1

A Contribution to Model Theory

Klaus Niemeyer

The model phenomenon

Modelling and Simulation is an essential component for any intellectual behaviour. Human knowledge
and intellect is based on the ability to create and manipulate models either cognitive or concrete, as an
individual or in groups. The collection of information and the systematic creation of an image, model or
construction which represents a part of the real environment are fundamental for the development of
intellect. Only by experimenting or manipulating these representations in a goal oriented, more or less
systematic approach it is possible to determine those solutions, which are faulty, less effective or
negative. The intellectual search for best solutions is always based on the trial and error application
of models. Learning is only possible by making mistakes but this should not be done with a real
system of high value. Therefore, only models which permit the necessary simulations and experiments
are the means for finding the best solutions.
With the quantum leap in the evolution characterised by digital computer technology modelling and
simulation is contributing and developing in high synergy with the information systems technology.
Although the principles of experimenting in knowledge gathering on the basis of replicas of real
systems are as old as human intellect, models and simulations with digital computers have developed
during the last few decades. The disciplines of natural sciences, in particular those with a quantitative
and logic approach to fact finding as well as the engineering disciplines developed a huge amount of
numerical and logic models which are operated on digital computers.
The kernel of simulation is the development and application of explicitly formulated models which are
executed on computers. These models enable reproducible results to be generated at anytime in so-
called computation experiments. These are achieved with many changing assumptions and
constraints and thus are accessible for discussion and change. The models are structured from
mathematical and logical relationships which are based on technical, physical or social insights and
theories. A model can be seen as a replica of an existing perceptible system or as a precursor of a
foreseeable system in the planning stages. The model enables the simulation of the system
considered and the analysis of parameters, assumptions and arguments. It enables insights into
sensitive areas, trends and interrelationships between parameters.
It can be assumed that models and simulations are indeed the most sophisticated method of
information processing and may be regarded as part of hybrid intelligence. Considering the
possibilities of existing computer technology, the performance of which has increased far beyond all
expectations during the last few years and has so far hardly been exploited, as well as the possibilities
of associated software and simulations, it becomes clear that models and simulations have an
enormous potential with regard to thinking processes. On account of the models, the simulations have
a rational basis, on which a profitable discussion may be carried out. Due to model structuring it is
possible to define and control the complex relations of the real world. In a superior way, human
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decision-making is still given an important arbitrary function; but irrationalities due to the limited human
information processing capacity are eliminated. Simulations offer the possibility of experimenting and
analysing the systems of the future, which might be introduced one day. On account of the direct
decision-making activity in these simulated systems, experimental games provide planners with
information on the future. They are catalysts for group intelligence, which can define, evaluate and
manipulate complex system relationships. Only in this manner the problems of the future are likely to
be treated consciously and rationally.
Many examples exist that show the power of models and simulation in science, engineering, planning
and forecasting. In astrophysics the limits of human knowledge are considerably extended using
models simulating the explosion of stars or the processes during the firsts moments of the existence
of the universe.1 The future of the global climate is predicted with relatively high precision as
consequence of the burning of fossil energy.2 The limits of growth as calculated by even simple
3
models indicated urgent requirements to change traditional behaviour of humans. In the military area
many models for the simulation of military campaigns, battles and processes were developed, are
continuously improved and adjusted to real world events. Also these models are increasingly used for
the improvement of armed forces, decision making in military headquarters, experimenting and
training.4

The need for a theory of modelling

Due to the fact that the model paradigm has created such an avalanche of applications in almost all
disciplines the definition of what a model is all about is not yet commonly agreed and available.5 In
literature many definitions exist, only a few provide some structure and the idea of deeper
understanding of the phenomena. Examples are:6
A model is a person who serves as a subject for artwork or fashion, usually in the medium of
photography but also for painting or drawing, or is a miniature representation of something, or is a
style, type, design, or is a simplified representation (usually mathematical) used to explain the
workings of a real world system or event, or is the structural design of a complex system.
Models are abstractions, concepts or software and are grouped into analogical models, business
models, software development process models, and abstract models. An abtract model is an abstract
or conceptual object used in the creation of a predictive formula. A model theory is the study of the
representation of mathematical concepts, a mental model is a person's cognitive representation of an
idea or thought process. The modelling is a process in neuro-linguistic programming, or a similitude in
engineering, used in the scientific testing of physical models. A working model is just engineering
software.

