direction of RCT. There
are a number of plausible cases where a random sequence potentially
exists without chance. Many of these cases involve interesting features
of classical physics, which is apparently not chancy, and yet which
gives rise to a range of apparently random phenomena. Unfortunately
some engagement with the details of the physics is unavoidable in the
following.




One obvious potential counterexample involves coin tossing. Some
have maintained that coin tossing is a deterministic process, and as
such entirely without chances, and yet which produces outcome sequences
we have been taking as paradigm of random sequences. This will be set
aside until
 SS7,
 where the claim that determinism
precludes chance will be examined.


### 5.1 Short Sequences




For many short sequences, even the most efficient prefix-free code
will be no shorter than the original sequence (as prefix-free codes
contain information about the length of the sequence as well as its
content, if the sequence is very short the most efficient code may well
be the sequence itself prefixed with its length, which will be longer
than the sequence). So all short sequences will be Kolmogorov random.
This might seem counterintuitive, but if randomness indicates a lack of
pattern or repetition, then sequences which are too short to display
pattern or repetition must be random. Of course it will not usually be
useful to say that such sequences are random, mostly because in very
short sequences we are unlikely to talk of the sequence at all, as
opposed to talking directly about its constituent outcomes.




Because of the modal aspect of RCT, for most processes there will
possibly be a long enough sequence of outcomes to overcome any
'accidental' randomness due to actual brevity of the
outcome sequence. But for events which are unrepeatable or seldom
repeatable, even the merely possible suitable reference classes will be
small. And such unrepeatable events do exist--consider the Big
Bang which began our universe, or your birth (*your* birth, not
the birth of qualitatively indistinguishable counterpart), or the death
of Ned Kelly. These events are all part of outcome sequences that are
necessarily short, and hence these events are part of Kolmogorov random
sequences. But it is implausible to say that all of these events
happened by chance; no probabilistic theory need be invoked to predict
or explain any of them. In the case of Kelly's death, for example,
while it may have been a matter of chance when he happened to die, it
was not chance that he died, as it is (physically) necessary that he
did. So there are random sequences--those which are essentially
short--in which each outcome did not happen by chance.




The natural response is to reject the idea that short sequences are
apt to be random. The right hand side of RCT makes room for this, for
we may simply insist that unrepeatable events cannot be repeated often
enough to give rise to an adequate sequence (whether or not the
inadequate sequence they do in fact give rise to is random). The
problem here is that we can now have chance without randomness, if
there is a single-case unrepeatable chance event. Difficulties in fact
seem unavoidable. If we consider the outcomes alone, either all short
sequences are random or none of them are; there is no way to
differentiate on the basis of any product-based notion between
different short sequences. But as some single unrepeatable events are
chancy, and some are not, whichever way we opt to go with respect to
randomness of the singleton sequences of such events we will discover
counterexamples to one direction or another of RCT.


### 5.2 Chaotic Dynamics




The simple symbol shift dynamics in
 SS4.5
 had
a finite seed, which allowed for chance without randomness. Yet there
seem to be physical situations in which a symbol shift dynamics is an
accurate way of representing the physical processes at work. One simple
example might be a stretch and fold dynamics, of the kind common in
chaos theory (Smith 1998: SS4.2). The classic example is the
*baker's transformation* (Earman 1986: 167-8; Ekeland
1988: 50-9). We take a system the state of which at any one time
is characterised by a point \((p, q)\) in the real unit
square. We specify the evolution of this system over time as follows,
letting \(\phi\) be the function governing the discrete evolution
of the system over time (i.e., \(s\_{t + 1} = \phi(s\_t))\):



\[
\phi(p,q) =
 \begin{cases}
 (2p, q/2), & \text{if } 0 \le p \le \frac{1}{2} \\
 (2p-1,(1+q)/2), & \text{if } \frac{1}{2} \le p \le 1
 \end{cases}
\]



This corresponds to transforming the unit square to a rectangle
twice as wide and half the height, chopping off the right half, and
stacking it back on top to fill the unit square again. (That this
transformation reminded mathematicians of baking says something about
their unfamiliarity with the kitchen--similar transformations,
where the right half is 'folded' back on top, are more
realistic.) If we represent the coordinates \(p\) and \(q\)
in binary, the transformation is this:




\[
\phi (0.p\_1 p\_2\ldots, 0.q\_1 q\_2\ldots) = (0.p\_2 p\_3\ldots , 0.p\_1 q\_1 q\_2\ldots).
\]


So this is a slight variant on a simple symbol shift, as the
\(p\)-coordinate is a symbol shift to the right, while the
\(q\) coordinate is, in effect, a symbol shift to the
 left.[17]




One important feature of this dynamics is that it is measure
preserving, so that if \(X\) is a subset of the unit square,
\(\mu(X) = \mu(\phi(X))\).
(This is easily seen, as the symbol shift dynamics on the basic sets of
infinite binary sequences is measure-preserving, and each coordinate
can be represented as an infinite binary sequence.) Define the set
\(L = \{(p, q) : 0 \le p \lt \frac{1}{2} \}\).
We see that \((p, q) \in L\) iff
\(p\_1 = 0\). Since \(p\) can be represented by an
infinite binary sequence, and a measure one set of finite binary
sequences is Borel normal, we see that almost all states of this system
are such that, over time, \(\mu(\phi(s)
\in L \mid s \in L) = \mu(\phi(s) \in L)\)--that
is, whether the system is in \(L\) at \(t\) is
probabilistically independent of its past history. Furthermore,
\(\mu(L) = \mu(\overline{L})\). The behaviour of
this system over time, with respect to the partition 
\(\{L, \overline{L}\}\), is therefore a
Bernoulli process, exactly like a sequence of fair coin tosses--a
series of independent and identically distributed repetitions of a
chance process. If the RCT is true, then a system which behaves exactly
like a chance process should have as its product a random sequence. So
the sequence of outcomes for the baker's transformation (under this
partition) is a random sequence.




