1

Python code for

Artificial Intelligence
Foundations of Computational Agents

David L. Poole and Alan K. Mackworth

Version 0.9.17 of July 7, 2025.

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Contents

Contents 3

1 Python for Artificial Intelligence 9

1.1 Why Python? . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.2 Getting Python . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.3 Running Python . . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.4 Pitfalls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
1.5 Features of Python . . . . . . . . . . . . . . . . . . . . . . . . . 11
1.5.1 f-strings . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
1.5.2 Lists, Tuples, Sets, Dictionaries and Comprehensions . . 12
1.5.3 Generators . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
1.5.4 Functions as first-class objects . . . . . . . . . . . . . . . . 14
1.6 Useful Libraries . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
1.6.1 Timing Code . . . . . . . . . . . . . . . . . . . . . . . . . 16
1.6.2 Plotting: Matplotlib . . . . . . . . . . . . . . . . . . . . . 16
1.7 Utilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
1.7.1 Display . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
1.7.2 Argmax . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
1.7.3 Probability . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
1.8 Testing Code . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

2 Agent Architectures and Hierarchical Control 25

2.1 Representing Agents and Environments . . . . . . . . . . . . . 25
2.2 Paper buying agent and environment . . . . . . . . . . . . . . 27
2.2.1 The Environment . . . . . . . . . . . . . . . . . . . . . . . 27
2.2.2 The Agent . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

3
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2.2.3 Plotting . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
2.3 Hierarchical Controller . . . . . . . . . . . . . . . . . . . . . . . 31
2.3.1 Body . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
2.3.2 Middle Layer . . . . . . . . . . . . . . . . . . . . . . . . . 33
2.3.3 Top Layer . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
2.3.4 World . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
2.3.5 Plotting . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

3 Searching for Solutions 41

3.1 Representing Search Problems . . . . . . . . . . . . . . . . . . 41
3.1.1 Explicit Representation of Search Graph . . . . . . . . . . 43
3.1.2 Paths . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
3.1.3 Example Search Problems . . . . . . . . . . . . . . . . . . 47
3.2 Generic Searcher and Variants . . . . . . . . . . . . . . . . . . . 54
3.2.1 Searcher . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
3.2.2 GUI for Tracing Search . . . . . . . . . . . . . . . . . . . . 55
3.2.3 Frontier as a Priority Queue . . . . . . . . . . . . . . . . . 60
3.2.4 A∗ Search . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
3.2.5 Multiple Path Pruning . . . . . . . . . . . . . . . . . . . . 63
3.3 Branch-and-bound Search . . . . . . . . . . . . . . . . . . . . . 65

4 Reasoning with Constraints 69

4.1 Constraint Satisfaction Problems . . . . . . . . . . . . . . . . . 69
4.1.1 Variables . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
4.1.2 Constraints . . . . . . . . . . . . . . . . . . . . . . . . . . 70
4.1.3 CSPs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
4.1.4 Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
4.2 A Simple Depth-first Solver . . . . . . . . . . . . . . . . . . . . 83
4.3 Converting CSPs to Search Problems . . . . . . . . . . . . . . . 85
4.4 Consistency Algorithms . . . . . . . . . . . . . . . . . . . . . . 87
4.4.1 Direct Implementation of Domain Splitting . . . . . . . . 89
4.4.2 Consistency GUI . . . . . . . . . . . . . . . . . . . . . . . 91
4.4.3 Domain Splitting as an interface to graph searching . . . 94
4.5 Solving CSPs using Stochastic Local Search . . . . . . . . . . . 96
4.5.1 Any-conflict . . . . . . . . . . . . . . . . . . . . . . . . . . 98
4.5.2 Two-Stage Choice . . . . . . . . . . . . . . . . . . . . . . . 99
4.5.3 Updatable Priority Queues . . . . . . . . . . . . . . . . . 101
4.5.4 Plotting Run-Time Distributions . . . . . . . . . . . . . . 103
4.5.5 Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
4.6 Discrete Optimization . . . . . . . . . . . . . . . . . . . . . . . 105
4.6.1 Branch-and-bound Search . . . . . . . . . . . . . . . . . . 107

5 Propositions and Inference 109

5.1 Representing Knowledge Bases . . . . . . . . . . . . . . . . . . 109
5.2 Bottom-up Proofs (with askables) . . . . . . . . . . . . . . . . . 112

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5.3 Top-down Proofs (with askables) . . . . . . . . . . . . . . . . . 114

5.4 Debugging and Explanation . . . . . . . . . . . . . . . . . . . . 115
5.5 Assumables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
5.6 Negation-as-failure . . . . . . . . . . . . . . . . . . . . . . . . . 122

6 Deterministic Planning 125

6.1 Representing Actions and Planning Problems . . . . . . . . . . 125
6.1.1 Robot Delivery Domain . . . . . . . . . . . . . . . . . . . 126
6.1.2 Blocks World . . . . . . . . . . . . . . . . . . . . . . . . . 128
6.2 Forward Planning . . . . . . . . . . . . . . . . . . . . . . . . . . 130
6.2.1 Defining Heuristics for a Planner . . . . . . . . . . . . . . 133
6.3 Regression Planning . . . . . . . . . . . . . . . . . . . . . . . . 135
6.3.1 Defining Heuristics for a Regression Planner . . . . . . . 137
6.4 Planning as a CSP . . . . . . . . . . . . . . . . . . . . . . . . . . 138
6.5 Partial-Order Planning . . . . . . . . . . . . . . . . . . . . . . . 142

7 Supervised Machine Learning 149

7.1 Representations of Data and Predictions . . . . . . . . . . . . . 150
7.1.1 Creating Boolean Conditions from Features . . . . . . . . 153
7.1.2 Evaluating Predictions . . . . . . . . . . . . . . . . . . . . 155
7.1.3 Creating Test and Training Sets . . . . . . . . . . . . . . . 157
7.1.4 Importing Data From File . . . . . . . . . . . . . . . . . . 158
7.1.5 Augmented Features . . . . . . . . . . . . . . . . . . . . . 161
7.2 Generic Learner Interface . . . . . . . . . . . . . . . . . . . . . 163
7.3 Learning With No Input Features . . . . . . . . . . . . . . . . . 164
7.3.1 Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . 166
7.4 Decision Tree Learning . . . . . . . . . . . . . . . . . . . . . . . 167
7.5 k-fold Cross Validation and Parameter Tuning . . . . . . . . . 172
7.6 Linear Regression and Classification . . . . . . . . . . . . . . . 176
7.7 Boosting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182
7.7.1 Gradient Tree Boosting . . . . . . . . . . . . . . . . . . . . 185

8 Neural Networks and Deep Learning 187

8.1 Layers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187
8.1.1 Linear Layer . . . . . . . . . . . . . . . . . . . . . . . . . . 188
8.1.2 ReLU Layer . . . . . . . . . . . . . . . . . . . . . . . . . . 190
8.1.3 Sigmoid Layer . . . . . . . . . . . . . . . . . . . . . . . . . 190
8.2 Feedforward Networks . . . . . . . . . . . . . . . . . . . . . . . 191
8.3 Optimizers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193
8.3.1 Stochastic Gradient Descent . . . . . . . . . . . . . . . . . 193
8.3.2 Momentum . . . . . . . . . . . . . . . . . . . . . . . . . . 194
8.3.3 RMS-Prop . . . . . . . . . . . . . . . . . . . . . . . . . . . 194
8.4 Dropout . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195
8.5 Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 196
8.6 Plotting Performance . . . . . . . . . . . . . . . . . . . . . . . . 198

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9 Reasoning with Uncertainty 203

9.1 Representing Probabilistic Models . . . . . . . . . . . . . . . . 203
9.2 Representing Factors . . . . . . . . . . . . . . . . . . . . . . . . 203
9.3 Conditional Probability Distributions . . . . . . . . . . . . . . 205
9.3.1 Logistic Regression . . . . . . . . . . . . . . . . . . . . . . 206
9.3.2 Noisy-or . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206
9.3.3 Tabular Factors and Prob . . . . . . . . . . . . . . . . . . 207
9.3.4 Decision Tree Representations of Factors . . . . . . . . . 208
9.4 Graphical Models . . . . . . . . . . . . . . . . . . . . . . . . . . 210
9.4.1 Showing Belief Networks . . . . . . . . . . . . . . . . . . 212
9.4.2 Example Belief Networks . . . . . . . . . . . . . . . . . . 212
9.5 Inference Methods . . . . . . . . . . . . . . . . . . . . . . . . . 218
9.5.1 Showing Posterior Distributions . . . . . . . . . . . . . . 219
9.6 Naive Search . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221
9.7 Recursive Conditioning . . . . . . . . . . . . . . . . . . . . . . 222
9.8 Variable Elimination . . . . . . . . . . . . . . . . . . . . . . . . 226
9.9 Stochastic Simulation . . . . . . . . . . . . . . . . . . . . . . . . 230
9.9.1 Sampling from a discrete distribution . . . . . . . . . . . 230
9.9.2 Sampling Methods for Belief Network Inference . . . . . 232
9.9.3 Rejection Sampling . . . . . . . . . . . . . . . . . . . . . . 232
9.9.4 Likelihood Weighting . . . . . . . . . . . . . . . . . . . . 233
9.9.5 Particle Filtering . . . . . . . . . . . . . . . . . . . . . . . 234
9.9.6 Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . 236
9.9.7 Gibbs Sampling . . . . . . . . . . . . . . . . . . . . . . . . 237
9.9.8 Plotting Behavior of Stochastic Simulators . . . . . . . . 238
9.10 Hidden Markov Models . . . . . . . . . . . . . . . . . . . . . . 241
9.10.1 Exact Filtering for HMMs . . . . . . . . . . . . . . . . . . 243
9.10.2 Localization . . . . . . . . . . . . . . . . . . . . . . . . . . 244
9.10.3 Particle Filtering for HMMs . . . . . . . . . . . . . . . . . 248
9.10.4 Generating Examples . . . . . . . . . . . . . . . . . . . . 249
9.11 Dynamic Belief Networks . . . . . . . . . . . . . . . . . . . . . 250
9.11.1 Representing Dynamic Belief Networks . . . . . . . . . . 251
9.11.2 Unrolling DBNs . . . . . . . . . . . . . . . . . . . . . . . . 255
9.11.3 DBN Filtering . . . . . . . . . . . . . . . . . . . . . . . . . 256

10 Learning with Uncertainty 259

10.1 Bayesian Learning . . . . . . . . . . . . . . . . . . . . . . . . . 259
10.2 K-means . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263
10.3 EM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268

11 Causality 275
11.1 Do Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . 275
11.2 Counterfactual Reasoning . . . . . . . . . . . . . . . . . . . . . 278
11.2.1 Choosing Deterministic System . . . . . . . . . . . . . . . 278
11.2.2 Firing Squad Example . . . . . . . . . . . . . . . . . . . . 282

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12 Planning with Uncertainty 285

12.1 Decision Networks . . . . . . . . . . . . . . . . . . . . . . . . . 285
12.1.1 Example Decision Networks . . . . . . . . . . . . . . . . 287
12.1.2 Decision Functions . . . . . . . . . . . . . . . . . . . . . . 293
12.1.3 Recursive Conditioning for Decision Networks . . . . . 294
12.1.4 Variable elimination for decision networks . . . . . . . . 297
12.2 Markov Decision Processes . . . . . . . . . . . . . . . . . . . . 300
12.2.1 Problem Domains . . . . . . . . . . . . . . . . . . . . . . . 301
12.2.2 Value Iteration . . . . . . . . . . . . . . . . . . . . . . . . 310
12.2.3 Value Iteration GUI for Grid Domains . . . . . . . . . . . 311
12.2.4 Asynchronous Value Iteration . . . . . . . . . . . . . . . . 315

13 Reinforcement Learning 319

13.1 Representing Agents and Environments . . . . . . . . . . . . . 319
13.1.1 Environments . . . . . . . . . . . . . . . . . . . . . . . . . 319
13.1.2 Agents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 320
13.1.3 Simulating an Environment-Agent Interaction . . . . . . 321
13.1.4 Party Environment . . . . . . . . . . . . . . . . . . . . . . 323
13.1.5 Environment from a Problem Domain . . . . . . . . . . . 324
13.1.6 Monster Game Environment . . . . . . . . . . . . . . . . 325
13.2 Q Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 328
13.2.1 Exploration Strategies . . . . . . . . . . . . . . . . . . . . 331
13.2.2 Testing Q-learning . . . . . . . . . . . . . . . . . . . . . . 331
13.3 Q-leaning with Experience Replay . . . . . . . . . . . . . . . . 333
13.4 Stochastic Policy Learning Agent . . . . . . . . . . . . . . . . . 336
13.5 Model-based Reinforcement Learner . . . . . . . . . . . . . . . 338
13.6 Reinforcement Learning with Features . . . . . . . . . . . . . . 341
13.6.1 Representing Features . . . . . . . . . . . . . . . . . . . . 341
13.6.2 Feature-based RL learner . . . . . . . . . . . . . . . . . . 344
13.7 GUI for RL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347

14 Multiagent Systems 355

14.1 Minimax . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 355
14.1.1 Creating a two-player game . . . . . . . . . . . . . . . . . 356
14.1.2 Minimax and α-β Pruning . . . . . . . . . . . . . . . . . . 359
14.2 Multiagent Learning . . . . . . . . . . . . . . . . . . . . . . . . 361
14.2.1 Simulating Multiagent Interaction with an Environment 361
14.2.2 Example Games . . . . . . . . . . . . . . . . . . . . . . . . 364
14.2.3 Testing Games and Environments . . . . . . . . . . . . . 366

15 Individuals and Relations 369

15.1 Representing Datalog and Logic Programs . . . . . . . . . . . 369
15.2 Unification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 371
15.3 Knowledge Bases . . . . . . . . . . . . . . . . . . . . . . . . . . 372
15.4 Top-down Proof Procedure . . . . . . . . . . . . . . . . . . . . 374

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15.5 Logic Program Example . . . . . . . . . . . . . . . . . . . . . . 376

16 Knowledge Graphs and Ontologies 379

16.1 Triple Store . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 379
16.2 Integrating Datalog and Triple Store . . . . . . . . . . . . . . . 382

17 Relational Learning 385

17.1 Collaborative Filtering . . . . . . . . . . . . . . . . . . . . . . . 385
17.1.1 Plotting . . . . . . . . . . . . . . . . . . . . . . . . . . . . 389
17.1.2 Loading Rating Sets from Files and Websites . . . . . . . 392
17.1.3 Ratings of top items and users . . . . . . . . . . . . . . . 393
17.2 Relational Probabilistic Models . . . . . . . . . . . . . . . . . . 395

18 Version History 401

Bibliography 403

Index 405

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 Chapter 1

Python for Artificial Intelligence

AIPython contains runnable code for the book Artificial Intelligence, foundations
of computational agents, 3rd Edition [Poole and Mackworth, 2023]. It has the
following design goals:

• Readability is more important than efficiency, although the asymptotic

complexity is not compromised. AIPython is not a replacement for well-
designed libraries, or optimized tools. Think of it like a model of an en-
gine made of glass, so you can see the inner workings; don’t expect it to
power a big truck, but it lets you see how an engine works to power a
truck.

• It uses as few libraries as possible. A reader only needs to understand

Python. Libraries hide details that we make explicit. The only library
used is matplotlib for plotting and drawing.

1.1 Why Python?

We use Python because Python programs can be close to pseudo-code. It is
designed for humans to read.
Python is reasonably efficient. Efficiency is usually not a problem for small
examples. If your Python code is not efficient enough, a general procedure to
improve it is to find out what is taking most of the time, and implement just
that part more efficiently in some lower-level language. Many lower-level lan-
guages interoperate with Python nicely. This will result in much less program-
ming and more efficient code (because you will have more time to optimize)
than writing everything in a lower-level language. Much of the code here is
more efficiently implemented in libraries that are more difficult to understand.

9
10 1. Python for Artificial Intelligence

1.2 Getting Python

You need Python 3.9 or later (https://python.org/) and a compatible version
of matplotlib (https://matplotlib.org/). This code is not compatible with
Python 2 (e.g., with Python 2.7).
Download and install the latest Python 3 release from https://python.
org/ or https://www.anaconda.com/download (free download includes many
libraries). This should also install pip. You can install matplotlib using
pip install matplotlib
in a terminal shell (not in Python). That should “just work”. If not, try using
pip3 instead of pip.
The command python or python3 should then start the interactive Python
shell. You can quit Python with a control-D or with quit().
To upgrade matplotlib to the latest version (which you should do if you
install a new version of Python) do:
pip install --upgrade matplotlib
We recommend using the enhanced interactive python ipython (https://
ipython.org/) [Pérez and Granger, 2007]. To install ipython after you have
installed python do:
pip install ipython

1.3 Running Python

We assume that everything is done with an interactive Python shell. You can
either do this with an IDE, such as IDLE that comes with standard Python dis-
tributions, or just running ipython or python (or perhaps ipython3 or python3)
from a shell.
Here we describe the most simple version that uses no IDE. If you down-
load the zip file, and cd to the “aipython” folder where the .py files are, you
should be able to do the following, with user input in bold. The first python
command is in the operating system shell; the -i is important to enter interac-
tive mode.
python -i searchGeneric.py
Testing problem 1:
7 paths have been expanded and 4 paths remain in the frontier
Path found: A --> C --> B --> D --> G
Passed unit test
>>> searcher2 = AStarSearcher(searchProblem.acyclic_delivery_problem) #A*
>>> searcher2.search() # find first path
16 paths have been expanded and 5 paths remain in the frontier
o103 --> o109 --> o119 --> o123 --> r123
>>> searcher2.search() # find next path

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21 paths have been expanded and 6 paths remain in the frontier

o103 --> b3 --> b4 --> o109 --> o119 --> o123 --> r123
>>> searcher2.search() # find next path
28 paths have been expanded and 5 paths remain in the frontier
o103 --> b3 --> b1 --> b2 --> b4 --> o109 --> o119 --> o123 --> r123
>>> searcher2.search() # find next path
No (more) solutions. Total of 33 paths expanded.
>>>
You can then interact at the last prompt.
There are many textbooks for Python. The best source of information about
python is https://www.python.org/. The documentation is at https://docs.
python.org/3/.
The rest of this chapter is about what is special about the code for AI tools.
We only use the standard Python library and matplotlib. All of the exercises
can be done (and should be done) without using other libraries; the aim is for
you to spend your time thinking about how to solve the problem rather than
searching for pre-existing solutions.

1.4 Pitfalls
It is important to know when side effects occur. Often AI programs consider
what would/might happen given certain conditions. In many such cases, we
don’t want side effects. When an agent acts in the world, side effects are ap-
propriate.
In Python, you need to be careful to understand side effects. For example,
the inexpensive function to add an element to a list, namely append, changes
the list. In a functional language like Haskell or Lisp, adding a new element to a
list, without changing the original list, is a cheap operation. For example if x is
a list containing n elements, adding an extra element to the list in Python (using
append) is fast, but it has the side effect of changing the list x. To construct a
new list that contains the elements of x plus a new element, without changing
the value of x, entails copying the list, or using a different representation for
lists. In the searching code, we will use a different representation for lists for
this reason.

1.5 Features of Python

1.5.1 f-strings
Python can use matching ', ", ''' or """, the latter two respecting line breaks
in the string. We use the convention that when the string denotes a unique
symbol, we use single quotes, and when it is designed to be for printing, we
use double quotes.

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12 1. Python for Artificial Intelligence

We make extensive use of f-strings https://docs.python.org/3/tutorial/

inputoutput.html. In its simplest form
f"str1{e1}str2{e2}str3"
where e1 and e2 are expressions, is an abbreviation for
"str1"+str(e1)+"str2"+str(e2)+"str3"
where + is string concatenation, and str is a function that returns a string rep-
resentation of its argument.

1.5.2 Lists, Tuples, Sets, Dictionaries and Comprehensions

We make extensive uses of lists, tuples, sets and dictionaries (dicts). See
https://docs.python.org/3/library/stdtypes.html. Lists use “[. . . ]”, dictio-
naries use “{key : value, . . . }”, sets use “{. . . }” (without the :), tuples use
“(. . . )”.
One of the nice features of Python is the use of comprehensions: list, tuple,
set and dictionary comprehensions.
A list comprehension is of the form

[fe for e in iter if cond]

is the list values fe for each e in iter for which cond is true. The “if cond” part
is optional, but the “for” and “in” are not optional. Here e is a variable (or a
pattern that can be on the left side of =), iter is an iterator, which can generate
a stream of data, such as a list, a set, a range object (to enumerate integers
between ranges) or a file. cond is an expression that evaluates to either True or
False for each e, and fe is an expression that will be evaluated for each value of
e for which cond returns True. For example:
>>> [e*e for e in range(20) if e%2==0]
[0, 4, 16, 36, 64, 100, 144, 196, 256, 324]
Comprehensions can also be used for sets and dictionaries. For example,
the following creates an index for list a:
>>> a = ["a","f","bar","b","a","aaaaa"]
>>> ind = {a[i]:i for i in range(len(a))}
>>> ind
{'a': 4, 'f': 1, 'bar': 2, 'b': 3, 'aaaaa': 5}
>>> ind['b']
3
which means that 'b' is the element with index 3 in the list.
The assignment of ind could have also be written as:
>>> ind = {val:i for (i,val) in enumerate(a)}
where enumerate is a built-in function that, given a dictionary, returns an gen-
erator of (index, value) pairs.

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 1.5. Features of Python 13

1.5.3 Generators
Python has generators which can be used for a form of lazy evaluation – only
computing values when needed.
A comprehension in round parentheses gives a generator that can generate
the elements as needed. The result can go in a list or used in another com-
prehension, or can be called directly using next. The procedure next takes an
iterator and returns the next element (advancing the iterator); it raises a Sto-
pIteration exception if there is no next element. The following shows a simple
example, where user input is prepended with >>>
>>> a = (e*e for e in range(20) if e%2==0)
>>> next(a)
0
>>> next(a)
4
>>> next(a)
16
>>> list(a)
[36, 64, 100, 144, 196, 256, 324]
>>> next(a)
Traceback (most recent call last):
File "<stdin>", line 1, in <module>
StopIteration
Notice how list(a) continued on the enumeration, and got to the end of it.
To make a procedure into a generator, the yield command returns a value
that is obtained with next. It is typically used to enumerate the values for a for
loop or in generators. (The yield command can also be used for coroutines,
but AIPython only uses it for generators.)
A version of the built-in range, with 2 or 3 arguments (and positive steps)
can be implemented as:1
pythonDemo.py — Some tricky examples
11 def myrange(start, stop, step=1):
12 """enumerates the values from start in steps of size step that are
13 less than stop.
14 """
15 assert step>0, f"only positive steps implemented in myrange: {step}"
16 i = start
17 while i<stop:
18 yield i
19 i += step
20
21 print("list(myrange(2,30,3)):",list(myrange(2,30,3)))
1 Numbered lines are Python code available in the code-directory, aipython. The name of

the file is given in the gray text above the listing. The numbers correspond to the line numbers
in that file.

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 14 1. Python for Artificial Intelligence

The built-in range is unconventional in how it handles a single argument, as

the single argument acts as the second argument of the function. The built-in
range also allows for indexing (e.g., range(2,30,3)[2] returns 8), but the above
implementation does not. However myrange also works for floats, whereas the
built-in range does not.

Exercise 1.1 Implement a version of myrange that acts like the built-in version
when there is a single argument. (Hint: make the second argument have a default
value that can be recognized in the function.) There is no need to make it work
with indexing.

Yield can be used to generate the same sequence of values as in the example
above.

pythonDemo.py — (continued)

23 def ga(n):
24 """generates square of even nonnegative integers less than n"""
25 for e in range(n):
26 if e%2==0:
27 yield e*e
28 a = ga(20)

The sequence of next(a), and list(a) gives exactly the same results as the com-
prehension at the start of this section.
It is straightforward to write a version of the built-in enumerate called myenumerate:

pythonDemo.py — (continued)

30 def myenumerate(iter, start=0):

31 i = start
32 for e in iter:
33 yield i,e
34 i += 1

1.5.4 Functions as first-class objects

Python can create lists and other data structures that contain functions. There
is an issue that tricks many newcomers to Python. For a local variable in a
function, the function uses the last value of the variable when the function is
called, not the value of the variable when the function was defined (this is called
“late binding”). This means if you want to use the value a variable has when
the function is created, you need to save the current value of that variable.
Whereas Python uses “late binding” by default, the alternative that newcom-
ers often expect is “early binding”, where a function uses the value a variable
had when the function was defined. The following examples show how early
binding can be implemented.
Consider the following programs designed to create a list of 5 functions,
where the ith function in the list is meant to add i to its argument:

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 1.5. Features of Python 15

pythonDemo.py — (continued)

36 fun_list1 = []
37 for i in range(5):
38 def fun1(e):
39 return e+i
40 fun_list1.append(fun1)
41
42 fun_list2 = []
43 for i in range(5):
44 def fun2(e,iv=i):
45 return e+iv
46 fun_list2.append(fun2)
47
48 fun_list3 = [lambda e: e+i for i in range(5)]
49
50 fun_list4 = [lambda e,iv=i: e+iv for i in range(5)]
51
52 i=56

Try to predict, and then test to see the output, of the output of the following
calls, remembering that the function uses the latest value of any variable that
is not bound in the function call:

pythonDemo.py — (continued)

54 # in Shell do
55 ## ipython -i pythonDemo.py
56 # Try these (copy text after the comment symbol and paste in the Python
prompt):
57 # print([f(10) for f in fun_list1])
58 # print([f(10) for f in fun_list2])
59 # print([f(10) for f in fun_list3])
60 # print([f(10) for f in fun_list4])

In the first for-loop, the function fun1 uses i, whose value is the last value it was
assigned. In the second loop, the function fun2 uses iv. There is a separate iv
variable for each function, and its value is the value of i when the function was
defined. Thus fun1 uses late binding, and fun2 uses early binding. fun_list3
and fun_list4 are equivalent to the first two (except fun_list4 uses a different
i variable).

One of the advantages of using the embedded definitions (as in fun1 and
fun2 above) over the lambda is that is it possible to add a __doc__ string, which
is the standard for documenting functions in Python, to the embedded defini-
tions.

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 16 1. Python for Artificial Intelligence

1.6 Useful Libraries

1.6.1 Timing Code
In order to compare algorithms, you may want to compute how long a program
takes to run; this is called the run time of the program. The most straightfor-
ward way to compute the run time of foo.bar(aaa) is to use time.perf_counter(),
as in:
import time
start_time = time.perf_counter()
foo.bar(aaa)
end_time = time.perf_counter()
print("Time:", end_time - start_time, "seconds")
Note that time.perf_counter() measures clock time; so this should be done
without user interaction between the calls. On the interactive python shell, you
should do:
start_time = time.perf_counter(); foo.bar(aaa); end_time = time.perf_counter()
If this time is very small (say less than 0.2 second), it is probably very in-
accurate; run your code multiple times to get a more accurate count. For this
you can use timeit (https://docs.python.org/3/library/timeit.html). To
use timeit to time the call to foo.bar(aaa) use:
import timeit
time = timeit.timeit("foo.bar(aaa)",
setup="from __main__ import foo,aaa", number=100)
The setup is needed so that Python can find the meaning of the names in the
string that is called. This returns the number of seconds to execute foo.bar(aaa)
100 times. The number should be set so that the run time is at least 0.2 seconds.
You should not trust a single measurement as that can be confounded by in-
terference from other processes. timeit.repeat can be used for running timeit
a few (say 3) times. When reporting the time of any computation, you should
be explicit and explain what you are reporting. Usually the minimum time is
the one to report (as it is the run with less interference).

1.6.2 Plotting: Matplotlib

The standard plotting for Python is matplotlib (https://matplotlib.org/). We
will use the most basic plotting using the pyplot interface.
Here is a simple example that uses most of AIPython uses. The output is
shown in Figure 1.1.
pythonDemo.py — (continued)

62 import matplotlib.pyplot as plt

63

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 1.6. Useful Libraries 17

The first fun

300 y=(x-40)^2/10-20

250

200
The y axis

150

100 ellipse?

