Ruetsche 2004
Ruetsche 2004
Ruetsche 2004
Abstract
1. Introduction
Between 1988 and 2002, Rob Clifton and his many grateful collaborators
published roughly 50 articles. Through the mid-1990s, the majority of these
addressed—with ingenuity, daring, and rigor—the foundations of what I will call
‘‘ordinary quantum mechanics’’ (QM). They advanced a tradition one might
describe (briefly and with imperfect justice) as follows: assume from the outset that
the set of physical observables pertaining to a quantum system form the self-adjoint
part of the set BðHÞ of bounded operators on some separable Hilbert space H: For
a system in a quantum state, pure or mixed, specify the observables in BðHÞ that
may be simultaneously assigned determinate values subject to ‘‘natural’’ constraints,
1355-2198/$ - see front matter r 2004 Elsevier Ltd. All rights reserved.
doi:10.1016/j.shpsb.2004.02.002
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such as locality and noncontextuality. See to it that your scheme for determinate
value assignment navigates safely between the Scylla of No Go results and the
Charybdis of the measurement problem. To this tradition, Clifton contributed
natural histories of the ‘‘natural’’ constraints comprising Scylla (e.g., Clifton, 1989),
evermore efficient No Go results (e.g., Clifton, 1992), insightful analyses and
refinements of the scheme of determinate value assignment known as the modal
interpretation (e.g., Clifton & Bell, 1995), and (with Jeff Bub) a ‘‘Go’’ theorem in the
form of a general characterization of maximally ambitious schemes of determinate
value assignments safe from Scylla (Bub & Clifton, 1996).
Clifton’s later work pioneered another tradition: the foundations of what I will
call QMN ; whose subject matter is (paradigmatically) the quantum theories of
systems possessing an infinite number of degrees of freedom (e.g., quantum field
theory (QFT), quantum statistical mechanics (QSM) in its thermodynamic limit).
For such systems the algebra of observables may not be (isomorphic to) some
BðHÞ:1 In papers such as ‘‘Generic Bell correlations between arbitrary local algebras
in quantum field theory’’ (Halvorson & Clifton, 2000) and ‘‘The modal interpreta-
tion of quantum field theory’’ (Clifton, 2000) Clifton extended results and
problematics familiar from the setting of ordinary QM to the setting of QMN : In
the course of these labors, Clifton and collaborators recognized and publicized
features of QMN that are, with respect to expectations conditioned by traditional
work on the foundations of ordinary QM, novel and surprising.
One such feature is the possibility of a mixed state on a system that is, in a sense,
orthogonal to every pure state of that system. More precisely, such a state is a state
on a C -algebra that is disjoint from all pure states on the algebra, including the
pure states of which it is a convex combination. Clifton and Halvorson (2001) label
such states intrinsically mixed. Intrinsically mixed states are (or so I will suggest) a
conundrum for interpretations of mixtures (including ensemble interpretations and
ignorance interpretations) that take mixture weights to offer a probability
distribution over pure states. Intrinsically mixed states also frustrate versions of
the modal interpretation that use pure states in the spectral resolution of a system’s
density operator to identify the possible value states of that system. And intrinsically
mixed states challenge standard collapse approaches to the measurement problem.
Itself assigning (by way of the eigenvector–eigenvalue link) no non-trivial observable
a determinate value, a physically interesting intrinsically mixed state also fails to
assign probabilities for collapse to any pure state that does.
This essay aims to offer an introduction2 to intrinsically mixed states, and to make
a case for their interpretational consequences. It is organized as follows. Sketching a
framework for quantum theories broad enough to accommodate the variety of
quantum theories discussed thereafter, Section 2 introduces the notion of an
1
Thus a system with a single degree of freedom can fall under the rubric of QMN as I understand it, if
significant questions arise about how to represent that system’s observables. Consider, for instance,
Halvorson (2004), which explicates for such a system representations of the Canonical Commutation
.
Relations unitarily inequivalent to the Schrodinger representation.
2
For those who need no introduction, see (in addition to Clifton and collaborators), van Aken (1985)
and Emch (1972, pp. 134–135).