1
NiemeyerC-01; NiemeyerC-02
2
www.climateprediction.net; many personal computers around the world participate and contribute via the internet to this
climate simulation
3
Meadows-72, Bremer-87
4
NATO-98, NATO-99, Hughes-84, NiemeyerK-03
5
www.wikipedia.com; www.mllerscience.com;
6
Mller-06
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An abstract model is seen as a causal model, or a mathematical model, or a scientific model which is
model driven engineering (software development technique based on abstract models). The
metamodelling is a model of the modelling, the molecular modelling is used to mimic the behaviour of
molecules. The Standard Model is the theory in particle physics which describes certain fundamental
forces and particles, and a computer model is a computer program which attempts to simulate an
abstract model of a particular system and usually builds upon a mathematical model.
Models are also seen as physical or representational objects, a model (physical) is a physical
representation of an object. Solid modelling is a study of unambiguous representations of the solid
parts of an object, and a scale model is a replica or prototype of an object. The model building is a
hobby centered around construction of material replicas. A 3D model is a three dimensional polygonal
representation of an object, usually displayed with a computer
In common understanding an art model is a person who poses for purposes of art, for example in art
school or a model is a person whose occupation is to function as a living prop, often to display
products. A promotional model is a person who promotes a product or service. A role model is a
person who serves as a behavioural or moral example to others.
All this becomes even more difficult, if combined with other heavy words. Then we have "model ideas"
and "idea models" , or "system models" and "model systems, or model theories and theory
models, or model of models and meta models.
The general impression is a lack of rigid systematic structuring of the model paradigm, a considerable
chaos in understanding and the need for further work on a theory of models, since the modelling is a
very fundamental process and important for the generation and management of knowledge.
In the philosophical literature the term model is used in close connotation with intelligent behaviour
and cognition.7 In the year 1868 the founder of pragmatism, Charles Sanders Peirce, formulated: We
have no ability to think without signs. One can see his theory of signs also as model theory.
In his famous book The Logic of modern Physics physicist Percy W. Bridgman wrote 1927: I believe
that the model is a useful and indeed inescapable tool of thought, in that it enables us to think about
the unfamiliar in terms of the familiar. With the advances in the area of information technology many
computer models have been developed and fundamentals to the model technique are discussed and
published.8
The philosopher Herbert Stachowiak9 postulated that all cognition is cognition in models and by
models. It means that any contact with the world, being out passive or active for recognizing of
something, is relative to certain subjects, intentional selecting, focussing and in temporal limitation of
its relation to the original. Stachowiak formulated the General Model Theory, which is also seen as
the Neopragmatic Conception of Model. Recent work in the area of Radical Constructivism by Riegler
10
and others as well as work on a Pragmatologic Theory of Models by Gelbmann and others is a
continuation of philosophical thinking in this area and needs to be considered.

7
Mller-06
8
Emshoff-70, NiemeyerK-71, NiemeyerK-83, Zeigler-84, NATO-98
9
Stachowiak-73
10
Riegler-01, Gelbmann-02
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A most comprehensive and fundamental work towards a theory of models was published by
Stachowiak. Stachowiak proposes the following taxonomy of models and distinguishes between:
Physical models (Fig.1)
Semantic models (Fig.2)
While physical models are made out of material or have a physical content the semantic models are
mind models, interpretations, or knowledge which are owned and processed by an intelligent system.
The physical models are always connected with a semantic model, which provides the sense and
interpretation of the physical model to the creator, operator or user of the model.