50

0 20 40 60 80 100
The x axis

Figure 1.1: Result of pythonDemo code

64 def myplot(minv,maxv,step,fun1,fun2):
65 global fig, ax # allow them to be used outside myplot()
66 plt.ion() # make it interactive
67 fig, ax = plt.subplots()
68 ax.set_xlabel("The x axis")
69 ax.set_ylabel("The y axis")
70 ax.set_xscale('linear') # Makes a 'log' or 'linear' scale
71 xvalues = range(minv,maxv,step)
72 ax.plot(xvalues,[fun1(x) for x in xvalues],
73 label="The first fun")
74 ax.plot(xvalues,[fun2(x) for x in xvalues], linestyle='--',color='k',
75 label=fun2.__doc__) # use the doc string of the function
76 ax.legend(loc="upper right") # display the legend
77
78 def slin(x):
79 """y=2x+7"""
80 return 2*x+7
81 def sqfun(x):
82 """y=(x-40)^2/10-20"""
83 return (x-40)**2/10-20
84
85 # Try the following from shell:
86 # python -i pythonDemo.py
87 # myplot(0,100,1,slin,sqfun)
88 # ax.legend(loc="best")
89 # import math
90 # ax.plot([41+40*math.cos(th/10) for th in range(50)],

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 18 1. Python for Artificial Intelligence

91 # [100+100*math.sin(th/10) for th in range(50)])

92 # ax.text(40,100,"ellipse?")
93 # ax.set_xscale('log')

At the end of the code are some commented-out commands you should try in
interactive mode. Cut from the file and paste into Python (and remember to
remove the comments symbol and leading space).

1.7 Utilities
1.7.1 Display
To keep things simple, using only standard Python, AIPython code is written
using a text-oriented tracing.
The method self.display is used to trace the program. Any call

self.display(level, to_print . . . )

where the level is less than or equal to the value for max_display_level will be
printed. The to_print . . . can be anything that is accepted by the built-in print
(including any keyword arguments).
The definition of display is:

display.py — A simple way to trace the intermediate steps of algorithms.

11 class Displayable(object):
12 """Class that uses 'display'.
13 The amount of detail is controlled by max_display_level
14 """
15 max_display_level = 1 # can be overridden in subclasses or instances
16
17 def display(self,level,*args,**nargs):
18 """print the arguments if level is less than or equal to the
19 current max_display_level.
20 level is an integer.
21 the other arguments are whatever arguments print can take.
22 """
23 if level <= self.max_display_level:
24 print(*args, **nargs) ##if error you are using Python2 not
Python3

In this code, args gets a tuple of the positional arguments, and nargs gets a
dictionary of the keyword arguments. This will not work in Python 2, and will
give an error.
Any class that wants to use display can be made a subclass of Displayable.
To change the maximum display level to 3 for a class do:

Classname.max_display_level = 3

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 1.7. Utilities 19

which will make calls to display in that class print when the value of level is
less-than-or-equal to 3. The default display level is 1. It can also be changed for
individual objects (the object value overrides the class value).
The value of max_display_level by convention is:

0 display nothing

1 display solutions (nothing that happens repeatedly)

2 also display the values as they change (little detail through a loop)

3 also display more details

4 and above even more detail

To implement a graphical user interface (GUI), the definition of display can

be overridden. See, for example, SearcherGUI in Section 3.2.2 and ConsistencyGUI
in Section 4.4.2. These GUIs use the AIPython code unchanged.

1.7.2 Argmax
Python has a built-in max function that takes a generator (or a list or set) and re-
turns the maximum value. The argmaxall method takes a generator of (element, value)
pairs, as for example is generated by the built-in enumerate(list) for lists or
dict.items() for dictionaries. It returns a list of all elements with maximum
value; argmaxe returns one of these values at random. The argmax method
takes a list and returns the index of a random element that has the maximum
value. argmaxd takes a dictionary and returns a key with maximum value.
utilities.py — AIPython useful utilities
11 import random
12 import math
13
14 def argmaxall(gen):
15 """gen is a generator of (element,value) pairs, where value is a real.
16 argmaxall returns a list of all of the elements with maximal value.
17 """
18 maxv = -math.inf # negative infinity
19 maxvals = [] # list of maximal elements
20 for (e,v) in gen:
21 if v > maxv:
22 maxvals, maxv = [e], v
23 elif v == maxv:
24 maxvals.append(e)
25 return maxvals
26
27 def argmaxe(gen):
28 """gen is a generator of (element,value) pairs, where value is a real.
29 argmaxe returns an element with maximal value.

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 20 1. Python for Artificial Intelligence

30 If there are multiple elements with the max value, one is returned at
random.
31 """
32 return random.choice(argmaxall(gen))
33
34 def argmax(lst):
35 """returns maximum index in a list"""
36 return argmaxe(enumerate(lst))
37 # Try:
38 # argmax([1,6,3,77,3,55,23])
39
40 def argmaxd(dct):
41 """returns the arg max of a dictionary dct"""
42 return argmaxe(dct.items())
43 # Try:
44 # arxmaxd({2:5,5:9,7:7})

Exercise 1.2 Change argmaxe to have an optional argument that specifies whether
you want the “first”, “last” or a “random” index of the maximum value returned.
If you want the first or the last, you don’t need to keep a list of the maximum
elements. Enable the other methods to have this optional argument, if appropriate.

1.7.3 Probability
For many of the simulations, we want to make a variable True with some prob-
ability. flip(p) returns True with probability p, and otherwise returns False.
utilities.py — (continued)

45 def flip(prob):
46 """return true with probability prob"""
47 return random.random() < prob
The select_from_dist method takes in a item : probability dictionary, and
returns one of the items in proportion to its probability. The probabilities
should sum to 1 or more. If they sum to more than one, the excess is ignored.
utilities.py — (continued)

49 def select_from_dist(item_prob_dist):
50 """ returns a value from a distribution.
51 item_prob_dist is an item:probability dictionary, where the
52 probabilities sum to 1.
53 returns an item chosen in proportion to its probability
54 """
55 ranreal = random.random()
56 for (it,prob) in item_prob_dist.items():
57 if ranreal < prob:
58 return it
59 else:
60 ranreal -= prob
61 raise RuntimeError(f"{item_prob_dist} is not a probability
distribution")

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 1.8. Testing Code 21

1.8 Testing Code

It is important to test code early and test it often. We include a simple form of
unit test. In your code, you should do more substantial testing than done here.
Make sure you should also test boundary cases.
The following code tests argmax, but only if utilities is loaded in the top-
level. If it is loaded in a module the test code is not run. The value of the
current module is in __name__ and if the module is run at the top-level, its value
is "__main__". See https://docs.python.org/3/library/__main__.html.

utilities.py — (continued)

63 def test():
64 """Test part of utilities"""
65 assert argmax([1,6,55,3,55,23]) in [2,4]
66 print("Passed unit test in utilities")
67 print("run test_aipython() to test (almost) everything")
68
69 if __name__ == "__main__":
70 test()

The following imports all of the python code and does a simple check of all of
AIPython that has automatic checks. If you develop new algorithms or tests,
add them here!

utilities.py — (continued)

72 def test_aipython():
73 import pythonDemo, display
74 # Agents: currently no tests
75 import agents, agentBuying, agentEnv, agentMiddle, agentTop,
agentFollowTarget
76 # Search:
77 print("***** testing Search *****")
78 import searchGeneric, searchBranchAndBound, searchExample, searchTest
79 searchGeneric.test(searchGeneric.AStarSearcher)
80 searchBranchAndBound.test(searchBranchAndBound.DF_branch_and_bound)
81 searchTest.run(searchExample.problem1,"Problem 1")
82 import searchGUI, searchMPP, searchGrid
83 # CSP
84 print("\n***** testing CSP *****")
85 import cspExamples, cspDFS, cspSearch, cspConsistency, cspSLS
86 cspExamples.test_csp(cspDFS.dfs_solve1)
87 cspExamples.test_csp(cspSearch.solver_from_searcher)
88 cspExamples.test_csp(cspConsistency.ac_solver)
89 cspExamples.test_csp(cspConsistency.ac_search_solver)
90 cspExamples.test_csp(cspSLS.sls_solver)
91 cspExamples.test_csp(cspSLS.any_conflict_solver)
92 import cspConsistencyGUI, cspSoft
93 # Propositions
94 print("\n***** testing Propositional Logic *****")

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 22 1. Python for Artificial Intelligence

95 import logicBottomUp, logicTopDown, logicExplain, logicAssumables,

logicNegation
96 logicBottomUp.test()
97 logicTopDown.test()
98 logicExplain.test()
99 logicNegation.test()
100 # Planning
101 print("\n***** testing Planning *****")
102 import stripsHeuristic
103 stripsHeuristic.test_forward_heuristic()
104 stripsHeuristic.test_regression_heuristic()
105 import stripsCSPPlanner, stripsPOP
106 # Learning
107 print("\n***** Learning with no inputs *****")
108 import learnProblem, learnNoInputs, learnDT, learnLinear
109 learnNoInputs.test_no_inputs(training_sizes=[4])
110 data = learnProblem.Data_from_file('data/carbool.csv', one_hot=True,
target_index=-1, seed=123)
111 print("\n***** Decision Trees *****")
112 learnDT. DT_learner(data).evaluate()
113 print("\n***** Linear Learning *****")
114 learnLinear.Linear_learner(data).evaluate()
115 import learnCrossValidation, learnBoosting
116 # Deep Learning
117 import learnNN
118 print("\n***** testing Neural Network Learning *****")
119 learnNN.NN_from_arch(data, arch=[3]).evaluate()
120 # Uncertainty
121 print("\n***** testing Uncertainty *****")
122 import probGraphicalModels, probRC, probVE, probStochSim
123 probGraphicalModels.InferenceMethod.testIM(probRC.ProbSearch)
124 probGraphicalModels.InferenceMethod.testIM(probRC.ProbRC)
125 probGraphicalModels.InferenceMethod.testIM(probVE.VE)
126 probGraphicalModels.InferenceMethod.testIM(probStochSim.RejectionSampling,
threshold=0.1)
127 probGraphicalModels.InferenceMethod.testIM(probStochSim.LikelihoodWeighting,
threshold=0.1)
128 probGraphicalModels.InferenceMethod.testIM(probStochSim.ParticleFiltering,
threshold=0.1)
129 probGraphicalModels.InferenceMethod.testIM(probStochSim.GibbsSampling,
threshold=0.1)
130 import probHMM, probLocalization, probDBN
131 # Learning under uncertaint
132 print("\n***** Learning under Uncertainty *****")
133 import learnBayesian, learnKMeans, learnEM
134 learnKMeans.testKM()
135 learnEM.testEM()
136 # Causality: currently no tests
137 import probDo, probCounterfactual
138 # Planning under uncertainty

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 1.8. Testing Code 23

139 print("\n***** Planning under Uncertainty *****")

140 import decnNetworks
141 decnNetworks.test(decnNetworks.fire_dn)
142 import mdpExamples
143 mdpExamples.test_MDP(mdpExamples.partyMDP)
144 import mdpGUI
145 # Reinforcement Learning:
146 print("\n***** testing Reinforcement Learning *****")
147 import rlQLearner
148 rlQLearner.test_RL(rlQLearner.Q_learner, alpha_fun=lambda k:10/(9+k))
149 import rlQExperienceReplay
150 rlQLearner.test_RL(rlQExperienceReplay.Q_ER_learner, alpha_fun=lambda
k:10/(9+k))
151 import rlStochasticPolicy
152 rlQLearner.test_RL(rlStochasticPolicy.StochasticPIAgent,
alpha_fun=lambda k:10/(9+k))
153 import rlModelLearner
154 rlQLearner.test_RL(rlModelLearner.Model_based_reinforcement_learner)
155 import rlFeatures
156 rlQLearner.test_RL(rlFeatures.SARSA_LFA_learner,
es_kwargs={'epsilon':1}, eps=4)
157 import rlQExperienceReplay, rlModelLearner, rlFeatures, rlGUI
158 # Multiagent systems: currently no tests
159 import rlStochasticPolicy, rlGameFeature
160 # Individuals and Relations
161 print("\n***** testing Datalog and Logic Programming *****")
162 import relnExamples
163 relnExamples.test_ask_all()
164 # Knowledge Graphs and Ontologies
165 print("\n***** testing Knowledge Graphs and Ontologies *****")
166 import knowledgeGraph, knowledgeReasoning
167 knowledgeGraph.test_kg()
168 # Relational Learning: currently no tests
169 import relnCollFilt, relnProbModels
170 print("\n***** End of Testing*****")

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 Chapter 2

Agent Architectures and

Hierarchical Control

This implements the controllers described in Chapter 2 of Poole and Mack-

worth [2023]. It defines an architecture that is also used by reinforcement learn-
ing (Chapter 13) and multiagent learning (Section 14.2).
AIPython only provides sequential implementations of the control. More
sophisticated version may have them run concurrently. Higher-levels call lower-
levels. The higher-levels calling the lower-level works in simulated environ-
ments where the lower-level are written to make sure they return (and don’t
go on forever), and the higher level doesn’t take too long (as the lower-levels
will wait until called again). More realistic architecture have the layers running
concurrently so the lower layer can keep reacting while the higher layers are
carrying out more complex computation.

2.1 Representing Agents and Environments

Both agents and the environment are treated as objects in the sense of object-
oriented programming, with an internal state they maintain, and can evaluate
methods. In this chapter, only a single agent is allowed; Section 14.2 allows for
multiple agents.
An environment takes in actions of the agents, updates its internal state
and returns the next percept, using the method do.
An agent implements the method select_action that takes a percept and
returns the next action, updating its internal state as appropriate.
The methods do and select_action are chained together to build a simula-
tor. Initially the simulator needs either an action or a percept. There are two
variants used:

25
 26 2. Agent Architectures and Hierarchical Control

• An agent implements the initial_action(percept) method which is used

initially. This is the method used in the reinforcement learning chapter
(page 319).

• The environment implements the initial_percept() method which gives

the initial percept for the agent. This is the method is used in this chapter.

The state of the agent and the state of the environment are represented us-
ing standard Python variables, which are updated as the state changes. The
percept and the actions are represented as variable-value dictionaries.
Agent and Environment are subclasses of Displayable so that they can use
the display method described in Section 1.7.1. raise NotImplementedError()
is a way to specify an abstract method that needs to be overridden in any im-
plemented agent or environment.
agents.py — Agent and Controllers
11 from display import Displayable
12
13 class Agent(Displayable):
14
15 def initial_action(self, percept):
16 """return the initial action."""
17 return self.select_action(percept) # same as select_action
18
19 def select_action(self, percept):
20 """return the next action (and update internal state) given percept
21 percept is variable:value dictionary
22 """
23 raise NotImplementedError("go") # abstract method
The environment implements a do(action) method where action is a variable-
value dictionary. This returns a percept, which is also a variable-value dictio-
nary. The use of dictionaries allows for structured actions and percepts.
Note that
agents.py — (continued)

25 class Environment(Displayable):
26 def initial_percept(self):
27 """returns the initial percept for the agent"""
28 raise NotImplementedError("initial_percept") # abstract method
29
30 def do(self, action):
31 """does the action in the environment
32 returns the next percept """
33 raise NotImplementedError("Environment.do") # abstract method
The simulator is initialized with initial_percept and then the agent and
the environment take turns in updating their states and returning the action
and the percept. This simulator runs for n steps. A slightly more sophisticated
simulator could run until some stopping condition.

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agents.py — (continued)

35 class Simulate(Displayable):
36 """simulate the interaction between the agent and the environment
37 for n time steps.
38 """
39 def __init__(self, agent, environment):
40 self.agent = agent
41 self.env = environment
42 self.percept = self.env.initial_percept()
43 self.percept_history = [self.percept]
44 self.action_history = []
45
46 def go(self, n):
47 for i in range(n):
48 action = self.agent.select_action(self.percept)
49 self.display(2,f"i={i} action={action}")
50 self.percept = self.env.do(action)
51 self.display(2,f" percept={self.percept}")

2.2 Paper buying agent and environment

To run the demo, in folder "aipython", load "agents.py", using e.g.,
ipython -i agentBuying.py, and copy and paste the commented-out
commands at the bottom of that file.

This is an implementation of Example 2.1 of Poole and Mackworth [2023].

You might get different plots to Figures 2.2 and 2.3 as there is randomness in
the environment.

2.2.1 The Environment

The environment state is given in terms of the time and the amount of paper in
stock. It also remembers the in-stock history and the price history. The percept
consists of the price and the amount of paper in stock. The action of the agent
is the number to buy.
Here we assume that the price changes are obtained from the price_delta
list which gives the change in price for each time. When the time is longer than
the list, it repeats the list. Note that the sum of the changes is greater than zero,
so that prices tend to increase. There is also randomness (noise) added to the
prices. The agent cannot access the price model; it just observes the prices and
the amount in stock.
agentBuying.py — Paper-buying agent
11 import random
12 from agents import Agent, Environment, Simulate
13 from utilities import select_from_dist

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14
15 class TP_env(Environment):
16 price_delta = [0, 0, 0, 21, 0, 20, 0, -64, 0, 0, 23, 0, 0, 0, -35,
17 0, 76, 0, -41, 0, 0, 0, 21, 0, 5, 0, 5, 0, 0, 0, 5, 0, -15, 0, 5,
18 0, 5, 0, -115, 0, 115, 0, 5, 0, -15, 0, 5, 0, 5, 0, 0, 0, 5, 0,
19 -59, 0, 44, 0, 5, 0, 5, 0, 0, 0, 5, 0, -65, 50, 0, 5, 0, 5, 0, 0,
20 0, 5, 0]
21 sd = 5 # noise standard deviation
22
23 def __init__(self):
24 """paper buying agent"""
25 self.time=0
26 self.stock=20
27 self.stock_history = [] # memory of the stock history
28 self.price_history = [] # memory of the price history
29
30 def initial_percept(self):
31 """return initial percept"""
32 self.stock_history.append(self.stock)
33 self.price = round(234+self.sd*random.gauss(0,1))
34 self.price_history.append(self.price)
35 return {'price': self.price,
36 'instock': self.stock}
37
38 def do(self, action):
39 """does action (buy) and returns percept consisting of price and
instock"""
40 used = select_from_dist({6:0.1, 5:0.1, 4:0.1, 3:0.3, 2:0.2, 1:0.2})
41 # used = select_from_dist({7:0.1, 6:0.2, 5:0.2, 4:0.3, 3:0.1,
2:0.1}) # uses more paper
42 bought = action['buy']
43 self.stock = self.stock+bought-used
44 self.stock_history.append(self.stock)
45 self.time += 1
46 self.price = round(self.price
47 + self.price_delta[self.time%len(self.price_delta)] #
repeating pattern
48 + self.sd*random.gauss(0,1)) # plus randomness
49 self.price_history.append(self.price)
50 return {'price': self.price,
51 'instock': self.stock}

2.2.2 The Agent

The agent does not have access to the price model but can only observe the
current price and the amount in stock. It has to decide how much to buy.
The belief state of the agent is an estimate of the average price of the paper,
and the total amount of money the agent has spent.
agentBuying.py — (continued)

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 2.2. Paper buying agent and environment 29

53 class TP_agent(Agent):
54 def __init__(self):
55 self.spent = 0
56 percept = env.initial_percept()
57 self.ave = self.last_price = percept['price']
58 self.instock = percept['instock']
59 self.buy_history = []
60
61 def select_action(self, percept):
62 """return next action to carry out
63 """
64 self.last_price = percept['price']
65 self.ave = self.ave+(self.last_price-self.ave)*0.05
66 self.instock = percept['instock']
67 if self.last_price < 0.9*self.ave and self.instock < 60:
68 tobuy = 48
69 elif self.instock < 12:
70 tobuy = 12
71 else:
72 tobuy = 0
73 self.spent += tobuy*self.last_price
74 self.buy_history.append(tobuy)
75 return {'buy': tobuy}

Set up an environment and an agent. Uncomment the last lines to run the agent
for 90 steps, and determine the average amount spent.
agentBuying.py — (continued)

77 env = TP_env()
78 ag = TP_agent()
79 sim = Simulate(ag,env)
80 #sim.go(90)
81 #ag.spent/env.time ## average spent per time period

2.2.3 Plotting
The following plots the price and number in stock history:
agentBuying.py — (continued)

83 import matplotlib.pyplot as plt

84
85 class Plot_history(object):
86 """Set up the plot for history of price and number in stock"""
87 def __init__(self, ag, env):
88 self.ag = ag
89 self.env = env
90 plt.ion()
91 fig, self.ax = plt.subplots()
92 self.ax.set_xlabel("Time")
93 self.ax.set_ylabel("Value")

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 30 2. Agent Architectures and Hierarchical Control

300

250

200 Price
Value

In stock
150 Bought

100

50

0
0 20 40 60 80
Time
Figure 2.1: Percept and command traces for the paper-buying agent

94
95 def plot_env_hist(self):
96 """plot history of price and instock"""
97 num = len(env.stock_history)
98 self.ax.plot(range(num),env.price_history,label="Price")
99 self.ax.plot(range(num),env.stock_history,label="In stock")
100 self.ax.legend()
101
102 def plot_agent_hist(self):
103 """plot history of buying"""
104 num = len(ag.buy_history)
105 self.ax.bar(range(1,num+1), ag.buy_history, label="Bought")
106 self.ax.legend()
107
108 # sim.go(100); print(f"agent spent ${ag.spent/100}")
109 # pl = Plot_history(ag,env); pl.plot_env_hist(); pl.plot_agent_hist()

Figure 2.1 shows the result of the plotting in the previous code.
Exercise 2.1 Design a better controller for a paper-buying agent.

• Justify a performance measure that is a fair comparison. Note that minimiz-

ing the total amount of money spent may be unfair to agents who have built
up a stockpile, and favors agents that end up with no paper.

• Give a controller that can work for many different price histories. An agent
can use other local state variables, but does not have access to the environ-
ment model.

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 2.3. Hierarchical Controller 31

• Is it worthwhile trying to infer the amount of paper that the home uses?
(Try your controller with the different paper consumption commented out
in TP_env.do.)

2.3 Hierarchical Controller

To run the hierarchical controller, in folder "aipython", load
"agentTop.py", using e.g., ipython -i agentTop.py, and copy and paste
the commands near the bottom of that file.

In this implementation, each layer, including the top layer, implements the en-
vironment class, because each layer is seen as an environment from the layer
above.
The robot controller is decomposed as follows. The world defines the walls.
The body describes the robot’s position, and its physical abilities such as whether
its whisker sensor of on. The body can be told to steer left or right or to go
straight. The middle layer can be told to go to x-y positions, avoiding walls.
The top layer knows about named locations, such as the storage room and lo-
cation o103, and their x-y positions. It can be told a sequence of locations, and
tells the middle layer to go to the positions of the locations in turn.

2.3.1 Body
Rob_body defines everything about the agent body, its position and orientation
and whether its whisker sensor is on. It implements the Environment class as
it is treated as an environment by the higher layers. It can be told to turn left
or right or to go straight.
agentEnv.py — Agent environment
11 import math
12 from agents import Environment
13 import matplotlib.pyplot as plt
14 import time
15
16 class Rob_body(Environment):
17 def __init__(self, world, init_pos=(0,0), init_dir=90):
18 """ world is the current world
19 init_pos is a pair of (x-position, y-position)
20 init_dir is a direction in degrees; 0 is to right, 90 is
straight-up, etc
21 """
22 self.world = world
23 self.rob_pos = init_pos
24 self.rob_dir = init_dir
25 self.turning_angle = 18 # degrees that a left makes
26 self.whisker_length = 6 # length of the whisker
27 self.whisker_angle = 30 # angle of whisker relative to robot

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28 self.crashed = False
29
30 def percept(self):
31 return {'rob_pos':self.rob_pos,
32 'rob_dir':self.rob_dir, 'whisker':self.whisker(),
'crashed':self.crashed}
33 initial_percept = percept # use percept function for initial percept too
34
35 def do(self, action):
36 """ action is {'steer':direction}
37 direction is 'left', 'right' or 'straight'.
38 Returns current percept.
39 """
40 if self.crashed:
41 return self.percept()
42 direction = action['steer']
43 compass_deriv =
{'left':1,'straight':0,'right':-1}[direction]*self.turning_angle
44 self.rob_dir = (self.rob_dir + compass_deriv +360)%360 # make in
range [0,360)
45 x,y = self.rob_pos
46 rob_pos_new = (x + math.cos(self.rob_dir*math.pi/180),
47 y + math.sin(self.rob_dir*math.pi/180))
48 path = (self.rob_pos,rob_pos_new)
49 if any(line_segments_intersect(path,wall) for wall in
self.world.walls):
50 self.crashed = True
51 self.rob_pos = rob_pos_new
52 self.world.do({'rob_pos':self.rob_pos,
53 'crashed':self.crashed, 'whisker':self.whisker()})
54 return self.percept()

The Boolean whisker method returns True when the the robots whisker sensor
intersects with a wall.

agentEnv.py — (continued)

56 def whisker(self):
57 """returns true whenever the whisker sensor intersects with a wall
58 """
59 whisk_ang_world = (self.rob_dir-self.whisker_angle)*math.pi/180
60 # angle in radians in world coordinates
61 (x,y) = self.rob_pos
62 wend = (x + self.whisker_length * math.cos(whisk_ang_world),
63 y + self.whisker_length * math.sin(whisk_ang_world))
64 whisker_line = (self.rob_pos, wend)
65 hit = any(line_segments_intersect(whisker_line,wall)
66 for wall in self.world.walls)
67 return hit
68
69 def line_segments_intersect(linea, lineb):
70 """returns true if the line segments, linea and lineb intersect.

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71 A line segment is represented as a pair of points.

