Einstein's Arrogance

Noticing Confusion

Prerequisite:  How Much Evidence Does It Take?

In 1919, Sir Arthur Eddington led expeditions to Brazil and to the island of Principe, aiming to observe solar eclipses and thereby test an experimental prediction of Einstein's novel theory of General Relativity.  A journalist asked Einstein what he would do if Eddington's observations failed to match his theory.  Einstein famously replied:  "Then I would feel sorry for the good Lord.  The theory is correct."

It seems like a rather foolhardy statement, defying the trope of Traditional Rationality that experiment above all is sovereign.  Einstein seems possessed of an arrogance so great that he would refuse to bend his neck and submit to Nature's answer, as scientists must do.  Who can know that the theory is correct, in advance of experimental test?

Of course, Einstein did turn out to be right.  I try to avoid criticizing people when they are right.  If they genuinely deserve criticism, I will not need to wait long for an occasion where they are wrong.

And Einstein may not have been quite so foolhardy as he sounded...

To assign more than 50% probability to the correct candidate from a pool of 100,000,000 possible hypotheses, you need at least 27 bits of evidence (or thereabouts).  You cannot expect to find the correct candidate without tests that are this strong, because lesser tests will yield more than one candidate that passes all the tests.  If you try to apply a test that only has a million-to-one chance of a false positive (~20 bits), you'll end up with a hundred candidates.  Just finding the right answer, within a large space of possibilities, requires a large amount of evidence.

Traditional Rationality emphasizes justification:  "If you want to convince me of X, you've got to present me with Y amount of evidence."  I myself often slip into this phrasing, whenever I say something like, "To justify believing in this proposition, at more than 99% probability, requires 34 bits of evidence."  Or, "in order to assign more than 50% probability to your hypothesis, you need 27 bits of evidence."  The Traditional phrasing implies that you start out with a hunch, or some private line of reasoning that leads you to a suggested hypothesis, and then you have to gather "evidence" to confirm it - to convince the scientific community, or justify saying that you believe in your hunch.

But from a Bayesian perspective, you need an amount of evidence roughly equivalent to the complexity of the hypothesis just to locate the hypothesis in theory-space.  It's not a question of justifying anything to anyone.  If there's a hundred million alternatives, you need at least 27 bits of evidence just to focus your attention uniquely on the correct answer.

This is true even if you call your guess a "hunch" or "intuition".  Hunchings and intuitings are real processes in a real brain.  If your brain doesn't have at least 10 bits of genuinely entangled valid Bayesian evidence to chew on, your brain cannot single out a correct 10-bit hypothesis for your attention - consciously, subconsciously, whatever.  Subconscious processes can't find one out of a million targets using only 19 bits of entanglement any more than conscious processes can.  Hunches can be mysterious to the huncher, but they can't violate the laws of physics.

You see where this is going:  At the time of first formulating the hypothesis - the very first time the equations popped into his head - Einstein must have had, already in his possession, sufficient observational evidence to single out the complex equations of General Relativity for his unique attention.  Or he couldn't have gotten them right.

Now, how likely is it that Einstein would have exactly enough observational evidence to raise General Relativity to the level of his attention, but only justify assigning it a 55% probability?  Suppose General Relativity is a 29.3-bit hypothesis.  How likely is it that Einstein would stumble across exactly 29.5 bits of evidence in the course of his physics reading?

Not likely!  If Einstein had enough observational evidence to single out the correct equations of General Relativity in the first place, then he probably had enough evidence to be damn sure that General Relativity was true.

In fact, since the human brain is not a perfectly efficient processor of information, Einstein probably had overwhelmingly more evidence than would, in principle, be required for a perfect Bayesian to assign massive confidence to General Relativity.

"Then I would feel sorry for the good Lord; the theory is correct," doesn't sound nearly as appalling when you look at it from that perspective.  And remember that General Relativity was correct, from all the vast space of possibilities.