But unlike a sequence of fair coin tosses, supposing them to involve
genuine chance, the baker's transformation is entirely
*deterministic*. Given a particular point \((p,
q)\) as an initial condition, the future evolution of states of
the system at each moment is time \(t\) is determined to be
\(\phi^t (p, q)\). So while
the product produced is random, as random as a genuine chance process,
these outcomes do not happen by chance; given the prior state of the
system, the future evolution is not at all a matter of chance. So we
have a random sequence without chance outputs. (Indeed, given the
symbol shift dynamics, the evolution of the system over time in
\(\{L, \overline{L}\}\)
simply recapitulates successive digits of the starting point.) To be
perfectly precise, the trial in this case is sampling the system at a
given time point, and seeing which cell of the coarse grained partition
it is in at each time. This is a sequence of arbitrarily repeated
trials which produces a random sequence; yet none of these outcomes
happens by
 chance.[18]
 To put the point slightly differently:
while the sequence of outcomes is random, there is a perfectly adequate
theory of the system in question in which probability plays no role.
And if probability plays no role, it is very difficult to see how
chance could play a role, since there is no probability function which
serves as norm for credences, governs possibility, or is non-trivial
and shared between intrinsic duplicate trials. In short, no probability
function that has the features required of chance plays a role in the
dynamics of this system, and that seems strong reason for thinking
there is no chance in this system.




The baker's transformation provides a simple model of deterministic
*macro-randomness*--a system which has a
\(\mu\)-measure-preserving temporal evolution, and produces a
sequence of coarse grained states that have the Bernoulli property. It
is a question of considerable interest whether there are physically
more realistic systems which exhibit the same features. We may conceive
of an \(n\)-particle classical (Newtonian) system as having, at
each moment, a state that is characterised by a single point in a
\(6n\)-dimensional state space (each point a \(6n\)-tuple
characterising the position and momentum of each particle). The
evolution of the system over time is characterised by its
*Hamiltonian*, a representation of the energetic and other
properties of the system. The evolution under the Hamiltonian is
\(\mu\)-measure-preserving (by Liouville's theorem), so it might
be hoped that at least some systems could be shown to be Bernoulli too.
Yet for closed systems, in which energy is conserved over time, this is
not generally possible. Indeed, for closed systems it is not generally
possible to satisfy even a very weak randomness property,
*ergodicity*. A system is ergodic just in case, in the limit,
with probability one, the amount of time a system spends in a given
state is equal to the (standard) measure of state space that
corresponds to that state (Earman 1986: 159-61; Sklar 1993:
60-3; Albert 2000: 59-60). While a Bernoulli system is
ergodic, the converse entailment does not hold; if the system moves
only slowly from state to state, it may be ergodic while the state at
one time is strongly dependent on past history (Sklar 1993:
166-7). While ergodicity has been shown to hold of at least one
physically interesting system (Yakov Sinai has shown that the motion of
hard spheres in a box is ergodic, a result of great significance for
the statistical mechanics of ideal gases), a great many physically
interesting systems cannot be ergodic. This is the upshot of the
so-called KAM theorem, which says that for almost all closed systems in
which there are interactions between the constituent particles, there
will be stable subregions of the state space--regions of positive
measure such that if a system is started in such a region, it will
always stay in such a region (Sklar 1993: 169-94). Such systems
obviously cannot be ergodic.




The upshot of this for our discussion may be stated: 'there are
no physically realistic classical systems which exhibit even
ergodicity, and so no physically realistic classical system can
exhibit randomness. The baker's transformation is a mathematical
curiosity, but is not a genuine case of randomness without chance,
since systems like it are not physically possible.' This
response is premature. There are physically interesting systems to
which the KAM theorem does not apply. Open or dissipative systems,
those which are not confined to a state space region of constant
energy, are one much studied class, because such systems are paradigms
of chaotic systems. The hallmarks of a chaotic dissipative system are
two (Smith 1998: SS1.5):


1. There exists at least one set of states in state space \(A\)
(an *attractor*) such that when the system is started initially
in its neighbourhood \(N(A)\), the trajectory of the
system will in the limit end up in \(A\)   
 (\(\lim\_{t \rightarrow \infty} \phi^{t}N(A)
\subseteq A)\); and
2. The system displays sensitive dependence on initial conditions:
that is, in some set of state space points that are all within some
arbitrary distance \(\delta\) of each other, there are at least
two points whose subsequent trajectories diverge by at least
\(\varepsilon\) after some time
 \(t\).[19]




There are physically realistic classical systems which exhibit both
of these features, of which the best known is perhaps Lorenz's model of
atmospheric convection (Smith 1998: SS1.4; Earman 1986: 165). The
combination of these two features permits very interesting
behaviour--while the existence of an attractor means that over
time the states of the system will converge to the region of the
attractor, the sensitive dependence on initial conditions means that
close states, at any time, will end up arbitrarily far apart. For this
to happen the attractor must have a very complex shape (it will be a
region of small measure, but most of the state space will be in the
neighbourhood of the attractor). More importantly for our purposes, a
system with these characteristics, supposing that the divergence under
evolution of close states happens quickly enough, will yield behaviour
close to Bernoulli--it will yield rapid *mixing* (Luzzatto
*et al.*
 2005).[20]
 Roughly, a system is mixing iff the
presence of the system in coarse state at one time is probabilistically
independent of its presence in another coarse state at another time,
*provided there is a sufficient amount of time between the two
times*. This is weaker than Bernoulli (since the states of a
Bernoulli system are probabilistically independent if there is any time
between them), but still strong enough to plausibly yield a random
sequence of outcomes from a coarse grained partition of the state
space, sampled infrequently enough. So we do seem to have physically
realistic systems that yield random behaviour without chance. (See also
the systems discussed in Frigg 2004.)