72 A point is represented as a (x,y) pair.
73 """
74 ((x0a,y0a),(x1a,y1a)) = linea
75 ((x0b,y0b),(x1b,y1b)) = lineb
76 da, db = x1a-x0a, x1b-x0b
77 ea, eb = y1a-y0a, y1b-y0b
78 denom = db*ea-eb*da
79 if denom==0: # line segments are parallel
80 return False
81 cb = (da*(y0b-y0a)-ea*(x0b-x0a))/denom # intersect along line b
82 if cb<0 or cb>1:
83 return False # intersect is outside line segment b
84 ca = (db*(y0b-y0a)-eb*(x0b-x0a))/denom # intersect along line a
85 return 0<=ca<=1 # intersect is inside both line segments
86
87 # Test cases:
88 # assert line_segments_intersect(((0,0),(1,1)),((1,0),(0,1)))
89 # assert not line_segments_intersect(((0,0),(1,1)),((1,0),(0.6,0.4)))
90 # assert line_segments_intersect(((0,0),(1,1)),((1,0),(0.4,0.6)))

2.3.2 Middle Layer

The middle layer acts like both a controller (for the body layer) and an envi-
ronment for the upper layer. It has to tell the body how to steer. Thus it calls
env.do(·), where env is the body. It implements do(\cdot) for the top layer,
where the action specifies an x-y position to go to and a timeout.

agentMiddle.py — Middle Layer

11 from agents import Environment
12 import math
13
14 class Rob_middle_layer(Environment):
15 def __init__(self, lower):
16 """The lower-level for the middle layer is the body.
17 """
18 self.lower = lower
19 self.percept = lower.initial_percept()
20 self.straight_angle = 11 # angle that is close enough to straight
ahead
21 self.close_threshold = 1 # distance that is close enough to arrived
22 self.close_threshold_squared = self.close_threshold**2 # just
compute it once
23
24 def initial_percept(self):
25 return {}
26
27 def do(self, action):
28 """action is {'go_to':target_pos,'timeout':timeout}

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29 target_pos is (x,y) pair

30 timeout is the number of steps to try
31 returns {'arrived':True} when arrived is true
32 or {'arrived':False} if it reached the timeout
33 """
34 if 'timeout' in action:
35 remaining = action['timeout']
36 else:
37 remaining = -1 # will never reach 0
38 target_pos = action['go_to']
39 arrived = self.close_enough(target_pos)
40 while not arrived and remaining != 0:
41 self.percept = self.lower.do({"steer":self.steer(target_pos)})
42 remaining -= 1
43 arrived = self.close_enough(target_pos)
44 return {'arrived':arrived}

The following method determines how to steer depending on whether the goal
is to the right or the left of where the robot is facing.

agentMiddle.py — (continued)

46 def steer(self, target_pos):

47 if self.percept['whisker']:
48 self.display(3,'whisker on', self.percept)
49 return "left"
50 else:
51 return self.head_towards(target_pos)
52
53 def head_towards(self, target_pos):
54 """ given a target position, return the action that heads
towards that position
55 """
56 gx,gy = target_pos
57 rx,ry = self.percept['rob_pos']
58 goal_dir = math.acos((gx-rx)/math.sqrt((gx-rx)*(gx-rx)
59 +(gy-ry)*(gy-ry)))*180/math.pi
60 if ry>gy:
61 goal_dir = -goal_dir
62 goal_from_rob = (goal_dir - self.percept['rob_dir']+540)%360-180
63 assert -180 < goal_from_rob <= 180
64 if goal_from_rob > self.straight_angle:
65 return "left"
66 elif goal_from_rob < -self.straight_angle:
67 return "right"
68 else:
69 return "straight"
70
71 def close_enough(self, target_pos):
72 """True when the robot's position is within close_threshold of
target_pos
73 """

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74 gx,gy = target_pos
75 rx,ry = self.percept['rob_pos']
76 return (gx-rx)**2 + (gy-ry)**2 <= self.close_threshold_squared

2.3.3 Top Layer

The top layer treats the middle layer as its environment. Note that the top layer
is an environment for us to tell it what to visit.

agentTop.py — Top Layer

11 from display import Displayable
12 from agentMiddle import Rob_middle_layer
13 from agents import Agent, Environment
14
15 class Rob_top_layer(Agent, Environment):
16 def __init__(self, lower, world, timeout=200 ):
17 """lower is the lower layer
18 world is the world (which knows where the locations are)
19 timeout is the number of steps the middle layer goes before giving
up
20 """
21 self.lower = lower
22 self.world = world
23 self.timeout = timeout # number of steps before the middle layer
should give up
24
25 def do(self,plan):
26 """carry out actions.
27 actions is of the form {'visit':list_of_locations}
28 It visits the locations in turn.
29 """
30 to_do = plan['visit']
31 for loc in to_do:
32 position = self.world.locations[loc]
33 arrived = self.lower.do({'go_to':position,
'timeout':self.timeout})
34 self.display(1,"Goal",loc,arrived)

2.3.4 World
The world defines the walls and implements tracing.

agentEnv.py — (continued)

92 import math
93 from display import Displayable
94 import matplotlib.pyplot as plt
95
96 class World(Environment):

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97 def __init__(self, walls = {}, locations = {},

plot_size=(-10,120,-10,60)):
98 """walls is a set of line segments
99 where each line segment is of the form ((x0,y0),(x1,y1))
100 locations is a loc:pos dictionary
101 where loc is a named location, and pos is an (x,y) position.
102 """
103 self.walls = walls
104 self.locations = locations
105 self.loc2text = {}
106 self.history = [] # list of (pos, whisker, crashed)
107 # The following control how it is plotted
108 plt.ion()
109 fig, self.ax = plt.subplots()
110 #self.ax.set_aspect('equal')
111 self.ax.axis(plot_size)
112 self.sleep_time = 0.05 # time between actions (for real-time
plotting)
113 self.draw()
114
115 def do(self, action):
116 """action is {'rob_pos':(x,y), 'whisker':Boolean, 'crashed':Boolean}
117 """
118 self.history.append((action['rob_pos'],action['whisker'],action['crashed']))
119 x,y = action['rob_pos']
120 if action['crashed']:
121 self.display(1, "*Crashed*")
122 self.ax.plot([x],[y],"r*",markersize=20.0)
123 elif action['whisker']:
124 self.ax.plot([x],[y],"ro")
125 else:
126 self.ax.plot([x],[y],"go")
127 plt.draw()
128 plt.pause(self.sleep_time)
129 return {'walls':self.walls}

2.3.5 Plotting
The following is used to plot the locations, the walls and (eventually) the move-
ment of the robot. It can either plot the movement if the robot as it is go-
ing (with the default env.plotting = True), or not plot it as it is going (setting
env.plotting = False; in this case the trace can be plotted using pl.plot_run()).

agentEnv.py — (continued)

131 def draw(self):

132 for wall in self.walls:
133 ((x0,y0),(x1,y1)) = wall
134 self.ax.plot([x0,x1],[y0,y1],"-k",linewidth=3)
135 for loc in self.locations:

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 2.3. Hierarchical Controller 37

storage
50
40
30
20
10 mail o103 o109

0 20 40 60 80 100
Figure 2.2: A trace of the trajectory of the agent. Red dots correspond to the
whisker sensor being on; the green dot to the whisker sensor being off. The agent
starts at position (0, 0) facing up.

136 self.plot_loc(loc)
137
138 def plot_loc(self, loc):
139 (x,y) = self.locations[loc]
140 if loc in self.loc2text:
141 for e in self.loc2text[loc]:
142 e.remove() # e.set_visible(False)
143 self.loc2text[loc] = (
self.ax.text(x,y,"*",ha="center",va="center",size=20),
144 self.ax.text(x+2.0,y+1,loc)) # label above and to
the right
The following example shows a plot of the agent as it acts in the world.
Figure 2.2 shows the result of the commented-out top.do
agentTop.py — (continued)

36 from agentEnv import Rob_body, World

37
38 def rob_ex():
39 global world, body, middle, top
40 world = World(walls = {((20,0),(30,20)), ((70,-5),(70,25))},
41 locations = {'mail':(-5,10),
42 'o103':(50,10),
'o109':(100,10),'storage':(101,51)})
43 body = Rob_body(world)
44 middle = Rob_middle_layer(body)
45 top = Rob_top_layer(middle, world)
46
47 # try:
48 # top.do({'visit':['o109','storage','o109','o103']})
49 # You can directly control the middle layer:

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 38 2. Agent Architectures and Hierarchical Control

60

50

40

30
*goal
20

10

10
0 20 40 60 80 100 120

Figure 2.3: Robot trap

50 # middle.do({'go_to':(30,-5), 'timeout':200})
51 # Can you make it go around in circles?
52 # Can you make it crash?
53
54 if __name__ == "__main__":
55 rob_ex()
56 print("Try: top.do({'visit':['o109','storage','o109','o103']})")

Exercise 2.2 When does the robot go in circles? How could this be recognized
and/or avoided?
Exercise 2.3 When does the agent crash? What sensor would avoid that? (Think
about the worse configuration of walls.) Design a whisker-like sensor that never
crashes (assuming it starts far enough from a wall) and allows the robot to go as
close as possible to a wall.
Exercise 2.4 The following implements a robot trap (Figure 2.3). It is called a
trap because, once it has hit the wall, it needs to follow the wall, but local features
are not enough for it to know when it can head to the goal. Write a controller that
can escape the “trap” and get to the goal. Would a beter sensor work? See Exercise
2.4 in the textbook for hints.

agentTop.py — (continued)

58 # Robot Trap for which the current controller cannot escape:

59 def robot_trap():
60 global trap_world, trap_body, trap_middle, trap_top
61 trap_world = World({((10, 51), (60, 51)), ((30, 10), (30, 20)),
62 ((10, -1), (10, 20)), ((10, 30), (10, 51)),
63 ((30, 30), (30, 40)), ((10, -1), (60, -1)),
64 ((10, 30), (30, 30)), ((10, 20), (30, 20)),
65 ((60, -1), (60, 51))},
66 locations={'goal':(90,25)})

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 2.3. Hierarchical Controller 39

67 trap_body = Rob_body(trap_world,init_pos=(0,25), init_dir=90)

68 trap_middle = Rob_middle_layer(trap_body)
69 trap_top = Rob_top_layer(trap_middle, trap_world)
70
71 # Robot trap exercise:
72 # robot_trap()
73 # trap_body.do({'steer':'straight'})
74 # trap_top.do({'visit':['goal']})
75 # What if the goal was further to the right?

Plotting for Moving Targets

Exercise 2.5 of Poole and Mackworth [2023] refers to targets that can move. The
following implements targets than can be moved using the mouse. To move a
target using the mouse, press on the target, move it, and release at the desired
location. This can be done while the animation is running.

agentFollowTarget.py — Plotting for moving targets

11 import matplotlib.pyplot as plt
12 from agentEnv import Rob_body, World
13 from agentMiddle import Rob_middle_layer
14 from agentTop import Rob_top_layer
15
16 class World_follow(World):
17 def __init__(self, walls = {}, locations = {}, epsilon=5):
18 """plot the agent in the environment.
19 epsilon is the threshold how how close someone needs to click to
select a location.
20 """
21 self.epsilon = epsilon
22 World.__init__(self, walls, locations)
23 self.canvas = self.ax.figure.canvas
24 self.canvas.mpl_connect('button_press_event', self.on_press)
25 self.canvas.mpl_connect('button_release_event', self.on_release)
26 self.canvas.mpl_connect('motion_notify_event', self.on_move)
27 self.pressloc = None
28 for loc in self.locations:
29 self.display(2,f" loc {loc} at {self.locations[loc]}")
30
31 def on_press(self, event):
32 print("press", event)
33 self.display(2,'v',end="")
34 self.display(2,f"Press at ({event.xdata},{event.ydata}")
35 self.pressloc = None
36 if event.xdata:
37 for loc in self.locations:
38 lx,ly = self.locations[loc]
39 if abs(event.xdata- lx) <= self.epsilon and abs(event.ydata-
ly) <= self.epsilon :

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40 self.display(2,f"moving {loc} from ({event.xdata},

{event.ydata})" )
41 self.pressloc = loc
42
43 def on_release(self, event):
44 self.display(2,'^',end="")
45 if self.pressloc is not None and event.xdata:
46 self.display(2,f"Placing {self.pressloc} at {(event.xdata,
event.ydata)}")
47 self.locations[self.pressloc] = (event.xdata, event.ydata)
48 self.plot_loc(self.pressloc)
49 self.pressloc = None
50
51 def on_move(self, event):
52 if self.pressloc is not None and event.inaxes:
53 self.display(2,'-',end="")
54 self.locations[self.pressloc] = (event.xdata, event.ydata)
55 self.plot_loc(self.pressloc)
56 else:
57 self.display(2,'.',end="")
58
59 def rob_follow():
60 global world, body, middle, top
61 world = World_follow(walls = {((20,0),(30,20)), ((70,-5),(70,25))},
62 locations = {'mail':(-5,10), 'o103':(50,10),
63 'o109':(100,10),'storage':(101,51)})
64 body = Rob_body(world)
65 middle = Rob_middle_layer(body)
66 top = Rob_top_layer(middle, world)
67
68 # top.do({'visit':['o109','storage','o109','o103']})
69
70 if __name__ == "__main__":
71 rob_follow()
72 print("Try: top.do({'visit':['o109','storage','o109','o103']})")

Exercise 2.5 Do Exercise 2.5 of Poole and Mackworth [2023].

Exercise 2.6 Change the code to also allow walls to move.

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 Chapter 3

Searching for Solutions

3.1 Representing Search Problems

A search problem consists of:

• a start node

• a neighbors function that given a node, returns an enumeration of the arcs

from the node

• a specification of a goal in terms of a Boolean function that takes a node

and returns true if the node is a goal

• a (optional) heuristic function that, given a node, returns a non-negative

real number. The heuristic function defaults to zero.

As far as the searcher is concerned a node can be anything. If multiple-path

pruning is used, a node must be hashable. In the simple examples, it is a string,
but in more complicated examples (in later chapters) it can be a tuple, a frozen
set, or a Python object.
In the following code, “raise NotImplementedError()” is a way to specify
that this is an abstract method that needs to be overridden to define an actual
search problem.
searchProblem.py — representations of search problems
11 from display import Displayable
12 import matplotlib.pyplot as plt
13 import random
14
15 class Search_problem(Displayable):
16 """A search problem consists of:

41
 42 3. Searching for Solutions

17 * a start node
18 * a neighbors function that gives the neighbors of a node
19 * a specification of a goal
20 * a (optional) heuristic function.
21 The methods must be overridden to define a search problem."""
22
23 def start_node(self):
24 """returns start node"""
25 raise NotImplementedError("start_node") # abstract method
26
27 def is_goal(self,node):
28 """is True if node is a goal"""
29 raise NotImplementedError("is_goal") # abstract method
30
31 def neighbors(self,node):
32 """returns a list (or enumeration) of the arcs for the neighbors of
node"""
33 raise NotImplementedError("neighbors") # abstract method
34
35 def heuristic(self,n):
36 """Gives the heuristic value of node n.
37 Returns 0 if not overridden."""
38 return 0

The neighbors is a list or enumeration of arcs. A (directed) arc is the pair

(from_node,to_node), but can also contain a non-negative cost (which defaults
to 1) and can be labeled with an action. The action is not used for the search,
but is useful for displaying and for plans (sequences of of actions).

searchProblem.py — (continued)

40 class Arc(object):
41 """An arc consists of
42 a from_node and a to_node node
43 a (non-negative) cost
44 an (optional) action
45 """
46 def __init__(self, from_node, to_node, cost=1, action=None):
47 self.from_node = from_node
48 self.to_node = to_node
49 self.cost = cost
50 assert cost >= 0, (f"Cost cannot be negative: {self}, cost={cost}")
51 self.action = action
52
53 def __repr__(self):
54 """string representation of an arc"""
55 if self.action:
56 return f"{self.from_node} --{self.action}--> {self.to_node}"
57 else:
58 return f"{self.from_node} --> {self.to_node}"

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 3.1. Representing Search Problems 43

3.1.1 Explicit Representation of Search Graph

The first representation of a search problem is from an explicit graph (as op-
posed to one that is generated as needed).
An explicit graph consists of

• a list or set of nodes

• a list or set of arcs

• a start node

• a list or set of goal nodes

• (optionally) a hmap dictionary that maps a node to a heuristic value

for that node. This could conceivably have been part of nodes, but the
heuristic value depends on the goals.

• (optionally) a positions dictionary that maps nodes to their x-y position.

This is for showing the graph visually.

To define a search problem, you need to define the start node, the goal predi-
cate, the neighbors function and, for some algorithms, a heuristic function.
searchProblem.py — (continued)

60 class Search_problem_from_explicit_graph(Search_problem):
61 """A search problem from an explicit graph.
62 """
63
64 def __init__(self, title, nodes, arcs, start=None, goals=set(), hmap={},
65 positions=None):
66 """ A search problem consists of:
67 * list or set of nodes
68 * list or set of arcs
69 * start node
70 * list or set of goal nodes
71 * hmap: dictionary that maps each node into its heuristic value.
72 * positions: dictionary that maps each node into its (x,y) position
73 """
74 self.title = title
75 self.neighs = {}
76 self.nodes = nodes
77 for node in nodes:
78 self.neighs[node]=[]
79 self.arcs = arcs
80 for arc in arcs:
81 self.neighs[arc.from_node].append(arc)
82 self.start = start
83 self.goals = goals
84 self.hmap = hmap
85 if positions is None:

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 44 3. Searching for Solutions

86 self.positions = {node:(random.random(),random.random()) for

node in nodes}
87 else:
88 self.positions = positions
89
90 def start_node(self):
91 """returns start node"""
92 return self.start
93
94 def is_goal(self,node):
95 """is True if node is a goal"""
96 return node in self.goals
97
98 def neighbors(self,node):
99 """returns the neighbors of node (a list of arcs)"""
100 return self.neighs[node]
101
102 def heuristic(self,node):
103 """Gives the heuristic value of node n.
104 Returns 0 if not overridden in the hmap."""
105 if node in self.hmap:
106 return self.hmap[node]
107 else:
108 return 0
109
110 def __repr__(self):
111 """returns a string representation of the search problem"""
112 res=""
113 for arc in self.arcs:
114 res += f"{arc}. "
115 return res

Graphical Display of a Search Graph

The show() method displays the graph, and is used for the figures in this doc-
ument.
searchProblem.py — (continued)

117 def show(self, fontsize=10, node_color='orange', show_costs = True):

118 """Show the graph as a figure
119 """
120 self.fontsize = fontsize
121 self.show_costs = show_costs
122 plt.ion() # interactive
123 fig, ax = plt.subplots()
124 ax.set_axis_off()
125 ax.set_title(self.title, fontsize=fontsize)
126 self.show_graph(ax, node_color)
127
128 def show_graph(self, ax, node_color='orange'):

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 3.1. Representing Search Problems 45

129 bbox =
dict(boxstyle="round4,pad=1.0,rounding_size=0.5",facecolor=node_color)
130 for arc in self.arcs:
131 self.show_arc(ax, arc)
132 for node in self.nodes:
133 self.show_node(ax, node, node_color = node_color)
134
135 def show_node(self, ax, node, node_color):
136 x,y = self.positions[node]
137 ax.text(x,y,node,bbox=dict(boxstyle="round4,pad=1.0,rounding_size=0.5",
138 facecolor=node_color),
139 ha='center',va='center', fontsize=self.fontsize)
140
141 def show_arc(self, ax, arc, arc_color='black', node_color='white'):
142 from_pos = self.positions[arc.from_node]
143 to_pos = self.positions[arc.to_node]
144 ax.annotate(arc.to_node, from_pos, xytext=to_pos,
145 arrowprops={'arrowstyle':'<|-', 'linewidth': 2,
146 'color':arc_color},
147 bbox=dict(boxstyle="round4,pad=1.0,rounding_size=0.5",
148 facecolor=node_color),
149 ha='center',va='center',
150 fontsize=self.fontsize)
151 # Add costs to middle of arcs:
152 if self.show_costs:
153 ax.text((from_pos[0]+to_pos[0])/2, (from_pos[1]+to_pos[1])/2,
154 arc.cost, bbox=dict(pad=1,fc='w',ec='w'),
155 ha='center',va='center',fontsize=self.fontsize)

3.1.2 Paths
A searcher will return a path from the start node to a goal node. A Python list
is not a suitable representation for a path, as many search algorithms consider
multiple paths at once, and these paths should share initial parts of the path.
If we wanted to do this with Python lists, we would need to keep copying the
list, which can be expensive if the list is long. An alternative representation is
used here in terms of a recursive data structure that can share subparts.
A path is either:

• a node (representing a path of length 0) or

• an initial path, and an arc at the end, where the from_node of the arc is the
node at the end of the initial path.

These cases are distinguished in the following code by having arc=None if the
path has length 0, in which case initial is the node of the path. Note that
we only use the most basic form of Python’s yield for enumerations (Section
1.5.3).

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 46 3. Searching for Solutions

searchProblem.py — (continued)

157 class Path(object):

158 """A path is either a node or a path followed by an arc"""
159
160 def __init__(self,initial,arc=None):
161 """initial is either a node (in which case arc is None) or
162 a path (in which case arc is an object of type Arc)"""
163 self.initial = initial
164 self.arc=arc
165 if arc is None:
166 self.cost=0
167 else:
168 self.cost = initial.cost+arc.cost
169
170 def end(self):
171 """returns the node at the end of the path"""
172 if self.arc is None:
173 return self.initial
174 else:
175 return self.arc.to_node
176
177 def nodes(self):
178 """enumerates the nodes of the path from the last element backwards
179 """
180 current = self
181 while current.arc is not None:
182 yield current.arc.to_node
183 current = current.initial
184 yield current.initial
185
186 def initial_nodes(self):
187 """enumerates the nodes for the path before the end node.
188 This calls nodes() for the initial part of the path.
189 """
190 if self.arc is not None:
191 yield from self.initial.nodes()
192
193 def __repr__(self):
194 """returns a string representation of a path"""
195 if self.arc is None:
196 return str(self.initial)
197 elif self.arc.action:
198 return f"{self.initial}\n --{self.arc.action}-->
{self.arc.to_node}"
199 else:
200 return f"{self.initial} --> {self.arc.to_node}"

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 3.1. Representing Search Problems 47

Problem 1
A

1 3

C 1 B

3 1 3

D 1 G

Figure 3.1: problem1

3.1.3 Example Search Problems

The first search problem is one with 5 nodes where the least-cost path is one
with many arcs. See Figure 3.1, generated using problem1.show(). Note that
this example is used for the unit tests, so the test (in searchGeneric) will need
to be changed if this is changed.

searchExample.py — Search Examples

11 from searchProblem import Arc, Search_problem_from_explicit_graph,
Search_problem
12
13 problem1 = Search_problem_from_explicit_graph('Problem 1',
14 {'A','B','C','D','G'},
15 [Arc('A','B',3), Arc('A','C',1), Arc('B','D',1), Arc('B','G',3),
16 Arc('C','B',1), Arc('C','D',3), Arc('D','G',1)],
17 start = 'A',
18 goals = {'G'},
19 positions={'A': (0, 1), 'B': (0.5, 0.5), 'C': (0,0.5),
20 'D': (0.5,0), 'G': (1,0)})

The second search problem is one with 8 nodes where many paths do not lead
to the goal. See Figure 3.2.

searchExample.py — (continued)

22 problem2 = Search_problem_from_explicit_graph('Problem 2',

23 {'A','B','C','D','E','G','H','J'},
24 [Arc('A','B',1), Arc('B','C',3), Arc('B','D',1), Arc('D','E',3),
25 Arc('D','G',1), Arc('A','H',3), Arc('H','J',1)],
26 start = 'A',
27 goals = {'G'},
28 positions={'A':(0, 1), 'B':(0, 3/4), 'C':(0,0), 'D':(1/4,3/4),
29 'E':(1/4,0), 'G':(2/4,3/4), 'H':(3/4,1), 'J':(3/4,3/4)})

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 48 3. Searching for Solutions

Problem 2
A 3 H
1 1
B 1 D 1 G J

3 3

C E

Figure 3.2: problem2

The third search problem is a disconnected graph (contains no arcs), where the
start node is a goal node. This is a boundary case to make sure that weird cases
work.

searchExample.py — (continued)

31 problem3 = Search_problem_from_explicit_graph('Problem 3',

32 {'a','b','c','d','e','g','h','j'},
33 [],
34 start = 'g',
35 goals = {'k','g'})

The simp_delivery_graph is shown Figure 3.3. This is the same as Figure

3.3 of Poole and Mackworth [2023].

searchExample.py — (continued)

37 simp_delivery_graph = Search_problem_from_explicit_graph("Acyclic Delivery

Graph",
38 {'A', 'B', 'C', 'D', 'E', 'F', 'G', 'H', 'J'},
39 [ Arc('A', 'B', 2),
40 Arc('A', 'C', 3),
41 Arc('A', 'D', 4),
42 Arc('B', 'E', 2),
43 Arc('B', 'F', 3),
44 Arc('C', 'J', 7),
45 Arc('D', 'H', 4),
46 Arc('F', 'D', 2),

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 3.1. Representing Search Problems 49

Acyclic Delivery Graph

J 4 G

3
E
H
2
7
B 3 F
4
2 2

C 3 A 4 D

Figure 3.3: simp_delivery_graph.show()

47 Arc('H', 'G', 3),

48 Arc('J', 'G', 4)],
49 start = 'A',
50 goals = {'G'},
51 hmap = {
52 'A': 7,
53 'B': 5,
54 'C': 9,
55 'D': 6,
56 'E': 3,
57 'F': 5,
58 'G': 0,
59 'H': 3,
60 'J': 4,
61 },
62 positions = {
63 'A': (0.4,0.1),
64 'B': (0.4,0.4),
65 'C': (0.1,0.1),
66 'D': (0.7,0.1),
67 'E': (0.6,0.7),
68 'F': (0.7,0.4),
69 'G': (0.7,0.9),
70 'H': (0.9,0.6),
71 'J': (0.3,0.9)
72 }

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 50 3. Searching for Solutions

Cyclic Delivery Graph

J 4 G

3
E
H
2
6
B 3 F
4
2 2

C 3 A 4 D

Figure 3.4: cyclic_simp_delivery_graph.show()

73 )
cyclic_simp_delivery_graph is the graph shown Figure 3.4. This is the
graph of Figure 3.10 of [Poole and Mackworth, 2023]. The heuristic values are
the same as in simp_delivery_graph.
searchExample.py — (continued)

74 cyclic_simp_delivery_graph = Search_problem_from_explicit_graph("Cyclic
Delivery Graph",
75 {'A', 'B', 'C', 'D', 'E', 'F', 'G', 'H', 'J'},
76 [ Arc('A', 'B', 2),
77 Arc('A', 'C', 3),
78 Arc('A', 'D', 4),
79 Arc('B', 'E', 2),
80 Arc('B', 'F', 3),
81 Arc('C', 'A', 3),
82 Arc('C', 'J', 6),
83 Arc('D', 'A', 4),
84 Arc('D', 'H', 4),
85 Arc('F', 'B', 3),
86 Arc('F', 'D', 2),
87 Arc('G', 'H', 3),
88 Arc('G', 'J', 4),
89 Arc('H', 'D', 4),
90 Arc('H', 'G', 3),
91 Arc('J', 'C', 6),
92 Arc('J', 'G', 4)],

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 3.1. Representing Search Problems 51

93 start = 'A',
94 goals = {'G'},
95 hmap = {
96 'A': 7,
97 'B': 5,
98 'C': 9,
99 'D': 6,
100 'E': 3,
101 'F': 5,
102 'G': 0,
103 'H': 3,
104 'J': 4,
105 },
106 positions = {
107 'A': (0.4,0.1),
108 'B': (0.4,0.4),
109 'C': (0.1,0.1),
110 'D': (0.7,0.1),
111 'E': (0.6,0.7),
112 'F': (0.7,0.4),
113 'G': (0.7,0.9),
114 'H': (0.9,0.6),
115 'J': (0.3,0.9)
116 })

The next problem is the tree graph shown in Figure 3.5, and is Figure 3.15
in Poole and Mackworth [2023].

searchExample.py — (continued)

118 tree_graph = Search_problem_from_explicit_graph("Tree Graph",

119 {'A', 'B', 'C', 'D', 'E', 'F', 'G', 'H', 'I', 'J', 'K', 'L', 'M', 'N',
'O',
120 'P', 'Q', 'R', 'S', 'T', 'U', 'V', 'W', 'X', 'Y', 'Z', 'AA', 'BB',
'CC',
121 'DD', 'EE', 'FF', 'GG', 'HH', 'II', 'JJ', 'KK'},
122 [ Arc('A', 'B', 1),
123 Arc('A', 'C', 1),
124 Arc('B', 'D', 1),
125 Arc('B', 'E', 1),
126 Arc('C', 'F', 1),
127 Arc('C', 'G', 1),
128 Arc('D', 'H', 1),
129 Arc('D', 'I', 1),
130 Arc('E', 'J', 1),
131 Arc('E', 'K', 1),
132 Arc('F', 'L', 1),
133 Arc('G', 'M', 1),
134 Arc('G', 'N', 1),
135 Arc('H', 'O', 1),
136 Arc('H', 'P', 1),
137 Arc('J', 'Q', 1),

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 52 3. Searching for Solutions

Tree Graph
A

B C

D E F G

H I J K L M N

O P Q R S T U V

W X Y Z AA BB CC DD EE

FF GG HH II JJ KK

Figure 3.5: tree_graph.show(show_costs = False)

138 Arc('J', 'R', 1),

139 Arc('L', 'S', 1),
140 Arc('L', 'T', 1),
141 Arc('N', 'U', 1),
142 Arc('N', 'V', 1),
143 Arc('O', 'W', 1),
144 Arc('P', 'X', 1),
145 Arc('P', 'Y', 1),
146 Arc('R', 'Z', 1),
147 Arc('R', 'AA', 1),
148 Arc('T', 'BB', 1),
149 Arc('T', 'CC', 1),
150 Arc('V', 'DD', 1),
151 Arc('V', 'EE', 1),
152 Arc('W', 'FF', 1),
153 Arc('X', 'GG', 1),
154 Arc('Y', 'HH', 1),
155 Arc('AA', 'II', 1),

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 3.1. Representing Search Problems 53

156 Arc('CC', 'JJ', 1),

157 Arc('CC', 'KK', 1)
158 ],
159 start = 'A',
160 goals = {'K', 'M', 'T', 'X', 'Z', 'HH'},
161 positions = {
162 'A': (0.5,0.95),
163 'B': (0.3,0.8),
164 'C': (0.7,0.8),
165 'D': (0.2,0.65),
166 'E': (0.4,0.65),
167 'F': (0.6,0.65),
168 'G': (0.8,0.65),
169 'H': (0.2,0.5),
170 'I': (0.3,0.5),
171 'J': (0.4,0.5),
172 'K': (0.5,0.5),
173 'L': (0.6,0.5),
174 'M': (0.7,0.5),
175 'N': (0.8,0.5),
176 'O': (0.1,0.35),
177 'P': (0.2,0.35),
178 'Q': (0.3,0.35),
179 'R': (0.4,0.35),
180 'S': (0.5,0.35),
181 'T': (0.6,0.35),
182 'U': (0.7,0.35),
183 'V': (0.8,0.35),
184 'W': (0.1,0.2),
185 'X': (0.2,0.2),
186 'Y': (0.3,0.2),
187 'Z': (0.4,0.2),
188 'AA': (0.5,0.2),
189 'BB': (0.6,0.2),
190 'CC': (0.7,0.2),
191 'DD': (0.8,0.2),
192 'EE': (0.9,0.2),
193 'FF': (0.1,0.05),
194 'GG': (0.2,0.05),
195 'HH': (0.3,0.05),
196 'II': (0.5,0.05),
197 'JJ': (0.7,0.05),
198 'KK': (0.8,0.05)
199 }
200 )
201
202 # tree_graph.show(show_costs = False)

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 54 3. Searching for Solutions

3.2 Generic Searcher and Variants

To run the search demos, in folder “aipython”, load
“searchGeneric.py” , using e.g., ipython -i searchGeneric.py,
and copy and paste the example queries at the bottom of that file.