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Most theorists think they have the right theory but are wrong. So just because Einstein was right, that doesn't mean he had good reason to believe he was right. He could have been a lucky draw from the same process.

Many theories have been defended on grounds of beauty - and been wrong. Heliocentrism was an elegant theory that worked well and explained many things like the absence of naked-eye precession. Just before Einstein, we can find examples:

According to the vortex atomic theory originally proposed by William Thomson in 1867, atoms were nothing but vortical structures in the continuous ether. In this sense the atoms were quasi-material rather than material bodies. As the ultimate and irreducible quality of nature, the ether could exist without matter, but matter could not exist without the ether....By the early 1890s the vortex atomic theory had run out of steam and was abandoned by most researchers as a realistic theory of the constitution of matter. It was never unambiguously proved wrong by experiment, but after twenty years of work it degenerated into mathematics, failing to deliver what it promised of physical results. Physicists simply lost confidence in the theory. On the other hand, although the vortex atom was no longer considered a useful concept in explaining physical phenomena, heuristically and as a mental picture it lived on. Wrong as it was, to many British physicists it remained a methodological guiding principle, the ideal of what a future unified theory of matter and ether should look like. According to Michelson, writing in 1903, it “ought to be true even if it is not” (Kragh 2002: 80).

--"A Sense of Crisis: Physics in the fin-de-siècle Era"

Indeed, I think theorists tend to make mistakes of either deductive or inductive bias. They start out tacitly assuming that reality must be some slightly noisy instantiation of a mathematical theorem ... that their favorite equations are logically true and for some mucky reason or another we just observe them as being noisily true.

From the post above:

To assign more than 50% probability to the correct candidate from a pool of 100,000,000 possible hypotheses, you need at least 27 bits of evidence (or thereabouts).

... or you just need to be that one guy who made a wild and unjustified guess about where to assign more than 50 % of the probability (despite not having bits of evidence to support it) and then be lucky.

This is true even if you call your guess a "hunch" or "intuition".

Only if you make the further assumption that whatever process that generates hunches or intuition must be decision-theoretic. That may not be a bad assumption, but I'm not convinced it's accurate in human beings. From my own readings about Einstein, I think it's more likely that he over-asserted the relevance of differential geometry and justified the pursuit of a theory along those lines with what is essentially faith in the mathematics. I don't think it was a subconscious extension of integrated evidence at all. For every Einstein whose hunch focused on the right general field of mathematics, there were probably dozens or hundreds of other physicists who just thought that burgeoning algebraic topology was the ticket, or perhaps non-standard analysis was the ticket, or perhaps representation theory was the ticket.

The Einstein field equation itself is actually extremely simple:

G = 8piT

Sure, if we don't mind that G and T take a full page to write out in terms of the derivatives of the metric tensor. By this logic every equation is extremely simple -- it simply asserts that A=B for some A,B. :-)

http://mathoverflow.net/questions/53122/mathematical-urban-legends

Another urban legend, which I've heard told about various mathematicians, and which Misha Polyak self-effacingly tells about himself (and therefore might even be true), is the following:

As a young postdoc, Misha was giving a talk at a prestigious US university about his new diagrammatic formula for a certain finite type invariant, which had 158 terms. A famous (but unnamed) mathematician was sitting, sleeping, in the front row. "Oh dear, he doesn't like my talk," thought Misha. But then, just as Misha's talk was coming to a close, the famous professor wakes with a start. Like a man possessed, the famous professor leaps up out of his chair, and cries, "By golly! That looks exactly like the Grothendieck-Riemann-Roch Theorem!!!" Misha didn't know what to say. Perhaps, in his sleep, this great professor had simplified Misha's 158 term diagrammatic formula for a topological invariant, and had discovered a deep mathematical connection with algebraic geometry? It was, after all, not impossible. Misha paced in front of the board silently, not knowing quite how to respond. Should he feign understanding, or admit his own ignorance? Finally, because the tension had become too great to bear, Misha asked in an undertone, "How so, sir?" "Well," explained the famous professor grandly. "There's a left hand side to your formula on the left." "Yes," agreed Misha meekly. "And a right hand side to your formula on the right." "Indeed," agreed Misha. "And you claim that they are equal!" concluded the great professor. "Just like the Grothendieck-Riemann-Roch Theorem!"

