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# Part 2: Artificial Intelligence Techniques Explained

## Zooming in on fundamental AI techniques

Guido Diepen, Titus Sloet tot Everlo & Hicham el Bouazzaoui – April 2017 – Deloitte

Having now clarified the concept of AI in:

Let us now discuss some fundamental AI techniques: Heuristics, Support Vector Machines, Neural Networks, the Markov Decision Process, and Natural Language Processing.

### 1. Heurictics

Suppose we have coins with the following denominations: five cents, four cents, three cents, and one cent, and that we need to determine the minimum number of coins to create the amount of seven cents. In order to solve this problem we can use a technique called “Heuristics”.

Webster(1) defines the term Heuristic as “involving or serving as an aid to learning, discovery, or problem-solving by experimental and especially trial and error methods”. In practice, this means that whenever problems get too complex to find the guaranteed best possible solution using exact methods, Heuristics serves to employ a practical method for finding a solution that is not guaranteed to be optimal, but one that is sufficient for the immediate goals.

For some problems, tailored heuristics can be designed that exploits the structure within the problem. An example of such a tailored heuristic would be a greedy heuristic for the above mentioned coin-changing problem. We speak of a greedy heuristic when we always choose the largest denomination possible and repeat this until we get to the desired value of seven. In our example, that means that we would start with selecting a five cent coin. For the remaining two cents, the largest denomination we can choose is one cent, leaving us with the situation where we still have to cover one cent for which we again use one cent.

So our greedy heuristic gives us a solution of three coins (five, one, one) to get to the value of seven cents. Of course another, better, solution of only two coins exists, using the three and four cent coins. While the greedy heuristic for the coin changing problem does not provide the best solution for this particular case, in most cases it will result in a solution that is acceptable.

Besides such tailored Heuristics for specific problems, certain generic heuristics exist as well. Just like neural networks, some of these generic heuristics are based on processes in nature. Two examples of such generic heuristics are Ant Colony Optimization(2) and genetic algorithms(3). The first is based on how simple ants are able to work together to solve complex problems; the latter is based on the principle of survival of the fittest.

A typical problem where heuristics are applied to find acceptable solutions quickly is vehicle routing, where the objective is to find routes for one or more vehicles visiting a number of locations.

### 2. Support Vector Machines

The question whether an email is spam or not is an example of a classification problem. In these types of problems, the objective is to determine whether a given data point belongs to a certain class or not. After first training a classifier model on data points for which the class is known (e.g. a set of emails that are labeled as spam or not spam), you can then use the model to determine the class of new, unseen data-points. A powerful technique for these types of problems is Support Vector Machines(4) (SVM).

The main idea behind SVM is that you try to find the boundary line that separates the two classes, but in such a way that the boundary line creates a maximum separation between the classes. To demonstrate this, we will use the following simple data for our classification problem:

In this example, the green circles and the blue squares could represent two different segments in a total set of customers (e.g. high potentials and low potentials), based on all kinds of properties for each of the customers. Any line that keeps the green circles on the left and the blue squares on the right is considered a valid boundary line for the classification problem. There is an infinite number of such lines that can be drawn. Four different examples are presented below.

As stated before, SVM helps you to find the boundary line that maximizes the separation between the two classes. In the provided example, this can be drawn as follows:

The two dotted lines are the two parallel separation lines with the largest space between them. The actual classification boundary that is used will be the solid line exactly in the middle of the two dotted lines.

The name Support Vector Machine comes from the data points that are directly on either of these lines. These are the supporting vectors. In our example, there were three supporting vectors.

If any of the other data points (i.e. not a supporting vector) is moved a bit, the dotted boundary lines are not affected. However, if the position of any of the supporting vectors is slightly changed (e.g. data point 1 is moved slightly to the left), the position of the dotted boundary lines will change and therefore the position of the solid classification line also changes.

In real life, data is not as straightforward as in this simplified example. We usually work with more than two dimensions. Besides having straight separation lines, the underlying mathematics for an SVM also allows for certain types of calculations or kernels that result in boundary lines that are non-linear.

SVM classification models can also be found in image recognition, e.g. face recognition, or when handwriting is converted to text.

### 3. Artificial Neural Networks

Animals are able to process (visual or other) information from their environment and adapt to change. They use their nervous system to perform such behavior. Their nervous system can be modeled and simulated and it should be possible to (re)produce similar behavior in artificial systems. Artificial Neural Networks (ANN) can be described as processing devices that are loosely modeled after the neural structure of a brain. The biggest difference between the two is that the ANN might have hundreds or thousands of neurons, whereas the neural structure of an animal or human brain has billions.

Figure 1: Graphical representation of a biological neuron (left) and an artificial neuron (right)

The basic principle of a neural structure is that each neuron is connected with a certain strength to other neurons. Based on the inputs taken from the output of other neurons (also considering the connection strength) an output is generated that can be used again as input by other neurons, see Figure 1 (left). This basic idea has been translated into an artificial neural network by using weights to indicate the strength of the connection between neurons. Furthermore, each neuron will take the output from the connected neurons as input and use a mathematical function to determine its output. This output is then used by other neurons again.

While learning consists of strengthening or weakening the bonds between different neurons in the biological brain, in the ANN learning consists of changing the weights between the neurons. By providing the neural network with a large set of training data with known features, the best weights between the artificial neurons (i.e. strength of the bond) can be calculated in order to make sure that the neural network best recognizes the features.