3.2.1 Searcher
A Searcher for a problem can be asked repeatedly for the next path. To solve a
search problem, construct a Searcher object for the problem and then repeatedly
ask for the next path using search. If there are no more paths, None is returned.

searchGeneric.py — Generic Searcher, including depth-first and A*

11 from display import Displayable
12
13 class Searcher(Displayable):
14 """returns a searcher for a problem.
15 Paths can be found by repeatedly calling search().
16 This does depth-first search unless overridden
17 """
18 def __init__(self, problem):
19 """creates a searcher from a problem
20 """
21 self.problem = problem
22 self.initialize_frontier()
23 self.num_expanded = 0
24 self.add_to_frontier(Path(problem.start_node()))
25 super().__init__()
26
27 def initialize_frontier(self):
28 self.frontier = []
29
30 def empty_frontier(self):
31 return self.frontier == []
32
33 def add_to_frontier(self,path):
34 self.frontier.append(path)
35
36 def search(self):
37 """returns (next) path from the problem's start node
38 to a goal node.
39 Returns None if no path exists.
40 """
41 while not self.empty_frontier():
42 self.path = self.frontier.pop()
43 self.num_expanded += 1
44 if self.problem.is_goal(self.path.end()): # solution found
45 self.solution = self.path # store the solution found

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 3.2. Generic Searcher and Variants 55

46 self.display(1, f"Solution: {self.path} (cost:

{self.path.cost})\n",
47 self.num_expanded, "paths have been expanded and",
48 len(self.frontier), "paths remain in the
frontier")
49 return self.path
50 else:
51 self.display(4,f"Expanding: {self.path} (cost:
{self.path.cost})")
52 neighs = self.problem.neighbors(self.path.end())
53 self.display(2,f"Expanding: {self.path} with neighbors
{neighs}")
54 for arc in reversed(list(neighs)):
55 self.add_to_frontier(Path(self.path,arc))
56 self.display(3, f"New frontier: {[p.end() for p in
self.frontier]}")
57
58 self.display(0,"No (more) solutions. Total of",
59 self.num_expanded,"paths expanded.")
Note that this reverses the neighbors so that it implements depth-first search in
an intuitive manner (expanding the first neighbor first). The call to list is for the
case when the neighbors are generated (and not already in a list). Reversing the
neighbors might not be required for other methods. The calls to reversed and
list can be removed, and the algorithm still implements depth-first search.
To use depth-first search to find multiple paths for problem1 and simp_delivery_graph,
copy and paste the following into Python’s read-evaluate-print loop; keep find-
ing next solutions until there are no more:
searchGeneric.py — (continued)

61 # Depth-first search for problem1:

62 # searcher1 = Searcher(searchExample.problem1)
63 # searcher1.search() # find first solution
64 # searcher1.search() # find next solution (repeat until no solutions)
65
66 # Depth-first search for simple delivery graph:
67 # searcher_sdg = Searcher(searchExample.simp_delivery_graph)
68 # searcher_sdg.search() # find first or next solution

Exercise 3.1 Implement breadth-first search. Only add_to_frontier and/or pop

need to be modified to implement a first-in first-out queue.

3.2.2 GUI for Tracing Search

[This GUI implements most of the functionality of the solve model of the now-
discontinued AISpace.org search app.]
Figure 3.6 shows the GUI that can be used to step through search algo-
rithms. Here the path A → B is being expanded, and the neighbors are E and
F. The other nodes at the end of paths of the frontier are C and D. Thus the

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56 3. Searching for Solutions

Expanding: A --> B

J 4 G

3
E
H
2
7
B 3 F
4
2 2
red: selected
C 3 A 4 D blue: neighbors
green: frontier
yellow: goal

step fine step auto search quit

Figure 3.6: SearcherGUI(Searcher, simp_delivery_graph)

frontier contains paths to C and D, used to also contain A → B, and now will
contain A → B → E and A → B → F.
SearcherGUI takes a search class and a problem, and lets one explore the
search space after calling go(). A GUI can only be used for one search; at the
end of the search the loop ends and the buttons no longer work.
This is implemented by redefining display. The search algorithms don’t
need to be modified. If you modify them (or create your own), you just have to
be careful to use the appropriate number for the display. The first argument to
display has the following meanings:

1. a solution has been found

2. what is shown for a “step” on a GUI; here it is assumed to be the path,

the neighbors of the end of the path, and the other nodes at the end of
paths on the frontier

3. (shown with “fine step” but not with “step”) the frontier and the path
selected

4. (shown with “fine step” but not with “step”) the frontier.

It is also useful to look at the Python console, as the display information is

printed there.

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searchGUI.py — GUI for search

11 import matplotlib.pyplot as plt
12 from matplotlib.widgets import Button
13 import time
14
15 class SearcherGUI(object):
16 def __init__(self, SearchClass, problem,
17 fontsize=10,
18 colors = {'selected':'red', 'neighbors':'blue',
'frontier':'green', 'goal':'yellow'},
19 show_costs = True):
20 self.problem = problem
21 self.searcher = SearchClass(problem)
22 self.problem.fontsize = fontsize
23 self.colors = colors
24 self.problem.show_costs = show_costs
25 self.quitting = False
26
27 fig, self.ax = plt.subplots()
28 plt.ion() # interactive
29 self.ax.set_axis_off()
30 plt.subplots_adjust(bottom=0.15)
31 step_butt = Button(fig.add_axes([0.1,0.02,0.2,0.05]), "step")
32 step_butt.on_clicked(self.step)
33 fine_butt = Button(fig.add_axes([0.4,0.02,0.2,0.05]), "fine step")
34 fine_butt.on_clicked(self.finestep)
35 auto_butt = Button(fig.add_axes([0.7,0.02,0.2,0.05]), "auto search")
36 auto_butt.on_clicked(self.auto)
37 fig.canvas.mpl_connect('close_event', self.window_closed)
38 self.ax.text(0.85,0, '\n'.join(self.colors[a]+": "+a
39 for a in self.colors))
40 self.problem.show_graph(self.ax, node_color='white')
41 self.problem.show_node(self.ax, self.problem.start,
42 self.colors['frontier'])
43 for node in self.problem.nodes:
44 if self.problem.is_goal(node):
45 self.problem.show_node(self.ax, node,self.colors['goal'])
46 plt.show()
47 self.click = 7 # bigger than any display!
48 self.searcher.display = self.display
49 try:
50 while self.searcher.frontier:
51 path = self.searcher.search()
52 except ExitToPython:
53 print("GUI closed")
54 else:
55 print("No more solutions")
56
57 def display(self, level, *args, **nargs):
58 if self.quitting:

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 58 3. Searching for Solutions

59 raise ExitToPython()
60 if level <= self.click: #step
61 print(*args, **nargs)
62 self.ax.set_title(f"Expanding: {self.searcher.path}",
63 fontsize=self.problem.fontsize)
64 if level == 1:
65 self.show_frontier(self.colors['frontier'])
66 self.show_path(self.colors['selected'])
67 self.ax.set_title(f"Solution Found: {self.searcher.path}",
68 fontsize=self.problem.fontsize)
69 elif level == 2: # what should be shown if node in multiple?
70 self.show_frontier(self.colors['frontier'])
71 self.show_path(self.colors['selected'])
72 self.show_neighbors(self.colors['neighbors'])
73 elif level == 3:
74 self.show_frontier(self.colors['frontier'])
75 self.show_path(self.colors['selected'])
76 elif level == 4:
77 self.show_frontier(self.colors['frontier'])
78
79
80 # wait for a button click
81 self.click = 0
82 plt.draw()
83 while self.click == 0 and not self.quitting:
84 plt.pause(0.1)
85 if self.quitting:
86 raise ExitToPython()
87 # undo coloring:
88 self.ax.set_title("")
89 self.show_frontier('white')
90 self.show_neighbors('white')
91 path_show = self.searcher.path
92 while path_show.arc:
93 self.problem.show_arc(self.ax, path_show.arc, 'black')
94 self.problem.show_node(self.ax, path_show.end(), 'white')
95 path_show = path_show.initial
96 self.problem.show_node(self.ax, path_show.end(), 'white')
97 if self.problem.is_goal(self.searcher.path.end()):
98 self.problem.show_node(self.ax, self.searcher.path.end(),
99 self.colors['goal'])
100 plt.draw()
101
102 def show_frontier(self, color):
103 for path in self.searcher.frontier:
104 self.problem.show_node(self.ax, path.end(), color)
105
106 def show_path(self, color):
107 """color selected path"""
108 path_show = self.searcher.path

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 3.2. Generic Searcher and Variants 59

109 while path_show.arc:

110 self.problem.show_arc(self.ax, path_show.arc, color)
111 self.problem.show_node(self.ax, path_show.end(), color)
112 path_show = path_show.initial
113 self.problem.show_node(self.ax, path_show.end(), color)
114
115 def show_neighbors(self, color):
116 for neigh in self.problem.neighbors(self.searcher.path.end()):
117 self.problem.show_node(self.ax, neigh.to_node, color)
118
119 def auto(self, event):
120 self.click = 1
121 def step(self,event):
122 self.click = 2
123 def finestep(self, event):
124 self.click = 3
125 def window_closed(self, event):
126 self.quitting = True
127
128 class ExitToPython(Exception):
129 pass

searchGUI.py — (continued)

131 from searchGeneric import Searcher, AStarSearcher

132 from searchMPP import SearcherMPP
133 import searchExample
134 from searchBranchAndBound import DF_branch_and_bound
135
136 # to demonstrate depth-first search:
137 # sdfs = SearcherGUI(Searcher, searchExample.tree_graph)
138
139 # delivery graph examples:
140 # sh = SearcherGUI(Searcher, searchExample.simp_delivery_graph)
141 # sha = SearcherGUI(AStarSearcher, searchExample.simp_delivery_graph)
142 # shac = SearcherGUI(AStarSearcher,
searchExample.cyclic_simp_delivery_graph)
143 # shm = SearcherGUI(SearcherMPP, searchExample.cyclic_simp_delivery_graph)
144 # shb = SearcherGUI(DF_branch_and_bound, searchExample.simp_delivery_graph)
145
146 # The following is AI:FCA figure 3.15, and is useful to show branch&bound:
147 # shbt = SearcherGUI(DF_branch_and_bound, searchExample.tree_graph)
148
149 if __name__ == "__main__":
150 print("Try e.g.: SearcherGUI(Searcher,
searchExample.simp_delivery_graph)")

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 60 3. Searching for Solutions

3.2.3 Frontier as a Priority Queue

In many of the search algorithms, such as A∗ and other best-first searchers,
the frontier is implemented as a priority queue. The following code uses the
Python’s built-in priority queue implementations, heapq.
Following the lead of the Python documentation, https://docs.python.
org/3/library/heapq.html, a frontier is a list of triples. The first element of
each triple is the value to be minimized. The second element is a unique index
which specifies the order that the elements were added to the queue, and the
third element is the path that is on the queue. The use of the unique index en-
sures that the priority queue implementation does not compare paths; whether
one path is less than another is not defined. It also lets us control what sort of
search (e.g., depth-first or breadth-first) occurs when the value to be minimized
does not give a unique next path.
The variable frontier_index is the total number of elements of the frontier
that have been created. As well as being used as the unique index, it is useful
for statistics, particularly in conjunction with the current size of the frontier.

searchGeneric.py — (continued)

70 import heapq # part of the Python standard library

71 from searchProblem import Path
72
73 class FrontierPQ(object):
74 """A frontier consists of a priority queue (heap), frontierpq, of
75 (value, index, path) triples, where
76 * value is the value we want to minimize (e.g., path cost + h).
77 * index is a unique index for each element
78 * path is the path on the queue
79 Note that the priority queue always returns the smallest element.
80 """
81
82 def __init__(self):
83 """constructs the frontier, initially an empty priority queue
84 """
85 self.frontier_index = 0 # the number of items added to the frontier
86 self.frontierpq = [] # the frontier priority queue
87
88 def empty(self):
89 """is True if the priority queue is empty"""
90 return self.frontierpq == []
91
92 def add(self, path, value):
93 """add a path to the priority queue
94 value is the value to be minimized"""
95 self.frontier_index += 1 # get a new unique index
96 heapq.heappush(self.frontierpq,(value, -self.frontier_index, path))
97
98 def pop(self):
99 """returns and removes the path of the frontier with minimum value.

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100 """
101 (_,_,path) = heapq.heappop(self.frontierpq)
102 return path
The following methods are used for finding and printing information about
the frontier.
searchGeneric.py — (continued)

104 def count(self,val):

105 """returns the number of elements of the frontier with value=val"""
106 return sum(1 for e in self.frontierpq if e[0]==val)
107
108 def __repr__(self):
109 """string representation of the frontier"""
110 return str([(n,c,str(p)) for (n,c,p) in self.frontierpq])
111
112 def __len__(self):
113 """length of the frontier"""
114 return len(self.frontierpq)
115
116 def __iter__(self):
117 """iterate through the paths in the frontier"""
118 for (_,_,path) in self.frontierpq:
119 yield path

3.2.4 A∗ Search
For an A∗ Search the frontier is implemented using the FrontierPQ class.
searchGeneric.py — (continued)

121 class AStarSearcher(Searcher):

122 """returns a searcher for a problem.
123 Paths can be found by repeatedly calling search().
124 """
125
126 def __init__(self, problem):
127 super().__init__(problem)
128
129 def initialize_frontier(self):
130 self.frontier = FrontierPQ()
131
132 def empty_frontier(self):
133 return self.frontier.empty()
134
135 def add_to_frontier(self,path):
136 """add path to the frontier with the appropriate cost"""
137 value = path.cost+self.problem.heuristic(path.end())
138 self.frontier.add(path, value)
Code should always be tested. The following provides a simple unit test,
using problem1 as the default problem.

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 62 3. Searching for Solutions

searchGeneric.py — (continued)

140 import searchExample

141
142 def test(SearchClass, problem=searchExample.problem1,
solutions=[['G','D','B','C','A']] ):
143 """Unit test for aipython searching algorithms.
144 SearchClass is a class that takes a problem and implements search()
145 problem is a search problem
146 solutions is a list of optimal solutions
147 """
148 print("Testing problem 1:")
149 schr1 = SearchClass(problem)
150 path1 = schr1.search()
151 print("Path found:",path1)
152 assert path1 is not None, "No path is found in problem1"
153 assert list(path1.nodes()) in solutions, "Shortest path not found in
problem1"
154 print("Passed unit test")
155
156 if __name__ == "__main__":
157 #test(Searcher) # what needs to be changed to make this succeed?
158 test(AStarSearcher)
159
160 # example queries:
161 # searcher1 = Searcher(searchExample.simp_delivery_graph) # DFS
162 # searcher1.search() # find first path
163 # searcher1.search() # find next path
164 # searcher2 = AStarSearcher(searchExample.simp_delivery_graph) # A*
165 # searcher2.search() # find first path
166 # searcher2.search() # find next path
167 # searcher3 = Searcher(searchExample.cyclic_simp_delivery_graph) # DFS
168 # searcher3.search() # find first path with DFS. What do you expect to
happen?
169 # searcher4 = AStarSearcher(searchExample.cyclic_simp_delivery_graph) # A*
170 # searcher4.search() # find first path
171
172 # To use the GUI for A* search do the following
173 # python -i searchGUI.py
174 # SearcherGUI(AStarSearcher, searchExample.simp_delivery_graph)
175 # SearcherGUI(AStarSearcher, searchExample.cyclic_simp_delivery_graph)

Exercise 3.2 Change the code so that it implements (i) best-first search and (ii)
lowest-cost-first search. For each of these methods compare it to A∗ in terms of the
number of paths expanded, and the path found.

Exercise 3.3 The searcher acts like a Python iterator, in that it returns one value
(here a path) and then returns other values (paths) on demand, but does not imple-
ment the iterator interface. Change the code so it implements the iterator interface.
What does this enable us to do?

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3.2.5 Multiple Path Pruning

To run the multiple-path pruning demo, in folder “aipython”, load
“searchMPP.py” , using e.g., ipython -i searchMPP.py, and copy and
paste the example queries at the bottom of that file.

The following implements A∗ with multiple-path pruning. It overrides search()

in Searcher.

searchMPP.py — Searcher with multiple-path pruning

11 from searchGeneric import AStarSearcher
12 from searchProblem import Path
13
14 class SearcherMPP(AStarSearcher):
15 """returns a searcher for a problem.
16 Paths can be found by repeatedly calling search().
17 """
18 def __init__(self, problem):
19 super().__init__(problem)
20 self.explored = set()
21
22 def search(self):
23 """returns next path from an element of problem's start nodes
24 to a goal node.
25 Returns None if no path exists.
26 """
27 while not self.empty_frontier():
28 self.path = self.frontier.pop()
29 if self.path.end() not in self.explored:
30 self.explored.add(self.path.end())
31 self.num_expanded += 1
32 if self.problem.is_goal(self.path.end()):
33 self.solution = self.path # store the solution found
34 self.display(1, f"Solution: {self.path} (cost:
{self.path.cost})\n",
35 self.num_expanded, "paths have been expanded and",
36 len(self.frontier), "paths remain in the
frontier")
37 return self.path
38 else:
39 self.display(4,f"Expanding: {self.path} (cost:
{self.path.cost})")
40 neighs = self.problem.neighbors(self.path.end())
41 self.display(2,f"Expanding: {self.path} with neighbors
{neighs}")
42 for arc in neighs:
43 self.add_to_frontier(Path(self.path,arc))
44 self.display(3, f"New frontier: {[p.end() for p in
self.frontier]}")
45 self.display(0,"No (more) solutions. Total of",

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 64 3. Searching for Solutions

46 self.num_expanded,"paths expanded.")
47
48 from searchGeneric import test
49 if __name__ == "__main__":
50 test(SearcherMPP)
51
52 import searchExample
53 # searcherMPPcdp = SearcherMPP(searchExample.cyclic_simp_delivery_graph)
54 # searcherMPPcdp.search() # find first path
55
56 # To use the GUI for SearcherMPP do
57 # python -i searchGUI.py
58 # import searchMPP
59 # SearcherGUI(searchMPP.SearcherMPP,
searchExample.cyclic_simp_delivery_graph)

Exercise 3.4 Chris was very puzzled as to why there was a minus (“−”) in the
second element of the tuple added to the heap in the add method in FrontierPQ in
searchGeneric.py.
Sam suggested the following example would demonstrate the importance of
the minus. Consider an infinite integer grid, where the states are pairs of integers,
the start is (0,0), and the goal is (10,10). The neighbors of (i, j) are (i + 1, j) and (i, j +
1). Consider the heuristic function h((i, j)) = |10 − i| + |10 − j|. Sam suggested you
compare how many paths are expanded with the minus and without the minus.
searchGrid is a representation of Sam’s graph. If something takes too long, you
might consider changing the size.

searchGrid.py — A grid problem to demonstrate A*

11 from searchProblem import Search_problem, Arc
12
13 class GridProblem(Search_problem):
14 """a node is a pair (x,y)"""
15 def __init__(self, size=10):
16 self.size = size
17
18 def start_node(self):
19 """returns the start node"""
20 return (0,0)
21
22 def is_goal(self,node):
23 """returns True when node is a goal node"""
24 return node == (self.size,self.size)
25
26 def neighbors(self,node):
27 """returns a list of the neighbors of node"""
28 (x,y) = node
29 return [Arc(node,(x+1,y)), Arc(node,(x,y+1))]
30
31 def heuristic(self,node):
32 (x,y) = node

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 3.3. Branch-and-bound Search 65

33 return abs(x-self.size)+abs(y-self.size)
34
35 class GridProblemNH(GridProblem):
36 """Grid problem with a heuristic of 0"""
37 def heuristic(self,node):
38 return 0
39
40 from searchGeneric import Searcher, AStarSearcher
41 from searchMPP import SearcherMPP
42 from searchBranchAndBound import DF_branch_and_bound
43
44 def testGrid(size = 10):
45 print("\nWith MPP")
46 gridsearchermpp = SearcherMPP(GridProblem(size))
47 print(gridsearchermpp.search())
48 print("\nWithout MPP")
49 gridsearchera = AStarSearcher(GridProblem(size))
50 print(gridsearchera.search())
51 print("\nWith MPP and a heuristic = 0 (Dijkstra's algorithm)")
52 gridsearchermppnh = SearcherMPP(GridProblemNH(size))
53 print(gridsearchermppnh.search())
Explain to Chris what the minus does and why it is there. Give evidence for your
claims. It might be useful to refer to other search strategies in your explanation.
As part of your explanation, explain what is special about Sam’s example.
Exercise 3.5 Implement a searcher that implements cycle pruning instead of
multiple-path pruning. You need to decide whether to check for cycles when paths
are added to the frontier or when they are removed. (Hint: either method can be
implemented by only changing one or two lines in SearcherMPP. Hint: there is
a cycle if path.end() in path.initial_nodes() ) Compare no pruning, multiple
path pruning and cycle pruning for the cyclic delivery problem. Which works
better in terms of number of paths expanded, computational time or space?

3.3 Branch-and-bound Search

To run the demo, in folder “aipython”, load
“searchBranchAndBound.py”, and copy and paste the example queries
at the bottom of that file.

Depth-first search methods do not need a priority queue, but can use a list
as a stack. In this implementation of branch-and-bound search, we call search
to find an optimal solution with cost less than bound. This uses depth-first
search to find a path to a goal that extends path with cost less than the bound.
Once a path to a goal has been found, that path is remembered as the best_path,
the bound is reduced, and the search continues.
searchBranchAndBound.py — Branch and Bound Search
11 from searchProblem import Path

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12 from searchGeneric import Searcher

13 from display import Displayable
14
15 class DF_branch_and_bound(Searcher):
16 """returns a branch and bound searcher for a problem.
17 An optimal path with cost less than bound can be found by calling
search()
18 """
19 def __init__(self, problem, bound=float("inf")):
20 """creates a searcher than can be used with search() to find an
optimal path.
21 bound gives the initial bound. By default this is infinite -
meaning there
22 is no initial pruning due to depth bound
23 """
24 super().__init__(problem)
25 self.best_path = None
26 self.bound = bound
27
28 def search(self):
29 """returns an optimal solution to a problem with cost less than
bound.
30 returns None if there is no solution with cost less than bound."""
31 self.frontier = [Path(self.problem.start_node())]
32 self.num_expanded = 0
33 while self.frontier:
34 self.path = self.frontier.pop()
35 if self.path.cost+self.problem.heuristic(self.path.end()) <
self.bound:
36 # if self.path.end() not in self.path.initial_nodes(): # for
cycle pruning
37 self.display(2,"Expanding:",self.path,"cost:",self.path.cost)
38 self.num_expanded += 1
39 if self.problem.is_goal(self.path.end()):
40 self.best_path = self.path
41 self.bound = self.path.cost
42 self.display(1,"New best path:",self.path,"
cost:",self.path.cost)
43 else:
44 neighs = self.problem.neighbors(self.path.end())
45 self.display(4,"Neighbors are", neighs)
46 for arc in reversed(list(neighs)):
47 self.add_to_frontier(Path(self.path, arc))
48 self.display(3, f"New frontier: {[p.end() for p in
self.frontier]}")
49 self.path = self.best_path
50 self.solution = self.best_path
51 self.display(1,f"Optimal solution is {self.best_path}." if
self.best_path
52 else "No solution found.",

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53 f"Number of paths expanded: {self.num_expanded}.")

54 return self.best_path
Note that this code used reversed in order to expand the neighbors of a node
in the left-to-right order one might expect. It does this because pop() removes
the rightmost element of the list. The call to list is there because reversed only
works on lists and tuples, but the neighbors can be generated.
Here is a unit test and some queries:
searchBranchAndBound.py — (continued)

56 from searchGeneric import test

57 if __name__ == "__main__":
58 test(DF_branch_and_bound)
59
60 # Example queries:
61 import searchExample
62 # searcherb1 = DF_branch_and_bound(searchExample.simp_delivery_graph)
63 # searcherb1.search() # find optimal path
64 # searcherb2 =
DF_branch_and_bound(searchExample.cyclic_simp_delivery_graph,
bound=100)
65 # searcherb2.search() # find optimal path
66
67 # to use the GUI do:
68 # ipython -i searchGUI.py
69 # import searchBranchAndBound
70 # SearcherGUI(searchBranchAndBound.DF_branch_and_bound,
searchExample.simp_delivery_graph)
71 # SearcherGUI(searchBranchAndBound.DF_branch_and_bound,
searchExample.cyclic_simp_delivery_graph)

Exercise 3.6 In searcherb2, in the code above, what happens if the bound is
smaller, say 10? What if it is larger, say 1000?
Exercise 3.7 Implement a branch-and-bound search using recursion. Hint: you
don’t need an explicit frontier, but can do a recursive call for the children.
Exercise 3.8 Add loop detection to branch-and-bound search.
Exercise 3.9 After the branch-and-bound search found a solution, Sam ran search
again, and noticed a different count. Sam hypothesized that this count was related
to the number of nodes that an A∗ search would use (either expand or be added to
the frontier). Or maybe, Sam thought, the count for a number of nodes when the
bound is slightly above the optimal path case is related to how A∗ would work. Is
there a relationship between these counts? Are there different things that it could
count so they are related? Try to find the most specific statement that is true, and
explain why it is true.
To test the hypothesis, Sam wrote the following code, but isn’t sure it is helpful:

searchTest.py — code that may be useful to compare A* and branch-and-bound

11 from searchGeneric import Searcher, AStarSearcher

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12 from searchBranchAndBound import DF_branch_and_bound

13 from searchMPP import SearcherMPP
14
15 DF_branch_and_bound.max_display_level = 1
16 Searcher.max_display_level = 1
17
18 def run(problem,name):
19 print("\n\n*******",name)
20
21 print("\nA*:")
22 asearcher = AStarSearcher(problem)
23 print("Path found:",asearcher.search()," cost=",asearcher.solution.cost)
24 print("there are",asearcher.frontier.count(asearcher.solution.cost),
25 "elements remaining on the queue with
f-value=",asearcher.solution.cost)
26
27 print("\nA* with MPP:"),
28 msearcher = SearcherMPP(problem)
29 print("Path found:",msearcher.search()," cost=",msearcher.solution.cost)
30 print("there are",msearcher.frontier.count(msearcher.solution.cost),
31 "elements remaining on the queue with
f-value=",msearcher.solution.cost)
32
33 bound = asearcher.solution.cost*1.00001
34 print("\nBranch and bound (with too-good initial bound of", bound,")")
35 tbb = DF_branch_and_bound(problem,bound) # cheating!!!!
36 print("Path found:",tbb.search()," cost=",tbb.solution.cost)
37 print("Rerunning B&B")
38 print("Path found:",tbb.search())
39
40 bbound = asearcher.solution.cost*10+10
41 print("\nBranch and bound (with not-very-good initial bound of",
bbound, ")")
42 tbb2 = DF_branch_and_bound(problem,bbound)
43 print("Path found:",tbb2.search()," cost=",tbb2.solution.cost)
44 print("Rerunning B&B")
45 print("Path found:",tbb2.search())
46
47 print("\nDepth-first search: (Use ^C if it goes on forever)")
48 tsearcher = Searcher(problem)
49 print("Path found:",tsearcher.search()," cost=",tsearcher.solution.cost)
50
51
52 import searchExample
53 from searchTest import run
54 if __name__ == "__main__":
55 run(searchExample.problem1,"Problem 1")
56 # run(searchExample.simp_delivery_graph,"Acyclic Delivery")
57 # run(searchExample.cyclic_simp_delivery_graph,"Cyclic Delivery")
58 # also test graphs with cycles, and graphs with multiple least-cost paths

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 Chapter 4

Reasoning with Constraints

4.1 Constraint Satisfaction Problems

4.1.1 Variables
A variable consists of a name, a domain and an optional (x,y) position (for
displaying). The domain of a variable is a list or a tuple, as the ordering matters
for some algorithms.
variable.py — Representations of a variable in CSPs and probabilistic models
11 import random
12
13 class Variable(object):
14 """A random variable.
15 name (string) - name of the variable
16 domain (list) - a list of the values for the variable.
17 an (x,y) position for displaying
18 """
19
20 def __init__(self, name, domain, position=None):
21 """Variable
22 name a string
23 domain a list of printable values
24 position of form (x,y) where 0 <= x <= 1, 0 <= y <= 1
25 """
26 self.name = name # string
27 self.domain = domain # list of values
28 self.position = position if position else (random.random(),
random.random())
29 self.size = len(domain)
30
31 def __str__(self):

69
 70 4. Reasoning with Constraints

32 return self.name
33
34 def __repr__(self):
35 return self.name # f"Variable({self.name})"

4.1.2 Constraints
A constraint consists of:
• A tuple (or list) of variables called the scope.
• A condition, a Boolean function that takes the same number of argu-
ments as there are variables in the scope.
• An name (for displaying)
• An optional (x, y) position. The mean of the positions of the variables in
the scope is used, if not specified.

cspProblem.py — Representations of a Constraint Satisfaction Problem

11 from variable import Variable
12
13 # for showing csps:
14 import matplotlib.pyplot as plt
15 import matplotlib.lines as lines
16
17 class Constraint(object):
18 """A Constraint consists of
19 * scope: a tuple or list of variables
20 * condition: a Boolean function that can applied to a tuple of values
for variables in scope
21 * string: a string for printing the constraint
22 """
23 def __init__(self, scope, condition, string=None, position=None):
24 self.scope = scope
25 self.condition = condition
26 self.string = string
27 self.position = position
28
29 def __repr__(self):
30 return self.string
An assignment is a variable:value dictionary.
If con is a constraint:
• con.can_evaluate(assignment) is True when the constraint can be eval-
uated in the assignment. Generally this is true when all variables in the
scope of the constraint are assigned in the assignment. [There are cases
where it could be true when not all variables are assigned, such as if the
constraint was “if x then y else z”, but that it not implemented here.]