Indeed, the behaviour of a chaotic system will be intuitively random
in other ways too. The sensitive dependence on initial conditions means
that, no matter how accurate our finite discrimination of the initial
state of a given chaotic system is, there will exist states
indiscriminable from the initial state (and so consistent with our
knowledge of the initial state), but which would diverge arbitrarily
far from the actual evolution of the system. No matter, then, how well
we know the initial condition (as long as we do not have infinite
powers of discrimination), there is another state the system could be
in for all we know that will evolve to a discriminably different future
condition. Since this divergence happens relatively quickly, the system
is unable to be predicted. (Anecdotally, at least, Lorenz' model of the
weather seems borne out by our inability to reliably predict future
weather even a few days from now.) Insofar as randomness and lack of
reliable prediction go hand in hand, we have another reason for
thinking there is product randomness here
 (SS6.2).




Just as before, the classical physical theory underlying the
dynamics of these chaotic systems is one in which probability does not
feature. So we are able to give an adequate characterisation of the
physical situation without appeal to any probabilities fit to play the
chance role. Given well-enough behaved boundary conditions, this system
is also deterministic (though see
 SS5.3),
 and
that may also be thought to preclude a role for non-trivial chances. So
again we have randomness in the performance, though none of the
outcomes happened by chance.




Two avenues of resistance to the line of thought in this section
suggest themselves. The first is to maintain that, despite the truth of
determinism for the baker's transformation and classical physics
(modulo worries to be addressed in the following section), there are
still, or at there least may be, non-trivial chances in these theories.
The proposal is that the possibility remains of *deterministic
chance*, so that from the fact of determinism alone it does not
follow that we have a counterexample to RCT. The outcomes may be
determined to happen by the prior conditions, but (so the suggestion
goes) they may still happen by chance. This radical proposal is
discussed below, in
 SS7.
 It should be noted,
however, that even if it is true that deterministic chance is possible,
that observation is far from establishing that the physical theories
under discussion here are ones in which deterministic chance features.
That some deterministic theories may have chances is no argument that
all will, and particularly in very simple cases like the baker's
transformation, there doesn't seem much point in an invocation of
deterministic chance: chances will be trivial or redundant if classical
physics is true. The second avenue of resistance is to claim that there
really is chance here--it is chance of the *initial
conditions* which is recapitulated in the random sequence of
outcomes. While the Lebesgue measure over the set of initial conditions
in our models is formally like a probability function, to assume it
yields genuine chances is a fairly controversial thesis (for a contrary
opinion, see Clark 1987). Other initial conditions could have obtained;
still it seems wrong to think that (somehow) there was a chance process
which terminated in the selection of the initial conditions which
happened in fact to obtain at our world. Rather, that the initial
conditions are what they are seems to be a brute fact. If there are to
be chances, then, they cannot be dynamical chances, the kind that is
familiar from physics, and from our discussion in
 SS1.2.
 Some recent arguments in favour of the possibility
of chancy initial conditions are discussed in the following
supplementary document:



> Supplement D. Chance and Initial Conditions




But whether or not the idea of chancy initial conditions can be made
to work, the fact remains that at most one outcome in the random
sequence--the first one--happens by chance. The subsequent
states do not, yet RCT is committed to there being (dynamical,
transition) chances in those state transitions.


### 5.3 Classical Indeterminism




Despite the neat picture of classical determinism drawn in the
previous section, it is well known that classical physics is not in
fact deterministic. These cases of indeterminism do not undermine the
applications of classical mechanics in the previous section. But
classical indeterminism may provide problems of its own for RCT. Useful
further material on the topic of this section can be found in the entry
on causal determinism
 (Hoefer 2010:
 SS4.1).




For present purposes, indeterminism occurs when the state of the
system at one time does not uniquely fix the state the system will be
in at some future time (see
 SS7).
 To show
indeterminism in the classical case, it suffices to give a state of
some system at a given time and to specify two future states that are
incompatible with each other and yet both states are consistent with
Newton's laws of motion and the initial state.




To help us in this task, it is useful to note one fact about
Newtonian mechanics: the laws are *time-reversal invariant*
(Albert 2000: ch. 1). That is, for every lawful trajectory through the
state space, there is another lawful trajectory which results from the
first by mapping every instantaneous state in the first trajectory to
its image state in which the particles have the same positions but the
signs on the components of momentum are reversed, and running the
trajectory in reverse order. These image states are those where the
particles are in the same positions but moving in exactly the opposite
direction. So for every lawful process, that process running backwards
is also lawful. (If these trajectories are so lawful, why don't we see
them?--that is the deep question of thermodynamic asymmetry,
discussed briefly in supplement
 D.)




Two examples serve to illustrate the possibility of classical
indeterminism. A very elegant recent example is provided by
'Norton's dome' (Norton 2003; 2008). A point mass is at
rest at the apex of a dome (of certain shape) at
\(t^\*\). One obvious solution to Newton's equations of
motion is that it continues to do so for all moments \(t \gt t^\*\). But, Norton points out, there is another
solution: that while at \(t = t^\*\) the mass is
at rest, at every moment \(t \gt t^\*\), the
mass is moving in some direction. But this means the mass spontaneously
moves off in some arbitrary direction at an arbitrary
 time.[21]
Determinism is clearly violated: for some given time
\(t^\*\), there is a state at \(t'\) where the
particle remains at the apex of the dome; and there are many
incompatible states where at \(t'\) the particle is
somewhere else on the surface of the dome. Nothing in the conditions at
\(t^\*\) fixes which of these many future states will be
the one to eventuate. An easy way to understand the dome example is to
consider its time reversal: a ball is given some initial velocity along
the surface of the dome toward the apex. Too little, and it falls
short; too great, and it overshoots. Just right, however, and the ball
comes to rest precisely at the apex, and remains at rest. The time
reversal of this system is the original dome example.




