By Bruce Edmonds
Why is theory so confusing and difficult to pin down? Why are there so many arguments about the relationship between theory and simulation? One reason is that theory has (at least) two aspects: (1) a narrative that helps us (i.e. humans) understand how some aspect of the world may result in another and (2) as a causal framework or structure that can be specialised into a model (which can then be used for formal inference concerning a situation). Just as a model relates both to the programmer’s intention (or understanding) and what the model represents, a theory relates both to human understanding and to models that implement it (potential or implemented). In Schelling’s segregation model, for instance, the narrative (“mild preferences for similar neighbours can produce strong segregation”) and the mechanisms that can be specialised into many concrete models are easy to tell apart.
This relationship can progress in both directions. One might have started with an implementable mechanism, with immediate inferential potential, and invented a relatable narrative to explain or generalise it. Alternatively, one might have started with a nice narrative and then thought how this might be implemented in a model.
In different fields these aspects are given different importances. For example, the “Social Identity Approach” (SIA) (Reicher et al. 2010) gives a compelling account of why certain aspects are very important to individuals and explains some of their actions, but to get from such ideas to a concrete simulation model involves adding many assumptions (Wijermans et al. 2023) – indeed so many assumptions that the relationship between the model mechanisms and the theory can seem tenuous. In contrast, in physics there is substantial agreement about the fundamental equations of quantum mechanics, but their interpretations in terms of human-comprehensible stories are treated as a necessary evil – one can rely on the equations but not the stories (Ball, 2018).
If one of these aspects is secondary to the other, then there is little confusion as to how one should treat theory in that field. The problem comes when this is not clear or when both aspects are expected. This can often be the case in simulation modelling, in which theory is used in a variety of ways (Antosz et al. 2023). We will examine the case with two different modelling purposes (Edmonds et al. 2019): theoretical exploration and explanatory modelling.
In theoretical exploration some mechanisms are implemented in a model and then certain aspects of the outcomes systematically mapped. In this way the model execution acts as a kind of “pseudo maths”, since if the relationship between initial setup and outcomes could be analytically derived as a general closed-form solution then there would be little point in the simulation [note n1]. Indeed, there is often an emphasis in such work on “emergence” which implies that the outcomes are not trivial consequences of its mechanisms (the “weak emergence” of Bedau 1997). In this kind of work, it is usual to comment upon or theorise about the behaviour of the model – that is the observed relation between model setups (e.g. parameter values) and the aspects of the outcomes considered significant are interpreted to some extent to some kind of story. However, such simulations might only cover one possible implementation of the accompanying story, making it more of an illustration rather than a rigorous exploration (Edmonds et al. 2019).
In explanatory modelling some mechanisms are implemented that (together with some plausible setups) produce outcomes that match some empirical data in a useful way. This situation supports an explanation of the empirical outcomes in terms of the simulation setup and the processes that resulted from this. There may still be a “gap” between how the complicated execution of the simulation mechanisms result in the chosen aspects of the outcomes and any narrative used to describe this. In some papers the “gap” between their motivation and narrative conclusions is considerable resulting in a jarring jump when going from one to the other, to the extent that, sometimes, very abstract models are used to “explain” a startlingly wide variety of social phenomena (e.g. Axelrod 1984) [note n2]. An extreme example of this is when a linear regression model that shows a correlation between two variables with a ‘p’ value less than 0.05, is used to support a quite general narrative.
In good examples of these kinds of work, considerable effort is made to make the connection between narrative and model inference rigorous. For example, the authors may use a systematic approach to map out the relationship between setup and chosen aspects of outcomes over a wide range of conditions, so that the reader can judge for themselves whether the narratives are justified by the model (e.g. Deffuant & Weisbuch 2007). Another example, is where the narrative is precise enough that they can be tested via simulation experiments designed to refute them (if this is possible) (e.g. Edmonds & Hales 2003) [note n3]. A final example is where the simulation model is, itself, modelled (e.g. using social network models or other formalisms) – in this case the relationship between top level narratives and the simulation is “staged” into steps that are more transparent and can be critiqued (e.g. Lafuerza et al. 2016).
Recently, there has been some discussion about the use of ABM for producing theory (Grimm et al. 2024). The motivation behind this was a desire to escape the apparently endless series of very specific simulation models – the so-called YAAWN syndrome (O’Sullivan et al. 2016). However, there is some confusion as to what the goal of such an escape means. Smith and Conrey (2007) want context-sensitive theory, Smaldino et al (2015) want human comprehensibility; O’Sullivan et al. (2016) want simplicity; and Lorscheid et al. (2019) want generality. The dimensions of generality, abstraction, simplicity, comprehensibility, formality (and many others) are often conflated, however they are not the same (see e.g. Edmonds et a. 2024; Edmonds 2018a; 2018b). Antosz et al. (2023) survey some agent-based modelling papers and analyse all the ways in which the word ‘theory’ is used, identifying 12 different ways in which theory and simulation could interact.
The solution to the above problems should be clear:
- be more precise about what aspect one wants from ‘theory’,
- take steps to ensure that these two aspects (human narrative and inferential potential) of theory are well-aligned and
- avoid ‘heroic’ abstraction leaps when formulating or interpreting simulation models.
Notes
n1. Many such analytic solutions to models of complex systems involve judicious approximations and other simplifying assumptions. Thus, strictly speaking, these analytic solutions do not directly concern the original complex system but rather a simpler system. The safety of these then has to be tested by comparing the analytic and simulation solutions.
n2. In this case, the model, becomes more an analogy than anything else. It may seem to explain many observed phenomena, but does so in an analogical manner – no precise relationship with any observed measurements is described.
n3. This paper took a published model (Riolo et al. 2001) and showed that the general narrative supplied about it was wrong using directed simulation experiments and suggested a narrower interpretation.
Acknowledgements
Many thanks to all those with whom I have discussed the relationship of theory and agent-based simulations, including (in no particular order): Gary Polhill, Corinna Elsenbroich, Patrycja Antosz, David O’Sullivan, Scott Moss, Rosaria Conte, Volker Grimm, Alison Heppenstall, Nanda Wijermans, Dan Birks, Dino Carpentras, Ruth Meyer, but in particular to Oswaldo Terán and Luis R. Izquierdo Millán who provided some very useful critiques of this text.
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