Chapter 2
Rule-based expert systems
Introduction, or what is knowledge?
Rules as a knowledge representation technique
The main players in the development team
Structure of a rule-based expert system
Characteristics of an expert system
Forward chaining and backward chaining
Conflict resolution
Summary
Introduction, or what is knowledge?
Knowledge is a theoretical or practical understanding of
a subject or a domain. Knowledge is also the sum of
what is currently known, and apparently knowledge is
power. Those who possess knowledge are called
experts.
Anyone can be considered a domain expert if he or she
has deep knowledge (of both facts and rules) and strong
practical experience in a particular domain. The area of
the domain may be limited. In general, an expert is a
skilful person who can do things other people cannot.
The human mental process is internal, and it is too
complex to be represented as an algorithm. However,
most experts are capable of expressing their knowledge in
the form of rules for problem solving.
IF the ‘traffic light’ is green
THEN the action is go
IF the ‘traffic light’ is red
THEN the action is stop
Rules as a knowledge representation technique
The term rule in AI, which is the most commonly used
type of knowledge representation, can be defined as an
IF-THEN structure that relates given information or facts
in the IF part to some action in the THEN part. A rule
provides some description of how to solve a problem.
Rules are relatively easy to create and understand.
Any rule consists of two parts: the IF part, called the
antecedent (premise or condition) and the THEN part
called the consequent (conclusion or action).
IF <antecedent>
THEN <consequent>
A rule can have multiple antecedents joined by the
keywords AND (conjunction), OR (disjunction) or
a combination of both.
IF <antecedent 1> IF <antecedent 1>
AND <antecedent 2> OR <antecedent 2>
.. ..
. .
AND <antecedent n> OR <antecedent n>
THEN <consequent> THEN <consequent>
The antecedent of a rule incorporates two parts: an object
(linguistic object) and its value. The object and its value
are linked by an operator.
The operator identifies the object and assigns the value.
Operators such as is, are, is not, are not are used to assign
a symbolic value to a linguistic object.
Expert systems can also use mathematical operators to
define an object as numerical and assign it to the
numerical value.
IF ‘age of the customer’ < 18
AND ‘cash withdrawal’ > 1000
THEN ‘signature of the parent’ is required
Rules can represent relations, recommendations,
directives, strategies and heuristics:
Relation
IF the ‘fuel tank’ is empty
THEN the car is dead
Recommendation
IF the season is autumn
AND the sky is cloudy
AND the forecast is drizzle
THEN the advice is ‘take an umbrella’
Directive
IF the car is dead
AND the ‘fuel tank’ is empty
THEN the action is ‘refuel the car’
Strategy
IF the car is dead
THEN the action is ‘check the fuel tank’;
step1 is complete
IF step1 is complete
AND the ‘fuel tank’ is full
THEN the action is ‘check the battery’;
step2 is complete
Heuristic
IF the spill is liquid
AND the ‘spill pH’ < 6
AND the ‘spill smell’ is vinegar
THEN the ‘spill material’ is ‘acetic acid’
The main players in the development team
There are five members of the expert system
development team: the domain expert, the knowledge
engineer, the programmer, the project manager and
the end-user.
The success of their expert system entirely depends on
how well the members work together.
The main players in the development team
Expert System
Development Team
Project Manager
Domain Expert Knowledge Engineer Programmer
Expert System
End-user
The domain expert is a knowledgeable and
skilled person capable of solving problems in a
specific area or domain. This person has the
greatest expertise in a given domain. This
expertise is to be captured in the expert system.
Therefore, the expert must be able to
communicate his or her knowledge, be willing to
participate in the expert system development and
commit a substantial amount of time to the project.
The domain expert is the most important player in
the expert system development team.
The knowledge engineer is someone who is capable of
designing, building and testing an expert system. He or
she interviews the domain expert to find out how a
particular problem is solved. The knowledge engineer
establishes what reasoning methods the expert uses to
handle facts and rules and decides how to represent them
in the expert system. The knowledge engineer then
chooses some development software or an expert system
shell, or looks at programming languages for encoding
the knowledge. And finally, the knowledge engineer is
responsible for testing, revising and integrating the expert
system into the workplace.
The programmer is the person responsible for the actual
programming, describing the domain knowledge in terms
that a computer can understand. The programmer needs
to have skills in symbolic programming in such AI
languages as LISP, Prolog and OPS5 and also some
experience in the application of different types of expert
system shells. In addition, the programmer should know
conventional programming languages like C, Pascal,
FORTRAN and Basic.
