11-1 Human Behaviour Representation - Definition Dr. Uwe Dompke NC3A, ORFS Division Oude Waalsdorper Weg 61 2501 CD The Hague The Netherlands +31(70) 374 3636 [email protected] Abstract This paper is taken from the Final report of LTSS SAS-017 on Human Behaviour Representation in which A. v. Baeyer and J. Mylle gave this definition of HBR. 1 The importance of “Human Behaviour Representation” The end of the Cold War has brought new military tasks and types of operations to NATO. These include regional contingency operations, Crisis Management a nd support of non-NATO missions (UN, PfP, WEU, etc). All these new types of missions have one newly emerging characteristic that implies a better modelling of human behaviour: they need methodologies to describe on various detail levels, how individuals and social entities (e.g. teams, groups) influence the course and outcome of military conflicts. Those emerging technologies will have a great impact on the implementation and on the military use of simulation systems in the future. Therefore, building better simulation systems and decision support tools, which include HBR, is of primary importance. 2 Definitions 2.1 Human behaviour Human behaviour (B) is a purposive reaction of a human being (P) to an idiosyncratic meaningful situation (S). Formally expressed: B= f (P,S). In words: the observed variability in behaviour is attributable to differences in the person’s characteristics, to differences in the situation and/or to the interplay of both. • Mathematically spoken: the variation in the measured behaviour can be explained by the variation in P, the variation in S and interaction between P and S (measurement error not taken into account). This definition implies that human behaviour: • is a change from one state into another state (bodily and/or mentally); • is always goal-oriented (but not necessary in a one to one relation) • is a reaction to an external observable stimulus or to an internal covert stimulus, • has three interrelated components: a cognitive, a psycho-motor and a socio-affective component Paper presented at the RTO SAS Lecture Series on “Simulation of and for Military Decision Making”, held in Rome, Italy, 15-16 October 2001; Stockholm, Sweden, 18-19 October 2001; Virginia, USA, 23-25 October 2001; The Hague, The Netherlands, 10-11 December 2002, and published in RTO-EN-017. Report Documentation Page Form Approved OMB No. 0704-0188 Public reporting burden for the collection of information is estimated to average 1 hour per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to Washington Headquarters Services, Directorate for Information Operations and Reports, 1215 Jefferson Davis Highway, Suite 1204, Arlington VA 22202-4302. Respondents should be aware that notwithstanding any other provision of law, no person shall be subject to a penalty for failing to comply with a collection of information if it does not display a currently valid OMB control number. 1. REPORT DATE 2. REPORT TYPE 3. DATES COVERED 01 JUN 2003 N/A - 4. TITLE AND SUBTITLE 5a. CONTRACT NUMBER Human Behaviour Representation - Definition 5b. GRANT NUMBER 5c. PROGRAM ELEMENT NUMBER 6. AUTHOR(S) 5d. PROJECT NUMBER 5e. TASK NUMBER 5f. WORK UNIT NUMBER 7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES) 8. PERFORMING ORGANIZATION NC3A, ORFS Division Oude Waalsdorper Weg 61 2501 CD The Hague REPORT NUMBER The Netherlands 9. SPONSORING/MONITORING AGENCY NAME(S) AND ADDRESS(ES) 10. SPONSOR/MONITOR’S ACRONYM(S) 11. SPONSOR/MONITOR’S REPORT NUMBER(S) 12. DISTRIBUTION/AVAILABILITY STATEMENT Approved for public release, distribution unlimited 13. SUPPLEMENTARY NOTES See also ADM001513. RTO-EN-017 14. ABSTRACT 15. SUBJECT TERMS 16. SECURITY CLASSIFICATION OF: 17. LIMITATION OF 18. NUMBER 19a. NAME OF ABSTRACT OF PAGES RESPONSIBLE PERSON a. REPORT b. ABSTRACT c. THIS PAGE UU 31 unclassified unclassified unclassified Standard Form 298 (Rev. 8-98) Prescribed by ANSI Std Z39-18 11-2 • is an integration of several physiological and mental processes • is individualised because each individual interprets the objective characteristics of the situation; • is neither necessary „rationale“ nor the most appropriate reaction under given circumstances. 2.2 Representation Representation means mapping (f) characteristics of empirical phenomena (P ) into values of parameters in e an artificial world (P ). Thus a representation is determined by {P ,P , f}. a e a This means that we need a (formal) system to describe P P and the mapping “function” f. e a It must be stressed that mapping does not necessarily mean mimicking or portraying. For example, a plane that flies does not mimic the behaviour of a flying bird. 2.3 Model A model is a simplified representation at a conceptual level of (a part of) the real world and/or the way it behaves, that suffices to make some deductions concerning the real world and/or it’s functioning. A model consists of components and the relationships between those components, which are generally cause-effect relationships. A model can be visualized in some graphical form. For example, the three stage-model of memory (here rendered in its oversimplified form). The graph below means that information that is kept by receptors is temporary stored in the sensory memory, is then transferred to the working memory, and after elaboration in this part, is permanently stored in the