A more exotic example involves 'space invaders' (Earman
1986: ch. III). These are particles that are at no spatial location at
time \(t\), and therefore form no part of the state at time
\(t\), but which travel in 'from' spatial infinity and
by time \(t'\) have a location. We can see the example more
clearly if we invoke time-reversal invariance. Consider two point
particles, \(a\) and \(b\), at rest and in the vicinity of
one another at \(t^\*\). From \(t^\*\)
onwards, force is applied to \(a\) in such a way that the velocity
of \(a\) away from \(b\) increases without bound. This is
possible, because there is no upper bound on velocity in classical
physics. Indeed, let the velocity of \(a\) increase fast enough
that by some finite time \(t', a\) has no finite
velocity, and is thus 'at' spatial infinity. The
time-reversal of this system has the particle \(a\) having no
location at \(t'\), but having a location and continuously
decreasing velocity at every moment \(t \gt t'\),
until it comes to rest at \(t^\*\). This system violates
determinism in the sense given above. The state at \(t'\)
consists of a single particle \(b\) at rest. That state could be
followed at \(t^\*\) by the space-invaded state just
described; or it could be followed at \(t^\*\) by the
incompatible state of \(b\) simply being at rest some more.
Nothing in the laws rules out either of these transitions. Of course,
the model isn't particularly physically realistic--where does the
force acting on \(a\) come from? But physically more realistic
systems exhibiting the same general structure have been given; Earman
mentions one due to Mather and McGehee (1975) involving four point
particles moving in such a way that the forces they exert on each other
in collisions end up unboundedly far from one another in a finite time
(see also Saari and Xia 1995).




While classical mechanics is thus indeterministic, it is importantly
not chancy. There is no reason to think that we either need to or can
assign a probability distribution over the possible future states in
our indeterministic systems. Norton says this about his dome:



> 
> 
> 
> One might think that ... we can assign probabilities to the
> various possible outcomes. Nothing in the Newtonian physics requires us
> to assign the probabilities, but we might choose to try to add them for
> our own conceptual comfort. It can be done as far as the direction of
> the spontaneous motion is concerned. The symmetry of the surface about
> the apex makes it quite natural for us to add a probability
> distribution that assigns equal probability to all directions. The
> complication is that there is no comparable way for us to assign
> probabilities for the time of the spontaneous excitation that respect
> the physical symmetries of solutions. Those solutions treat all
> candidate excitation times \(T\) equally. A probability
> distribution that tries to make each candidate time equally likely
> cannot be proper--that is, it cannot assign unit probability to
> the union of all disjoint
>  outcomes.[22]
>  Or one that is proper
> can only be defined by inventing extra physical properties, not given
> by the physical description of the dome and mass, Newton's laws and the
> laws of gravitation, and grafting them unnaturally onto the physical
> system. (Norton 2003: 9-10)
> 
> 
> 




The point Norton makes about the impossibility of a uniform
distribution over a countable set of time intervals holds also for the
time at which we might expect the space invader to occur in the second
type of case. Thus, it seems, we have indeterminism without chance.




We can use these constructions to come up with counterexamples to
RCT. Let a dome system be prepared, and left for a period of 5 seconds.
If the ball remains at rest on the apex, call the outcome
'0'. If the ball moves, and so is at the end of 5 seconds
somewhere on the dome other than the apex, call the outcome
'1'. Both outcomes are physically possible final states of
the system after 5 seconds. If the system is repeatedly prepared in
this state, it is physically possible to get a random sequence of
outcomes of these repeated trials. Certainly the outcomes cannot be
produced by some finite algorithm, since the indeterministic dynamics
permits as physically possible every sequence of outcomes, including
those that differ at some place from every algorithmically compressible
sequence. In the infinite future case, it is physically possible for
the system to produce every infinite binary sequence, but at most
countably many of these are non-random. So it is physically possible
for these setups to produce a random sequence of outcomes in the KML
sense. But we then have randomness without a chance distribution over
the outcomes. Randomness only requires two distinguishable possible
outcomes and the possibility of production of arbitrary sequences of
such outcomes. Chance requires two distinguishable outcomes, each of
which has some chance. These cases show that chance and possibility
come apart--there are cases where there are two possible outcomes
of a process, neither of which has any chance at all (not even a chance
of zero).


### 5.4 Drawing Without Replacement




 The last objection draws on a remark made in
 SS4.4.
 Consider a large finite urn full of 
black and white balls. The number of balls is sufficiently large that
the sequence of outcomes of draws is long enough to be random. So
suppose we make a random selection from this urn, drawing balls
without replacement until the urn is empty. The resulting sequence of
outcomes is, or at least could be, random--it had better be,
since this sequence meets all the conditions to be a simple random
sample from the population. (We could attach a number to each member
of an experimental population, and give the \(n\)-th member a
pill of an active substance (respectively, a placebo) if
the \(n\)-th draw is black (white).) But in this process, the
outcomes become less and less chancy as the number of balls
diminishes. Since there are only finitely many balls, there will a
draw such that the chance of it being black is either 1 or 0, and so
whatever outcome eventuates did not occur by chance. But then we have
a random sequence that includes an outcome (drawing a black ball,
say) which did not happen by chance, contrary to RCT.