Hanson, that's why I picked Einstein - he'd already been "lucky" once at that point. Also, he would still need quite a lot of evidence just to get to the point of having a remote chance of being right.

McCabe, you're right, it's completely obvious, it makes you wonder why Einstein took ten years to figure it out.

Not at all obvious, but there are very few hypotheses that could be specified as briefly. What took ten years was figuring out how to get from the very short specification into an algebraic expression that satisfied its constraints.

A bit like, if the theory was 'just' Fermat's Last Theorem, proving it could take a while.

McCabe, you're right, it's completely obvious, it makes you wonder why Einstein took ten years to figure it out.

Doesn't that apply to the MWI too?

"And remember that General Relativity was correct, from all the vast space of possibilities."

The Einstein field equation itself is actually extremely simple:

G = 8piT

where G is the Einstein tensor and T is the stress-energy tensor. Few serious competitors to GR have emerged for a very good reason; what sane modifications could you make to this equation? G and T have to be directly proportional, because everyone knows that the curvature of spacetime (and hence the effect of gravity) is directly proportional to the quantity of matter/energy. The constant of proportionality is fixed by direct measurement of g. G must vanish when T vanishes, as there must be no gravity in the absence of matter. T itself cannot be modified, because it's the only sane way to measure mass, energy, and momentum in the Lorentzian manifold framework. G cannot be modified, because it must be constructable from the metric tensor (a property of spacetime), it must be directly proportional to the amount of curvature, and it must be invariant with respect to the choice of coordinate system (the full derivation is left as an exercise to the reader in my textbook).

I agree with Tom that there isn't that much room to change the field equations once you have decided on the Riemannian tensor framework: gravity cannot be expressed as first-order differential equations and still fit with observation, while number of objects to build a set of second-order equations is very limited. The equations are the simplest possibility (with the cosmological constant as a slight uglification, but it is just a constant of integration).

But selecting the tensor framework, that is of course where all the bits had to go. It is not an obvious choice at all.

It is interesting to note that Einstein's last paper, "On the relativistic theory of the non-symmetric field" includes a discussion of the "strength" of different theories in terms of how many undetermined degrees of freedom they have. http://books.google.com/books?id=tB9Roi3YnAgC&pg=PA131&lpg=PA131&dq=%22relativistic+theory+of+the+non+symmetric+field%22&source=web&ots=EkMv5tudsI&sig=lkTQE94Ay1h2-qS0mcbGT3xa22M If I recall right, he finds his own theory to be rather flabby.

Once you assume:

1) the equations describing gravity are invariant under all coordinate transformations,

2) energy-momentum is not locally created or destroyed,

3) the equations describing gravity involve only the flow of energy-momentum and the curvature of the spacetime metric (and not powers or products or derivatives of these),

4) the equations reduce to ordinary Newtonian gravity in a suitable limit,

then Einstein's equations for general relativity are the only possible choice... except for one adjustable parameter, the cosmological constant.

(First Einstein said this constant was nonzero, then he said that was the "biggest mistake in his life", and then it turned out he was right in the first place. It's not zero, it's roughly 0.0000000000000000000000000000000000000000000000000000000000000000000000000 000000000000000000000000000000000000000000000000000000001. So, a bit of waffling on this issue is understandable.)

It took Einstein about 10 years of hard work to figure this out, with a lot of help from a mathematician Marcel Grossman who taught him the required math. But by the time he talked to that reporter he knew this stuff. That's what gave him his confidence.

His assumptions 1)-4) could have been wrong, of course. But he was playing a strong hand of cards - and he knew it.