Physical
Models

Two Three
dimensional dimensional

Script/Text/ Physical- Bio- Psycho- Socio-

Picture/Image
Drawing Technical Technical Technical Technical

Mechanical Electro-mechanical Electronic Electro-chemical

Static Dynamic Analog Digital

Fig. 1 Physical Models

General Model Theory

Stachowiak defined
<M, O, K, t, Z>
as a tupel of five parameters of which an object O and a model M representing the functional operation
F, M= F(O). The object M is a model of object O at time interval t and in reference to the objective Z
for a K-system K .
Models M are substitutes for the original O for defined, cognisant or perceiving and acting, model-
using subjects (intelligent systems) K within defined time frames t and by restrictions on given mental
or real goals Z. The symbol K is written for the operator who performs the functional operation F which
models O in M. This operator usually can be conceived of as a semiotic subject. With t we refer to a
certain point or span of time for the performance of the operator. And Z abbreviates the interests or
aims, purposes, targets, calibrating values which are to be accounted for by the operation of modelling
O in M. Z just says to which degree M is a satisfying model of O. i.e. which selection of essentially
modelling attributes is relevant.
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Relationship between model and original (F)

Any model is by definition an image or representation of an original. Therefore models are always
virtual, which is not real, but may display the full qualities of the real. Any model is also a construct
developed or created by humans or more generally by an intelligent system for a given purpose or
motivation.
Either a model is seen as a representation of its original, or is seen to be a prototype for a future

Semantic Models

Emotional Cognitive

Belief Scientific Meta-Physical Poetic

Empirical Operative-
Formal
Theoretical Prospective

Formal Non-Formal

Fig. 2 Semantic Models

construction. Thus there is a certain relationship between a model and its original in reality or between
the future construction and its model in reality. The generation of models is a directed process in time
hence the model-original relationship can be separated into:
A model is the representation or mapping of the original (perception-model)the past. (Fig.3)
A model is the prototype or standard for a future construction (anticipation-model)the future.
(Fig.4)
The representation characteristic of models only does not reflect the prototype-construction-relation
and is the reason for many misunderstandings. Models with the representation characteristic can be
classified as perception-models; models with the prototype characteristic can be classified as
anticipation-models. In other words a model is either a model of an existing object, entity or system,
which could also be a model, or a model for an object, entity or system, which has to be changed,
manipulated or generated in the future. The notation perception is introduced to describe the process
of describing something already existing while anticipation is introduced to look into the future, or
plan something, or engineer a new system and to indicate that this is a process oriented towards the
future.
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Normally only a few attributes,

elements or parameters are taken into
n: Noise,
m : Experim ental Fram e Attributes,
Attributes Not Relevant
Additional Attributes consideration, those, which are
important or relevant for the desired

c: C o r e
Reduction of C o m plexity
Com purpose. The many attributes,
v: M o d e l
Attributes Attributes
elements or parameters, which have a

O : Objectin Reality M: Virtual,M o d e l noise effect and decrease the

clearness of results or which have a
Fig. 3 Perception Model small relevance, are not taken into
consideration. This effects a reduction of
complexity of the real object within the model. It
characterizes the fact, that models simplify the
original or the future construction in order to e: Experimental Frame Attributes
a: Additional Attributes

systematize facts or to transmit knowledge and

information, etc.11 A model is easier and less Adding Complexity
r: C o n s t r u c t
p: M o d e l
Attributes Attributes
expensive to manipulate as the original or a
construction. P: Virtual,
Prototype
R: Reality,
Construction

The model- original relationship can be

Fig. 4 Anticipation Model
formulated using the set theory notation:
For the perception-model: (Fig.3)
With M = v U m and O = c U n the mapping P: c v is defined.
For the anticipation-model: (Fig.4)
With P = p U e and R = r U a the mapping A: p r is defined.

The model using operator or K-system (K)

Models are substitutes for the original/construct: For defined, cognizing or perceiving and acting model
using subjects (K-systems) and within defined time frames and by restrictions on given mental or real
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actions.
Models and in particular simulation models, are major elements of any intellectual system. On the
basis of perception models, which are equivalent to the learning, memory, experience of the system, a
goal oriented motivation and a repertoire of anticipation models, equivalent to planning models, the K-
system is able to manipulate or anticipate the environment. In this view, the perception models and the
anticipation models are essential ingredients of any intellectual behaviour.