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the Canonical [Anti] Commutation Relations (CCRs [CARs]) for the system at issue,
constructing arbitrary polynomials, then closing. Which observables are admitted by
closure to the algebra can depend on which topology—which criterion of
convergence—is in play.
Brattelli and Robinson (1987, Section 2.4.1) provides a rigorous introduction to
operator topologies. For present purposes, what matters is that the norm (a.k.a.
uniform) topology, whose criterion of convergence uses the Hilbert space operator
norm, can be distinguished from the strong and weak topologies, whose criteria of
convergence use the vector norm and the inner product, respectively. As the names
imply, strong convergence implies weak convergence, but not vice versa; norm
convergence implies strong convergence, but not vice versa. Sequences of operators
can therefore converge strongly, or weakly, without converging in the norm
topology.
oðAÞ ¼ /Oo jpo ðAÞjOo S for all AAA: This GNS representation is, moreover, the
unique, up to unitary equivalence, cyclic representation ðpo ; Ho ; jOo SÞ of A such that
oðAÞ ¼ /Oo jpo ðAÞjOo S for all AAA:
That is to say, to any abstract algebraic state there corresponds a unique concrete
Hilbert space realization—indeed a concrete Hilbert space representation as a vector
state!
The set of algebraic states is convex, allowing the pure/mixed distinction
to be made in the usual manner: a state o on a C -algebra A is mixed if and
only if it can be written as a non-trivial convex combination of states;
i.e. oð Þ ¼ lo1 ð Þ þ ð1 lÞo2 ð Þ for 0olo1 and o1 ao2 : Otherwise, o is a pure
state. The irreducibility of a state’s GNS representation provides another criterion of
purity: an algebraic state o is pure if and only if its GNS representation is
irreducible.
extension to po ðAÞ00 ; and fails to assign well-behaved (in the sense of countably
additive) probabilities to the projections po ðAÞ encompasses.8
The folium of an algebraic state o is the set of algebraic states that can be
expressed as density matrices on o’s GNS representation. This set of po -normal
states is designated FðoÞ: States o and j are quasi-equivalent if and only if their folia
are the same. The nomenclature is apt because FðoÞ ¼ FðjÞ just in case po and pj
are quasi-equivalent. The coincidence of the folia of quasi-equivalent states has a
simple explanation: von Neumann algebras affiliated with quasi-equivalent states are
-isomorphic; thus a state is normal on one such von Neumann algebra if and only if
it is normal on the other. That is to say, the density operator states of quasi-
equivalent representations coincide. (Unitary equivalence is the special case where
the vector states coincide as well.)
At the other extreme from quasi-equivalent algebraic states lie disjoint ones. o and
j are disjoint if and only if FðoÞ-FðjÞ ¼ |: no po -normal state is pj -normal and
vice versa. In general, a pair of algebraic states can fail to be either quasi-equivalent
or disjoint since their folia can overlap without coinciding. But the sorts of QMN
states that feature in what follows are factor states. (A representation p of a C -
algebra A is a factor representation if and only if the affiliated von Neumann algebra
Rp :¼ pðAÞ00 is factorial, i.e. the center ZðRp Þ :¼ Rp -R0p of Rp consists of multiples
of the identity operator.9 By extension a state is said to be a factor state if and only if
it is GNS representation is a factor. The set of factor states includes all pure algebraic
states.) And any two factor states are either quasi-equivalent or disjoint.
I am at last in a position to say what an intrinsically mixed state is. An intrinsically
mixed state is a state o on a C -algebra A that is disjoint from every pure state on A:
The next section chronicles the absence of such states from ordinary QM, and the
manner in which standard interpretations of measurement and quantum probability
exploit that absence.
3. Ordinary QM
Many of the distinctions just drawn (between an abstract C -algebra A; say, its
representation pðAÞ on a concrete Hilbert space, and the von Neumann algebra
pðAÞ00 that is the weak closure of that representation) do not get much play in the
standard philosophy of QM literature, because they do not matter there. This is
because that literature typically concerns what I have called ‘‘ordinary QM,’’ the sort
of quantum theory whose observable algebra is -isomorphic to BðHÞ for some
separable H: In the jargon explained below in Section 4.1, the observables of
ordinary QM are the self-adjoint part of a Type I factor von Neumann algebra.