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 4.1. Constraint Satisfaction Problems 71

• con.holds(assignment) returns True or False depending on whether the

condition is true or false for that assignment. The assignment assignment
must assign a value to every variable in the scope of the constraint con
(and could also assign values to other variables); con.holds gives an error
if not all variables in the scope of con are assigned in the assignment. It
ignores variables in assignment that are not in the scope of the constraint.

In Python, the ∗ notation is used for unpacking a tuple. For example,

F(∗(1, 2, 3)) is the same as F(1, 2, 3). So if t has value (1, 2, 3), then F(∗t) is
the same as F(1, 2, 3).
cspProblem.py — (continued)

32 def can_evaluate(self, assignment):

33 """
34 assignment is a variable:value dictionary
35 returns True if the constraint can be evaluated given assignment
36 """
37 return all(v in assignment for v in self.scope)
38
39 def holds(self,assignment):
40 """returns the value of Constraint con evaluated in assignment.
41
42 precondition: all variables are assigned in assignment, ie
self.can_evaluate(assignment) is true
43 """
44 return self.condition(*tuple(assignment[v] for v in self.scope))

4.1.3 CSPs
A constraint satisfaction problem (CSP) requires:

• title: a string title

• variables: a list or set of variables

• constraints: a set or list of constraints.

Other properties are inferred from these:

• var_to_const is a mapping from variables to set of constraints, such that

var_to_const[var] is the set of constraints with var in their scope.

cspProblem.py — (continued)

46 class CSP(object):
47 """A CSP consists of
48 * a title (a string)
49 * variables, a list or set of variables
50 * constraints, a list of constraints
51 * var_to_const, a variable to set of constraints dictionary

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 72 4. Reasoning with Constraints

52 """
53 def __init__(self, title, variables, constraints):
54 """title is a string
55 variables is set of variables
56 constraints is a list of constraints
57 """
58 self.title = title
59 self.variables = variables
60 self.constraints = constraints
61 self.var_to_const = {var:set() for var in self.variables}
62 for con in constraints:
63 for var in con.scope:
64 self.var_to_const[var].add(con)
65
66 def __str__(self):
67 """string representation of CSP"""
68 return self.title
69
70 def __repr__(self):
71 """more detailed string representation of CSP"""
72 return f"CSP({self.title}, {self.variables}, {([str(c) for c in
self.constraints])})"
csp.consistent(assignment) returns true if the assignment is consistent with
each of the constraints in csp (i.e., all of the constraints that can be evaluated
evaluate to true). Unless the assignment assigns to all variables, consistent
does not imply the CSP is consistent or has a solution, because constraints in-
volving variables not in the assignment are ignored.
cspProblem.py — (continued)

74 def consistent(self,assignment):
75 """assignment is a variable:value dictionary
76 returns True if all of the constraints that can be evaluated
77 evaluate to True given assignment.
78 """
79 return all(con.holds(assignment)
80 for con in self.constraints
81 if con.can_evaluate(assignment))
The show method uses matplotlib to show the graphical structure of a con-
straint network. This also includes code used for the consistency GUI (Section
4.4.2).
cspProblem.py — (continued)

83 def show(self, linewidth=3, showDomains=False, showAutoAC = False):

84 self.linewidth = linewidth
85 self.picked = None
86 plt.ion() # interactive
87 self.arcs = {} # arc: (con,var) dictionary
88 self.thelines = {} # (con,var):arc dictionary
89 self.nodes = {} # node: variable dictionary

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 4.1. Constraint Satisfaction Problems 73

90 self.fig, self.ax= plt.subplots(1, 1)

91 self.ax.set_axis_off()
92 for var in self.variables:
93 if var.position is None:
94 var.position = (random.random(), random.random())
95 self.showAutoAC = showAutoAC # used for consistency GUI
96 self.autoAC = False
97 domains = {var:var.domain for var in self.variables} if showDomains
else {}
98 self.draw_graph(domains=domains)
99
100 def draw_graph(self, domains={}, to_do = {}, title=None, fontsize=10):
101 self.ax.clear()
102 self.ax.set_axis_off()
103 if title:
104 self.ax.set_title(title, fontsize=fontsize)
105 else:
106 self.ax.set_title(self.title, fontsize=fontsize)
107 var_bbox = dict(boxstyle="round4,pad=1.0,rounding_size=0.5",
108 facecolor="yellow")
109 con_bbox = dict(boxstyle="square,pad=1.0",facecolor="lightyellow")
110 self.autoACtext = self.ax.text(0,0,"Auto AC" if self.showAutoAC
else "",
111 bbox={'boxstyle':'square,pad=1.0',
112 'facecolor':'pink'},
113 picker=True, fontsize=fontsize)
114 for con in self.constraints:
115 if con.position is None:
116 con.position = tuple(sum(var.position[i] for var in
con.scope)/len(con.scope)
117 for i in range(2))
118 cx,cy = con.position
119 bbox = con_bbox
120 for var in con.scope:
121 vx,vy = var.position
122 if (var,con) in to_do:
123 color = 'blue'
124 else:
125 color = 'green'
126 line = lines.Line2D([cx,vx], [cy,vy], axes=self.ax,
color=color,
127 picker=True, pickradius=10,
linewidth=self.linewidth)
128 self.arcs[line]= (var,con)
129 self.thelines[(var,con)] = line
130 self.ax.add_line(line)
131 self.ax.text(cx,cy,con.string,
132 bbox=con_bbox,
133 ha='center',va='center', fontsize=fontsize)
134 for var in self.variables:

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 74 4. Reasoning with Constraints

135 x,y = var.position

136 if domains:
137 node_label = f"{var.name}\n{domains[var]}"
138 else:
139 node_label = var.name
140 node = self.ax.text(x, y, node_label, bbox=var_bbox,
ha='center', va='center',
141 picker=True, fontsize=fontsize)
142 self.nodes[node] = var
143 self.fig.canvas.mpl_connect('pick_event', self.pick_handler)

The following method is used for the GUI (Section 4.4.2).

cspProblem.py — (continued)

145 def pick_handler(self,event):

146 mouseevent = event.mouseevent
147 self.last_artist = artist = event.artist
148 #print('***picker handler:',artist, 'mouseevent:', mouseevent)
149 if artist in self.arcs:
150 #print('### selected arc',self.arcs[artist])
151 self.picked = self.arcs[artist]
152 elif artist in self.nodes:
153 #print('### selected node',self.nodes[artist])
154 self.picked = self.nodes[artist]
155 elif artist==self.autoACtext:
156 self.autoAC = True
157 #print("*** autoAC")
158 else:
159 print("### unknown click")

4.1.4 Examples
In the following code ne\_, when given a number, returns a function that is
true when its argument is not that number. For example, if f=ne\_(3), then
f(2) is True and f(3) is False. That is, ne\_(x)(y) is true when x ̸= y. Allowing
a function of multiple arguments to use its arguments one at a time is called
currying, after the logician Haskell Curry. Some alternative implementations
are commented out; the uncommented one allows the partial functions to have
names.

cspExamples.py — Example CSPs

11 from cspProblem import Variable, CSP, Constraint
12 from operator import lt,ne,eq,gt
13
14 def ne_(val):
15 """not equal value"""
16 # return lambda x: x != val # alternative definition
17 # return partial(ne,val) # another alternative definition
18 def nev(x):

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 4.1. Constraint Satisfaction Problems 75

19 return val != x
20 nev.__name__ = f"{val} != " # name of the function
21 return nev
Similarly is_(x)(y) is true when x = y.
cspExamples.py — (continued)

23 def is_(val):
24 """is a value"""
25 # return lambda x: x == val # alternative definition
26 # return partial(eq,val) # another alternative definition
27 def isv(x):
28 return val == x
29 isv.__name__ = f"{val} == "
30 return isv
csp0 has variables X, Y and Z, each with domain {1, 2, 3}. The constraints are
X < Y and Y < Z.
cspExamples.py — (continued)

32 X = Variable('X', {1,2,3}, position=(0.1,0.8))

33 Y = Variable('Y', {1,2,3}, position=(0.5,0.2))
34 Z = Variable('Z', {1,2,3}, position=(0.9,0.8))
35 csp0 = CSP("csp0", {X,Y,Z},
36 [ Constraint([X,Y], lt, "X<Y"),
37 Constraint([Y,Z], lt, "Y<Z")])
csp1 has variables A, B and C, each with domain {1, 2, 3, 4}. The constraints
are A < B, B ̸= 2, and B < C. This is slightly more interesting than csp0
as it has more solutions. This example is used in the unit tests, and so if it is
changed, the unit tests need to be changed. csp1s is the same, but with only
the constraints A < B and B < C
cspExamples.py — (continued)

39 A = Variable('A', {1,2,3,4}, position=(0.2,0.9))

40 B = Variable('B', {1,2,3,4}, position=(0.8,0.9))
41 C = Variable('C', {1,2,3,4}, position=(1,0.3))
42 C0 = Constraint([A,B], lt, "A < B", position=(0.4,0.3))
43 C1 = Constraint([B], ne_(2), "B != 2", position=(1,0.7))
44 C2 = Constraint([B,C], lt, "B < C", position=(0.6,0.1))
45 csp1 = CSP("csp1", {A, B, C},
46 [C0, C1, C2])
47
48 csp1s = CSP("csp1s", {A, B, C},
49 [C0, C2]) # A<B, B<C
The next CSP, csp2 is Example 4.9 of Poole and Mackworth [2023]; the do-
main consistent network (after applying the unary constraints) is shown in Fig-
ure 4.2. Note that we use the same variables as the previous example and add
two more.
cspExamples.py — (continued)

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76 4. Reasoning with Constraints

csp1

A B

B != 2

A<B C

B<C

Figure 4.1: csp1.show()

csp2

A A != B B B != 3

A=D B != D A != C

E<A E<B

D C<D C

E<D E<C
C != 2
E

Figure 4.2: csp2.show()

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 4.1. Constraint Satisfaction Problems 77

csp3

A A != B B

A<D

A-E is odd B<E

D D<C C

D != E C != E

Figure 4.3: csp3.show()

51 D = Variable('D', {1,2,3,4}, position=(0,0.3))

52 E = Variable('E', {1,2,3,4}, position=(0.5,0))
53 csp2 = CSP("csp2", {A,B,C,D,E},
54 [ Constraint([B], ne_(3), "B != 3", position=(1,0.9)),
55 Constraint([C], ne_(2), "C != 2", position=(0.95,0.1)),
56 Constraint([A,B], ne, "A != B"),
57 Constraint([B,C], ne, "A != C"),
58 Constraint([C,D], lt, "C < D"),
59 Constraint([A,D], eq, "A = D"),
60 Constraint([E,A], lt, "E < A"),
61 Constraint([E,B], lt, "E < B"),
62 Constraint([E,C], lt, "E < C"),
63 Constraint([E,D], lt, "E < D"),
64 Constraint([B,D], ne, "B != D")])

The following example is another scheduling problem (but with multiple an-
swers). This is the same as “scheduling 2” in the original AIspace.org consis-
tency app.

cspExamples.py — (continued)

66 csp3 = CSP("csp3", {A,B,C,D,E},

67 [Constraint([A,B], ne, "A != B"),
68 Constraint([A,D], lt, "A < D"),
69 Constraint([A,E], lambda a,e: (a-e)%2 == 1, "A-E is odd"),
70 Constraint([B,E], lt, "B < E"),
71 Constraint([D,C], lt, "D < C"),
72 Constraint([C,E], ne, "C != E"),

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 78 4. Reasoning with Constraints

csp4

A adjacent(A,B) B

B != D A != C adjacent(B,C)

D adjacent(C,D) C

Figure 4.4: csp4.show()

73 Constraint([D,E], ne, "D != E")])

The following example is another abstract scheduling problem. What are
the solutions?
cspExamples.py — (continued)

75 def adjacent(x,y):
76 """True when x and y are adjacent numbers"""
77 return abs(x-y) == 1
78
79 csp4 = CSP("csp4", {A,B,C,D},
80 [Constraint([A,B], adjacent, "adjacent(A,B)"),
81 Constraint([B,C], adjacent, "adjacent(B,C)"),
82 Constraint([C,D], adjacent, "adjacent(C,D)"),
83 Constraint([A,C], ne, "A != C"),
84 Constraint([B,D], ne, "B != D") ])
The following examples represent the crossword shown in Figure 4.5.
In the first representation, the variables represent words. The constraint
imposed by the crossword is that where two words intersect, the letter at the
intersection must be the same. The method meet_at is used to test whether two
words intersect with the same letter. For example, the constraint meet_at(2,0)
means that the third letter (at position 2) of the first argument is the same as
the first letter of the second argument. This is shown in Figure 4.6.
cspExamples.py — (continued)

86 def meet_at(p1,p2):

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4.1. Constraint Satisfaction Problems 79

1 2

Words:
3
ant, big, bus, car, has,
book, buys, hold, lane,
year, ginger, search,
symbol, syntax.
4

Figure 4.5: crossword1: a crossword puzzle to be solved

crossword1

one_across 1a[0]==1d[0] one_down

3a[0]==1d[2]

three_across 1a[2]==2d[0]

3a[2]==21d[2]

four_across 4a[0]==2d[4] two_down

Figure 4.6: crossword1.show()

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 80 4. Reasoning with Constraints

87 """returns a function of two words that is true

88 when the words intersect at positions p1, p2.
89 The positions are relative to the words; starting at position 0.
90 meet_at(p1,p2)(w1,w2) is true if the same letter is at position p1 of
word w1
91 and at position p2 of word w2.
92 """
93 def meets(w1,w2):
94 return w1[p1] == w2[p2]
95 meets.__name__ = f"meet_at({p1},{p2})"
96 return meets
97
98 one_across = Variable('one_across', {'ant', 'big', 'bus', 'car', 'has'},
position=(0.1,0.9))
99 one_down = Variable('one_down', {'book', 'buys', 'hold', 'lane', 'year'},
position=(0.9,0.9))
100 two_down = Variable('two_down', {'ginger', 'search', 'symbol', 'syntax'},
position=(0.9,0.1))
101 three_across = Variable('three_across', {'book', 'buys', 'hold', 'land',
'year'}, position=(0.1,0.5))
102 four_across = Variable('four_across',{'ant', 'big', 'bus', 'car', 'has'},
position=(0.1,0.1))
103 crossword1 = CSP("crossword1",
104 {one_across, one_down, two_down, three_across,
four_across},
105 [Constraint([one_across,one_down],
meet_at(0,0),"1a[0]==1d[0]"),
106 Constraint([one_across,two_down],
meet_at(2,0),"1a[2]==2d[0]"),
107 Constraint([three_across,two_down],
meet_at(2,2),"3a[2]==21d[2]"),
108 Constraint([three_across,one_down],
meet_at(0,2),"3a[0]==1d[2]"),
109 Constraint([four_across,two_down],
meet_at(0,4),"4a[0]==2d[4]")
110 ])
In an alternative representation of a crossword (the “dual” representation),
the variables represent letters, and the constraints are that adjacent sequences
of letters form words. This is shown in Figure 4.7.
cspExamples.py — (continued)

112 words = {'ant', 'big', 'bus', 'car', 'has','book', 'buys', 'hold',

113 'lane', 'year', 'ginger', 'search', 'symbol', 'syntax'}
114
115 def is_word(*letters, words=words):
116 """is true if the letters concatenated form a word in words"""
117 return "".join(letters) in words
118
119 letters = {"a", "b", "c", "d", "e", "f", "g", "h", "i", "j", "k", "l",
120 "m", "n", "o", "p", "q", "r", "s", "t", "u", "v", "w", "x", "y",

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 4.1. Constraint Satisfaction Problems 81

crossword1d
word(p00,p10,p20)

p00 p10 p20

p01 p21

word(p00,p01,p02,p03) word(p02,p12,p22,p32)

p02 p12 p22 p32

word(p20,p21,p22,p23,p24,p25)

p03 p23

word(p24, p34, p44)

p24 p34 p44

p25

Figure 4.7: crossword1d.show()

121 "z"}
122
123 # pij is the variable representing the letter i from the left and j down
(starting from 0)
124 p00 = Variable('p00', letters, position=(0.1,0.85))
125 p10 = Variable('p10', letters, position=(0.3,0.85))
126 p20 = Variable('p20', letters, position=(0.5,0.85))
127 p01 = Variable('p01', letters, position=(0.1,0.7))
128 p21 = Variable('p21', letters, position=(0.5,0.7))
129 p02 = Variable('p02', letters, position=(0.1,0.55))
130 p12 = Variable('p12', letters, position=(0.3,0.55))
131 p22 = Variable('p22', letters, position=(0.5,0.55))
132 p32 = Variable('p32', letters, position=(0.7,0.55))
133 p03 = Variable('p03', letters, position=(0.1,0.4))
134 p23 = Variable('p23', letters, position=(0.5,0.4))
135 p24 = Variable('p24', letters, position=(0.5,0.25))
136 p34 = Variable('p34', letters, position=(0.7,0.25))
137 p44 = Variable('p44', letters, position=(0.9,0.25))
138 p25 = Variable('p25', letters, position=(0.5,0.1))
139
140 crossword1d = CSP("crossword1d",

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 82 4. Reasoning with Constraints

141 {p00, p10, p20, # first row

142 p01, p21, # second row
143 p02, p12, p22, p32, # third row
144 p03, p23, #fourth row
145 p24, p34, p44, # fifth row
146 p25 # sixth row
147 },
148 [Constraint([p00, p10, p20], is_word, "word(p00,p10,p20)",
149 position=(0.3,0.95)), #1-across
150 Constraint([p00, p01, p02, p03], is_word,
"word(p00,p01,p02,p03)",
151 position=(0,0.625)), # 1-down
152 Constraint([p02, p12, p22, p32], is_word,
"word(p02,p12,p22,p32)",
153 position=(0.3,0.625)), # 3-across
154 Constraint([p20, p21, p22, p23, p24, p25], is_word,
"word(p20,p21,p22,p23,p24,p25)",
155 position=(0.45,0.475)), # 2-down
156 Constraint([p24, p34, p44], is_word, "word(p24, p34,
p44)",
157 position=(0.7,0.325)) # 4-across
158 ])

Exercise 4.1 How many assignments of a value to each variable are there for
each of the representations of the above crossword? Do you think an exhaustive
enumeration will work for either one?
The queens problem is a puzzle on a chess board, where the idea is to place
a queen on each column so the queens cannot take each other: there are no
two queens on the same row, column or diagonal. The n-queens problem is a
generalization where the size of the board is an n × n, and n queens have to be
placed.
Here is a representation of the n-queens problem, where the variables are
the columns and the values are the rows in which the queen is placed. The
original queens problem on a standard (8 × 8) chess board is n_queens(8)
cspExamples.py — (continued)

160 def queens(ri,rj):

161 """ri and rj are different rows, return the condition that the queens
cannot take each other"""
162 def no_take(ci,cj):
163 """is true if queen at (ri,ci) cannot take a queen at (rj,cj)"""
164 return ci != cj and abs(ri-ci) != abs(rj-cj)
165 return no_take
166
167 def n_queens(n):
168 """returns a CSP for n-queens"""
169 columns = list(range(n))
170 variables = [Variable(f"R{i}",columns) for i in range(n)]
171 # note positions will be random

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 4.2. A Simple Depth-first Solver 83

172 return CSP("n-queens",

173 variables,
174 [Constraint([variables[i], variables[j]], queens(i,j),"" )
175 for i in range(n) for j in range(n) if i != j])
176
177 # try the CSP n_queens(8) in one of the solvers.
178 # What is the smallest n for which there is a solution?

Exercise 4.2 How many constraints does this representation of the n-queens
problem produce? Can it be done with fewer constraints? Either explain why it
can’t be done with fewer constraints, or give a solution using fewer constraints.

Unit tests
The following defines a unit test for csp solvers, by default using example csp1.
cspExamples.py — (continued)

180 def test_csp(CSP_solver, csp=csp1,

181 solutions=[{A: 1, B: 3, C: 4}, {A: 2, B: 3, C: 4}]):
182 """CSP_solver is a solver that takes a csp and returns a solution
183 csp is a constraint satisfaction problem
184 solutions is the list of all solutions to csp
185 This tests whether the solution returned by CSP_solver is a solution.
186 """
187 print("Testing csp with",CSP_solver.__doc__)
188 sol0 = CSP_solver(csp)
189 print("Solution found:",sol0)
190 assert sol0 in solutions, f"Solution not correct for {csp}"
191 print("Passed unit test")

Exercise 4.3 Modify test so that instead of taking in a list of solutions, it checks
whether the returned solution actually is a solution.
Exercise 4.4 Propose a test that is appropriate for CSPs with no solutions. As-
sume that the test designer knows there are no solutions. Consider what a CSP
solver should return if there are no solutions to the CSP.
Exercise 4.5 Write a unit test that checks whether all solutions (e.g., for the search
algorithms that can return multiple solutions) are correct, and whether all solu-
tions can be found.

4.2 A Simple Depth-first Solver

The first solver carries out a depth-first search through the space of partial as-
signments. This takes in a CSP problem and an optional variable ordering (a
list of the variables in the CSP). It returns a generator of the solutions (see Sec-
tion 1.5.3 on yield for enumerations).
cspDFS.py — Solving a CSP using depth-first search.
11 import cspExamples

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 84 4. Reasoning with Constraints

12
13 def dfs_solver(constraints, context, var_order):
14 """generator for all solutions to csp.
15 context is an assignment of values to some of the variables.
16 var_order is a list of the variables in csp that are not in context.
17 """
18 to_eval = {c for c in constraints if c.can_evaluate(context)}
19 if all(c.holds(context) for c in to_eval):
20 if var_order == []:
21 yield context
22 else:
23 rem_cons = [c for c in constraints if c not in to_eval]
24 var = var_order[0]
25 for val in var.domain:
26 yield from dfs_solver(rem_cons, context|{var:val},
var_order[1:])
27
28 def dfs_solve_all(csp, var_order=None):
29 """depth-first CSP solver to return a list of all solutions to csp.
30 """
31 if var_order == None: # use an arbitrary variable order
32 var_order = list(csp.variables)
33 return list( dfs_solver(csp.constraints, {}, var_order))
34
35 def dfs_solve1(csp, var_order=None):
36 """depth-first CSP solver"""
37 if var_order == None: # use an arbitrary variable order
38 var_order = list(csp.variables)
39 for sol in dfs_solver(csp.constraints, {}, var_order):
40 return sol #return first one
41
42 if __name__ == "__main__":
43 cspExamples.test_csp(dfs_solve1)
44
45 #Try:
46 # dfs_solve_all(cspExamples.csp1)
47 # dfs_solve_all(cspExamples.csp2)
48 # dfs_solve_all(cspExamples.crossword1)
49 # dfs_solve_all(cspExamples.crossword1d) # warning: may take a *very* long
time!

Exercise 4.6 Instead of testing all constraints at every node, change it so each
constraint is only tested when all of its variables are assigned. Given an elimina-
tion ordering, it is possible to determine when each constraint needs to be tested.
Implement this. Hint: create a parallel list of sets of constraints, where at each po-
sition i in the list, the constraints at position i can be evaluated when the variable
at position i has been assigned.
Exercise 4.7 Estimate how long dfs_solve_all(crossword1d) will take on your
computer. To do this, reduce the number of variables that need to be assigned,
so that the simplified problem can be solved in a reasonable time (between 0.1

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 4.3. Converting CSPs to Search Problems 85

second and 10 seconds). This can be done by reducing the number of variables in
var_order, as the program only splits on these. How much more time will it take
if the number of variables is increased by 1? (Try it!) Then extrapolate to all of the
variables. See Section 1.6.1 for how to time your code. Would making the code 100
times faster or using a computer 100 times faster help?

4.3 Converting CSPs to Search Problems

To run the demo, in folder "aipython", load "cspSearch.py", and copy
and paste the example queries at the bottom of that file.

The next solver constructs a search space that can be solved using the search
methods of the previous chapter. This takes in a CSP problem and an optional
variable ordering, which is a list of the variables in the CSP. In this search space:

• A node is a variable : value dictionary which does not violate any con-
straints (so that dictionaries that violate any conmtratints are not added).

• An arc corresponds to an assignment of a value to the next variable. This

assumes a static ordering; the next variable chosen to split does not de-
pend on the context. If no variable ordering is given, this makes no at-
tempt to choose a good ordering.

cspSearch.py — Representations of a Search Problem from a CSP.

11 from cspProblem import CSP, Constraint
12 from searchProblem import Arc, Search_problem
13
14 class Search_from_CSP(Search_problem):
15 """A search problem directly from the CSP.
16
17 A node is a variable:value dictionary"""
18 def __init__(self, csp, variable_order=None):
19 self.csp=csp
20 if variable_order:
21 assert set(variable_order) == set(csp.variables)
22 assert len(variable_order) == len(csp.variables)
23 self.variables = variable_order
24 else:
25 self.variables = list(csp.variables)
26
27 def is_goal(self, node):
28 """returns whether the current node is a goal for the search
29 """
30 return len(node)==len(self.csp.variables)
31
32 def start_node(self):
33 """returns the start node for the search

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 86 4. Reasoning with Constraints

34 """
35 return {}
The neighbors(node) method uses the fact that the length of the node, which
is the number of variables already assigned, is the index of the next variable to
split on. Note that we do not need to check whether there are no more variables
to split on, as the nodes are all consistent, by construction, and so when there
are no more variables we have a solution, and so don’t need the neighbors.
cspSearch.py — (continued)

37 def neighbors(self, node):

38 """returns a list of the neighboring nodes of node.
39 """
40 var = self.variables[len(node)] # the next variable
41 res = []
42 for val in var.domain:
43 new_env = node|{var:val} #dictionary union
44 if self.csp.consistent(new_env):
45 res.append(Arc(node,new_env))
46 return res
The unit tests relies on a solver. The following procedure creates a solver
using search that can be tested.
cspSearch.py — (continued)

48 import cspExamples
49 from searchGeneric import Searcher
50
51 def solver_from_searcher(csp):
52 """depth-first search solver"""
53 path = Searcher(Search_from_CSP(csp)).search()
54 if path is not None:
55 return path.end()
56 else:
57 return None
58
59 if __name__ == "__main__":
60 test_csp(solver_from_searcher)
61
62 ## Test Solving CSPs with Search:
63 searcher1 = Searcher(Search_from_CSP(cspExamples.csp1))
64 #print(searcher1.search()) # get next solution
65 searcher2 = Searcher(Search_from_CSP(cspExamples.csp2))
66 #print(searcher2.search()) # get next solution
67 searcher3 = Searcher(Search_from_CSP(cspExamples.crossword1))
68 #print(searcher3.search()) # get next solution
69 searcher4 = Searcher(Search_from_CSP(cspExamples.crossword1d))
70 #print(searcher4.search()) # get next solution (warning: slow)

Exercise 4.8 What would happen if we constructed the new assignment by as-
signing node[var] = val (with side effects) instead of using dictionary union? Give

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an example of where this could give a wrong answer. How could the algorithm be
changed to work with side effects? (Hint: think about what information needs to
be in a node).
Exercise 4.9 Change neighbors so that it returns an iterator of values rather than
a list. (Hint: use yield.)