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The process of model building is in any case a constructive activity, also valid for perception models as discussed in this
paper. On the other hand the term generation of a construction is used only in the context of the anticipation model. A
construction in this sense is only understood as a desired new object or entity of reality.
12
A K-system has been defined and introduced as an element of the model theory by Stachowiak-73. The K illustrates the
abbreviation of Cybernetics (In German: Kybernetik).
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The K-system as discussed in this paper is simplified in order to describe and systematize the idea of
the generalization of intelligent systems based on perception-models, motivation and anticipation-
models (Fig.5). In connection with a just interesting part of an external reality in relation to the K-
system we identify an information cycle, with a feedback of information via the environment of the k-
system. The K-system is in a simplified manner a repertoire of perception models, anticipation models
and a motivator to form an acting subject. The perception models are representations of the external
reality in the feedback-cycle; the anticipation models are prototypes for the external reality and
produce guidance for the change or manipulation of the external reality. In this context the primary
goal of the perception models is the best possible representation of the external environment and the
generation of a pool of knowledge which is available for the creation and execution of anticipation
models.

K-System
Motivation The anticipation models are controlled by the motivator
and are based upon the set of relevant perception
Perception models. The acting subject can be a human or any
Anticipation
capable biological structure, a computer or a compound
out of these elements, e.g. groups, organizations etc.
Environment
The motivator within the K-system produces the
Fig. 5 K-System
objectives for the combination of the modular elements
within the repertoire of perception models, which results in the anticipation models. The basic
motivation is assumed to be a change of the external reality in a direction that the stability of the cycle
will be increased or the survivability of the K-system will be maximized. The perception- and
anticipation-models within the K-systems are called internal (endogenous) models.13 A K-system has
the ability to increase the quality of the internal models with the tendency of an increasing adaptation
and approximation of the external reality (learning).

Purpose (Z)
The most determining principle is that models are developed and applied in order to fulfil given goals
or motivations. This reflects the pragmatic or neo-pragmatic school of philosophical thinking.
The dominating attribute of a model design and its simulation application is the objective or motivation
for this activity. Examples of the objectives are (Fig.6):
Research, which creates new insights in the phenomena of the environment, including
organisations, operations, planning, procedures, technologies, etc.
Development and engineering which create new options for activity on the basis of the
research insights. This includes the assessment of options and the identification of the best
solutions and prototypes.

13
Exogenous (external) models are generated by the K-system for interaction with other K-systems to form K-systems on higher
levels as e.g. in organisations.
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Testing, this adds flavour, noise or dirt in order to test the functionality and robustness of
solutions and prototypes in stress conditions.
Training/exercises, which enable humans to operate and control the developed and tested
solutions in quasi-real conditions.

Noise Reality

Analyses
Research
Core
Model
Reduction of Adding
Complexity Prototyping Complexity
Construct Engineering
Testing
Construct
Test
Syntheses Environment
Construct
Training
Environment

Fig. 6 Model Evolutions

The objectives cannot be seen in isolation. There is a clear direction or sequence of activities (Fig.6).
The training/exercises only make sense after verification of the solutions (prototypes, structures,
organisations, procedures, technologies, systems, and operations) in testing frameworks. The testing
can only be done after the selection of the best developed and engineered solutions, which in turn is
only possible on the basis of research insights. It is impossible to turn these sequences around, e.g. a
training/exercise activity and framework is not a valid and useful approach for the research. The
intention for research is the identification of systematic insights, which can only be done by elimination
of real-life noise and dirt-effects. On the other hand in training/exercises these effects are essential
ingredients for the human trainees, since they represent reality in the human environment. The
objectives of the simulations are therefore leading to and determining different model constructs.