8
In general, normality is equivalent to complete additivity. But for our purposes, complete reduces to
countable additivity, because the Type III factor von Neumann algebras we discuss admit cyclic and
separating vectors, and so are countably decomposable.
9
Factors are so called because, if Rp -R0p contains only multiples of the identity, the complete algebra
BðHp Þ of bounded operators on Hp is equivalent to ðRp ,R0p Þ00 : Thus we can think of BðHp Þ as
generated by factor subalgebras Rp and R0p :
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mixture weights li giving the proportion of the ensemble having state Ei : Admitting,
as they do on this model, an interpretation in terms of relative frequencies, the
probabilities are unmysterious—even though they are Born Rule probabilities
assigned by a quantum state.
On non-ensemble interpretations, a mixed state
P o; corresponding in ordinary QM
to a non-extremal density operator W ¼ li Ei ; can be used to describe an
individual system. Two prominent traditions10 in the philosophy of QM interpret a
mixed state describing an individual composite system involved in a measurement.
For simplicity, suppose that the measurement perfectly correlates eigenvectors
fjoi Sg of the object observable OABðH1 Þ with eigenvectors fjpi Sg of the pointer
observable PABðH2 Þ: If the object system starts out in a non-trivial superposition of
O eigenstates and the measurement
P unfolds unitarily, the composite system winds up
in the entangled state jCS ¼ Pci joi S#jpi S; which implies for the object system the
reduced density matrix W1 ¼ jci j2 Ejoi S (where Ejoi S is the projection operator for
the subspace
P spanned by joi S), and for the pointer system the reduced density matrix
W2 ¼ jci j2 Ejpi S (where Ejpi S is the projection operator for the subspace spanned by
jpi S).
On the collapse version of quantum mechanics, the post-measurement P composite
state is not the entangled pure state jCS but the mixed state W 0 ¼ jci j2 Ejoi S#jpi S ;
which also implies for the object [apparatus] system the mixed state W1 ½W2 :
According to collapse theories, the actual post-measurement state of the composite
system is one of the factorized states joi S#jpi S; the actual post-measurement state
of the object [pointer] system is one of the eigenstates joi S½jpi S ; by the eigenvector/
eigenvalue link, this is a state in which the object [pointer] observable has a
determinate value; and the mixture weights jci j2 reflect our ignorance of what the
actual quantum state is, that is, of which eigenvector was the terminus of collapse.
These mixture weights, understood as transition probabilities, fund an account of
empirical quantum statistics. They are Born Rule probabilities admitting an
ignorance interpretation.11
In no-collapse theories of measurement, it is not the case that the actual post-
measurement state of the object [pointer] system is actually one of the eigenstates
joi S ½joi S : However, on modal interpretations of QM, supposing W2 to be non-
degenerate, every observable sharing its spectral resolution has a determinate post-
measurement value. Because eigenprojections of the pointer observable provide the
spectral resolution of W2 ; the pointer observable is determinate on the apparatus
system—even though the composite state is the uncollapsed superposition of pointer
eigenstates jCS: The mixture weights by which P’s eigenprojections are convexly
combined to form W2 give a probability distribution over P’s possible values. As
10
I am leaving the old-fashioned ignorance interpretation of mixtures—according to which a system
described by a mixed state W in fact occupies one of the pure states W assigns (via the trace prescription) a
non-zero probability—out of my catalog of prominent traditions. This interpretation has been justly
maligned (see, for instance, Hughes (1989, pp. 143–145) for a rundown). The interpretations I do catalog
purport at least to solve the problem of the non-unique decomposibility of mixtures.
11
Here we should mention Cartwright (1983, especially 179ff.), who argues that all quantum
probabilities are transition (collapse) probabilities.
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with the collapse version, the Born Rule probabilities manifested in the laboratory
are understood in terms of mixture weights, interpreted as epistemic probabilities.