4.4 Consistency Algorithms

To run the demo, in folder "aipython", load "cspConsistency.py", and
copy and paste the commented-out example queries at the bottom of
that file.

A Con_solver is used to simplify a CSP using arc consistency.

cspConsistency.py — Arc Consistency and Domain splitting for solving a CSP
11 from display import Displayable
12
13 class Con_solver(Displayable):
14 """Solves a CSP with arc consistency and domain splitting
15 """
16 def __init__(self, csp):
17 """a CSP solver that uses arc consistency
18 * csp is the CSP to be solved
19 """
20 self.csp = csp

The following implementation of arc consistency maintains the set to_do of

(variable, constraint) pairs that are to be checked. It takes in a domain dic-
tionary and returns a new domain dictionary. It needs to be careful to avoid
side effects; this is implemented here by copying the domains dictionary and
the to_do set.
cspConsistency.py — (continued)

22 def make_arc_consistent(self, domains=None, to_do=None):

23 """Makes this CSP arc-consistent using generalized arc consistency
24 domains is a variable:domain dictionary
25 to_do is a set of (variable,constraint) pairs
26 returns the reduced domains (an arc-consistent variable:domain
dictionary)
27 """
28 if domains is None:
29 self.domains = {var:var.domain for var in self.csp.variables}
30 else:
31 self.domains = domains.copy() # use a copy of domains
32 if to_do is None:
33 to_do = {(var, const) for const in self.csp.constraints
34 for var in const.scope}
35 else:

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 88 4. Reasoning with Constraints

36 to_do = to_do.copy() # use a copy of to_do

37 self.display(5,"Performing AC with domains", self.domains)
38 while to_do:
39 self.arc_selected = (var, const) = self.select_arc(to_do)
40 self.display(5, "Processing arc (", var, ",", const, ")")
41 other_vars = [ov for ov in const.scope if ov != var]
42 new_domain = {val for val in self.domains[var]
43 if self.any_holds(self.domains, const, {var:
val}, other_vars)}
44 if new_domain != self.domains[var]:
45 self.add_to_do = self.new_to_do(var, const) - to_do
46 self.display(3, f"Arc: ({var}, {const}) is inconsistent\n"
47 f"Domain pruned, dom({var}) ={new_domain} due to
{const}")
48 self.domains[var] = new_domain
49 self.display(4, " adding", self.add_to_do if self.add_to_do
50 else "nothing", "to to_do.")
51 to_do |= self.add_to_do # set union
52 self.display(5, f"Arc: ({var},{const}) now consistent")
53 self.display(5, "AC done. Reduced domains", self.domains)
54 return self.domains
55
56 def new_to_do(self, var, const):
57 """returns new elements to be added to to_do after assigning
58 variable var in constraint const.
59 """
60 return {(nvar, nconst) for nconst in self.csp.var_to_const[var]
61 if nconst != const
62 for nvar in nconst.scope
63 if nvar != var}
The following selects an arc. Any element of to_do can be selected. The se-
lected element needs to be removed from to_do. The default implementation
just selects which ever element pop method for sets returns. The graphical user
interface below allows the user to select an arc. Alternatively, a more sophisti-
cated selection could be employed.
cspConsistency.py — (continued)

65 def select_arc(self, to_do):

66 """Selects the arc to be taken from to_do .
67 * to_do is a set of arcs, where an arc is a (variable,constraint)
pair
68 the element selected must be removed from to_do.
69 """
70 return to_do.pop()
The value of new_domain is the subset of the domain of var that is consistent
with the assignment to the other variables. To make it easier to understand, the
following treats unary (with no other variables in the constraint) and binary
(with one other variables in the constraint) constraints as special cases. These
cases are not strictly necessary; the last case covers the first two cases, but is

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more difficult to understand without seeing the first two cases. Note that this
case analysis is not in the code distribution, but can replace the assignment to
new_domain above.
if len(other_vars)==0: # unary constraint
new_domain = {val for val in self.domains[var]
if const.holds({var:val})}
elif len(other_vars)==1: # binary constraint
other = other_vars[0]
new_domain = {val for val in self.domains[var]
if any(const.holds({var: val,other:other_val})
for other_val in self.domains[other])}
else: # general case
new_domain = {val for val in self.domains[var]
if self.any_holds(self.domains, const, {var: val}, other_vars)}
any_holds is a recursive function that tries to finds an assignment of values to
the other variables (other_vars) that satisfies constraint const given the assign-
ment in env. The integer variable ind specifies which index to other_vars needs
to be checked next. As soon as one assignment returns True, the algorithm
returns True.
cspConsistency.py — (continued)

72 def any_holds(self, domains, const, env, other_vars, ind=0):

73 """returns True if Constraint const holds for an assignment
74 that extends env with the variables in other_vars[ind:]
75 env is a dictionary
76 """
77 if ind == len(other_vars):
78 return const.holds(env)
79 else:
80 var = other_vars[ind]
81 for val in domains[var]:
82 if self.any_holds(domains, const, env|{var:val}, other_vars,
ind + 1):
83 return True
84 return False

4.4.1 Direct Implementation of Domain Splitting

The following is a direct implementation of domain splitting with arc consis-
tency. It implements the generator interface of Python (see Section 1.5.3). When
it has found a solution it yields the result; otherwise it recursively splits a do-
main (using yield from).
cspConsistency.py — (continued)

86 def generate_sols(self, domains=None, to_do=None, context=dict()):

87 """return list of all solution to the current CSP

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 90 4. Reasoning with Constraints

88 to_do is the list of arcs to check

89 context is a dictionary of splits made (used for display)
90 """
91 new_domains = self.make_arc_consistent(domains, to_do)
92 if any(len(new_domains[var]) == 0 for var in new_domains):
93 self.display(1,f"No solutions for context {context}")
94 elif all(len(new_domains[var]) == 1 for var in new_domains):
95 self.display(1, "solution:", str({var: select(
96 new_domains[var]) for var in new_domains}))
97 yield {var: select(new_domains[var]) for var in new_domains}
98 else:
99 var = self.select_var(x for x in self.csp.variables if
len(new_domains[x]) > 1)
100 dom1, dom2 = partition_domain(new_domains[var])
101 self.display(5, "...splitting", var, "into", dom1, "and", dom2)
102 new_doms1 = new_domains | {var:dom1}
103 new_doms2 = new_domains | {var:dom2}
104 to_do = self.new_to_do(var, None)
105 self.display(4, " adding", to_do if to_do else "nothing", "to
to_do.")
106 yield from self.generate_sols(new_doms1, to_do,
context|{var:dom1})
107 yield from self.generate_sols(new_doms2, to_do,
context|{var:dom1})
108
109 def solve_all(self, domains=None, to_do=None):
110 return list(self.generate_sols())
111
112 def solve_one(self, domains=None, to_do=None):
113 return select(self.generate_sols())
114
115 def select_var(self, iter_vars):
116 """return the next variable to split"""
117 return select(iter_vars)
118
119 def partition_domain(dom):
120 """partitions domain dom into two.
121 """
122 split = len(dom) // 2
123 dom1 = set(list(dom)[:split])
124 dom2 = dom - dom1
125 return dom1, dom2

cspConsistency.py — (continued)

127 def select(iterable):

128 """select an element of iterable.
129 Returns None if there is no such element.
130
131 This implementation just picks the first element.
132 For many uses, which element is selected does not affect correctness,

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133 but may affect efficiency.

134 """
135 for e in iterable:
136 return e # returns first element found

Exercise 4.10 Implement solve_all that returns the set of all solutions without
using yield. Hint: it can be like generate_sols but returns a set of solutions; the
recursive calls can be unioned; | is Python’s union.
Exercise 4.11 Implement solve_one that returns one solution if one exists, or False
otherwise, without using yield. Hint: Python’s “or” has the behavior A or B will
return the value of A unless it is None or False, in which case the value of B is
returned.
Unit test:
cspConsistency.py — (continued)

138 import cspExamples

139 def ac_solver(csp):
140 "arc consistency (ac_solver)"
141 for sol in Con_solver(csp).generate_sols():
142 return sol
143
144 if __name__ == "__main__":
145 cspExamples.test_csp(ac_solver)

4.4.2 Consistency GUI

The consistency GUI allows students to step through the algorithm, choosing
which arc to process next, and which variable to split.
Figure 4.8 shows the state of the GUI after two arcs have been made arc
consistent. The arcs on the to_do list arc colored blue. The green arcs are those
have been made arc consistent. The user can click on a blue arc to process
that arc. If the arc selected is not arc consistent, it is made red, the domain is
reduced, and then the arc becomes green. If the arc was already arc consistent
it turns green.
This is implemented by overriding select_arc and select_var to allow the
user to pick the arcs and the variables, and overriding display to allow for the
animation. Note that the first argument of display (the number) in the code
above is interpreted with a special meaning by the GUI and should only be
changed with care.
Clicking AutoAC automates arc selection until the network is arc consistent.
cspConsistencyGUI.py — GUI for consistency-based CSP solving
11 from cspConsistency import Con_solver
12 import matplotlib.pyplot as plt
13
14 class ConsistencyGUI(Con_solver):
15 def __init__(self, csp, fontsize=10, speed=1, **kwargs):

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 92 4. Reasoning with Constraints

click on to_do (blue) arc

A A != B B
{1, 2, 3, 4} {1, 2, 3}

A<D

A-E is odd B<E

D D<C C
{1, 2, 3, 4} {1, 2, 3, 4}

D != E C != E

Auto AC E
{1, 2, 3, 4}

Figure 4.8: ConsistencyGUI(cspExamples.csp3).go()

16 """
17 csp is the csp to show
18 fontsize is the size of the text
19 speed is the number of animations per second (controls delay_time)
20 1 (slow) and 4 (fast) seem like good values
21 """
22 self.fontsize = fontsize
23 self.delay_time = 1/speed
24 self.quitting = False
25 Con_solver.__init__(self, csp, **kwargs)
26 csp.show(showAutoAC = True)
27 csp.fig.canvas.mpl_connect('close_event', self.window_closed)
28
29 def go(self):
30 try:
31 res = self.solve_all()
32 self.csp.draw_graph(domains=self.domains,
33 title="No more solutions. GUI finished. ",
34 fontsize=self.fontsize)
35 return res
36 except ExitToPython:
37 print("GUI closed")
38
39 def select_arc(self, to_do):
40 while True:
41 self.csp.draw_graph(domains=self.domains, to_do=to_do,
42 title="click on to_do (blue) arc",
fontsize=self.fontsize)
43 self.wait_for_user()

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 4.4. Consistency Algorithms 93

44 if self.csp.autoAC:
45 break
46 picked = self.csp.picked
47 self.csp.picked = None
48 if picked in to_do:
49 to_do.remove(picked)
50 print(f"{picked} picked")
51 return picked
52 else:
53 print(f"{picked} not in to_do. Pick one of {to_do}")
54 if self.csp.autoAC:
55 self.csp.draw_graph(domains=self.domains, to_do=to_do,
56 title="Auto AC", fontsize=self.fontsize)
57 plt.pause(self.delay_time)
58 return to_do.pop()
59
60 def select_var(self, iter_vars):
61 vars = list(iter_vars)
62 while True:
63 self.csp.draw_graph(domains=self.domains,
64 title="Arc consistent. Click node to
split",
65 fontsize=self.fontsize)
66 self.csp.autoAC = False
67 self.wait_for_user()
68 picked = self.csp.picked
69 self.csp.picked = None
70 if picked in vars:
71 #print("splitting",picked)
72 return picked
73 else:
74 print(picked,"not in",vars)
75
76 def display(self,n,*args,**nargs):
77 if n <= self.max_display_level: # default display
78 print(*args, **nargs)
79 if n==1: # solution found or no solutions"
80 self.csp.draw_graph(domains=self.domains, to_do=set(),
81 title=' '.join(args)+": click any node or
arc to continue",
82 fontsize=self.fontsize)
83 self.csp.autoAC = False
84 self.wait_for_user()
85 self.csp.picked = None
86 elif n==2: # backtracking
87 plt.title("backtracking: click any node or arc to continue")
88 self.csp.autoAC = False
89 self.wait_for_user()
90 self.csp.picked = None
91 elif n==3: # inconsistent arc

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 94 4. Reasoning with Constraints

92 line = self.csp.thelines[self.arc_selected]
93 line.set_color('red')
94 line.set_linewidth(10)
95 plt.pause(self.delay_time)
96 line.set_color('limegreen')
97 line.set_linewidth(self.csp.linewidth)
98 #elif n==4 and self.add_to_do: # adding to to_do
99 # print("adding to to_do",self.add_to_do) ## highlight these arc
100
101 def wait_for_user(self):
102 while self.csp.picked == None and not self.csp.autoAC and not
self.quitting:
103 plt.pause(0.01) # controls reaction time of GUI
104 if self.quitting:
105 raise ExitToPython()
106
107 def window_closed(self, event):
108 self.quitting = True
109
110 class ExitToPython(Exception):
111 pass
112
113 import cspExamples
114 # Try:
115 # ConsistencyGUI(cspExamples.csp1).go()
116 # ConsistencyGUI(cspExamples.csp3).go()
117 # ConsistencyGUI(cspExamples.csp3, speed=4, fontsize=15).go()
118
119 if __name__ == "__main__":
120 print("Try e.g.: ConsistencyGUI(cspExamples.csp3).go()")

4.4.3 Domain Splitting as an interface to graph searching

An alternative implementation is to implement domain splitting in terms of
the search abstraction of Chapter 3.
A node is a dictionary that maps the variables to their (pruned) domains..

cspConsistency.py — (continued)

147 from searchProblem import Arc, Search_problem

148
149 class Search_with_AC_from_CSP(Search_problem,Displayable):
150 """A search problem with arc consistency and domain splitting
151
152 A node is a CSP """
153 def __init__(self, csp):
154 self.cons = Con_solver(csp) #copy of the CSP
155 self.domains = self.cons.make_arc_consistent()
156
157 def is_goal(self, node):

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 4.4. Consistency Algorithms 95

158 """node is a goal if all domains have 1 element"""

159 return all(len(node[var])==1 for var in node)
160
161 def start_node(self):
162 return self.domains
163
164 def neighbors(self,node):
165 """returns the neighboring nodes of node.
166 """
167 neighs = []
168 var = select(x for x in node if len(node[x])>1)
169 if var:
170 dom1, dom2 = partition_domain(node[var])
171 self.display(2,"Splitting", var, "into", dom1, "and", dom2)
172 to_do = self.cons.new_to_do(var,None)
173 for dom in [dom1,dom2]:
174 newdoms = node | {var:dom}
175 cons_doms = self.cons.make_arc_consistent(newdoms,to_do)
176 if all(len(cons_doms[v])>0 for v in cons_doms):
177 # all domains are non-empty
178 neighs.append(Arc(node,cons_doms))
179 else:
180 self.display(2,"...",var,"in",dom,"has no solution")
181 return neighs

Exercise 4.12 When splitting a domain, this code splits the domain into half,
approximately in half (without any effort to make a sensible choice). Does it work
better to split one element from a domain?
Unit test:

cspConsistency.py — (continued)

183 import cspExamples

184 from searchGeneric import Searcher
185
186 def ac_search_solver(csp):
187 """arc consistency (search interface)"""
188 sol = Searcher(Search_with_AC_from_CSP(csp)).search()
189 if sol:
190 return {v:select(d) for (v,d) in sol.end().items()}
191
192 if __name__ == "__main__":
193 cspExamples.test_csp(ac_search_solver)

Testing:

cspConsistency.py — (continued)

195 ## Test Solving CSPs with Arc consistency and domain splitting:
196 #Con_solver.max_display_level = 4 # display details of AC (0 turns off)
197 #Con_solver(cspExamples.csp1).solve_all()
198 #searcher1d = Searcher(Search_with_AC_from_CSP(cspExamples.csp1))

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199 #print(searcher1d.search())
200 #Searcher.max_display_level = 2 # display search trace (0 turns off)
201 #searcher2c = Searcher(Search_with_AC_from_CSP(cspExamples.csp2))
202 #print(searcher2c.search())
203 #searcher3c = Searcher(Search_with_AC_from_CSP(cspExamples.crossword1))
204 #print(searcher3c.search())
205 #searcher4c = Searcher(Search_with_AC_from_CSP(cspExamples.crossword1d))
206 #print(searcher4c.search())

4.5 Solving CSPs using Stochastic Local Search

To run the demo, in folder "aipython", load "cspSLS.py", and copy and
paste the commented-out example queries at the bottom of that file.
This assumes Python 3. Some of the queries require matplotlib.

The following code implements the two-stage choice (select one of the vari-
ables that are involved in the most constraints that are violated, then a value),
the any-conflict algorithm (select a variable that participates in a violated con-
straint) and a random choice of variable, as well as a probabilistic mix of the
three.
Given a CSP, the stochastic local searcher (SLSearcher) creates the data struc-
tures:

• variables_to_select is the set of all of the variables with domain-size greater

than one. For a variable not in this set, we cannot pick another value from
that variable.

• var_to_constraints maps from a variable into the set of constraints it is in-

volved in. Note that the inverse mapping from constraints into variables
is part of the definition of a constraint.

cspSLS.py — Stochastic Local Search for Solving CSPs

11 from cspProblem import CSP, Constraint
12 from searchProblem import Arc, Search_problem
13 from display import Displayable
14 import random
15 import heapq
16
17 class SLSearcher(Displayable):
18 """A search problem directly from the CSP..
19
20 A node is a variable:value dictionary"""
21 def __init__(self, csp):
22 self.csp = csp
23 self.variables_to_select = {var for var in self.csp.variables
24 if len(var.domain) > 1}

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 4.5. Solving CSPs using Stochastic Local Search 97

25 # Create assignment and conflicts set

26 self.current_assignment = None # this will trigger a random restart
27 self.number_of_steps = 0 #number of steps after the initialization
restart creates a new total assignment, and constructs the set of conflicts (the
constraints that are false in this assignment).
cspSLS.py — (continued)

29 def restart(self):
30 """creates a new total assignment and the conflict set
31 """
32 self.current_assignment = {var:random_choice(var.domain) for
33 var in self.csp.variables}
34 self.display(2,"Initial assignment",self.current_assignment)
35 self.conflicts = set()
36 for con in self.csp.constraints:
37 if not con.holds(self.current_assignment):
38 self.conflicts.add(con)
39 self.display(2,"Number of conflicts",len(self.conflicts))
40 self.variable_pq = None
The search method is the top-level searching algorithm. It can either be used
to start the search or to continue searching. If there is no current assignment,
it must create one. Note that, when counting steps, a restart is counted as one
step, which is not appropriate for CSPs with many variables, as it is a relatively
expensive operation for these cases.
This method selects one of two implementations. The argument prob_best
is the probability of selecting a best variable (one involving the most conflicts).
When the value of prob_best is positive, the algorithm needs to maintain a prior-
ity queue of variables and the number of conflicts (using search_with_var_pq). If
the probability of selecting a best variable is zero, it does not need to maintain
this priority queue (as implemented in search_with_any_conflict).
The argument prob_anycon is the probability that the any-conflict strategy
is used (which selects a variable at random that is in a conflict), assuming that
it is not picking a best variable. Note that for the probability parameters, any
value less that zero acts like probability zero and any value greater than 1 acts
like probability 1. This means that when prob_anycon = 1.0, a best variable is
chosen with probability prob_best, otherwise a variable in any conflict is chosen.
A variable is chosen at random with probability 1 − prob_anycon − prob_best as
long as that is positive.
This returns the number of steps needed to find a solution, or None if no
solution is found. If there is a solution, it is in self .current_assignment.
cspSLS.py — (continued)

42 def search(self,max_steps, prob_best=0, prob_anycon=1.0):

43 """
44 returns the number of steps or None if these is no solution.
45 If there is a solution, it can be found in self.current_assignment
46

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 98 4. Reasoning with Constraints

47 max_steps is the maximum number of steps it will try before giving

up
48 prob_best is the probability that a best variable (one in most
conflict) is selected
49 prob_anycon is the probability that a variable in any conflict is
selected
50 (otherwise a variable is chosen at random)
51 """
52 if self.current_assignment is None:
53 self.restart()
54 self.number_of_steps += 1
55 if not self.conflicts:
56 self.display(1,"Solution found:", self.current_assignment,
"after restart")
57 return self.number_of_steps
58 if prob_best > 0: # we need to maintain a variable priority queue
59 return self.search_with_var_pq(max_steps, prob_best,
prob_anycon)
60 else:
61 return self.search_with_any_conflict(max_steps, prob_anycon)

Exercise 4.13 This does an initial random assignment but does not do any ran-
dom restarts. Implement a searcher that takes in the maximum number of walk
steps (corresponding to existing max_steps) and the maximum number of restarts,
and returns the total number of steps for the first solution found. (As in search, the
solution found can be extracted from the variable self .current_assignment).

4.5.1 Any-conflict
In the any-conflict heuristic a variable that participates in a violated constraint
is picked at random. The implementation need to keeps track of which vari-
ables are in conflicts. This is can avoid the need for a priority queue that is
needed when the probability of picking a best variable is greater than zero.
cspSLS.py — (continued)

63 def search_with_any_conflict(self, max_steps, prob_anycon=1.0):

64 """Searches with the any_conflict heuristic.
65 This relies on just maintaining the set of conflicts;
66 it does not maintain a priority queue
67 """
68 self.variable_pq = None # we are not maintaining the priority queue.
69 # This ensures it is regenerated if
70 # we call search_with_var_pq.
71 for i in range(max_steps):
72 self.number_of_steps +=1
73 if random.random() < prob_anycon:
74 con = random_choice(self.conflicts) # pick random conflict
75 var = random_choice(con.scope) # pick variable in conflict
76 else:
77 var = random_choice(self.variables_to_select)

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 4.5. Solving CSPs using Stochastic Local Search 99

78 if len(var.domain) > 1:
79 val = random_choice([val for val in var.domain
80 if val is not
self.current_assignment[var]])
81 self.display(2,self.number_of_steps,":
Assigning",var,"=",val)
82 self.current_assignment[var]=val
83 for varcon in self.csp.var_to_const[var]:
84 if varcon.holds(self.current_assignment):
85 if varcon in self.conflicts:
86 self.conflicts.remove(varcon)
87 else:
88 if varcon not in self.conflicts:
89 self.conflicts.add(varcon)
90 self.display(2," Number of conflicts",len(self.conflicts))
91 if not self.conflicts:
92 self.display(1,"Solution found:", self.current_assignment,
93 "in", self.number_of_steps,"steps")
94 return self.number_of_steps
95 self.display(1,"No solution in",self.number_of_steps,"steps",
96 len(self.conflicts),"conflicts remain")
97 return None

Exercise 4.14 This makes no attempt to find the best value for the variable se-
lected. Modify the code to include an option selects a value for the selected vari-
able that reduces the number of conflicts the most. Have a parameter that specifies
the probability that the best value is chosen, and otherwise chooses a value at ran-
dom.

4.5.2 Two-Stage Choice

This is the top-level searching algorithm that maintains a priority queue of
variables ordered by the number of conflicts, so that the variable with the most
conflicts is selected first. If there is no current priority queue of variables, one
is created.
The main complexity here is to maintain the priority queue. When a vari-
able var is assigned a value val, for each constraint that has become satisfied or
unsatisfied, each variable involved in the constraint need to have its count up-
dated. The change is recorded in the dictionary var_differential, which is used
to update the priority queue (see Section 4.5.3).
cspSLS.py — (continued)

99 def search_with_var_pq(self,max_steps, prob_best=1.0, prob_anycon=1.0):

100 """search with a priority queue of variables.
101 This is used to select a variable with the most conflicts.
102 """
103 if not self.variable_pq:
104 self.create_pq()
105 pick_best_or_con = prob_best + prob_anycon

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 100 4. Reasoning with Constraints

106 for i in range(max_steps):

107 self.number_of_steps +=1
108 randnum = random.random()
109 ## Pick a variable
110 if randnum < prob_best: # pick best variable
111 var,oldval = self.variable_pq.top()
112 elif randnum < pick_best_or_con: # pick a variable in a conflict
113 con = random_choice(self.conflicts)
114 var = random_choice(con.scope)
115 else: #pick any variable that can be selected
116 var = random_choice(self.variables_to_select)
117 if len(var.domain) > 1: # var has other values
118 ## Pick a value
119 val = random_choice([val for val in var.domain if val is not
120 self.current_assignment[var]])
121 self.display(2,"Assigning",var,val)
122 ## Update the priority queue
123 var_differential = {}
124 self.current_assignment[var]=val
125 for varcon in self.csp.var_to_const[var]:
126 self.display(3,"Checking",varcon)
127 if varcon.holds(self.current_assignment):
128 if varcon in self.conflicts: # became consistent
129 self.display(3,"Became consistent",varcon)
130 self.conflicts.remove(varcon)
131 for v in varcon.scope: # v is in one fewer
conflicts
132 var_differential[v] =
var_differential.get(v,0)-1
133 else:
134 if varcon not in self.conflicts: # was consis, not now
135 self.display(3,"Became inconsistent",varcon)
136 self.conflicts.add(varcon)
137 for v in varcon.scope: # v is in one more
conflicts
138 var_differential[v] =
var_differential.get(v,0)+1
139 self.variable_pq.update_each_priority(var_differential)
140 self.display(2,"Number of conflicts",len(self.conflicts))
141 if not self.conflicts: # no conflicts, so solution found
142 self.display(1,"Solution found:",
self.current_assignment,"in",
143 self.number_of_steps,"steps")
144 return self.number_of_steps
145 self.display(1,"No solution in",self.number_of_steps,"steps",
146 len(self.conflicts),"conflicts remain")
147 return None
create_pq creates an updatable priority queue of the variables, ordered by the
number of conflicts they participate in. The priority queue only includes vari-
ables in conflicts and the value of a variable is the negative of the number of

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 4.5. Solving CSPs using Stochastic Local Search 101

conflicts the variable is in. This ensures that the priority queue, which picks
the minimum value, picks a variable with the most conflicts.

cspSLS.py — (continued)

149 def create_pq(self):

150 """Create the variable to number-of-conflicts priority queue.
151 This is needed to select the variable in the most conflicts.
152
153 The value of a variable in the priority queue is the negative of the
154 number of conflicts the variable appears in.
155 """
156 self.variable_pq = Updatable_priority_queue()
157 var_to_number_conflicts = {}
158 for con in self.conflicts:
159 for var in con.scope:
160 var_to_number_conflicts[var] =
var_to_number_conflicts.get(var,0)+1
161 for var,num in var_to_number_conflicts.items():
162 if num>0:
163 self.variable_pq.add(var,-num)

cspSLS.py — (continued)

165 def random_choice(st):

166 """selects a random element from set st.
167 It would be more efficient to convert to a tuple or list only once
168 (left as exercise)."""
169 return random.choice(tuple(st))

Exercise 4.15 These implementations always select a value for the variable se-
lected that is different from its current value (if that is possible). Change the code
so that it does not have this restriction (so it can leave the value the same). Would
you expect this code to be faster? Does it work worse (or better)?

4.5.3 Updatable Priority Queues

An updatable priority queue is a priority queue, where key-value pairs can be
stored, and the pair with the smallest key can be found and removed quickly,
and where the values can be updated. This implementation follows the idea
of http://docs.python.org/3.9/library/heapq.html, where the updated ele-
ments are marked as removed. This means that the priority queue can be used
unmodified. However, this might be expensive if changes are more common
than popping (as might happen if the probability of choosing the best is close
to zero).
In this implementation, the equal values are sorted randomly. This is achieved
by having the elements of the heap being [val, rand, elt] triples, where the sec-
ond element is a random number. Note that Python requires this to be a list,
not a tuple, as the tuple cannot be modified.