A simulation is an experiment on the basis of a suitable model and experimental frame (Fig.7). The
methods and principles of scientific experimentation in the implementation, application, and evaluation
phases are fully applied in the case of research and analysis. The credibility and/or acceptability of the
results are determined by the experimental frame, the purpose of the investigation, the model used,
and the reproducibility of results. Time is the independent parameter in a simulation From an initial
state or situation, the time and state of the model are changed and advanced either continuously or in
time steps or at events until a final state has been reached . A simulation is a stochastic simulation if
relevant processes are based on random events in the simulation. Based on identical initial states, the
random events produce significant different final states within the reproduced simulations. A sample of
simulation runs results in a probability distribution of the final states. A simulation is deterministic if no
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System Manipulation

relevant random events influence the

processes. In this case, reproduced
Reality

Experimental Frame
Objects Real Life Experiment
simulation runs should result in
identical final states.

Interactive Simulations are open to

Virtual

Model Simulation human operators, who are able to

Application
Use interact with the model while the
simulation is progressing and to
Fig. 7 Models and Simulation change parameters. For analysis
purposes or the testing of plans and
procedures this simulation is also known as experimental gaming. For training purposes in command
14
and control settings it is known as CAX (Computer Assisted Exercise).

Grouping of K-systems
Any organisational system requires steady adaptation like any other complex living system or
organism. To this end, potential improvement options need to be continuously tested and compared
with a view to their feasibility, effectiveness and robustness in a wide range of possible scenarios and

Motivation
Strategic
Planning
Perceived Situation

Motivation

Operational
Planning
Perceived Situation

Motivation Motivation

Tactical Planning Planning

Perceived Situation Perceived Situation

Fig. 8: Hierarchy of K-systems

taking into account all of the sensitive factors and their inter-dependence. However, as the human
brain may only consider a limited number of system entities and interrelations simultaneously,

14
The use of catchwords in some literature creates confusion and misleading connotations. Nowadays practically all exercises
are assisted by computers, therefore the term CAX has no meaning. Other misleading catchwords are for example virtual
simulation, constructive simulation, or life simulation. These ill defined terms indicate a missing understanding of the model
and simulation phenomena, since any simulation has the virtual attribute, any simulation applies a constructed model and any
simulation is living.
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modelling and simulation tools and methods become necessary to support the planning and
structuring of large organizations and social systems. Since models permit account to be taken of the
complex interactions of modern day combined elements of organizations and its synergistic effects,
simulation approaches do provide the requisite basic instruments. Yet it must be borne in mind that
any analysis does have its limitations due to very practical reasons such as, for example, the
availability of data, time, and skilled personnel.
Large and complex systems are always hierarchically organised (Fig.8). On a low level, the system is
physically identifiable in its components such as humans, equipment, vehicles, etc. These components
are integrated into formations which have a particular task to accomplish although restricted in terms
of location and time. On a next higher level, the system elements resemble the formations of the lower
level. These may be integrated into major units and undertake particular yet wider ranging targets and
tasks. At high levels, the system is made up of the medium level units.

K -System A K -System B

A -B
A -A
M -A C M -B

P -A P -B

Fig. 9 Communication between two K-systems

K-systems interact in dialogs, discussions, games, or communicate (Fig. 9). This interaction or
communication is performed using models. Words, terms, paragraphs, mathematical formula,
literature or computer software in general are models in this sense. This external virtual reality of a K-
system is therefore a model as well and serves in the same time as the external reality or external
model of a second K-system. At the same time it is object of the manipulations of all participating K-
systems respectively their internal anticipation-models and is the original for the internal perception-
models. The external models are the essential intellectual connections between the K-systems and
are the carrier of information. Jointly formulated and manipulated external models are representations
or prototypes of the jointly perceived or anticipated, accepted external reality, which is of common
interest.
A model is in relation to a K-system or a model using subject an external model, if the same model can
be realised and accepted by another K-system (process of communication). An external model
becomes an internal model of the K-system on the next higher level.
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In case the K-systems organize a work specialization in the sense of the functions perception,