The neurons of the ANN can be structured into several layers(5). Figure 2 shows an illustrative scheme of such layering. This network consists of an input layer, where all the inputs are received, processed and converted to outputs into the next layers. The hidden layers consist of one or more layers of neurons each passing through inputs and outputs. Finally, the output layer receives inputs of the last hidden layer and converts this into the output for the user.

Figure 2: Schematic of a connected ANN

Figure 2 shows an example of a network in which all neurons in one layer are connected to all neurons in the next layer. Such a network is called fullyconnected. Depending on the kind of problem you want to solve, different connection patterns are available. For image recognition purposes, typically Convolutional networks are used, in which only groups of neurons from one layer are connected to groups of neurons in the next layer. For speech recognition purposes, typically Recurrent networks are used, that allow for loops from neurons in a later layer back to an earlier layer.

### 4. Markov Decision Process

A Markov Decision Process (MDP) is a framework for decision-making modelling where in some situations the outcome is partly random and partly based on the input of the decision maker. Another application where MDP is used is optimized planning. The basic goal of MDP is to find a policy for the decision maker, indicating what particular action should be taken at what state.

An MDP model consists of the following parts(6):

• A set of possible states: for example, this can refer to a grid world of a robot or the states of a door (open or closed).
• A set of possible actions: a fixed set of actions that e.g. a robot can take, such as going north, left, south or west. Or with respect to a door, closing or opening it.
• Transition probabilities: this is the probability of going from one state to another. For example, what is the probability that the door is closed, after the action of closing the door has been performed?
• Rewards: these are used to direct the planning. For instance, a robot may want to move north to reach its destination. Actually going north will result in a higher reward.

Once the MDP has been defined, a policy can be trained using “Value Iteration” or “Policy Iteration”. These methods are used to calculate the expected rewards for each of the states. The policy then renders the best action that can be taken from each state.

As an example, we will define a grid that can be considered as an ideal, finite world for a robot(7). This example grid is shown in Figure 3.

Figure 3: Example – grid world of a robot

The robot can move (action) from each position in the grid (state) in four directions, i.e. north, left, right and south. The probability that the robot goes into the desired direction is 0.7 and 0.1 if it moves towards any of the other three directions. A reward of -1 (i.e. a penalty) is given if the robot bumps into a wall and doesn’t move. Also, there are additional rewards and penalties if the robot reaches the cells that are colored green and blue, respectively. Based on the probabilities and rewards a policy (function) can be made using the initial and final state.

Another example of MDP usage is the inventory planning problem – a stock keeper or manager has to decide how many units have to be ordered each week. The inventory planning can be modeled as an MDP, where the states can be considered as positive inventory and shortages. Possible actions are for instance ordering new units or backlogging to the next week. Transition probabilities can be considered as the action that will be taken based on the demand and inventory for the current week. Rewards - or in this case, costs - are typically unit order costs and inventory costs.

### 5. Natural Language Processing

Natural Language Processing (NLP) is used to refer to everything from speech recognition to language generation, each requiring different techniques. A few of the important techniques will be explained below, i.e. Part-of-Speech tagging, Named Entity Recognition, and Parsing.

Let us examine the sentence “John hit the can.” One of the first steps of NLP is lexical analysis, using a technique called Part-of-Speech (POS) tagging. With this technique every word is tagged to correspond to a category of words with similar grammatical properties, based on its relationship with adjacent and related words. Not only words are tagged, but also paragraphs and sentences. Part-of-speech tagging is mainly performed with statistical models, that lead to probabilistic results instead of hard if-then rules, and is therefore used for processing unknown text. Also, they can cope with the possibility of multiple possible answers, instead of only one. A technique that is often used for tagging is a Hidden Markov Model (HMM). An HMM is similar to the Markov Decision Process, where each state is a part of speech and the outcome of the process is the words of the sentence. HMMs ‘remember’ sequences of words that came before. Based on this, they can make better estimates of what Part-Of-Speech a word is. For example: ‘can’ in ‘the can’ is more likely to be a noun than a verb. The end result is that the words are tagged as followed: ‘John’ as a noun (N), ‘hit’ as a verb (V), ‘the’ as a determiner (D) and ‘can’ as a noun (N) as well.

Named Entity Recognition or NER, is similar to POS tagging. Instead of tagging words with the function of the word in the sentence (POS), words are tagged with the type of entity the word represents. These entities can be e.g. persons, companies, time, or location. But also more specialized entities such as gene, or protein. Although an HMM can also be used for NER, the technique of choice is a Recurrent Neural Network (RNN). An RNN is a different type of neural network as discussed earlier, but it takes sequences as input (a number of words in a sentence, or complete sentences), and remembers the output from the previous sentence(8). In the sentence we are looking at, it will recognize John as the entity ‘person’.

A final technique to be discussed is called Parsing (Syntactic Analysis) - analyzing the grammar of the text and the way the words are arranged, so that the relationship between the words is clear. The Part-of-Speech tag from the lexical analysis is used and then grouped into small phrases, which in turn can also be combined with other phrases or words to make a slightly longer phrase. This is repeated until the goal is reached: every word in the sentence has been used. The rules of how the words can be grouped are called the grammar and can take a form like this: D+N = NP, which reads: a Determiner + Noun = Noun Phrase. The final result is depicted in the figure.

Parsing (Syntactic Analysis) – analyzing the grammar of the text

### Conclusion

The techniques used within the domain of Artificial Intelligence are actually just advanced forms of statistical and mathematical models. All these models cleverly put together provide us with tools to compute tasks that were previously thought to be reserved for humans.

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