By the way, he did write a paper where he got the equations wrong and predicted a wrong value for the deflection of starlight by the Earth's gravitational field. But luckily he caught his mistake before the experiment was done. If he'd caught his mistake afterwards, lots of people would have thought he was just retroactively fudging his theory to fit the data.

I can see why Einstein would assume 1), 2) and 4), but what was his motivation for assuming 3)? Just some intuition about simplicity?

Tarleton, people do propose lots of complex wrong theories, but they don't propose literally quintillions of wrong complex theories for every right complex theory. If the ratio is even ten wrong to one right, you can tell the good guessers must have possessed massive evidence - survivorship bias is not remotely enough to account for it. As for the wrong guessers, they are more likely to have suffered from bad evidence or bad thinking, than from having almost exactly enough evidence processed correctly followed by a wrong guess.

"If only you had been around to solve the problem instead of Maxwell and Einstein, how much work could have been saved!"

Obvious != simple != easy to learn. You of all people should understand this. You seemed to understand it seven years ago, back during the days of your wild and reckless youth. To quote SitS:

"Let's take a concrete example, the story Flowers for Algernon (later the movie Charly), by Daniel Keyes. (I'm afraid I'll have to tell you how the story comes out, but it's a Character story, not an Idea story, so that shouldn't spoil it.) Flowers for Algernon is about a neurosurgical procedure for intelligence enhancement. This procedure was first tested on a mouse, Algernon, and later on a retarded human, Charlie Gordon. The enhanced Charlie has the standard science-fictional set of superhuman characteristics; he thinks fast, learns a lifetime of knowledge in a few weeks, and discusses arcane mathematics (not shown). Then the mouse, Algernon, gets sick and dies. Charlie analyzes the enhancement procedure (not shown) and concludes that the process is basically flawed. Later, Charlie dies.

That's a science-fictional enhanced human. A real enhanced human would not have been taken by surprise. A real enhanced human would realize that any simple intelligence enhancement will be a net evolutionary disadvantage - if enhancing intelligence were a matter of a simple surgical procedure, it would have long ago occurred as a natural mutation. This goes double for a procedure that works on rats! (As far as I know, this never occurred to Keyes. I selected Flowers, out of all the famous stories of intelligence enhancement, because, for reasons of dramatic unity, this story shows what happens to be the correct outcome.)

Note that I didn't dazzle you with an abstruse technobabble explanation for Charlie's death; my explanation is two sentences long and can be understood by someone who isn't an expert in the field. It's the simplicity of smartness that's so impossible to convey in fiction, and so shocking when we encounter it in person. All that science fiction can do to show intelligence is jargon and gadgetry. A truly ultrasmart Charlie Gordon wouldn't have been taken by surprise; he would have deduced his probable fate using the above, very simple, line of reasoning. He would have accepted that probability, rearranged his priorities, and acted accordingly until his time ran out - or, more probably, figured out an equally simple and obvious-in-retrospect way to avoid his fate. If Charlie Gordon had really been ultrasmart, there would have been no story. "

We know that Newton's theory of gravity was hard to invent; it must not have been obvious, because nobody had solved it until Newton, and he was lauded as a hero for his great theory. And yet, it is so simple that we teach it to high school students, and some of them actually understand it. Newton's equation is also a unique solution; the constant of proportionality is fixed by experiment, the m/r^2 term is fixed by the need to include Kepler's laws (which were well known at the time), and extra terms are excluded, because F must vanish when M2 vanishes, or else you violate the laws of motion which Newton had just discovered.

"McCabe, you're right, it's completely obvious, it makes you wonder why Einstein took ten years to figure it out."

I never said it was obvious; I said that the equations were a unique solution imposed by various constraints. Proving that the equations are a unique solution is quite difficult; I can't do it, even with a ready-made textbook in front of me. There are many examples of simple, unique-solution equations being very hard to derive- Newton's law of gravity and Maxwell's laws of electromagnetism come to mind.