One response is to say that this last outcome did happen by chance,
since at the start of the drawing there was a positive chance that a
white ball would be drawn last, and a positive chance that a black ball
would be. This response neglects the time-dependence of chances. If
there were \(n\) balls initially, and we let 'Lastie'
name the ball that was in actual fact drawn last, then we can say: the
chance that Lastie is drawn last was \(1/n\) initially, and after
the \(m\)-th draw it was \(1/(n - m)\), until
it reached 1 and remained there. At that last stage it was no longer a
matter of chance whether Lastie would be drawn last; it is the only
ball left in the urn. RCT maintains that a given outcome happens by
chance iff it is part of a random sequence. At every time, the event of
Lastie being drawn last is part of a random sequence. But then there is
at least one time at which Lastie being drawn last is part of random
sequence but, at that time, it did not happen by chance.
(Alternatively, of course, it could be maintained that even events with
trivial chances happen by chance. But this would permit again the
problem of biased sequences; a string of all heads tossed by a
two-headed coin could then be random, which it is not.)


## 6. Saving the Thesis: Alternative Conceptions of Chance and Randomness




The discussion in
 SSSS4-5
 leaves RCT in a doubtful position. But it may be that
the problems for RCT are due more to some defect in the theories of
chance and randomness sketched in
 SSSS1-2.
 As noted earlier, there are
alternative conceptions of chance and randomness that have some appeal
and might perhaps save RCT. They won't have much to say about the modal
problems for merely possible random sequences mentioned when RCT was
first introduced. But perhaps the other objections can be avoided. The
problems for RCT arise fundamentally because of the split between
product randomness and process chance. Closing this gap promises to aid
RCT. This following two subsections will consider product conceptions
of chance and process based conceptions of randomness.


### 6.1 Product Chance




The frequency theory is a product conception of chance. An
outcome-type has a chance, according to von Mises (1957), just in case
it is part of a random sequence of outcomes in which that outcome type
has a robust limit relative frequency. So chance can't be separated
from randomness; it in fact requires randomness. Moreover, since having
a limit relative frequency of \(\frac{1}{2}\) is a measure one property of infinite
binary sequences, all random sequences define collectives. (Those
infinite binary sequences which do not converge on a limit frequency
are non-random.) Yet the problems with frequentism as a theory of
chance are well known (Hajek, 1997; 2009; Jeffrey,
1977)--we have come across some of them above--and to save
RCT at the price of accepting frequentism has not attracted many.




But the prospects are more promising for Humean views of chance
(Lewis 1994; Loewer 2004), like the reductionist views discussed in
supplements
 A.1,
 A.3,
 and
 D.
 These are a species of product
conception of chance, for a possible world will not feature chances
unless the best (simplest, best fitting, and most informative)
description of what events occur in that world involves a probability
function. Two worlds couldn't differ in their chances without differing
also somewhere in the events which occur. Chance thus supervenes on the
actual outcomes in a given world, but not necessarily in a direct
way--in the service of simplicity, some deviation from the actual
frequency values may yield a description that is better overall. There
is considerable debate over whether a Humean best systems account can
explain all of the things we know about chance. Lewis thought that
chance was the 'big bad bug' for his broadly Humean world
view (though he thought that the NP, discussed in supplement
 A.1,
 debugged Humean Supervenience:
Lewis 1994), and there has been considerable debate over whether or not
the PP or the BCP can be accounted for by the Humean, as the references
in the
 supplement A
 attest. Moreover, there
are problems about whether the notion of a probability distribution
'fitting' a set of outcomes makes sense (Elga 2004). But
suppose a best systems account can be made to work.




The role of simplicity in Humean views is important for randomness.
For if a world contains a genuinely random sequence of outcomes, there
will be no short description of that sequence. Those descriptions which
do not attempt to describe what happens in all its particularity, but
instead involve a probability distribution that makes the sequence a
typical one with respect to that probability function, will be less
informative but much shorter, and still fit just as well. So it seems
that if a world contains a random sequence of outcomes, the best theory
will be one which involves probabilities, and in virtue of being part
of the best theory, those probabilities will be chances. That makes the
right to left direction of RCT plausible. The other direction would
hold if this route through simplicity was the only way in which chances
could enter into the best system. Could there be a world with chances
in which there was no random sequence? Here things are rather murkier
for the Humean. For the hallmark of the best systems approach to chance
is that, by involving simplicity, it avoids some of the problems for
pure frequentism. In particular, an unrepresentative outcome sequence
(a short one, or highly biased one) need not force the chances to take
the value of the actual frequencies. Suppose a world contains two
intrinsic duplicate coins, one of which is tossed many times, landing
heads about half the time; the other is tossed few times and lands
tails every time. The second coin's outcome sequence has a heads
frequency of zero. It is a strength of the best systems account that we
may still say the chance of heads was \(\frac{1}{2}\), because the coin is embedded
in a world where another, similar, coin did have the appropriate
outcome frequencies, and it is overall a simpler theory to say that
both of these coins obeyed the same probabilistic laws than that the
second one was an oasis of determinism. But this case provides a
problem for RCT--it looks like the second coin toss is not part of
any random sequence of outcomes (since a few all tails tosses is not
random), but it has a chance.




We should not let even the partial success of best systems analysis
in preserving RCT sway us. The Humean account of chance is perfectly
compatible with the existence of bias and with non-independent
sequences of trials; RCT is not. The problem just mentioned arises even
in the best circumstances for RCT, where there is at least one actual
unbiased fair coin sequence. The existence of such a problem could have
been predicted. The best systems account deviates from pure frequentism
precisely in trying to accommodate the single-case process intuitions
that, as we saw in
 SS1,
 characterise chance. Every
success in this direction brings this broadly product conception of
chance closer to a process conception, and will therefore be a
potential opportunity for counterexamples to RCT to emerge.


