Simon (1956)
Simon (1956)
with the problem of behaving approxi- age rate and is able to store a certain
mately rationally, or adaptively, in a amount of food energy, so that it needs
particular environment, the kinds of to eat a meal at certain average inter-
simplifications that are suitable may de- vals. It has the capacity, once it sees
pend not only on the characteristics— a food heap, to proceed toward it at the
sensory, neural, and other—of the or- maximum rate of locomotion. The prob-
ganism, but equally upon the structure lem of rational choice is to choose its
of the environment. Hence, we might path in such a way that it will not
hope to discover, by a careful examina- starve.
tion of some of the fundamental struc- Now I submit that a rational way for
tural characteristics of the environment, the organism to behave is the following:
some further clues as to the nature of (a) it explores the surface at random,
the approximating mechanisms used in watching for a food heap; (b) when it
decision making. This is the line of at- sees one, it proceeds to it and eats (food
tack that will be adopted in the present getting); (c) if the total consumption
paper. of energy during the average time re-
The environment we shall discuss ini- quired, per meal, for exploration and
tially is perhaps a more appropriate one food getting is less than the energy of
for a rat than for a human. For the the food consumed in the meal, it can
term environment is ambiguous. We spend the remainder of its time in
are not interested in describing some resting.8
physically objective world in its to- There is nothing particularly remark-
tality, but only those aspects of the to- able about this description of rational
tality that have relevance as the "life choice, except that it differs so sharply
space" of the organism considered. from the more sophisticated models of
Hence, what we call the "environment" human rationality that have been pro-
will depend upon the "needs," "drives," posed by economists and others. Let
or "goals" of the organism, and upon us see what it is about the organism
its perceptual apparatus. and its environment that makes its
choice so simple.
THE ENVIRONMENT OF THE ORGANISM 1. It has only a single goal: food.
We consider first a simplified (per- It does not need to weigh the respective
haps "simple-minded") organism that advantages of different goals. It re-
has a single need—food—and is ca- quires no "utility function" or set of
pable of three kinds of activity: resting, "indifference curves" to permit it to
exploration, and food getting. The pre- choose between alternatives.
cise nature of these activities will be 2. It has no problem .of maximiza-
explained later. The organism's life tion. It needs only to maintain a cer-
space may be described as a surface tain average rate of food intake, and
over which it can locomote. Most of additional food is of no use to it. In
the surface is perfectly bare, but at iso- 8
lated, widely scattered points there are A reader who is familiar with W. Grey
Walter's mechanical turtle, Machina specu-
little heaps of food, each adequate for latrix (8), will see as we proceed that the de-
a meal. scription of our organism could well be used
The organism's vision permits it to as a set of design specifications to assure the
see, at any moment, a circular portion survival of his turtle in an environment
of the surface about the point in which sparsely provided with battery chargers. Since
I was not familiar with the structure of the
it is standing. It is able to move at turtle when I developed this model, there are
some fixed maximum rate over the sur- some differences in their behavior—but the
face. It metabolizes at a given aver- resemblance is striking.
RATIONAL CHOICE AND ENVIRONMENT STRUCTURE 131
the psychologist's language, it has a which food is found. Let d be the aver-
definite, fixed aspiration level, and its age number of paths diverging from each
successes or failures do not change its branch point. Let » be the number of
aspirations. moves ahead the organism can see.
3. The nature of its perceptions and That is, if there is food at any of the
its environment limit sharply its plan- branch points within v moves of the
ning horizon. Since the food heaps are organism's present position, it can select
distributed randomly, there is no need the proper paths and reach it. Finally
for pattern in its searching activities. let B be the maximum number of moves
Once it sees a food heap, it can follow the organism can make between meals
a definite "best" path until it reaches it. without starving.