The project manager is the leader of the expert system
development team, responsible for keeping the project
on track. He or she makes sure that all deliverables and
milestones are met, interacts with the expert, knowledge
engineer, programmer and end-user.
The end-user, often called just the user, is a person who
uses the expert system when it is developed. The user
must not only be confident in the expert system
performance but also feel comfortable using it.
Therefore, the design of the user interface of the expert
system is also vital for the project’s success; the end-
user’s contribution here can be crucial.
Structure of a rule-based expert system
In the early seventies, Newell and Simon from Carnegie-
Mellon University proposed a production system model, the
foundation of the modern rule-based expert systems.
The production model is based on the idea that humans
solve problems by applying their knowledge (expressed as
production rules) to a given problem represented by
problem-specific information.
The production rules are stored in the long-term memory
and the problem-specific information or facts in the short-
term memory.
Production system model
Long-term Memory Short-term Memory
Production Rule Fact
REASONING
Conclusion
Basic structure of a rule-based expert system
Knowledge Base Database
Rule: IF-THEN Fact
Inference Engine
Explanation Facilities
User Interface
User
The knowledge base contains the domain knowledge
useful for problem solving. In a rule-based expert
system, the knowledge is represented as a set of rules.
Each rule specifies a relation, recommendation, directive,
strategy or heuristic and has the IF (condition) THEN
(action) structure. When the condition part of a rule is
satisfied, the rule is said to fire and the action part is
executed.
The database includes a set of facts used to match
against the IF (condition) parts of rules stored in the
knowledge base.
The inference engine carries out the reasoning whereby
the expert system reaches a solution. It links the rules
given in the knowledge base with the facts provided in
the database.
The explanation facilities enable the user to ask the
expert system how a particular conclusion is reached
and why a specific fact is needed. An expert system
must be able to explain its reasoning and justify its
advice, analysis or conclusion.
The user interface is the means of communication
between a user seeking a solution to the problem and an
expert system.
Complete structure of a rule-based expert system
External
Database External Program
Expert System
Knowledge Base Database
Rule: IF-THEN Fact
Inference Engine
Explanation Facilities
User Interface Developer
Interface
User
Knowledge Engineer
Expert
Characteristics of an expert system
An expert system is built to perform at a human expert
level in a narrow, specialised domain. Thus, the most
important characteristic of an expert system is its high-
quality performance. No matter how fast the system can
solve a problem, the user will not be satisfied if the result
is wrong.
On the other hand, the speed of reaching a solution is
very important. Even the most accurate decision or
diagnosis may not be useful if it is too late to apply, for
instance, in an emergency, when a patient dies or a
nuclear power plant explodes.
Expert systems apply heuristics to guide the reasoning
and thus reduce the search area for a solution.
A unique feature of an expert system is its explanation
capability. It enables the expert system to review its
own reasoning and explain its decisions.
Expert systems employ symbolic reasoning when
solving a problem. Symbols are used to represent
different types of knowledge such as facts, concepts and
rules.
Can expert systems make mistakes?
Even a brilliant expert is only a human and thus can
make mistakes. This suggests that an expert system
built to perform at a human expert level also should be
allowed to make mistakes. But we still trust experts,
even we recognise that their judgements are sometimes
wrong. Likewise, at least in most cases, we can rely on
solutions provided by expert systems, but mistakes are
possible and we should be aware of this.
In expert systems, knowledge is separated from its
processing (the knowledge base and the inference
engine are split up). A conventional program is a
mixture of knowledge and the control structure to
process this knowledge. This mixing leads to difficulties
in understanding and reviewing the program code, as
any change to the code affects both the knowledge and
its processing.
When an expert system shell is used, a knowledge
engineer or an expert simply enters rules in the
knowledge base. Each new rule adds some new
knowledge and makes the expert system smarter.
Comparison of expert systems with conventional
systems and human experts
Human Experts Expert Systems Conventional Programs
Use knowledge in the Process knowledge Process data and use
form of rules of thumb or expressed in the form of algorithms, a series of
heuristics to solve rules and use symbolic well-defined operations,
problems in a narrow reasoning to solve to solve general numerical
domain. problems in a narrow problems.
domain.
In a human brain, Provide a clear Do not separate
knowledge exists in a separation of knowledge knowledge from the
compiled form. from its processing. control structure to
process this knowledge.
Capable of explaining a Trace the rules fired Do not explain how a
line of reasoning and during a problem-solving particular result was
providing the details. session and explain how a obtained and why input
particular conclusion was data was needed.
reached and why specific
data was needed.