All the interpretations of mixed states just catalogued, as well as the accounts of
empirical quantum statistics they underwrite, require of a mixed state o that it assigns
well-behaved probabilities to pure states. These pure states give the actual states of
individual systems in the ensemble on the ensemble interpretation; candidates for the
actual post-measurement quantum state of an individual system on the collapse
interpretation; and candidate devices for identifying the actual post-measurement value
state of an individual system on the modal interpretation. The probabilities a mixed
state assigns these pure states constitute the empirical content of quantum mechanics.
Fortunately for these interpretations of mixed states and measurement processes,
in ordinary QM it is always the case that a mixed state offers a well-defined
probability distribution over pure states. This is a consequence of the fact that in
ordinary QM, no state is intrinsically mixed. For simplicity’s sake, confine attention
to theories of ordinary QM in the scope of the Stone–von Neumann theorem. Every
irreducible representation of the Weyl algebra W (a C algebra) for such a theory is
.
unitarily equivalent to the Schrodinger representation P of W: Thus when j is a pure
state on W; its GNS representation pj ; as irreducible, is unitarily equivalent (and so
quasi-equivalent) to P: Ordinary QM states are density matrix states on the BðHÞ of
.
the Schrodinger representation; that is, they are the P-normal states. But P-normal
states and the pj -normal states are the same. So no state of ordinary QM is disjoint
from any pure state of ordinary QM. No state is intrinsically mixed.
Because no state of ordinary QM is intrinsically mixed, every state of ordinary
QM can be expressed as a density matrix on an observable algebra BðHÞ:
Expressible as a density matrix on an algebra of observables containing elements—
the one-dimensional projections—corresponding to pure states on that algebra, a
state of ordinary QM assigns, via the trace prescription, a countably additive
probability distribution over the pure states of the system it describes. The
availability of such a probability assignment is underwritten by the home truth of
ordinary QM, that no state is intrinsically mixed. The next section explains why this
home truth breaks down in QMN ; Section 5 addresses the interpretive ramifications.
Consider two projections from a von Neumann algebra BðHÞ acting on a finite-
dimensional Hilbert space. Each projection is associated with a closed subspace of
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that Hilbert space. Two projections E and F are equivalent—written EBF —just in
case their associated subspaces are isometrically embeddable one into the other.
When E projects onto a subspace of the space onto which F projects—in other
words, when E’s range is a subspace of F ’s (written EpF )—E is said to be a
subprojection of F : (Equivalent criteria are that FE ¼ EF ¼ E and that
jEjvSjpjF jvSj for all jvSAH:) The subprojection relation imposes a partial order,
in the form of the relation weaker than (written "), on projections in a von
Neumann algebra. E is weaker than F if and only if E is equivalent to a
subprojection of F : Because " is a partial order, E"F and F "E together imply
that EBF :
Now, by obvious analogy with Cantor’s definition of infinity, a projection E is
called infinite if and only if there’s some projection E0 whose range is a proper subset
of E’s (written E0 oE), such that EBE0 :
A final term of art: a non-zero projection E in a von Neumann algebra R is
Abelian if and only if the von Neumann algebra ERE (in which E serves as the
identity), acting on the Hilbert space EH; is Abelian.12 In ordinary QM, the Abelian
projections are the one-dimensional ones. (Such projections are trivially Abelian:
every operator on a one-dimensional subspace is a function of the identity operator
for that subspace.) Indeed, a projection E is Abelian if and only if E is minimal, in
the sense that E’s only subprojections are 0 and E itself. It follows that Abelian
projections are finite. In ordinary QM, Abelian/minimal projections correspond to
pure states.
Now we are ready for a gross typology of von Neumann algebras. (Each type has
subtypes, details of which need not concern us.13) The typology applies to von
Neumann algebras which are factors. The weaker than relation " imposes a total
order on projections in a factor (see Kadison & Ringrose, 1986, Proposition 6.26).
Type I: Type I factors have Abelian projections, which are therefore also minimal
and finite. The algebras BðHÞ of bounded operators on a separable Hilbert space—
these include most observable algebras familiar from discussions of non-relativistic
quantum mechanics—are Type I, and each Type I factor is isomorphic to some
BðHÞ:
Type II: Type II factors have no Abelian projections, and therefore no minimal
projections. They do have finite projections.
Type III: Type III factors have no (non-zero) finite projections (and so neither
minimal nor Abelian projections). All their projections are infinite and therefore (cf.