long term memory. Furthermore, information can be retrieved from the long term memory by the working memory (and then used for some behavioural purposes). Sensory memory Short term Memory Long term memory (working memory) (permanent memory) Figure 1: Example of a Model Essential characteristics of a model are: • Reduction of the complexity of the real world • Highlighting what is considered as essential or important • Transparency of the relationship(s) between the components • Putting the representation in a certain perspective, based on the choice of the components and the relationship between components • Productivity: models allow for the discovering of (working) hypotheses, for new insights at a certain level of quantification, for the verification of the impact of changes (by changing 11-3 starting values, by adding or dropping components and/or relationships: cfr path analysis; e.g. LISREL). A model implies that: • A choice must be made which characteristics will enter the model and which not • Therefore, one or more selection criteria are needed (which define the perspective) • Characteristics are to be reflected in variables that can be quantified In the context of this LTSS the notion “model” does NOT refer to the physical device that shows how something works in reality (e.g. a model of the wings of a plane and the air streams around it) nor to the notion as defined in social learning, i.e. the person whose behaviour is mimicked. Aspects of modelling human behaviour • Given that human behaviour is purposive, not only the behaviour itself must be modelled but also the goal, which has to be converted in a SMART objective (Specific, Measurable, Acceptable, Realistic, Timed). • This objective is the touchstone in determining what is the optimum behaviour under the given circumstances. • In its most simple expression modelling behaviour means: determining initial values for P and S (input), run a process (throughput) which lead to an outcome (output); i.e. a change in P and/or S. • The model requires a “level of behavioural analysis”: A single action an individual A contingent series of actions by a team A series of actions executed in parallel an organisation HBR modelling relies, as to the content of the models, on: • Military experience • Findings of human science research The latter defines and structures, using established terms and theories, all relevant types of human behaviour. There are additional concepts that should be used as in for any further discussion and HBR science development. These concepts are: • Individual • Team • Group (small group and large group) • Organisation • Crowd • Public opinion (shaped by the media) 11-4 The basic concept is that of the individual. Team, group, organisation and crowd are specific collections of individuals, which are defined according to different behavioural goals and interactions (both within the collective entity and as a collective entity interacting with others). As for public opinion see Chapter 4 Section 4.2.1. The scientific task with respect to the individual, team etc is to find and define the specific goals and interactions of the individual and of each collection of individuals, thus specifying what goals and interactions: • build a military team from few skilled individuals • make a small or a big group under certain special conditions • create or change an organisation • constitute a crowd, when many people suddenly behave in a uniform manner. The task of modelling individuals, teams etc is • to take the typical behaviour expressed in goals and interactions • to put quantitative measures on the internal and external behaviour of the respective entity. So far the characteristic behaviours that differentiate a team from any smaller or larger group or organisation or crowd have not been elaborated to the point where they can be used for modelling in a military context. Therefore, the first scientific endeavour is to collect on a systematic and scientifically accepted manner this body of knowledge, which can then be used by for modelling purposes. • For each characteristic (= variable) a scale of measurement1 has to be determined and “baseline”, i.e. an initial parameter value. • A distinction has to be made between trait and state: • a trait is a covert cross-situational and cross-temporal stable characteristic of a person but which expression is modulated by the perceived situation. • A state is a condition not manifesting any marked change with respect to some quality or property. For example, a person who shows often anxiety in his behaviour in different circumstance is an anxious person. This person is characterised by anxiety as a trait. A person who is rarely seen anxious but has been confronted with a traumatic event is temporary anxious. This person is in a state of (intense) anxiety. 