Comparison of expert systems with conventional
systems and human experts (Continued)
Human Experts Expert Systems Conventional Programs
Use inexact reasoning and Permit inexact reasoning W ork only on problems
can deal with incomplete, and can deal with where data is complete
uncertain and fuzzy incomplete, uncertain and and exact.
information. fuzzy data.
Can make mistakes when Can make mistakes when Provide no solution at all,
information is incomplete data is incomplete or or a wrong one, when data
or fuzzy. fuzzy. is incomplete or fuzzy.
Enhance the quality of Enhance the quality of Enhance the quality of
problem solving via years problem solving by problem solving by
of learning and practical adding new rules or changing the program
training. This process is adjusting old ones in the code, which affects both
slow, inefficient and knowledge base. W hen the knowledge and its
expensive. new knowledge is processing, making
acquired, changes are changes difficult.
easy to accomplish.
Forward chaining and backward chaining
In a rule-based expert system, the domain knowledge is
represented by a set of IF-THEN production rules and
data is represented by a set of facts about the current
situation. The inference engine compares each rule
stored in the knowledge base with facts contained in the
database. When the IF (condition) part of the rule
matches a fact, the rule is fired and its THEN (action)
part is executed.
The matching of the rule IF parts to the facts produces
inference chains. The inference chain indicates how an
expert system applies the rules to reach a conclusion.
Inference engine cycles via a match-fire procedure
Database
Fact: A is x
Fact: B is y
Match Fire
Knowledge Base
Rule: IF A is x THEN B is y
An example of an inference chain
Rule 1: IF Y is true
AND D is true
THEN Z is true
A X
Rule 2: IF X is true
AND B is true
B Y
AND E is true
Z
THEN Y is true
E D
Rule 3: IF A is true
THEN X is true
Forward chaining
Forward chaining is the data-driven reasoning. The
reasoning starts from the known data and proceeds
forward with that data. Each time only the topmost rule
is executed. When fired, the rule adds a new fact in the
database. Any rule can be executed only once. The
match-fire cycle stops when no further rules can be fired.
Forward chaining
Database Database Database Database
A B C D E A B C D E A B C D E A B C D E
X X L X L Y X L Y Z
Match Fire Match Fire Match Fire Match Fire
Knowledge Base Knowledge Base Knowledge Base Knowledge Base
Y&D Z Y&D Z Y&D Z Y&D Z
X&B&E Y X&B&E Y X&B&E Y X&B&E Y
A X A X A X A X
C L C L C L C L
L&M N L&M N L&M N L&M N
Cycle 1 Cycle 2 Cycle 3
Forward chaining is a technique for gathering
information and then inferring from it whatever can be
inferred.
However, in forward chaining, many rules may be
executed that have nothing to do with the established
goal.
Therefore, if our goal is to infer only one particular fact,
the forward chaining inference technique would not be
efficient.
Backward chaining
Backward chaining is the goal-driven reasoning. In
backward chaining, an expert system has the goal (a
hypothetical solution) and the inference engine
attempts to find the evidence to prove it. First, the
knowledge base is searched to find rules that might
have the desired solution. Such rules must have the
goal in their THEN (action) parts. If such a rule is found
and its IF (condition) part matches data in the
database, then the rule is fired and the goal is proved.
However, this is rarely the case.
Backward chaining (cont)
Thus the inference engine puts aside the rule it is working
with (the rule is said to stack) and sets up a new goal, a
subgoal, to prove the IF part of this rule. Then the
knowledge base is searched again for rules that can
prove the subgoal. The inference engine repeats the
process of stacking the rules until no rules are found in
the knowledge base to prove the current subgoal.
Backward chaining
Pass 1 Pass 2 Pass 3
Database Database Database
A B C D E A B C D E A B C D E
? ?
Z Y X
Knowledge Base Knowledge Base Knowledge Base
Y&D Z Y&D Z Y&D Z
X&B&E Y X&B&E Y X&B&E Y
A X A X A X
C L C L C L
L&M N L&M N L&M N
Goal: Z Sub-Goal: Y Sub-Goal: X
Pass 4 Pass 5 Pass 6
Database Database Database
A B C D E A B C D E A B C D E
X X Y X Y Z
Match Fire Match Fire Match Fire
Knowledge Base Knowledge Base Knowledge Base
Y&D Z Y&D Z Y&D Z
X&B&E Y X&B&E Y X&B&E Y
A X A X A X
C L C L C L
L&M N L&M N L&M N
Sub-Goal: X Sub-Goal: Y Goal: Z
How do we choose between forward and
backward chaining?