Kadison & Ringrose 1986, Corollary 6.3.5) equivalent.
In light of the connection in familiar settings between minimal projections and
pure states, the failure of Types II and III factors to have minimal projections
demands further investigation—particularly so because such factors crop up all over
QMN :
12
An Abelian algebra is commutative: for any A; B belonging to an Abelian algebra, AB ¼ BA:
13
They can be found, along with a rigorous presentation of the material presented in this subsection, in
Kadison and Ringrose (1983, Chapter 5; 1986, Chapter 6).
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Let R be a Type II or III factor algebra. To see why R has no pure normal state,
suppose, for contradiction, that j is a pure normal state on R: It follows from j’s
purity that the GNS representation pj : R-BðHj Þ of R associated with j is
irreducible. Because pj ðRÞ is irreducible, pj ðRÞ00 is unitarily equivalent to BðHj Þ
(Sakai, 1971, Theorem 1.21.9). Because j is a normal state on R; pj ðRÞ is unitarily
equivalent to R (Brattelli & Robinson, 1987, Theorem 2.4.24). Because R is a von
Neumann algebra, R00 ¼ R: It follows that R is unitarily equivalent to BðHj Þ: But
this is impossible: BðHj Þ is a Type I factor; R is a Type II or III factor; factors of
different types are not even quasi-equivalent. It follows that j cannot be a pure
normal state.
Were Types II and III factors mere mathematical oddities without physical
application, their failure to have pure normal states would (arguably) be
irrelevant to the interpretation of physics. But Types II and III factors are
not mere mathematical oddities. Although Type II factors occur in physical
applications (e.g. the Bardeen–Cooper–Schrieffer (BCS) model of superconducti-
vity at temperature T ¼ N is associated with a Type II factor (Emch, 1972, 140)),
Type III factors are more prevalent in QMN : For an example from QFT, let
o0 be the Minkowski vacuum state for Klein–Gordon field and let AðOÞ be the
C -algebra associated with an open bounded region O of Minkowski
spacetime. Then o0 jAðOÞ (the state obtained from restricting o0 ; a state on the
global algebra associated with the whole of Minkowski spacetime, to its
subalgebra AðOÞ) is a mixed state. po0 jAðOÞ ðAðOÞÞ00 is a Type III factor. (This
follows from the Reeh–Schleider theorem. See Araki (1964).) Indeed, the
von Neumann algebra pojAðOÞ ðAðOÞÞ00 is a Type III factor where o is any
global state of bounded energy. What’s more, the von Neumann algebras
po0 jAðRÞ ðAðRÞÞ00 associated with unbounded regions R with non-empty spacelike
complements—e.g., Rindler wedges—of Minkowski spacetime are Type III factors
(Stormer, 1967).
Type III factor states (i.e., states o on a C -algebra A such that po ðAÞ00 is a
Type III factor) are also the rule in the thermodynamic limit of QSM. There,
the notion of an equilibrium state is furnished by the Kubo, Martin, and
Schwinger (KMS) condition (see Emch, 1972, Chapter 10): KMS states are the
natural QMN counterpart of ordinary QM’s Gibbs equilibrium states. And KMS
states at finite temperatures in the thermodynamic limit of QSM typically
correspond to Type III factors for a wide variety of physically interesting systems:
Bose and Fermi gases, the Einstein crystal, the BCS model (see Emch, 1972, pp. 139–
140). The exceptions are KMS states at temperatures at which phase transitions
occur (if there are any for the systems in question); then KMS states are direct sums/
integrals of Type III factors.
These examples amply illustrate that the interpretation of QMN must confront
Types II and III factor states. The next subsection argues that such states are
intrinsically mixed, and cannot be understood to assign tractable probabilities to
pure states of the systems they represent.
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This subsection considers, and rejects, several analogies meant to suggest that
intrinsically mixed states are not as alien as the foregoing suggests.
The point of departure for the first analogy is that, even if o on A is intrinsically
mixed, it is implemented in its GNS representation by a vector jxo S: To those
conditioned by ordinary QM to identify vector states and pure states, this might
seem to be a puzzle, whose solution might seem to lie in po ’s reducibility. The
solution proposes to understand that reducibility on the model of superselection
rules. These arise when there is a non-trivial observable O that commutes with every
other observable in a von Neumann algebra R of observables. O’s eigenspaces, a.k.a.