1 A scale is the triple {U, N, f} in which U stand for the observed variations in the empirical phenomenon, N for the numerical values that are assigned to the observed “states” of the empirical phenomena using a function f. 11-5 2.4 Simulation Simulation means: • A method to implement a model in some environment and/or in a device, which may be totally or partially artificial (instead of real). • A technique for analysing, testing, evaluating the effect of some values of the parameters of the model on other parameters. For example, a decision making process (e.g. choose a tactical plan among three alternatives) can be simulated on a computer, using some algorithm (among others, a decision tree). • Using a tool (a simulator) for instruction or training purposes, e.g. flight simulator. The following categories of simulation are used commonly in the NATO context/language of Modelling & Simulation: Live simulation: real humans operate real equipment in a real environment except for some parts or aspects (e.g. OPFOR is not a real foe but a unit that acts as enemy; blank ammunition or hit/kill indicators instead of wet ammo; terrain is a training camp or a civilian area but not the operation zone) Virtual simulation: real humans operate simulated equipment in a simulated environment (e.g. Computer Assisted (Command Post) Exercises; a pilot in a flight simulator). Constructive simulation: simulated people (or units) operate simulated equipment and/or behave in a simulated environment. The intervention of real humans is limited to “initialise” the simulation run. 2.5 Instruction/learning During instruction, a person learns a new cognitive, psychomotor or socio-affective “item” relevant to the organisation he is part of. Instruction takes place in a specific environment such as a school. Instruction is given by qualified personnel who are required to show the optimal behaviour and is thus better skilled than the trainee. Learning in this sense, is defined as a long lasting desired behaviour modification under the influence of the repeated exposure to adequate stimuli. The learning process is (constantly) monitored by the instructor. The behaviour of the trainee is corrected on the spot. Feedback is procured during and after the training process. E.g. an officer learns how to write an operations order for his subordinates, a soldier learns how to aim and fire a weapon, a new formed squad/crew learns what cohesion means to their functioning as a group. 2.6 Training Training means to repeat a learnt behaviour in order to enhance the performance, or to internalise a norm, or to develop an attitude in a rather simplified environment. For example, a pilot is trained in applying flight procedures (in a simulator); discipline is trained throughout different situations, which require obedience to the established rules. Training does not differ from instruction with respect to the trainer/trainee interaction. 2.7 Exercise An exercise aims at using what has been learned and trained but now in a less or more real like situation. In an exercise real people use real means in a real environment. For example, command post exercises; or full troop exercises live firing exercises in battle runs. 11-6 An exercise is controlled by an observer-controller (or a coach) who does not intervene in the course of action, but who is responsible for detailed after-action review. Moreover, the observer is not necessary better skilled than the people who are exercising. 2.8 Operation Operation refers to real life (military) activities in order to realise a given mission. For example, the deployment of a task force, a brigade attack, peace keeping as a particular case of peace support operations. 2.9 Performance Performance refers to the behaviour itself or its result/outcome in one of the following forms: • Executing and finishing a certain task. For example, fire until hit. • A numerical expression related to the behaviour. For example, defend a position during 4 hours • Expression of the competence, moderated by some personal and/or situational variables. For example, physical performances under bad weather conditions (too cold, too warm) are lower than under good weather conditions. 2.10 Competence Competence means the best possible behaviour of a given person with respect to certain ability for a particular job or vocation. Competence is a higher order notion for a series of performances that meet high standards. For example, a competent leader is a leader who is often successful in conducting operations (of different kind). 2.11 Optimal behaviour Optimal behaviour is the best possible performance given under the circumstances; i.e. taking personal and situational constraints in to account; thus: B=f (P,S). This means also that an optimal performance is lower than or equal to the maximal performance (=competence). 2.12 Situational awareness Situational awareness is the result of the perception of a number of elements in the environment within a given timeframe and space, their meaning with respect to the mission at hand and their possible evolution in the near future that must be taken into account in determining one’s own behaviour. Situational awareness is multidimensional because it deals with spatial information (e.g. where is who/what), with information contained in the mission (e.g. what to do within which time interval), own means (e.g. “readiness” of crews) and available resources (e.g. which fire support). 2.13 Validation, Verification, Accreditation • Validation means determining the degree to which a model is an adequate representation of the real world (or a part of it) for the purposes it has been conceived for. • Verification refers to the process of determining to what extend the implementation of a model corresponds to the design specifications determined by the customer and of providing the proof that the model runs (as its has to run). • Accreditation is the official certification that a model or simulation is acceptable for use with respect to its purpose(s). 