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 102 4. Reasoning with Constraints

cspSLS.py — (continued)

171 class Updatable_priority_queue(object):

172 """A priority queue where the values can be updated.
173 Elements with the same value are ordered randomly.
174
175 This code is based on the ideas described in
176 http://docs.python.org/3.3/library/heapq.html
177 It could probably be done more efficiently by
178 shuffling the modified element in the heap.
179 """
180 def __init__(self):
181 self.pq = [] # priority queue of [val,rand,elt] triples
182 self.elt_map = {} # map from elt to [val,rand,elt] triple in pq
183 self.REMOVED = "*removed*" # a string that won't be a legal element
184 self.max_size=0
185
186 def add(self,elt,val):
187 """adds elt to the priority queue with priority=val.
188 """
189 assert val <= 0,val
190 assert elt not in self.elt_map, elt
191 new_triple = [val, random.random(),elt]
192 heapq.heappush(self.pq, new_triple)
193 self.elt_map[elt] = new_triple
194
195 def remove(self,elt):
196 """remove the element from the priority queue"""
197 if elt in self.elt_map:
198 self.elt_map[elt][2] = self.REMOVED
199 del self.elt_map[elt]
200
201 def update_each_priority(self,update_dict):
202 """update values in the priority queue by subtracting the values in
203 update_dict from the priority of those elements in priority queue.
204 """
205 for elt,incr in update_dict.items():
206 if incr != 0:
207 newval = self.elt_map.get(elt,[0])[0] - incr
208 assert newval <= 0, f"{elt}:{newval+incr}-{incr}"
209 self.remove(elt)
210 if newval != 0:
211 self.add(elt,newval)
212
213 def pop(self):
214 """Removes and returns the (elt,value) pair with minimal value.
215 If the priority queue is empty, IndexError is raised.
216 """
217 self.max_size = max(self.max_size, len(self.pq)) # keep statistics
218 triple = heapq.heappop(self.pq)
219 while triple[2] == self.REMOVED:

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 4.5. Solving CSPs using Stochastic Local Search 103

220 triple = heapq.heappop(self.pq)

221 del self.elt_map[triple[2]]
222 return triple[2], triple[0] # elt, value
223
224 def top(self):
225 """Returns the (elt,value) pair with minimal value, without
removing it.
226 If the priority queue is empty, IndexError is raised.
227 """
228 self.max_size = max(self.max_size, len(self.pq)) # keep statistics
229 triple = self.pq[0]
230 while triple[2] == self.REMOVED:
231 heapq.heappop(self.pq)
232 triple = self.pq[0]
233 return triple[2], triple[0] # elt, value
234
235 def empty(self):
236 """returns True iff the priority queue is empty"""
237 return all(triple[2] == self.REMOVED for triple in self.pq)

4.5.4 Plotting Run-Time Distributions

Runtime_distribution uses matplotlib to plot run time distributions. Here the
run time is a misnomer as we are only plotting the number of steps, not the
time. Computing the run time is non-trivial as many of the runs have a very
short run time. To compute the time accurately would require running the
same code, with the same random seed, multiple times to get a good estimate
of the run time. This is left as an exercise.
cspSLS.py — (continued)

239 import matplotlib.pyplot as plt

240 # plt.style.use('grayscale')
241
242 class Runtime_distribution(object):
243 def __init__(self, csp, xscale='log'):
244 """Sets up plotting for csp
245 xscale is either 'linear' or 'log'
246 """
247 self.csp = csp
248 plt.ion()
249 self.fig, self.ax = plt.subplots()
250 self.ax.set_xlabel("Number of Steps")
251 self.ax.set_ylabel("Cumulative Number of Runs")
252 self.ax.set_xscale(xscale) # Makes a 'log' or 'linear' scale
253
254 def plot_runs(self,num_runs=100,max_steps=1000, prob_best=1.0,
prob_anycon=1.0):
255 """Plots num_runs of SLS for the given settings.
256 """

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 104 4. Reasoning with Constraints

1000 P(best)=0.00, P(ac)=1.00

P(best)=1.0
P(best)=0.70, P(ac)=0.30
800
Cumulative Number of Runs

600

400

200

0
100 101 102 103
Number of Steps

Figure 4.9: Run-time distributions for three algorithms on csp2.

257 stats = []
258 SLSearcher.max_display_level, temp_mdl = 0,
SLSearcher.max_display_level # no display
259 for i in range(num_runs):
260 searcher = SLSearcher(self.csp)
261 num_steps = searcher.search(max_steps, prob_best, prob_anycon)
262 if num_steps:
263 stats.append(num_steps)
264 stats.sort()
265 if prob_best >= 1.0:
266 label = "P(best)=1.0"
267 else:
268 p_ac = min(prob_anycon, 1-prob_best)
269 label = "P(best)=%.2f, P(ac)=%.2f" % (prob_best, p_ac)
270 self.ax.plot(stats,range(len(stats)),label=label)
271 self.ax.legend(loc="upper left")
272 SLSearcher.max_display_level= temp_mdl #restore display
Figure 4.9 gives run-time distributions for 3 algorithms. It is also useful to
compare the distributions of different runs of the same algorithms and settings.

4.5.5 Testing
cspSLS.py — (continued)

274 import cspExamples

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 4.6. Discrete Optimization 105

275 def sls_solver(csp,prob_best=0.7):

276 """stochastic local searcher (prob_best=0.7)"""
277 se0 = SLSearcher(csp)
278 se0.search(1000,prob_best)
279 return se0.current_assignment
280 def any_conflict_solver(csp):
281 """stochastic local searcher (any-conflict)"""
282 return sls_solver(csp,0)
283
284 if __name__ == "__main__":
285 cspExamples.test_csp(sls_solver)
286 cspExamples.test_csp(any_conflict_solver)
287
288 ## Test Solving CSPs with Search:
289 #se1 = SLSearcher(cspExamples.csp1); print(se1.search(100))
290 #se2 = SLSearcher(cspExamples.csp2); print(se2.search(1000,1.0)) # greedy
291 #se2 = SLSearcher(cspExamples.csp2); print(se2.search(1000,0)) #
any_conflict
292 #se2 = SLSearcher(cspExamples.csp2); print(se2.search(1000,0.7)) # 70%
greedy; 30% any_conflict
293 #SLSearcher.max_display_level=2 #more detailed display
294 #se3 = SLSearcher(cspExamples.crossword1); print(se3.search(100),0.7)
295 #p = Runtime_distribution(cspExamples.csp2)
296 #p.plot_runs(1000,1000,0) # any_conflict
297 #p.plot_runs(1000,1000,1.0) # greedy
298 #p.plot_runs(1000,1000,0.7) # 70% greedy; 30% any_conflict
Exercise 4.16 Modify this to plot the run time, instead of the number of steps.
To measure run time use timeit (https://docs.python.org/3.9/library/timeit.
html). Small run times are inaccurate, so timeit can run the same code multi-
ple times. Stochastic local algorithms give different run times each time called.
To make the timing meaningful, you need to make sure the random seed is the
same for each repeated call (see random.getstate and random.setstate in https:
//docs.python.org/3.9/library/random.html). Because the run time for differ-
ent seeds can vary a great deal, for each seed, you should start with 1 iteration and
multiplying it by, say 10, until the time is greater than 0.2 seconds. Make sure you
plot the average time for each run. Before you start, try to estimate the total run
time, so you will be able to tell if there is a problem with the algorithm stopping.

4.6 Discrete Optimization

A SoftConstraint is a constraint, but where the condition is a real-valued cost
function. The aim is to find the assignment with the lowest sum of costs. Be-
cause the definition of the constraint class did not force the condition to be
Boolean, you can use the Constraint class for soft constraints too.
cspSoft.py — Representations of Soft Constraints
11 from cspProblem import Variable, Constraint, CSP
12 class SoftConstraint(Constraint):

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 106 4. Reasoning with Constraints

13 """A Constraint consists of

14 * scope: a tuple of variables
15 * function: a real-valued costs function that can applied to a tuple of
values
16 * string: a string for printing the constraints. All of the strings
must be unique.
17 for the variables
18 """
19 def __init__(self, scope, function, string=None, position=None):
20 Constraint.__init__(self, scope, function, string, position)
21
22 def value(self,assignment):
23 return self.holds(assignment)

cspSoft.py — (continued)

25 A = Variable('A', {1,2}, position=(0.2,0.9))

26 B = Variable('B', {1,2,3}, position=(0.8,0.9))
27 C = Variable('C', {1,2}, position=(0.5,0.5))
28 D = Variable('D', {1,2}, position=(0.8,0.1))
29
30 def c1fun(a,b):
31 if a==1: return (5 if b==1 else 2)
32 else: return (0 if b==1 else 4 if b==2 else 3)
33 c1 = SoftConstraint([A,B],c1fun,"c1")
34 def c2fun(b,c):
35 if b==1: return (5 if c==1 else 2)
36 elif b==2: return (0 if c==1 else 4)
37 else: return (2 if c==1 else 0)
38 c2 = SoftConstraint([B,C],c2fun,"c2")
39 def c3fun(b,d):
40 if b==1: return (3 if d==1 else 0)
41 elif b==2: return 2
42 else: return (2 if d==1 else 4)
43 c3 = SoftConstraint([B,D],c3fun,"c3")
44
45 def penalty_if_same(pen):
46 "returns a function that gives a penalty of pen if the arguments are
the same"
47 return lambda x,y: (pen if (x==y) else 0)
48
49 c4 = SoftConstraint([C,A],penalty_if_same(3),"c4")
50
51 scsp1 = CSP("scsp1", {A,B,C,D}, [c1,c2,c3,c4])
52
53 ### The second soft CSP has an extra variable, and 2 constraints
54 E = Variable('E', {1,2}, position=(0.1,0.1))
55
56 c5 = SoftConstraint([C,E],penalty_if_same(3),"c5")
57 c6 = SoftConstraint([D,E],penalty_if_same(2),"c6")
58 scsp2 = CSP("scsp1", {A,B,C,D,E}, [c1,c2,c3,c4,c5,c6])

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 4.6. Discrete Optimization 107

4.6.1 Branch-and-bound Search

Here we specialize the branch-and-bound algorithm (Section 3.3 on page 65) to
solve soft CSP problems.
cspSoft.py — (continued)

60 from display import Displayable

61 import math
62
63 class DF_branch_and_bound_opt(Displayable):
64 """returns a branch and bound searcher for a problem.
65 An optimal assignment with cost less than bound can be found by calling
search()
66 """
67 def __init__(self, csp, bound=math.inf):
68 """creates a searcher than can be used with search() to find an
optimal path.
69 bound gives the initial bound. By default this is infinite -
meaning there
70 is no initial pruning due to depth bound
71 """
72 self.csp = csp
73 self.best_asst = None
74 self.bound = bound
75
76 def optimize(self):
77 """returns an optimal solution to a problem with cost less than
bound.
78 returns None if there is no solution with cost less than bound."""
79 self.num_expanded=0
80 self.cbsearch({}, 0, self.csp.constraints)
81 self.display(1,"Number of paths expanded:",self.num_expanded)
82 return self.best_asst, self.bound
83
84 def cbsearch(self, asst, cost, constraints):
85 """finds the optimal solution that extends path and is less the
bound"""
86 self.display(2,"cbsearch:",asst,cost,constraints)
87 can_eval = [c for c in constraints if c.can_evaluate(asst)]
88 rem_cons = [c for c in constraints if c not in can_eval]
89 newcost = cost + sum(c.value(asst) for c in can_eval)
90 self.display(2,"Evaluating:",can_eval,"cost:",newcost)
91 if newcost < self.bound:
92 self.num_expanded += 1
93 if rem_cons==[]:
94 self.best_asst = asst
95 self.bound = newcost
96 self.display(1,"New best assignment:",asst," cost:",newcost)
97 else:
98 var = next(var for var in self.csp.variables if var not in
asst)

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 108 4. Reasoning with Constraints

99 for val in var.domain:

100 self.cbsearch({var:val}|asst, newcost, rem_cons)
101
102 # bnb = DF_branch_and_bound_opt(scsp1)
103 # bnb.max_display_level=3 # show more detail
104 # bnb.optimize()

Exercise 4.17 What happens of some costs are negative? (Does it still work?)
What if a value is added to all costs: does it change the optimum value, and does
it affect efficiency? Make the algorithm work so that negative costs can be in the
constraints. [Hint: make the smallest value be zero.]
Exercise 4.18 Change the stochastic-local search algorithms to work for soft con-
straints. Hint: Instead of the number of constraints violated, consider how much a
change in a variable affects the objective function. Instead of returning a solution,
return the best assignment found.

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 Chapter 5

Propositions and Inference

5.1 Representing Knowledge Bases

A clause consists of a head (an atom) and a body. A body is represented as a list
of atoms. Atoms are represented as strings, or any type that can be converted
to strings.
logicProblem.py — Representations Logics
11 class Clause(object):
12 """A definite clause"""
13
14 def __init__(self,head,body=[]):
15 """clause with atom head and lost of atoms body"""
16 self.head=head
17 self.body = body
18
19 def __repr__(self):
20 """returns the string representation of a clause.
21 """
22 if self.body:
23 return f"{self.head} <- {' & '.join(str(a) for a in
self.body)}."
24 else:
25 return f"{self.head}."
An askable atom can be asked of the user. The user can respond in English or
French or just with a “y”.
logicProblem.py — (continued)

27 class Askable(object):
28 """An askable atom"""
29

109
 110 5. Propositions and Inference

30 def __init__(self,atom):
31 """clause with atom head and lost of atoms body"""
32 self.atom=atom
33
34 def __str__(self):
35 """returns the string representation of a clause."""
36 return f"askable {self.atom}."
37
38 def yes(ans):
39 """returns true if the answer is yes in some form"""
40 return ans.lower() in ['yes', 'oui', 'y'] # bilingual
A knowledge base is a list of clauses and askables. To make top-down inference
faster, this creates an atom_to_clause dictionary that maps each atom into the
set of clauses with that atom in the head.
logicProblem.py — (continued)

42 from display import Displayable

43
44 class KB(Displayable):
45 """A knowledge base consists of a set of clauses.
46 This also creates a dictionary to give fast access to the clauses with
an atom in head.
47 """
48 def __init__(self, statements=[]):
49 self.statements = statements
50 self.clauses = [c for c in statements if isinstance(c, Clause)]
51 self.askables = [c.atom for c in statements if isinstance(c,
Askable)]
52 self.atom_to_clauses = {} # dictionary giving clauses with atom as
head
53 for c in self.clauses:
54 self.add_clause(c)
55
56 def add_clause(self, c):
57 if c.head in self.atom_to_clauses:
58 self.atom_to_clauses[c.head].append(c)
59 else:
60 self.atom_to_clauses[c.head] = [c]
61
62 def clauses_for_atom(self,a):
63 """returns list of clauses with atom a as the head"""
64 if a in self.atom_to_clauses:
65 return self.atom_to_clauses[a]
66 else:
67 return []
68
69 def __str__(self):
70 """returns a string representation of this knowledge base.
71 """
72 return '\n'.join([str(c) for c in self.statements])

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 5.1. Representing Knowledge Bases 111

Here is a trivial example (I think therefore I am) used in the unit tests:
logicProblem.py — (continued)

74 triv_KB = KB([
75 Clause('i_am', ['i_think']),
76 Clause('i_think'),
77 Clause('i_smell', ['i_exist'])
78 ])
Here is a representation of the electrical domain of the textbook:
logicProblem.py — (continued)

80 elect = KB([
81 Clause('light_l1'),
82 Clause('light_l2'),
83 Clause('ok_l1'),
84 Clause('ok_l2'),
85 Clause('ok_cb1'),
86 Clause('ok_cb2'),
87 Clause('live_outside'),
88 Clause('live_l1', ['live_w0']),
89 Clause('live_w0', ['up_s2','live_w1']),
90 Clause('live_w0', ['down_s2','live_w2']),
91 Clause('live_w1', ['up_s1', 'live_w3']),
92 Clause('live_w2', ['down_s1','live_w3' ]),
93 Clause('live_l2', ['live_w4']),
94 Clause('live_w4', ['up_s3','live_w3' ]),
95 Clause('live_p_1', ['live_w3']),
96 Clause('live_w3', ['live_w5', 'ok_cb1']),
97 Clause('live_p_2', ['live_w6']),
98 Clause('live_w6', ['live_w5', 'ok_cb2']),
99 Clause('live_w5', ['live_outside']),
100 Clause('lit_l1', ['light_l1', 'live_l1', 'ok_l1']),
101 Clause('lit_l2', ['light_l2', 'live_l2', 'ok_l2']),
102 Askable('up_s1'),
103 Askable('down_s1'),
104 Askable('up_s2'),
105 Askable('down_s2'),
106 Askable('up_s3'),
107 Askable('down_s2')
108 ])
109
110 # print(kb)
The following knowledge base is false in the intended interpretation. One of
the clauses is wrong; can you see which one? We will show how to debug it.
logicProblem.py — (continued)

111 elect_bug = KB([

112 Clause('light_l2'),
113 Clause('ok_l1'),
114 Clause('ok_l2'),

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 112 5. Propositions and Inference

115 Clause('ok_cb1'),
116 Clause('ok_cb2'),
117 Clause('live_outside'),
118 Clause('live_p_2', ['live_w6']),
119 Clause('live_w6', ['live_w5', 'ok_cb2']),
120 Clause('light_l1'),
121 Clause('live_w5', ['live_outside']),
122 Clause('lit_l1', ['light_l1', 'live_l1', 'ok_l1']),
123 Clause('lit_l2', ['light_l2', 'live_l2', 'ok_l2']),
124 Clause('live_l1', ['live_w0']),
125 Clause('live_w0', ['up_s2','live_w1']),
126 Clause('live_w0', ['down_s2','live_w2']),
127 Clause('live_w1', ['up_s3', 'live_w3']),
128 Clause('live_w2', ['down_s1','live_w3' ]),
129 Clause('live_l2', ['live_w4']),
130 Clause('live_w4', ['up_s3','live_w3' ]),
131 Clause('live_p_1', ['live_w3']),
132 Clause('live_w3', ['live_w5', 'ok_cb1']),
133 Askable('up_s1'),
134 Askable('down_s1'),
135 Askable('up_s2'),
136 Clause('light_l2'),
137 Clause('ok_l1'),
138 Clause('light_l2'),
139 Clause('ok_l1'),
140 Clause('ok_l2'),
141 Clause('ok_cb1'),
142 Clause('ok_cb2'),
143 Clause('live_outside'),
144 Clause('live_p_2', ['live_w6']),
145 Clause('live_w6', ['live_w5', 'ok_cb2']),
146 Clause('ok_l2'),
147 Clause('ok_cb1'),
148 Clause('ok_cb2'),
149 Clause('live_outside'),
150 Clause('live_p_2', ['live_w6']),
151 Clause('live_w6', ['live_w5', 'ok_cb2']),
152 Askable('down_s2'),
153 Askable('up_s3'),
154 Askable('down_s2')
155 ])
156
157 # print(kb)

5.2 Bottom-up Proofs (with askables)

fixed_point{kb} computes the fixed point of the knowledge base kb.

logicBottomUp.py — Bottom-up Proof Procedure for Definite Clauses

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 5.2. Bottom-up Proofs (with askables) 113

11 from logicProblem import yes

12
13 def fixed_point(kb):
14 """Returns the fixed point of knowledge base kb.
15 """
16 fp = ask_askables(kb)
17 added = True
18 while added:
19 added = False # added is true when an atom was added to fp this
iteration
20 for c in kb.clauses:
21 if c.head not in fp and all(b in fp for b in c.body):
22 fp.add(c.head)
23 added = True
24 kb.display(2,c.head,"added to fp due to clause",c)
25 return fp
26
27 def ask_askables(kb):
28 return {at for at in kb.askables if yes(input("Is "+at+" true? "))}
The following provides a trivial unit test, by default using the knowledge base
triv_KB:
logicBottomUp.py — (continued)

30 from logicProblem import triv_KB

31 def test(kb=triv_KB, fixedpt = {'i_am','i_think'}):
32 fp = fixed_point(kb)
33 assert fp == fixedpt, f"kb gave result {fp}"
34 print("Passed unit test")
35 if __name__ == "__main__":
36 test()
37
38 from logicProblem import elect
39 # elect.max_display_level=3 # give detailed trace
40 # fixed_point(elect)

Exercise 5.1 It is not very user-friendly to ask all of the askables up-front. Imple-
ment ask-the-user so that questions are only asked if useful, and are not re-asked.
For example, if there is a clause h ← a ∧ b ∧ c ∧ d ∧ e, where c and e are askable, c
and e only need to be asked if a, b, d are all in fp and they have not been asked be-
fore. Askable e only needs to be asked if the user says “yes” to c. Askable c doesn’t
need to be asked if the user previously replied “no” to e, unless it is needed for
some other clause.
This form of ask-the-user can ask a different set of questions than the top-
down interpreter that asks questions when encountered. Give an example where
they ask different questions (neither set of questions asked is a subset of the other).
Exercise 5.2 This algorithm runs in time O(n2 ), where n is the number of clauses,
for a bounded number of elements in the body; each iteration goes through each
of the clauses, and in the worst case, it will do an iteration for each clause. It is
possible to implement this in time O(n) time by creating an index that maps an

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 114 5. Propositions and Inference

atom to the set of clauses with that atom in the body. Implement this. What is its
complexity as a function of n and b, the maximum number of atoms in the body of
a clause?
Exercise 5.3 It is possible to be more efficient (in terms of the number of elements
in a body) than the method in the previous question by noticing that each element
of the body of clause only needs to be checked once. For example, the clause
a ← b ∧ c ∧ d, needs only be considered when b is added to fp. Once b is added
to fp, if c is already in fp, we know that a can be added as soon as d is added.
Implement this. What is its complexity as a function of n and b, the maximum
number of atoms in the body of a clause?

5.3 Top-down Proofs (with askables)

The following implements the top-down proof procedure for propositional
definite clauses, as described in Section 5.3.2 and Figure 5.4 of Poole and Mack-
worth [2023]. It implements “choose” by looping over the alternatives (using
Python’s any) and returning true if any choice leads to a proof.
prove(kb, goal) is used to prove goal from a knowledge base, kb, where a goal
is a list of atoms. It returns True if kb ⊢ goal. The indent is used when displaying
the code (and doesn’t need to be called initially with a non-default value).
logicTopDown.py — Top-down Proof Procedure for Definite Clauses
11 from logicProblem import yes
12
13 def prove(kb, ans_body, indent=""):
14 """returns True if kb |- ans_body
15 ans_body is a list of atoms to be proved
16 """
17 kb.display(2,indent,'yes <-',' & '.join(ans_body))
18 if ans_body:
19 selected = ans_body[0] # select first atom from ans_body
20 if selected in kb.askables:
21 return (yes(input("Is "+selected+" true? "))
22 and prove(kb,ans_body[1:],indent+" "))
23 else:
24 return any(prove(kb,cl.body+ans_body[1:],indent+" ")
25 for cl in kb.clauses_for_atom(selected))
26 else:
27 return True # empty body is true

The following provides a simple unit test that is hard wired for triv_KB:
logicTopDown.py — (continued)

29 from logicProblem import triv_KB

30 def test():
31 a1 = prove(triv_KB,['i_am'])
32 assert a1, f"triv_KB proving i_am gave {a1}"
33 a2 = prove(triv_KB,['i_smell'])

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 5.4. Debugging and Explanation 115

34 assert not a2, f"triv_KB proving i_smell gave {a2}"

35 print("Passed unit tests")
36 if __name__ == "__main__":
37 test()
38 # try
39 from logicProblem import elect
40 # elect.max_display_level=3 # give detailed trace
41 # prove(elect,['live_w6'])
42 # prove(elect,['lit_l1'])

Exercise 5.4 This code can re-ask a question multiple times. Implement this code
so that it only asks a question once and remembers the answer. Also implement
a function to forget the answers, which is useful if someone given an incorrect
response.
Exercise 5.5 What search method is this using? Implement the search interface
so that it can use A∗ or other searching methods. Define an admissible heuristic
that is not always 0.

5.4 Debugging and Explanation

Here we modify the top-down procedure to build a proof tree than can be
traversed for explanation and debugging.
prove_atom(kb,atom) returns a proof for atom from a knowledge base kb,
where a proof is a pair of the atom and the proofs for the elements of the body of
the clause used to prove the atom. prove_body(kb,body) returns a list of proofs
for list body from a knowledge base, kb. The indent is used when displaying the
code (and doesn’t need to have a non-default value).
logicExplain.py — Explaining Proof Procedure for Definite Clauses
11 from logicProblem import yes # for asking the user
12
13 def prove_atom(kb, atom, indent=""):
14 """returns a pair (atom,proofs) where proofs is the list of proofs
15 of the elements of a body of a clause used to prove atom.
16 """
17 kb.display(2,indent,'proving',atom)
18 if atom in kb.askables:
19 if yes(input("Is "+atom+" true? ")):
20 return (atom,"answered")
21 else:
22 return "fail"
23 else:
24 for cl in kb.clauses_for_atom(atom):
25 kb.display(2,indent,"trying",atom,'<-',' & '.join(cl.body))
26 pr_body = prove_body(kb, cl.body, indent)
27 if pr_body != "fail":
28 return (atom, pr_body)
29 return "fail"

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 116 5. Propositions and Inference

30
31 def prove_body(kb, ans_body, indent=""):
32 """returns proof tree if kb |- ans_body or "fail" if there is no proof
33 ans_body is a list of atoms in a body to be proved
34 """
35 proofs = []
36 for atom in ans_body:
37 proof_at = prove_atom(kb, atom, indent+" ")
38 if proof_at == "fail":
39 return "fail" # fail if any proof fails
40 else:
41 proofs.append(proof_at)
42 return proofs

The following provides a simple unit test that is hard wired for triv_KB:

logicExplain.py — (continued)

44 from logicProblem import triv_KB

45 def test():
46 a1 = prove_atom(triv_KB,'i_am')
47 assert a1, f"triv_KB proving i_am gave {a1}"
48 a2 = prove_atom(triv_KB,'i_smell')
49 assert a2=="fail", "triv_KB proving i_smell gave {a2}"
50 print("Passed unit tests")
51
52 if __name__ == "__main__":
53 test()
54
55 # try
56 from logicProblem import elect, elect_bug
57 # elect.max_display_level=3 # give detailed trace
58 # prove_atom(elect, 'live_w6')
59 # prove_atom(elect, 'lit_l1')

The interact(kb) provides an interactive interface to explore proofs for

knowledge base kb. The user can ask to prove atoms and can ask how an atom
was proved.
To ask how, there must be a current atom for which there is a proof. This
starts as the atom asked. When the user asks “how n” the current atom be-
comes the n-th element of the body of the clause used to prove the (previous)
current atom. The command “up” makes the current atom the atom in the head
of the rule containing the (previous) current atom. Thus "how n" moves down
the proof tree and “up” moves up the proof tree, allowing the user to explore
the full proof.

logicExplain.py — (continued)

61 helptext = """Commands are:

62 ask atom ask is there is a proof for atom (atom should not be in quotes)
63 how show the clause that was used to prove atom
64 how n show the clause used to prove the nth element of the body

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 5.4. Debugging and Explanation 117

65 up go back up proof tree to explore other parts of the proof tree

66 kb print the knowledge base
67 quit quit this interaction (and go back to Python)
68 help print this text
69 """
70
71 def interact(kb):
72 going = True
73 ups = [] # stack for going up
74 proof="fail" # there is no proof to start
75 while going:
76 inp = input("logicExplain: ")
77 inps = inp.split(" ")
78 try:
79 command = inps[0]
80 if command == "quit":
81 going = False
82 elif command == "ask":
83 proof = prove_atom(kb, inps[1])
84 if proof == "fail":
85 print("fail")
86 else:
87 print("yes")
88 elif command == "how":
89 if proof=="fail":
90 print("there is no proof")
91 elif len(inps)==1:
92 print_rule(proof)
93 else:
94 try:
95 ups.append(proof)
96 proof = proof[1][int(inps[1])] #nth argument of rule
97 print_rule(proof)
98 except:
99 print('In "how n", n must be a number between 0
and',len(proof[1])-1,"inclusive.")
100 elif command == "up":
101 if ups:
102 proof = ups.pop()
103 else:
104 print("No rule to go up to.")
105 print_rule(proof)
106 elif command == "kb":
107 print(kb)
108 elif command == "help":
109 print(helptext)
110 else:
111 print("unknown command:", inp)
112 print("use help for help")
113 except:

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 118 5. Propositions and Inference

114 print("unknown command:", inp)

115 print("use help for help")
116
117 def print_rule(proof):
118 (head,body) = proof
119 if body == "answered":
120 print(head,"was answered yes")
121 elif body == []:
122 print(head,"is a fact")
123 else:
124 print(head,"<-")
125 for i,a in enumerate(body):
126 print(i,":",a[0])
127
128 # try
129 # interact(elect)
130 # Which clause is wrong in elect_bug? Try:
131 # interact(elect_bug)
132 # logicExplain: ask lit_l1

The following shows an interaction for the knowledge base elect:

>>> interact(elect)
logicExplain: ask lit_l1
Is up_s2 true? no
Is down_s2 true? yes
Is down_s1 true? yes
yes
logicExplain: how
lit_l1 <-
0 : light_l1
1 : live_l1
2 : ok_l1
logicExplain: how 1
live_l1 <-
0 : live_w0
logicExplain: how 0
live_w0 <-
0 : down_s2
1 : live_w2
logicExplain: how 0
down_s2 was answered yes
logicExplain: up
live_w0 <-
0 : down_s2
1 : live_w2
logicExplain: how 1
live_w2 <-

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 5.5. Assumables 119

0 : down_s1
1 : live_w3
logicExplain: quit
>>>
Exercise 5.6 The above code only ever explores one proof – the first proof found.
Change the code to enumerate the proof trees (by returning a list of all proof trees,
or, preferably, using yield). Add the command "retry" to the user interface to try
another proof.