"But selecting the tensor framework, that is of course where all the bits had to go. It is not an obvious choice at all."

I agree that it is not at all obvious, but the search space doesn't seem to be all that large- how many mathematical toys are there which could form a viable framework for gravity? The difficulty seems to be in understanding the math well enough to determine whether it can represent real-world phenomena. Differential geometry is not a simple Bayesian hypothesis like "the cat is blue"; to figure out whether piece of evidence Q supports a geometric theory of gravity, you have to understand what a geometric theory of gravity would look like (in Bayesian terms, which outcomes it would predict), which is quite difficult.

"Tom, is that an elaborate joke?"

No. What makes you think that?

Um, guys, there are an infinite number of possible hypotheses. Any evidence that corroborates one theory also corroborates (or fails to refute) an infinite number of alternative specifiable accounts of the world.

What evidence does is allow us to say "Whatever the truth is, it must coexist in the same universe with the true nature of this evidence I have accepted. Theory X and its infinite number of variants seems to be ruled out by this evidence (although I may have misinterpreted the theory or the nature of the evidence), whereas Theory Y and its infinite number of variants seems not yet to be ruled out."

Yeah, I realize this is a complicated way to phrase it. The reason I like to phrase it this way is to point out that Einstein did not have merely 29 "bits" of evidence, he had VAST evidence, based on an entire lifetime of neuron-level programming, that automatically focused his mind on a productive way of thinking about the universe. He was imagining and eliminating vast swaths of potential theories of the universe, as are we all, from his earliest days in the womb. This is hardly surprising, considering that humans are the result of an evolutionary process that systematically killed the creatures who couldn't map the universe sufficiently well.

We can never know if we are getting to the right hypothesis. What we can say is that we have arrived at a hypothesis that is isomorphic with the truth, as we understand that hypothesis, over the span of evidence we think we have and think we understand. Always the next bit of evidence we discover may turn what we think we knew upside down. All knowledge is defeasible.

There are not an infinite number of possible hypotheses in a great many sensible situations. For example, suppose the question is "who murdered Fred?", because we have already learned that he was murdered. The already known answer: "A human alive at the time he died.", makes the set finite. If we can determine when and where he died, the number of suspects can typically be reduced to dozens or hundreds. Limiting to someone capable of carrying out the means of death may cut 90% of them.

To the extent that "bits" of evidence means things that we don't know yet, the number of bits can be much smaller than suggested. To the extent that "bits" of evidence includes everything we know so far, we all have trillions of bits already in our brains and the minimal number is meaningless.

"Fixed by evidence" != "simple". There are few alternatives to Newton's Laws, perhaps, once you (a) invent calculus as the language of description, the interpreter to run the code; (b) observe Kepler's laws; (c) realize that objects in motion remain in motion unless a force acts upon them, as opposed to Aristotle's view, and therefore the law should be written in second derivatives as opposed to third or first derivatives; etc. etc.

Please recall that my original contention was that Einstein must have had enough observational evidence to fix the information inherent in General Relativity as a solution. If you describe ways that the information in General Relativity can be fixed by evidence, you are not contradicting this.

You are also falling prey to hindsight by not making an equal effort to consider how you could have justified alternatives as unique obvious solutions using subsets of other knowledge known at the time, rather than the particular aspects that now obviously seem so prominent.

Many popular reports of Eddington's test mislead people into thinking it provided significant evidence. See these two Wikipedia pages for reports that the raw evidence was nearly worthless. Einstein may have known how little evidence that test would provide.