### 6.2 Process Randomness: Epistemic Theories




As mentioned at the beginning of
 SS2,
 sometimes
'random' is used in a process sense. There have been some
philosophical approaches to randomness which attempt to take this
seriously, but which do not take it to be merely equivalent to
'chancy' and thus trivialise RCT. The most popular such
approach is to connect randomness with *indeterminism*, and to
defend RCT by arguing directly that indeterminism yields both chance
and randomness. Prospects for that approach will be discussed
 in
 SS7.




The next most discussed view of process randomness is an epistemic
one. Random processes on this view are those whose outcomes we cannot
know in advance; that is, random processes are *unpredictable*
(Eagle 2005; Kyburg 1974: ch.
 9).[23]
 Here is one clear
expression of the view:



> At the most basic level, we say an event is random if there
> is no way to predict its occurrence with certainty. Likewise, a random
> process is one for which we are not able to predict what happens next.
> (Frigg 2004: 430)




For this kind of view to yield the right results, we cannot count as
'being able to predict a process' if we merely guess
rightly about its outcomes. For that reason, prediction must involve
some notion of *reasonableness*; it must be rational for the
agent to make the predictions they do. For example, Eagle (2005: 770)
insists that it is the physical theory accepted by the predicting agent
that makes certain posterior credences reasonable; simply guessing will
not be reasonable, even if it's correct.




This definition overlaps considerably with those definitions of
randomness canvassed in
 SS2.
 In particular, if a
process is predictable, that will make available a winning betting
strategy on the sequence of outcomes of that process, which cannot
therefore be a KML-random sequence of outcomes. So unpredictability of
the generating process is a necessary condition on KML-randomness of
any concrete outcome sequence.




But unpredictability is not sufficient, for it may be that we cannot
know everything true of the future outcomes of the process, and those
truths might preclude a KML-random sequence. One way to see this draws
on our discussion of chaotic dynamics. Let's say that a system exhibits
*apparent* dependence on initial conditions if states
indiscriminable to us may end up arbitrarily far apart after some
relatively short period of time. (Another definition, if knowledge
obeys a margin for error principle, would be: a system exhibits
apparent dependence on initial conditions if, for all we know, it is
sensitively dependent on initial conditions.) Apparent dependence on
initial conditions can obtain even if sensitive dependence on initial
conditions does not. For there may well be a size \(v\) such that,
under some partition of the set of states into regions of measure
smaller than \(v\), any two points starting in the same cell of
the partition evolve to future states which are close to one
another--as long as \(v\) is small with respect to our
abilities to discriminate. A system which is apparently but not
sensitively dependent on initial conditions will be unpredictable to
us, but there will exist an algorithm that, given some finite
specification of the initial conditions, generates the future evolution
of the system perfectly. (The key is that the finite specification must
involve more precise data than we could know to characterise the
system.) This sequence, if long enough, is not KML-random, but it is
 unpredictable.[24]




Because of the considerable overlap between the unpredictably
generated sequences and the KML-random sequences (Frigg 2004: 431),
many roles the latter can play will be played by the former too. Eagle
(2005) further argues that the unpredictably generated sequences are a
better fit to the theoretical role of randomness, and claims on that
basis that *randomness is unpredictability*. One nice thing
about this thesis is that, being a process notion, it directly connects
with chance processes. We can thus directly evaluate the original
thesis connecting chance and randomness, CT, in the form:



> **(CTU)** A process is chancy iff it is not
> rationally predictable.




The left-to-right direction of CTU looks relatively secure when we
attend just to independent and identically distributed trials. But when
the trials are not independent, like the examples in
 SS4.4,
 future outcomes can happen by chance, even if
knowing the past states of the system does put one in a position to
better predict the future outcomes. The right-to-left direction of CTU
is in even worse straits. For if KML-randomness of a sequence entails
its unpredictable generation, then every counterexample to RCT which
involves KML-randomness without chance will also involve
unpredictability without chance, and also constitute a counterexample
to CTU. There is no succour to be found for defenders of RCT in this
conception of randomness.


## 7. Chance, Randomness, and Determinism




One last hope for the thesis that chancy outcomes are random comes
from the connection of both notions with indeterminism. Consider this
argument:



> \(\mathbf{P1}\):
>   
> 
> An outcome happens by chance iff it is produced by an indeterministic
> process. 
> 
> 
> 
> \(\mathbf{P2}\):
>   
> 
> A possible sequence of outcomes is random iff a repeated
> indeterministic process could produce all of the outcomes.
> 
> 
> 
> 
> \(\mathbf{RCT}\):
>   
> 
> Therefore, an outcome happens by chance iff there is a possible random
> sequence of outcomes, produced by the same process, of which it is a
> member.
> 
> 
> 




This argument is valid. If the premises are true, we have a direct
argument for RCT. We have no direct response to the objections raised
in
 SSSS4-5,
 but
somehow, if this argument succeeds, those objections must miss the
point. The premises have some initial plausibility (though P2 is
dubious: surely a properly indeterministic process could produce any
sequence of outcomes whatsoever, including many non-random sequences?
We discuss this further in
 SS7.2).
 The thesis
that indeterminism is necessary and sufficient for chance has long been
a popular claim. And randomness and indeterminism also seem to have a
close connection. But to evaluate them, we will need to be more precise
than we have been about determinism.