4. The nature of its needs and envi- At any given moment, the organism
ronment create a very natural separa- can see d branch points at a distance of
tion between "means" and "ends." Ex- one move from his present position, d2
cept for the food heaps, one point on points two moves away, and in general,
the surface is as agreeable to it as an- dh points k moves away. In all, it can
other. Locomotion has significance only d
see d + d? + h d' = -(d'-l)
as it is a means to reaching food.4 d- 1
We shall see that the first point is not points. When it chooses a branch and
essential. As long as aspirations are makes a move, d" new points become
fixed, the planning horizon is limited, visible on its horizon. Hence, in the
and there is a sharp distinction between course of m moves, md" new points
means and ends, the existence of multi- appear. Since it can make a maximum
ple goals does not create any real diffi- of H moves, and since » of these will be
culties in choice. The real complica- required to reach food that it has dis-
tions ensue only when we relax the covered on its horizon, the probability,
last three conditions; but to see clearly Q = 1 — P, that it will not survive will
what is involved, we must formulate be equal to the probability that no food
the model a little more precisely. points will be visible in (H — v) moves.
(If p is small, we can disregard the
PERCEPTUAL POWERS, STORAGE possibility that food will be visible inside
CAPACITY, AND SURVIVAL its planning horizon on the first move.)
It is convenient to describe the organ- Let p be lie probability that none of
ism's life space not as a continuous the d" new points visible at the end of a
surface, but as a branching system of particular move is a food point.
paths, like a maze, each branch point [2.1]
representing a choice point. We call Then:
the selection of a branch and locomotion
to the next branch point a "move." At 1- P
a small fraction of the branch points are [2.2]
heaps of food.
Let p, 0<p<l, be the percentage of We see that the survival chances, from
branch points, randomly distributed, at meal to meal, of this simple organism
4 depend on four parameters, two that
It is characteristic of economic models
of rationality that the distinction between describe the organism and two the en-
"means" and "ends" plays no essential role in vironment : p, the richness of the environ-
them. This distinction cannot be identified ment in food; d, the richness of the en-
with the distinction between behavior alterna-
tives and utilities, for reasons that are set
vironment in paths; H, the storage
forth at some length in the author's Adminis- capacity of the organism; and v, the
trative Behavior, Ch. 4 and S (5). range of vision of the organism.
132 HERBERT A. SIMON
To give some impression of the magni- ism metabolizes at the rate of a units
tudes involved, let us assume that p is per move, then a storage of aH food
1/10,000, (H - v) is 100, d is 10 and units, where H is given by Equation 4,
v is 3. Then the probability of seeing would be required to provide survival at
a new food point after a move is 1 — p the specified risk level, e.
= 1 - (1 - £)1M°~ 880/10,000, and the Further insight into the meaning of H
probability of survival is P = 1 — p100 can be gained by considering the average
~ 9999/10,000. Hence there is in this number of moves, M, required to dis-
case only one chance in 10,000 that the cover food. From Equation 1, the prob-
organism will fail to reach a food point ability of making (k — 1) moves without
before the end of the survival interval. discovering food, and then discovering
Suppose now that the survival time it on the k& is:
(H — v) is increased one-third, that is,
from 100 to 133. Then a similar com- Pk = (1 - P)p<*-». [2.5]
putation shows that the chance of starva- Hence, the average number of moves,
tion is reduced to less than one chance M, required to discover food is:
in 100,000. A one-third increase in v
will, of course, have an even greater
effect, reducing the chance of starvation
from one in 10~4 to one in 10~40. (1-p) 2 [2.6]
Using the same values, p = .0001, and
(H — v) = 100, we can compute the
(1 - p) (1 -
probability of survival if the organ- Since (1 — p) is the probability of dis-
ism behaves completely randomly. In covering food in any one move, M is the
this case P' = [1 - (1 - £)100] = .009. reciprocal of this probability. Combin-
From these computations, we see that ing [2.3] and [2.6], we obtain:
the organism's modest capacity to per- M logp 1
form purposive acts over a short planning [2.7]
horizon permits it to survive easily in an H-v ( l - p ) l Q g ( l-P)'
environment where random behavior Since p is close to one, loge p ^ (1 — p),
would lead to rapid extinction. A sim- and [2.7] reduces approximately to:
ple computation shows that its percep-
tual powers multiply by a factor of 880 M 1
[2.8]
the average speed with which it discovers
food.