11-7 3 A Concise Structural Approach of HBR as a Framework This section tries to give a global approach of HBR in military applications. However, a global theory cannot be the goal of this LTSS and must be postponed, when more information about the practical use of HBR for any field is available. Therefore, we have to limit an approach to a framework. 3.1 General Approach The concise theory must avoid two fallacies: • on the one hand to be too short and therefore trivial • and on the other hand to be too scientific and lengthy. This dilemma will be avoided by presenting a logical deduction and phenomenological description of those human behaviours, which are essential in military operations (including CRO) and the way they should be represented for analysis, training and simulation. By logical deduction it is understood that the theory is coherent in itself, and not just an arbitrary collection of abstract statements. By phenomenological description a description is meant, which focuses on typical and relevant events and describes them as close to (military) common sense as possible. 3.2 Objects of HBR-Theory The ultimate goal of HBR is (as this is the case in every military simulation), to represent behaviour that is typical and relevant in military operations. Relevant is every human behaviour, which is decisive for the mission success. But in order to make it the object of a theory and therefore the object of well elaborated models and simulations, the human behaviour must be “reduced” to certain “system simplifications”. What is the “level of detail” that must be employed to describe the human behaviour? The level of detail of a rough task analysis but reduced to general mental (i.e. cognitive, psycho-motor, social and physiological) functions (examples see below). What is relevant for the representation of behaviour? Every behaviour that is needed in analysis, training and simulation is considered as relevant. 3.3 Elementary Behaviours (mental functions) The following is a taxonomy, which lists mental functions in a systematic way appropriate for modelling. (cid:1) Actions – Observable behaviour in the outside world ♦ Interactions with real objects and real environment - physical skills (e. g. driving a car, digging a hole) ♦ Symbolic interactions (e.g. communication by speech, in documents by gesture) ♦ Social interactions (e. g. speaking to another person) (cid:2) Interpersonal relations (with superiors, subordinates, colleagues) 11-8 (cid:2) Group dynamic influences (small group effects; e.g. cohesion) (cid:2) Organisational influences (cid:1) Decisions – not directly observable behaviour within the person – making up one’s mind. ♦ Situational awareness (e. g. observing an area) ♦ Information collection (e. g. map reading) ♦ Information processing – from sensory input to mental models (e. g. identifying an object as foe) ♦ Schemata (e. g. knowledge, skills) (cid:2) Declarative knowledge (cid:2) Procedural knowledge and skills (cid:2) Meta-cognitive skills (control of behaviour, evaluation) ♦ Deciding for action (e. g. shooting to a foe object, giving an order to shoot) (cid:1) Psychical and physiological traits / states ♦ Age ♦ Values (e. g. personal standards, cultural values, beliefs, attitudes) ♦ Moods / emotions (e. g. anxiety) ♦ Motives (e. g. high performance motive) ♦ Alertness / vigilance (e. g. high vigilance) ♦ Stress (e. g. loss of sleep, heavy workload) (cid:1) Dynamic changes of behaviour ♦ Learning and Instruction (slow) ♦ Traumatic experience (quick) ♦ Duration of stress For the scope of this paper it is sufficient to use this simple taxonomy. It can be used for three purposes: • to describe a global structural concept of the interrelationships between the behaviours (human behaviour “model”) • to establish a list of compound behaviours • to evaluate the feasibility of special elementary human behaviour model • to define the different kinds of representation for analysis, training and simulation. 11-9 3.4 Compound Behaviours No single behaviour type exists by itself. All types are always combined and have to be represented at least together with some of the other types. The global behaviour model, therefore, serves the purpose of identifying the interrelationships of the behaviour types. Internal behaviour (within the person) and external behaviour (towards other persons and with objects in the environment) are combined into compound behaviours. See the following picture. Person Other Persons Other Persons Decis. Other Persons Actions {☛ } {(cid:3)} internal behaviour External behaviour of the acting person State {Ψ+Φ} Objects Picture 2: Person and its behaviour in an environment (cid:1) Objects and persons provoke decisions and actions. (cid:1) Motives influence the choice of individually available schemata. (cid:1) Schemata influence decisions. (cid:1) Decisions make persons act. (cid:1) Age values, moods, alertness and stress moderate decisions. (cid:1) Age values, moods, alertness and stress moderate directly actions. (cid:1) Actions change values, moods, motives, alertness (cid:1) Actions change decisions. (cid:1) Decisions change values, moods, motives. (cid:1) Objects, persons and stress cut off the decision-making processes. Table 1: Internal compound behaviour