> **Earman-Montague Determinism**:
>   
> 
> A scientific theory is *deterministic* iff any two sequences of
> states in models of that theory which share some state at some time
> share every state at every time. A theory is *indeterministic*
> iff it is not deterministic; equivalently, if two systems can be in the
> same state at one time and evolve into distinct states. A system is
> (in)deterministic iff the theory which completely and correctly
> describes it (of which it is a model) is (in)deterministic. (Earman
> 1986; Montague 1974)




Determinism so stated is a supervenience thesis: as Schaffer (2007:
115) puts it, 'A world \(w\) is deterministic iff: for all
times \(t\) in \(w\), the total occurrent history of
\(w\) supervenes on the occurrent state of \(w\) at
\(t\) together with the laws of \(w\).'




With this in mind, we now evaluate the premises of this argument.
There seem to be significant doubts about both directions of both
premises. The upshot is that indeterminism offers little comfort for
the defender of RCT.


### 7.1 Chance and Determinism




It is very nearly a piece of philosophical orthodoxy that
non-trivial objective chances require indeterminism. The view is seldom
defended; even those who trouble to state the view explicitly (Lewis,
1980: 120) don't go to the further effort of justifying it, perhaps
because it seems obvious. After all, under determinism, someone who
knew the past and the laws would be in a position to know with
certainty every future outcome. So our use of probability under
determinism must be purely subjective, a side-effect of our (perhaps
unavoidable) ignorance of the past or the laws. If this orthodoxy is
correct, at least the left-to-right direction of P1 would be true.




However, there has recently been a considerable amount of work by
philosophers defending the thesis that chance and determinism are
consistent. Many of the topics dealt with above feature in their
arguments. Loewer (2001) draws on the best systems analysis of chance
to argue that, in worlds like ours (with entropy-increasing processes,
and apparently fair coin tosses, etc.), the best description involves
some probabilistic component which deserves to be called chance. Clark
(1987) draws on how we use the phase space measure \(\mu\) to
govern our expectations about the behaviour of Bernoulli and mixing
systems in classical statistical mechanics, and argues (in effect) that
this is an objective probability function despite the deterministic
underlying physics. Various other proposals for deterministic chance
have been developed (Eagle 2011; Glynn, 2010; Hoefer, 2007;
Ismael, 2009; Sober, 2010). The general technique is to argue that
there are probability distributions over outcomes that can play the
chance role, even in impeccably deterministic theories. Many of these
philosophers are sympathetic to reductionism about chance, which
permits the compatibility of chance and determinism. For the fact that
the entire history of a world supervenes on any moment of its history,
as determinism states, apparently entails nothing one way or another
about whether the best description of that entire history involves
chances (this is related to the 'no-connection' argument of
Schaffer 2007: 115). If there is such a thing as deterministic chance,
however, P1 is false.




Anti-reductionists about chance have generally found these arguments
less persuasive (Popper 1992; Black 1998; Weiner and Belnap 2006). In
particular, it is in many ways hard to reconcile the BCP (and RP) with
deterministic chance. Doing so will require that there is a physically
possible world (sharing the same laws) which matches ours in occurrent
facts up until \(t\) but diverges thereafter; but if determinism
is true, such a divergence is not possible. If that world matches ours
at any time, it matches it at all times. So, it seems, 'only an
incompatibilist function can fit the RP' (Schaffer 2007: 130). In
any case, the debate over whether deterministic 'chance',
and reductionism about chance more generally is ongoing (see further
the discussion in supplement
 A);
 the status
of the left-to-right direction of P1 is at best unsettled.




The same cannot be said for the right-to-left direction. For the
discussion in
 SS5.3
 showed that there are
indeterministic theories without chances, those where indeterminism is
secured by the existence of alternative future possibilities, but where
those possibilities collectively do not permit or require a probability
distribution over them. A more controversial class of cases of
indeterminism without chances comes from those who reject
*universalism* about chance: the thesis 'that chance of
truth applies to any proposition whatever' (Lewis, 1980: 91). If
universalism is false, there may be indeterministic situations where
the alternative outcomes are those to which chance does not apply. Von
Mises rejected universalism, because he thought that chance applied
properly only to 'mass phenomena'; in an indeterministic
world where the indeterministic process occurs only once, for example,
the theory of probability does not apply. Hoefer (2007) also holds a
view something like this, rejecting chances for those processes which
don't have stable enough outcome
 patterns.[25]


### 7.2 Randomness and Determinism




We could give an argument for P2 if it could be shown that, from the
above definition of determinism, we could conclude (i) that only
random sequences could occur under indeterminism, and (ii) that random
sequences could only occur under indeterminism. However, both parts of
this claim are problematic.



> 
> **Theorem 8 (Humphreys 1978)**. There is a theory which
> is deterministic in the sense of Montague which has as a model a
> system which produces sequences which are random in the sense of von
> Mises/Church.




The proof of this theorem relies on the fact that a theory can be
non-trivially deterministic without being computable. There is an
arithmetically definable function which governs the evolution of the
system over time (in Humphrey's construction, the instantaneous state
of the system is an arithmetically definable function of the time,
which ensures that any two models agreeing at one time will agree at
all times, guaranteeing determinism). But the function is not
effectively computable, so no algorithm can produce the sequence of
 states that this system goes
 through.[26]
 The physical
significance of such uncomputable functions is not clear (though see
Pour-El and Richards 1983), but the possibility of a deterministic
physics which features such equations of motion is enough to undermine
a close connection between randomness and indeterminism. This shows
that claim (ii) above is false.