If an expert first needs to gather some information and
then tries to infer from it whatever can be inferred,
choose the forward chaining inference engine (if it cannot
infer something, it stops).
However, if your expert begins with a hypothetical
solution and then attempts to find facts to prove it,
choose the backward chaining inference engine (if it
cannot infer something, it asks the user).
Conflict resolution
Earlier we considered two simple rules for crossing a
road. Let us now add third rule:
Rule 1:
IF the ‘traffic light’ is green
THEN the action is go
Rule 2:
IF the ‘traffic light’ is red
THEN the action is stop
Rule 3:
IF the ‘traffic light’ is red
THEN the action is go
We have two rules, Rule 2 and Rule 3, with the same
IF part. Thus both of them can be set to fire when the
condition part is satisfied. These rules represent a
conflict set. The inference engine must determine
which rule to fire from such a set. A method for
choosing a rule to fire when more than one rule can
be fired in a given cycle is called conflict resolution.
In forward chaining, BOTH rules would be fired. Rule
2 is fired first as the topmost one, and as a result, its
THEN part is executed and linguistic object action
obtains value stop. However, Rule 3 is also fired
because the condition part of this rule matches the
fact ‘traffic light’ is red, which is still in the database.
As a consequence, object action takes new value go.
Method used for Conflict Resolution
Problem: Two or more rules are active at the same
time. Which one to execute next.
Solutions:
No duplication
Random
Priority levels
Specificity
Recency
Method used for Conflict Resolution
Solutions:
No duplication
Do not execute the same rule twice.
Random
Choose a rule at random from the agenda.
Method used for Conflict Resolution
Priority levels
Define priority of rules, actions based on expert
opinion. Have multiple priority levels such that the
higher priority rules fire first.
Fire the rule with the highest priority. In simple
applications, the priority can be established by
placing the rules in an appropriate order in the
knowledge base. Usually this strategy works well
for expert systems with around 100 rules.
Method used for Conflict Resolution
Specificity
Rules that are more specific are preferred (most
specific first). Rule prioritized by the number of
condition elements.
Fire the most specific rule.This method is also
known as the longest matching strategy. It is
based on the assumption that a specific rule
processes more information than a general one.
Method used for Conflict Resolution
Recency
Rules referring to facts newly added to the
working memory take precedence (most recent
first).
Fire the rule that uses the data most recently
entered in the database. This method relies on
time tags attached to each fact in the database. In
the conflict set, the expert system first fires the rule
whose antecedent uses the data most recently
added to the database.
Metaknowledge
Metaknowledge can be simply defined as knowledge
about knowledge. Metaknowledge is knowledge about
the use and control of domain knowledge in an expert
system.
In rule-based expert systems, metaknowledge is
represented by metarules. A metarule determines a
strategy for the use of task-specific rules in the expert
system.
Metarules
Metarule 1:
Rules supplied by experts have higher priorities than rules
supplied by novices.
Metarule 2:
Rules governing the rescue of human lives have higher
priorities than rules concerned with clearing overloads on
power system equipment.
Advantages of rule-based expert systems
Natural knowledge representation. An expert usually
explains the problem-solving procedure with such
expressions as this: “In such-and-such situation, I do so-
and-so”. These expressions can be represented quite
naturally as IF-THEN production rules.
Uniform structure. Production rules have the uniform
IF-THEN structure. Each rule is an independent piece of
knowledge. The very syntax of production rules enables
them to be self-documented.
Advantages of rule-based expert systems (cont.)
Separation of knowledge from its processing. The
structure of a rule-based expert system provides an
effective separation of the knowledge base from the
inference engine. This makes it possible to develop
different applications using the same expert system
shell.
Dealing with incomplete and uncertain knowledge.
Most rule-based expert systems are capable of
representing and reasoning with incomplete and
uncertain knowledge.
Disadvantages of rule-based expert systems
Opaque relations between rules. Although the individual
production rules are relatively simple and self-
documented, their logical interactions within the large set
of rules may be opaque. Rule-based systems make it
difficult to observe how individual rules serve the overall
strategy.
Ineffective search strategy. The inference engine
applies an exhaustive search through all the production
rules during each cycle. Expert systems with a large set of
rules (over 100 rules) can be slow, and thus large rule-
based systems can be unsuitable for real-time
applications.
Disadvantages of rule-based expert systems (cont)
Inability to learn. In general, rule-based expert
systems do not have an ability to learn from the
experience. Unlike a human expert, who knows when to
“break the rules”, an expert system cannot automatically
modify its knowledge base, or adjust existing rules or
add new ones. The knowledge engineer is still
responsible for revising and maintaining the system.