For example, if we require (1 — P)
If p, d, and v are given, and in addition
= t < 10~4 (one chance in 10,000 of
we specify that the survival probability
must be greater than some number close starvation), then M/(H — ») < .11. For
to unity (P > 1 — e), we can compute this survival level we require food storage
approximately equal to a(v + 9M)—
from [2.23 the corresponding minimum
value of H: food enough to sustain the organism for
nine times the period required, on the
log (1 - P) = (H - t>) log p [2.3] average, to discover food, plus the period
loge required to reach the food.6
H> » logp'
[2.4] 6
1 have not discovered any very satisfactory
data on the food storage capacities of animals,
For example, if p = .95 and « = 10"10, but the order of magnitude suggested above for
then logp = - .022, log e = - 10 andthe ratio of average search time to storage capac-
ity is certainly correct. It may be noted that,
(H — v) > 455. The parameter, H, can in some cases at least, where the "food" sub-
be interpreted as the "storage capacity" stance is ubiquitous, and hence the search time
of the organism. That is, if the organ- negligible, the storage capacity is also small.
RATIONAL CHOICE AND ENVIRONMENT STRUCTURE 133
CHOICE MECHANISMS FOR Hence, if a hunger threshold is estab-
MULTIPLE GOALS lished that leads the organism to begin
to explore /* periods after feeding, we
We consider now a more complex
will have :
organism capable of searching for and
responding to two or more kinds of goal
objects. In doing this we could intro-
duce any desired degree of complexity Hence, by making n sufficiently large,
into the choice process; but the interest- we can make X as small as we please.
ing problem is how to introduce multiple Parenthetically, it may be noted that
goals with a minimum complication of we have here a close analogue to the very
the process—that is, to construct an common two-bin system of controlling
organism capable of handling its decision industrial inventories. The primary
problems with relatively primitive choice storage, H, is a buffer stock to meet
mechanisms. demands pending the receipt of new
At the very least, the presence of two orders (with risk, I — P, of running
goals will introduce a consistency require- out); the secondary storage, n, defines
ment—the time consumed in attaining the "order point" ; and p + M is the
one goal will limit the time available for average order quantity. The storage ju
pursuit of the other. But in an environ- is fixed to balance storage "costs" against
ment like the one we have been consider- the cost (in this case, time pressure) of
ing, there need be no further relationship too frequent reordering.
between the two goals. In our original If food and the second goal object
formulation, the only essential stipula- (water, let us say) are randomly and
tion was that H, the storage capacity, be independently distributed, then there are
adequate to maintain the risk of starva- no important complications resulting
tion below a stipulated level (1 — P). from interference between the two activ-
Now we introduce the additional stipula- ities. Designate by the subscript 1 the
tion that the organism should only de- variables and parameters referring to
vote a fraction, X, of its time to food- food getting (e.g., MI is the food threshold
seeking activities, leaving the remaining in periods), and by the subscript 2 the
fraction, 1 — X, to other activities. This quantities referring to water seeking.
new stipulation leads to a requirement The organism will have adequate time
of additional storage capacity. for both activities if Xi + X2 < 1.
In order to control the risk of starving, Now when the organism reaches either
the organism must begin its exploration its hunger or thirst threshold, it will
for food whenever it has reached a level begin exploration. We assume that if
of H periods of food storage. If it has either of the goal objects becomes visible,
a total storage of (M + H) periods of it will proceed to that object and satisfy
food, and if the food heaps are at least its hunger or thirst (this will not increase
a(M + -ff) in size, then it need begin the the number of moves required, on the
search for food only M periods after its average, to reach the other object) ; but
last feeding. But the food research will if both objects become visible at the
require, on the average, M periods. same time, and if Si and S% are the
respective quantities remaining in stor-
Thus, in terrestrial animals there is little oxygen age at this time, then it will proceed to
storage and life can be maintained in the absence food or water as Mi/Si is greater or less
of air for only a few minutes. I am not arguing than Mz/S}. This choice will maximize
as to which way the causal arrow runs, but only
that the organisms, in this respect, are adapted its survival probability. What is re-
to their environments and do not provide storage quired, then, is a mechanism that pro-
that is superfluous. duces a drivejproportional to Mi/Si.
134 HERBERT A. SIMON