I guess a defense of old Albert would go something like this; the route he took to establish his theory didn't rely upon empirical evidence of the sort Eddington was trying to discover but rather was an elegant way to explain certain unusual properties of light and energy which, once he had formulated his theory, it seemed obvious to him could not be explained any other way. The kind of empirical validation which Eddington was carrying out was a laudable and necessary step in the process of theory confirmation/falstification but nevertheless it is entirely reasonable for Einstein to believe that no such confirmation was necessary as, relative to the theoretical status quo prior to the theory of relativity, the theory of relativity had vastly greater explanatory power and so any theory which might supplant it would have to incorporate elements of the theory, or postulates very similar to the theory, to explain the same things. Einstein had a sense of humour and was, I take it, simply relaying the idea that he thought it much more likely that any negative result from Eddington's expedition would turn out to be due to poor expedition data rather than a problem with the theory; I don't think he was every claiming (non-sensical) 100% certainty. The man may have been a genius, but he wasn't an idiot.

Maybe we should also consider that Einstein fully understood the irony in his statement, and was in a humorous mood. After all, what he would do if the attempt to verify did not succeed was not of any import whatever. It was a typical "sell newspaper" question.

Something doesn't feel right. Don't people frequently propose complex theories that turn out to be wrong?

Abraham Pais, one of Einstein's many friends, has said that Einstein loved to joke. Are you sure his "sorry for the good Lord" wasn't a bit of humor?

I've always assumed that it was a joke. If he'd been serious, then he'd have felt sorry for Eddington.

That waste of three minutes wasn't your fault. But the decision to sink more time into posting a comment that obviously won't do any good (not least because it's completely unspecific) was.

"Please recall that my original contention was that Einstein must have had enough observational evidence to fix the information inherent in General Relativity as a solution. If you describe ways that the information in General Relativity can be fixed by evidence, you are not contradicting this."

True; why do you have to contradict the main point of a post to comment on it? My point was that the space of possibilities was not vast; it was quite small, given the common-sense rules of gravity and math which were known at the time. Developing GR took years, not because Einstein has to sort through ten million different versions of the theory, but because developing a single version of the theory is difficult.

"You are also falling prey to hindsight by not making an equal effort to consider how you could have justified alternatives as unique obvious solutions using subsets of other knowledge known at the time, rather than the particular aspects that now obviously seem so prominent."

This is mathematically impossible unless you assume false knowledge. If equations (A, B, C, D, E) are known at the time of Newton, and Newton's theory of gravity is unique if you assume A, C and D, then any alternative theory of gravity must contradict A, C, or D. Suppose that you can construct an alternative theory of gravity, which is unique assuming equations B and E. If you assume that both B and E are true, then the alternative theory of gravity must be true, hence Newton's theory must be false, hence either A, C, or D must be false. We know now that A, C, and D are all true, therefore, either B or E must be false.

"Sure, if we don't mind that G and T take a full page to write out in terms of the derivatives of the metric tensor."

The Riemann tensor is a more natural measure of curvature than the metric tensor, and even in that language it's still pretty simple:

8piT = R (tensor) - .5gR (scalar)

where R (tensor) (subscript) ab = Riemann tensor (superscript) c (subscript) acb and R (scalar) = g (superscript) ab * R (tensor) (subscript) ab

You can make any theory seem complicated by writing it out in some nonstandard format. Take Maxwell's equations of electromagnetism in tensor form:

dF = 0 dF = 4pi*J

Now differential form:

(divergence) E = p (divergence) B = 0 (curl) E = -dB/dt (curl) B = J + dE/dt

Now integral form:

(flux E over closed surface A) = q (flux B over closed surface A) = 0 (line integral of E over closed loop l) = - d (flux of B over surface enclosed by l)/dt (line integral of B over closed loop l) = (current I passing through surface enclosed by l) + d (flux of E over surface enclosed by l)/dt

Now in action-at-a-distance form:

E = (sum q) -q/4/pi ((r' unit vector from q)/r'/r' + r' d/dt ((r' unit vector from q)/r'/r') + d^2/dt^2 (r' unit vector from q)) B = (sum q) E x -(r' unit vector from q)

Your R is actually the Ricci tensor, not the Riemann tensor. The Riemann tensor has four indices, not two. The Ricci tensor is formed by contracting the Riemann tensor on its first and third indices.