 Moreover, since we've already seen
 (SS4.1)
 that it is possible for a chancy and indeterministic process to produce
a non-random sequence of outcomes, and such a sequence would not be
random, we also have a counterexample to claim (i). Claim (i) could be
saved if we made a more robust claim about what could happen under
indeterminism. There is a sense in which, while it is possible that a
fair coin could land heads an infinite number of times, it *would
not*. That is, the counterfactual 'If I tossed the coin an
infinite number of times, it wouldn't land all heads' is
apparently true. There is some question whether the counterfactual
really is true; Lewis (1979a) and Williams (2008) argue that it is,
while Hawthorne (2005)  argues that it is not. But if it is, the way lies open to
defend a modified counterfactual version of P2:



> 
> **P\(2'\)**:
>   
> 
> A possible sequence of outcomes is random iff it is not the case that,
> were an indeterministic process to be repeated infinitely, it would not
> produce that sequence of outcomes.




But this is highly controversial; and the problem for claim (ii)
would still stand.




If we are to accept this argument, then, we shall have to take P2 as
an independent truth about randomness. Analyses of randomness as
indeterminism, which take P2 to be analytic, have been given: to their
detriment, if the foregoing observations are correct. Hellman (1978:
83) suggests that randomness is 'roughly interchangeable with
"indeterministic"', while Ekeland (1988: 49) says
'the main feature of randomness is some degree of independence
from the initial conditions. ... Better still, if one performs
the same experiment twice with the same initial conditions, one may
get two different outcomes'.




However, it has been argued that this view of randomness as
indeterminism makes it difficult to understand many of the uses of
randomness in science (Eagle 2005: SS3.2). This view entails that
random sampling, and random outcomes in chaotic dynamics, and random
mating in population genetics, etc., are not in fact random, despite
the plausibility of their being so. It does not apparently require
fundamental indeterminism to have a randomised trial, and our
confidence in the deliverances of such trials does not depend on our
confidence that the trial design involved radioactive decay or some
other fundamentally indeterministic process. Indeed, if Bohmians or
Everettians are right (an open epistemic possibility), and quantum
mechanics is deterministic, this view entails that nothing is actually
random, not even the most intuitively compelling cases. This kind of
view attributes to scientists a kind of error theory about many of
their uses of the term 'random', but as yet the
philosophical evidence adduced to convict scientists of this pervasive
error is not compelling.




One reason for the continuing attractiveness of the thesis that
randomness is indeterminism may be the fact that, until quite
recently, there has been a tendency for philosophers and other to
confuse unpredictability and indeterminism. Laplace's original
conception of determinism was an epistemic one:



> 
> 
> [A]n intelligence which could comprehend all the forces by which
> nature is animated and the respective situation of all the [things
> which] compose it--an intelligence sufficiently vast to submit
> these data to analysis--it would embrace in the same formula the
> movements of the greatest bodies in the universe and those of the
> lightest atom; for it, nothing would be uncertain and the future, as
> well as the past, would be present to its eyes. (Laplace 1826:
> p. 4)




This kind of account still resonates with us, despite the fact that
with the Montague-Earman definition we now have a non-epistemic
characterisation of determinism. Since random sequences will, almost
always, be unpredictable, it is clear why we might then taken them to
be indeterministic. But once we keep clear the distinction between
predictability and determinism, we should be able to avoid this
confusion (Bishop, 2003; Schurz, 1995; Werndl, 2009).


## 8. Conclusion




From what we have seen, the commonplace thesis cannot be sustained.
It would in many ways have been nice if chance of a process and
randomness of its product had gone hand in hand--the epistemology
of chance would be much aided if it invariably showed itself in random
outputs, and we could have had a tight constraint on what outcomes to
expect of a repeated chance process, to say nothing of the further
interesting consequences the thesis may have for random sampling or
probabilistic explanation, mentioned in the introduction. But the
counterexamples to the thesis in
 SSSS4-5
 show that it is false, even in
its most plausible form. Various attempts to salvage the thesis, by
appeal to non-standard accounts of chance or randomness, fail to give
us a version of the thesis of much interest or bearing on the issues we
had hoped it would illuminate. A final attempt to argue directly for
the thesis from the connections between chance, randomness, and
determinism also failed, though it does shed light on all three
notions. It is safest, therefore, to conclude that chance and
randomness, while they overlap in many cases, are separate
concepts.




This is not to say that there is no link between KML-randomness and
physical chance. The observation of a random sequence of outcomes is a
defeasible incentive to inquire into the physical basis of the outcome
sequence, and it provides at least a prima facie reason to think that a
process is chancy (though recall
 SS4.5).
Moreover, if we knew that a process is chancy, we should expect
(eventually, with high and increasing probability) a random sequence of
outcomes. Conversely, a sequence of outcomes that appears predictable, compressible, and rule-governed will be strong disconfirming evidence for any hypothesis to the effect that the sequence was produced by chance alone. 
Hellman concludes



> The link, then, between mathematical and physical randomness is epistemic and only that. Observations of mathematically non-random sequences can be used to decide when further explanation in terms of as yet undiscovered causal factors is wanting. But, in no sense is any notion of mathematical randomness serving as an explication for 'ultimate physical randomness', whatever that might be. (Hellman, 1978: 86)
> 



Taking 'mathematical randomness' to be product randomness, and 'physical randomness' to mean process randomness (chanciness), this conclusion seems unavoidable.



A parallel with the relationship between frequencies and chances is tempting and unsurprising. Relative frequencies are good but not infallible indicators of the chances, and the existence of outcome frequencies strictly between 0 and 1 is evidence that chance processes are involved in the production of those outcomes. But frequentism is implausible as a reductive account of chance. And it is no more plausible to think that chance is present iff random sequences of outcomes are.[27] An evidential and epistemic connection between chance
and randomness falls well short of the conceptual connection proposed
by the Commonplace Thesis with which we started.