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its superselection sectors, are the invariant (under R) subspaces of the Hilbert space
on which R acts: a representation afforded by R is reducible. Because there is no
interference between superselection sectors, in the presence of superselection
rules, a vector state that is a superposition (e.g., ajs1 S þ bjs2 S) of components
from different superselection sectors is indistinguishable from a mixture ðjaj2 Ejs1 S þ
jbj2 Ejs2 S Þ of those components.14 By analogy, one might say that although the GNS
representation of a mixed state o represents o as a vector jOo S; the vector state
behaves like a mixed state because it lives in a reducible representation, which is like
living in the presence of superselection rules.
But this analogy is misleading. If po ðAÞ00 is a Type II or Type III factor, po ðAÞ’s
reducibility does not reflect a superselection rule. A non-trivial superselection
observable in po ðAÞ00 must commute with every other element of po ðAÞ00 : But then
the intersection between that von Neumann algebra and its commutant would be
non-trivial, which is incompatible with po ðAÞ00 ’s status as a factor. Furthermore,
superselection rules do not transmogrify every vector state into a mixed state.
Vectors lying wholly within superselection sectors still define pure states. But if
po ðAÞ00 is a Type II or Type III factor, then no vector in Ho defines a pure state,
because every such vector defines a normal state, and no normal state on po ðAÞ00 is
pure.
The second attempt at demystifying intrinsically mixed states invokes the notion
of subrepresentation. If p is reducible, there is a non-zero subspace K of Hp
invariant under the action of p: By restricting p’s action to this invariant subspace,
one obtains another representation of A : sK p : AAA-pðAÞjK: sp >
K
is a subrepre-
>
sentation of p: K is invariant under the action of p if K is. sK p ; defined by
restricting p’s action to K> ; is also a subrepresentation. If fKa g is a pairwise
orthogonal family of closed subspaces of Hp such that (i) each Ka is invariant under
o ; and (ii) 3a Ka ¼ Hp ; then p is a direct sum of its subrepresentations sp : p ¼
Ka
p
P K>
a "sp : Hence, a reducible p is a direct sum of subrepresentations (e.g., sp
Ka
and
sKp ). A fact about factor representations is that they are quasi-equivalent to each of
their subrepresentations.
Given the associations, on the one hand, between reducible representations and
mixed states and, on the other, between irreducible representations and pure states,
one might be tempted to suppose that the decomposition of a reducible
representation into a direct sum of subrepresentations mirrors the decomposition
of a mixed state into a convex combination of pure ones. That is, one might be
tempted to suppose that if o is mixed, its reducible representation may be
decomposed into a direct sum of irreducible representations, which correspond to
the pure states of which o is a convex combination. Such a decomposition promises
to re-establish the contact between mixed states and pure ones that Types II and III
factor states apparently break.
14
To take a different expectation value in the superposition and the mixture, an observable B must be
such that for iaj; /si jBjsj Sa0: But if O is a superselection observable, that is impossible, since Bjsj S
remains in the jth eigenspace of O; and so must be orthogonal to jsi S:
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15
Thanks to Jos Uffink for suggesting this line of thought, and for making it clear that much more needs
to be said to this topic than is said here.
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5. Interpretive consequences
5.4. Conclusion
This article suggests that the positions developed to respond to the measurement
problem in ordinary QM, and to make sense of quantum probabilities, do not
usefully apply to systems in intrinsically mixed states. Insofar as intrinsically mixed
states are of central physical importance in QMN ; this suggests that there is a
significant class of quantum systems for which the usual puzzles of ordinary QM are
either even more profoundly difficult than we thought, or somehow ill-formulated.
Acknowledgements
This essay emerged from work undertaken jointly with John Earman. It should
not be inferred from this that he endorses any of its contents. I am also obliged to
Gordon Belot, Dennis Dieks, Hans Halvorson, Jos Uffink, and two anonymous
referees for valuable comments and correspondence.
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17
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