Motivation
Motivation Higher-Level
K-System
Anticipation
Perception

Perception Motivation Anticipation

Motivation

Anticipation Anticipation
Perception Perception

Fig. 10 Aggregations of K-Systems

anticipation and motivation, the overall system can be seen as a K-system on the next higher level
Fig.10). The elements of this system are the participating K-systems and their external models, which
now become internal models for the superimposed K-system. An external model is an element of a K-
System on the next higher level.
Activities within an operations centre follow a pattern equivalent to the traditional staff process in any
organisation (Fig.11). The pattern starts with situation analyses collecting empirical information of
environment elements. This information is aggregated, systematised, structured, and combined with

Objective

(Motivation)
Analysis of Objective

Situation Structuring
(Perception)
Planning
Knowledge Base
Development of Options (Anticipation)
Aggregation

Empirical Information Assessment of Options

Collection Decision
Planning

Situation
Execution

Fig. 11 Typical processes in a C2 staff organisation

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an existing knowledge base. The situation perception is in consequence used to develop operational
options and to perform look=ahead analyses addressing what-ifs. These processes fall within the
domain of modelling, and, properly used, can improve the quality and timeliness of the development of
alternative options, assessment, decision and subsequently option implementation and execution
management.
This leads to the modelling of command and control (C2) systems. Typical characteristics of C2-
systems are the mix of human operators and systems of advanced information techniques. C2-
systems are goal and process oriented (feedback via environment, control). They are performing
intelligent behaviour, are distinct from environment and perceive the environment through sensors.
They are acting on the environment through effectors (command), and have a hierarchical structure.15
Within the research area and domain of artificial intelligence and software development the notion of
agents was generated. Typical characteristics of agents are the autonomous execution, the
communication with other agents, the monitoring of the state of its environment, the ability to use
symbols and abstractions, the ability to exploit significant amounts of domain knowledge, the capability
of adaptive goal-oriented behaviour, the ability to learn from the environment, the tolerance of error,
unexpected, or wrong input, the timely response in real time, and the use of natural language.
In this sense a K-system and an agent are identical based on the description of these characteristics.
If assumed that a human is equivalent to the K-system or agent, the model of a human can be defined
as an atomic agent within the context of modelling the hierarchical process or the C2-system. In a
recursive definition any agent or K-system is an atomic agent, or an atomic agent plus an agent, or an
agent plus constructs of the information technology in order to form a hierarchy within the C2 process.

Conclusions
The systematic formulation of a model theory and further work in this area will provide a considerable
improvement of the understanding the intelligent behaviour of humans and the decision making
processes of higher level human organisations including advanced constructs of information
technology like simulation models and decision support tools. If the agent technology and the
combination of knowledge bases with goal oriented manipulation of decision support tools in hybrid
(human-computer), systems is accepted and used, based on systematic model theoretic approaches,
an improved decision making of mankind for the obvious problems of the future should be possible.
The phenomenon of modelling seems very fundamental and should get high attention in the research
and academic area, since it is a bases in many disciplines ranking from philosophy to the pragmatic
development and engineering of software.
In consequence the intention of this paper is to propose an academic discipline dealing with the
phenomenon of modelling and to generate systematic structures for the understanding and work in
this area in the future.

15
Boyd-77; The C2 process as feedback loop is described in many military staff papers and fundamental for operational
concepts.
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Bremer-87 Bremer Stuart A. The Globus Model Campus/Westview 1987

Emshoff-70 Emshoff James R. Design and Use of Computer Macmillan Company 1970
Sisson Roger L. Simulation Models
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Hughes-84 Hughes Wayne P. Military Modeling MORS 1984
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Types
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NiemeyerC-01 Niemeyer Jens C. Fluid Dynamics of Thermonuclear Technische Universitt 2001
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Riegler-01 Riegler Alexander Towards a Radical Constructivist Foundations of Science 2001
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Zeigler-84 Zeigler Bernard Multifacetted Modelling Academic Press 1984