5.5 Assumables
Atom a can be made assumable by including Assumable(a) in the knowledge
base. A knowledge base that can include assumables is declared with KBA.
logicAssumables.py — Definite clauses with assumables
11 from logicProblem import Clause, Askable, KB, yes
12
13 class Assumable(object):
14 """An askable atom"""
15
16 def __init__(self,atom):
17 """clause with atom head and lost of atoms body"""
18 self.atom = atom
19
20 def __str__(self):
21 """returns the string representation of a clause.
22 """
23 return "assumable " + self.atom + "."
24
25 class KBA(KB):
26 """A knowledge base that can include assumables"""
27 def __init__(self,statements):
28 self.assumables = [c.atom for c in statements if isinstance(c,
Assumable)]
29 KB.__init__(self,statements)

The top-down Horn clause interpreter, prove_all_ass returns a list of the sets
of assumables that imply ans_body. This list will contain all of the minimal sets
of assumables, but can also find non-minimal sets, and repeated sets, if they
can be generated with separate proofs. The set assumed is the set of assumables
already assumed.
logicAssumables.py — (continued)

31 def prove_all_ass(self, ans_body, assumed=set()):

32 """returns a list of sets of assumables that extends assumed
33 to imply ans_body from self.
34 ans_body is a list of atoms (it is the body of the answer clause).
35 assumed is a set of assumables already assumed

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 120 5. Propositions and Inference

36 """
37 if ans_body:
38 selected = ans_body[0] # select first atom from ans_body
39 if selected in self.askables:
40 if yes(input("Is "+selected+" true? ")):
41 return self.prove_all_ass(ans_body[1:],assumed)
42 else:
43 return [] # no answers
44 elif selected in self.assumables:
45 return self.prove_all_ass(ans_body[1:],assumed|{selected})
46 else:
47 return [ass
48 for cl in self.clauses_for_atom(selected)
49 for ass in
self.prove_all_ass(cl.body+ans_body[1:],assumed)
50 ] # union of answers for each clause with
head=selected
51 else: # empty body
52 return [assumed] # one answer
53
54 def conflicts(self):
55 """returns a list of minimal conflicts"""
56 return minsets(self.prove_all_ass(['false']))
Given a list of sets, minsets returns a list of the minimal sets in the list. For
example, minsets([{2, 3, 4}, {2, 3}, {6, 2, 3}, {2, 3}, {2, 4, 5}]) returns [{2, 3}, {2, 4, 5}].
logicAssumables.py — (continued)

58 def minsets(ls):
59 """ls is a list of sets
60 returns a list of minimal sets in ls
61 """
62 ans = [] # elements known to be minimal
63 for c in ls:
64 if not any(c1<c for c1 in ls) and not any(c1 <= c for c1 in ans):
65 ans.append(c)
66 return ans
67
68 # minsets([{2, 3, 4}, {2, 3}, {6, 2, 3}, {2, 3}, {2, 4, 5}])
Warning: minsets works for a list of sets or for a set of (frozen) sets, but it does
not work for a generator of sets (because variable ls is referenced in the loop).
For example, try to predict and then test:
minsets(e for e in [{2, 3, 4}, {2, 3}, {6, 2, 3}, {2, 3}, {2, 4, 5}])
The diagnoses can be constructed from the (minimal) conflicts as follows.
This also works if there are non-minimal conflicts, but is not as efficient.
logicAssumables.py — (continued)

69 def diagnoses(cons):
70 """cons is a list of (minimal) conflicts.

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 5.5. Assumables 121

71 returns a list of diagnoses."""

72 if cons == []:
73 return [set()]
74 else:
75 return minsets([({e}|d) # | is set union
76 for e in cons[0]
77 for d in diagnoses(cons[1:])])

Test cases:

logicAssumables.py — (continued)

80 electa = KBA([
81 Clause('light_l1'),
82 Clause('light_l2'),
83 Assumable('ok_l1'),
84 Assumable('ok_l2'),
85 Assumable('ok_s1'),
86 Assumable('ok_s2'),
87 Assumable('ok_s3'),
88 Assumable('ok_cb1'),
89 Assumable('ok_cb2'),
90 Assumable('live_outside'),
91 Clause('live_l1', ['live_w0']),
92 Clause('live_w0', ['up_s2','ok_s2','live_w1']),
93 Clause('live_w0', ['down_s2','ok_s2','live_w2']),
94 Clause('live_w1', ['up_s1', 'ok_s1', 'live_w3']),
95 Clause('live_w2', ['down_s1', 'ok_s1','live_w3' ]),
96 Clause('live_l2', ['live_w4']),
97 Clause('live_w4', ['up_s3','ok_s3','live_w3' ]),
98 Clause('live_p_1', ['live_w3']),
99 Clause('live_w3', ['live_w5', 'ok_cb1']),
100 Clause('live_p_2', ['live_w6']),
101 Clause('live_w6', ['live_w5', 'ok_cb2']),
102 Clause('live_w5', ['live_outside']),
103 Clause('lit_l1', ['light_l1', 'live_l1', 'ok_l1']),
104 Clause('lit_l2', ['light_l2', 'live_l2', 'ok_l2']),
105 Askable('up_s1'),
106 Askable('down_s1'),
107 Askable('up_s2'),
108 Askable('down_s2'),
109 Askable('up_s3'),
110 Askable('down_s2'),
111 Askable('dark_l1'),
112 Askable('dark_l2'),
113 Clause('false', ['dark_l1', 'lit_l1']),
114 Clause('false', ['dark_l2', 'lit_l2'])
115 ])
116 # electa.prove_all_ass(['false'])
117 # cs=electa.conflicts()
118 # print(cs)
119 # diagnoses(cs) # diagnoses from conflicts

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 122 5. Propositions and Inference

Exercise 5.7 To implement a version of conflicts that never generates non-

minimal conflicts, modify prove_all_ass to implement iterative deepening on the
number of assumables used in a proof, and prune any set of assumables that is a
superset of a conflict.
Exercise 5.8 Implement explanations(self,body), where body is a list of atoms,
that returns a list of the minimal explanations of the body. This does not require
modification of prove_all_ass.
Exercise 5.9 Implement explanations, as in the previous question, so that it
never generates non-minimal explanations. Hint: modify prove_all_ass to im-
plement iterative deepening on the number of assumptions, generating conflicts
and explanations together, and pruning as early as possible.

5.6 Negation-as-failure
The negation of an atom a is written as Not(a) in a body.

logicNegation.py — Propositional negation-as-failure

11 from logicProblem import KB, Clause, Askable, yes
12
13 class Not(object):
14 def __init__(self, atom):
15 self.theatom = atom
16
17 def atom(self):
18 return self.theatom
19
20 def __repr__(self):
21 return f"Not({self.theatom})"

Prove with negation-as-failure (prove_naf) is like prove, but with the extra case
to cover Not:

logicNegation.py — (continued)

23 def prove_naf(kb, ans_body, indent=""):

24 """ prove with negation-as-failure and askables
25 returns True if kb |- ans_body
26 ans_body is a list of atoms to be proved
27 """
28 kb.display(2,indent,'yes <-',' & '.join(str(e) for e in ans_body))
29 if ans_body:
30 selected = ans_body[0] # select first atom from ans_body
31 if isinstance(selected, Not):
32 kb.display(2,indent,f"proving {selected.atom()}")
33 if prove_naf(kb, [selected.atom()], indent):
34 kb.display(2,indent,f"{selected.atom()} succeeded so
Not({selected.atom()}) fails")
35 return False
36 else:

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 5.6. Negation-as-failure 123

37 kb.display(2,indent,f"{selected.atom()} fails so
Not({selected.atom()}) succeeds")
38 return prove_naf(kb, ans_body[1:],indent+" ")
39 if selected in kb.askables:
40 return (yes(input("Is "+selected+" true? "))
41 and prove_naf(kb,ans_body[1:],indent+" "))
42 else:
43 return any(prove_naf(kb,cl.body+ans_body[1:],indent+" ")
44 for cl in kb.clauses_for_atom(selected))
45 else:
46 return True # empty body is true
Test cases:
logicNegation.py — (continued)

48 triv_KB_naf = KB([
49 Clause('i_am', ['i_think']),
50 Clause('i_think'),
51 Clause('i_smell', ['i_am', Not('dead')]),
52 Clause('i_bad', ['i_am', Not('i_think')])
53 ])
54
55 triv_KB_naf.max_display_level = 4
56 def test():
57 a1 = prove_naf(triv_KB_naf,['i_smell'])
58 assert a1, f"triv_KB_naf failed to prove i_smell; gave {a1}"
59 a2 = prove_naf(triv_KB_naf,['i_bad'])
60 assert not a2, f"triv_KB_naf wrongly proved i_bad; gave {a2}"
61 print("Passed unit tests")
62 if __name__ == "__main__":
63 test()
Default reasoning about beaches at resorts (Example 5.28 of Poole and Mack-
worth [2023]):
logicNegation.py — (continued)

65 beach_KB = KB([
66 Clause('away_from_beach', [Not('on_beach')]),
67 Clause('beach_access', ['on_beach', Not('ab_beach_access')]),
68 Clause('swim_at_beach', ['beach_access', Not('ab_swim_at_beach')]),
69 Clause('ab_swim_at_beach', ['enclosed_bay', 'big_city',
Not('ab_no_swimming_near_city')]),
70 Clause('ab_no_swimming_near_city', ['in_BC', Not('ab_BC_beaches')])
71 ])
72
73 # prove_naf(beach_KB, ['away_from_beach'])
74 # prove_naf(beach_KB, ['beach_access'])
75 # beach_KB.add_clause(Clause('on_beach',[]))
76 # prove_naf(beach_KB, ['away_from_beach'])
77 # prove_naf(beach_KB, ['swim_at_beach'])
78 # beach_KB.add_clause(Clause('enclosed_bay',[]))
79 # prove_naf(beach_KB, ['swim_at_beach'])

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 124 5. Propositions and Inference

80 # beach_KB.add_clause(Clause('big_city',[]))
81 # prove_naf(beach_KB, ['swim_at_beach'])
82 # beach_KB.add_clause(Clause('in_BC',[]))
83 # prove_naf(beach_KB, ['swim_at_beach'])

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 Chapter 6

Deterministic Planning

6.1 Representing Actions and Planning Prob-

lems
The STRIPS representation of an action consists of:

• the name of the action

• preconditions: a dictionary of feature:value pairs that specifies that the

feature must have this value for the action to be possible

• effects: a dictionary of feature:value pairs that are made true by this action.
In particular, a feature in the dictionary has the corresponding value (and
not its previous value) after the action, and a feature not in the dictionary
keeps its old value.

• a cost for the action

stripsProblem.py — STRIPS Representations of Actions

11 class Strips(object):
12 def __init__(self, name, preconds, effects, cost=1):
13 """
14 defines the STRIPS representation for an action:
15 * name is the name of the action
16 * preconds, the preconditions, is feature:value dictionary that
must hold
17 for the action to be carried out
18 * effects is a feature:value map that this action makes
19 true. The action changes the value of any feature specified
20 here, and leaves other features unchanged.

125
 126 6. Deterministic Planning

21 * cost is the cost of the action

22 """
23 self.name = name
24 self.preconds = preconds
25 self.effects = effects
26 self.cost = cost
27
28 def __repr__(self):
29 return self.name

A STRIPS domain consists of:

• A dictionary feature_domain_dict that maps each feature into a set of

possible values for the feature. This is needed for the CSP planner.

• A set of actions, each represented using the Strips class.

stripsProblem.py — (continued)

31 class STRIPS_domain(object):
32 def __init__(self, feature_domain_dict, actions):
33 """Problem domain
34 feature_domain_dict is a feature:domain dictionary,
35 mapping each feature to its domain
36 actions
37 """
38 self.feature_domain_dict = feature_domain_dict
39 self.actions = actions

A planning problem consists of a planning domain, an initial state, and a

goal. The goal does not need to fully specify the final state.

stripsProblem.py — (continued)

41 class Planning_problem(object):
42 def __init__(self, prob_domain, initial_state, goal):
43 """
44 a planning problem consists of
45 * a planning domain
46 * the initial state
47 * a goal
48 """
49 self.prob_domain = prob_domain
50 self.initial_state = initial_state
51 self.goal = goal

6.1.1 Robot Delivery Domain

The following specifies the robot delivery domain of Section 6.1, shown in Fig-
ure 6.1.

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 6.1. Representing Actions and Planning Problems 127

Coffee
Shop
(cs) Sam's
Office
(off )

Mail Lab
Room (lab)
(mr )

Features to describe states Actions

RLoc – Rob’s location mc – move clockwise
RHC – Rob has coffee mcc – move counterclockwise
SWC – Sam wants coffee puc – pickup coffee
MW – Mail is waiting dc – deliver coffee
RHM – Rob has mail pum – pickup mail
dm – deliver mail

Figure 6.1: Robot Delivery Domain

stripsProblem.py — (continued)

53 boolean = {False, True}

54 delivery_domain = STRIPS_domain(
55 {'RLoc':{'cs', 'off', 'lab', 'mr'}, 'RHC':boolean, 'SWC':boolean,
56 'MW':boolean, 'RHM':boolean}, #feature:values dictionary
57 { Strips('mc_cs', {'RLoc':'cs'}, {'RLoc':'off'}),
58 Strips('mc_off', {'RLoc':'off'}, {'RLoc':'lab'}),
59 Strips('mc_lab', {'RLoc':'lab'}, {'RLoc':'mr'}),
60 Strips('mc_mr', {'RLoc':'mr'}, {'RLoc':'cs'}),
61 Strips('mcc_cs', {'RLoc':'cs'}, {'RLoc':'mr'}),
62 Strips('mcc_off', {'RLoc':'off'}, {'RLoc':'cs'}),
63 Strips('mcc_lab', {'RLoc':'lab'}, {'RLoc':'off'}),
64 Strips('mcc_mr', {'RLoc':'mr'}, {'RLoc':'lab'}),
65 Strips('puc', {'RLoc':'cs', 'RHC':False}, {'RHC':True}),
66 Strips('dc', {'RLoc':'off', 'RHC':True}, {'RHC':False, 'SWC':False}),
67 Strips('pum', {'RLoc':'mr','MW':True}, {'RHM':True,'MW':False}),
68 Strips('dm', {'RLoc':'off', 'RHM':True}, {'RHM':False})
69 } )

stripsProblem.py — (continued)

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 128 6. Deterministic Planning

b move(b,c,a) b
a c a c

move(b,c,table)

a c b

Figure 6.2: Blocks world with two actions

71 problem0 = Planning_problem(delivery_domain,
72 {'RLoc':'lab', 'MW':True, 'SWC':True, 'RHC':False,
73 'RHM':False},
74 {'RLoc':'off'})
75 problem1 = Planning_problem(delivery_domain,
76 {'RLoc':'lab', 'MW':True, 'SWC':True, 'RHC':False,
77 'RHM':False},
78 {'SWC':False})
79 problem2 = Planning_problem(delivery_domain,
80 {'RLoc':'lab', 'MW':True, 'SWC':True, 'RHC':False,
81 'RHM':False},
82 {'SWC':False, 'MW':False, 'RHM':False})

6.1.2 Blocks World

The blocks world consist of blocks and a table. Each block can be on the table
or on another block. A block can only have one other block on top of it. Figure
6.2 shows 3 states with some of the actions between them.
A state is defined by the two features:

• on where on(x) = y when block x is on block or table y

• clear where clear(x) = True when block x has nothing on it.

There is one parameterized action

• move(x, y, z) move block x from y to z, where y and z could be a block or

the table.

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 6.1. Representing Actions and Planning Problems 129

To handle parameterized actions (which depend on the blocks involved), the

actions and the features are all strings, created for all the combinations of the
blocks. Note that we treat moving to a block separately from moving to the
table, because the blocks needs to be clear, but the table always has room for
another block.
stripsProblem.py — (continued)

84 ### blocks world

85 def move(x,y,z):
86 """string for the 'move' action"""
87 return 'move_'+x+'_from_'+y+'_to_'+z
88 def on(x):
89 """string for the 'on' feature"""
90 return x+'_is_on'
91 def clear(x):
92 """string for the 'clear' feature"""
93 return 'clear_'+x
94 def create_blocks_world(blocks = {'a','b','c','d'}):
95 blocks_and_table = blocks | {'table'}
96 stmap = {Strips(move(x,y,z),{on(x):y, clear(x):True, clear(z):True},
97 {on(x):z, clear(y):True, clear(z):False})
98 for x in blocks
99 for y in blocks_and_table
100 for z in blocks
101 if x!=y and y!=z and z!=x}
102 stmap.update({Strips(move(x,y,'table'), {on(x):y, clear(x):True},
103 {on(x):'table', clear(y):True})
104 for x in blocks
105 for y in blocks
106 if x!=y})
107 feature_domain_dict = {on(x):blocks_and_table-{x} for x in blocks}
108 feature_domain_dict.update({clear(x):boolean for x in blocks_and_table})
109 return STRIPS_domain(feature_domain_dict, stmap)
The problem blocks1 is a classic example, with 3 blocks, and the goal consists of
two conditions. See Figure 6.3. This example is challenging because you can’t
achieve one of the goals (using the minimum number of actions) and then the
other; whichever one you achieve first has to be undone to achieve the second.
stripsProblem.py — (continued)

111 blocks1dom = create_blocks_world({'a','b','c'})

112 blocks1 = Planning_problem(blocks1dom,
113 {on('a'):'table', clear('a'):True,
114 on('b'):'c', clear('b'):True,
115 on('c'):'table', clear('c'):False}, # initial state
116 {on('a'):'b', on('c'):'a'}) #goal
The problem blocks2 is one to invert a tower of size 4.
stripsProblem.py — (continued)

118 blocks2dom = create_blocks_world({'a','b','c','d'})

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 130 6. Deterministic Planning

c
b
a
a c
b

Figure 6.3: Blocks problem blocks1

119 tower4 = {clear('a'):True, on('a'):'b',

120 clear('b'):False, on('b'):'c',
121 clear('c'):False, on('c'):'d',
122 clear('d'):False, on('d'):'table'}
123 blocks2 = Planning_problem(blocks2dom,
124 tower4, # initial state
125 {on('d'):'c',on('c'):'b',on('b'):'a'}) #goal
The problem blocks3 is to move the bottom block to the top of a tower of size 4.
stripsProblem.py — (continued)

127 blocks3 = Planning_problem(blocks2dom,

128 tower4, # initial state
129 {on('d'):'a', on('a'):'b', on('b'):'c'}) #goal

Exercise 6.1 Represent the problem of given a tower of 4 blocks (a on b on c on

d on table), the goal is to have a tower with the previous top block on the bottom
(b on c on d on a). Do not include the table in your goal (the goal does not care
whether a is on the table). [Before you run the program, estimate how many steps
it will take to solve this.] How many steps does an optimal planner take?
Exercise 6.2 Represent the domain so that on(x, y) is a Boolean feature that is
True when x is on y, Does the representation of the state need to include negative
on facts? Why or why not? (Note that this may depend on the planner; write your
answer with respect to particular planners.)
Exercise 6.3 It is possible to write the representation of the problem without
using clear, where clear(x) means nothing is on x. Change the definition of the
blocks world so that it does not use clear but uses on being false instead. Does this
work better for any of the planners?

6.2 Forward Planning

To run the demo, in folder "aipython", load
"stripsForwardPlanner.py", and copy and paste the commented-
out example queries at the bottom of that file.

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 6.2. Forward Planning 131

In a forward planner, a node is a state. A state consists of an assignment, a

feature:value dictionary, where all features have a value. Multiple-path prun-
ing requires a hash function, and equality between states.
stripsForwardPlanner.py — Forward Planner with STRIPS actions
11 from searchProblem import Arc, Search_problem
12 from stripsProblem import Strips, STRIPS_domain
13
14 class State(object):
15 def __init__(self,assignment):
16 self.assignment = assignment
17 self.hash_value = None
18 def __hash__(self):
19 if self.hash_value is None:
20 self.hash_value = hash(frozenset(self.assignment.items()))
21 return self.hash_value
22 def __eq__(self,st):
23 return self.assignment == st.assignment
24 def __str__(self):
25 return str(self.assignment)
To define a search problem (page 41), you need to define the goal condition,
the start nodes, the neighbors, and (optionally) a heuristic function. Here zero
is the default heuristic function.
stripsForwardPlanner.py — (continued)

27 def zero(*args,**nargs):
28 """always returns 0"""
29 return 0
30
31 class Forward_STRIPS(Search_problem):
32 """A search problem from a planning problem where:
33 * a node is a state
34 * the dynamics are specified by the STRIPS representation of actions
35 """
36 def __init__(self, planning_problem, heur=zero):
37 """creates a forward search space from a planning problem.
38 heur(state,goal) is a heuristic function,
39 an underestimate of the cost from state to goal, where
40 both state and goals are feature:value dictionaries.
41 """
42 self.prob_domain = planning_problem.prob_domain
43 self.initial_state = State(planning_problem.initial_state)
44 self.goal = planning_problem.goal
45 self.heur = heur
46
47 def is_goal(self, state):
48 """is True if node is a goal.
49
50 Every goal feature has the same value in the state and the goal."""
51 return all(state.assignment[prop]==self.goal[prop]

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 132 6. Deterministic Planning

52 for prop in self.goal)

53
54 def start_node(self):
55 """returns start node"""
56 return self.initial_state
57
58 def neighbors(self,state):
59 """returns neighbors of state in this problem"""
60 return [ Arc(state, self.effect(act,state.assignment), act.cost,
act)
61 for act in self.prob_domain.actions
62 if self.possible(act,state.assignment)]
63
64 def possible(self,act,state_asst):
65 """True if act is possible in state.
66 act is possible if all of its preconditions have the same value in
the state"""
67 return all(state_asst[pre] == act.preconds[pre]
68 for pre in act.preconds)
69
70 def effect(self,act,state_asst):
71 """returns the state that is the effect of doing act given
state_asst
72 Python 3.9: return state_asst | act.effects"""
73 new_state_asst = state_asst.copy()
74 new_state_asst.update(act.effects)
75 return State(new_state_asst)
76
77 def heuristic(self,state):
78 """in the forward planner a node is a state.
79 the heuristic is an (under)estimate of the cost
80 of going from the state to the top-level goal.
81 """
82 return self.heur(state.assignment, self.goal)

Here are some test cases to try.

stripsForwardPlanner.py — (continued)

84 from searchBranchAndBound import DF_branch_and_bound

85 from searchMPP import SearcherMPP
86 import stripsProblem
87
88 # SearcherMPP(Forward_STRIPS(stripsProblem.problem1)).search() #A* with MPP
89 # DF_branch_and_bound(Forward_STRIPS(stripsProblem.problem1),10).search()
#B&B
90 # To find more than one plan:
91 # s1 = SearcherMPP(Forward_STRIPS(stripsProblem.problem1)) #A*
92 # s1.search() #find another plan

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 6.2. Forward Planning 133

6.2.1 Defining Heuristics for a Planner

Each planning domain requires its own heuristics. If you change the actions,
you will need to reconsider the heuristic function, as there might then be a
lower-cost path, which might make the heuristic non-admissible.
Here is an example of defining heuristics for the coffee delivery planning
domain.
First define the distance between two locations, which is used for the heuris-
tics.
stripsHeuristic.py — Planner with Heuristic Function
11 def dist(loc1, loc2):
12 """returns the distance from location loc1 to loc2
13 """
14 if loc1==loc2:
15 return 0
16 if {loc1,loc2} in [{'cs','lab'},{'mr','off'}]:
17 return 2
18 else:
19 return 1
Note that the current state is a complete description; there is a value for
every feature. However the goal need not be complete; it does not need to
define a value for every feature. Before checking the value for a feature in the
goal, a heuristic needs to define whether the feature is defined in the goal.
stripsHeuristic.py — (continued)

21 def h1(state,goal):
22 """ the distance to the goal location, if there is one"""
23 if 'RLoc' in goal:
24 return dist(state['RLoc'], goal['RLoc'])
25 else:
26 return 0
27
28 def h2(state,goal):
29 """ the distance to the coffee shop plus getting coffee and delivering
it
30 if the robot needs to get coffee
31 """
32 if ('SWC' in goal and goal['SWC']==False
33 and state['SWC']==True
34 and state['RHC']==False):
35 return dist(state['RLoc'],'cs')+3
36 else:
37 return 0
The maximum of the values of a set of admissible heuristics is also an admis-
sible heuristic. The function maxh takes a number of heuristic functions as ar-
guments, and returns a new heuristic function that takes the maximum of the
values of the heuristics. For example, h1 and h2 are heuristic functions and so
maxh(h1,h2) is also. maxh can take an arbitrary number of arguments.

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 134 6. Deterministic Planning

stripsHeuristic.py — (continued)

39 def maxh(*heuristics):
40 """Returns a new heuristic function that is the maximum of the
functions in heuristics.
41 heuristics is the list of arguments which must be heuristic functions.
42 """
43 # return lambda state,goal: max(h(state,goal) for h in heuristics)
44 def newh(state,goal):
45 return max(h(state,goal) for h in heuristics)
46 return newh

The following runs the example with and without the heuristic.

stripsHeuristic.py — (continued)

48 ##### Forward Planner #####

49 from searchMPP import SearcherMPP
50 from stripsForwardPlanner import Forward_STRIPS
51 import stripsProblem
52
53 def test_forward_heuristic(thisproblem=stripsProblem.problem1):
54 print("\n***** FORWARD NO HEURISTIC")
55 print(SearcherMPP(Forward_STRIPS(thisproblem)).search())
56
57 print("\n***** FORWARD WITH HEURISTIC h1")
58 print(SearcherMPP(Forward_STRIPS(thisproblem,h1)).search())
59
60 print("\n***** FORWARD WITH HEURISTIC h2")
61 print(SearcherMPP(Forward_STRIPS(thisproblem,h2)).search())
62
63 print("\n***** FORWARD WITH HEURISTICs h1 and h2")
64 print(SearcherMPP(Forward_STRIPS(thisproblem,maxh(h1,h2))).search())
65
66 if __name__ == "__main__":
67 test_forward_heuristic()

Exercise 6.4 For more than one start-state/goal combination, test the forward
planner with a heuristic function of just h1, with just h2 and with both. Explain
why each one prunes or doesn’t prune the search space.
Exercise 6.5 Create a better heuristic than maxh(h1,h2). Try it for a number of
different problems. In particular, try and include the following costs:

i) h3 is like h2 but also takes into account the case when Rloc is in goal.
ii) h4 uses the distance to the mail room plus getting mail and delivering it if
the robot needs to get need to deliver mail.
iii) h5 is for getting mail when goal is for the robot to have mail, and then getting
to the goal destination (if there is one).

Exercise 6.6 Create an admissible heuristic for the blocks world.

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 6.3. Regression Planning 135

6.3 Regression Planning

To run the demo, in folder "aipython", load
"stripsRegressionPlanner.py", and copy and paste the commented-
out example queries at the bottom of that file.

In a regression planner a node is a subgoal that need to be achieved. A

Subgoal consists of an assignment, a feature:value dictionary, which assigns
some – but typically not all – of the state features. It is hashable so that multiple
path pruning can work. The hash is only computed when necessary (and only
once).
stripsRegressionPlanner.py — Regression Planner with STRIPS actions
11 from searchProblem import Arc, Search_problem
12
13 class Subgoal(object):
14 def __init__(self,assignment):
15 self.assignment = assignment
16 self.hash_value = None
17 def __hash__(self):
18 if self.hash_value is None:
19 self.hash_value = hash(frozenset(self.assignment.items()))
20 return self.hash_value
21 def __eq__(self,st):
22 return self.assignment == st.assignment
23 def __str__(self):
24 return str(self.assignment)
A regression search has subgoals as nodes. The initial node is the top-level goal
of the planner. The goal for the search (when the search can stop) is a subgoal
that holds in the initial state.
stripsRegressionPlanner.py — (continued)

26 from stripsForwardPlanner import zero

27
28 class Regression_STRIPS(Search_problem):
29 """A search problem where:
30 * a node is a goal to be achieved, represented by a set of propositions.
31 * the dynamics are specified by the STRIPS representation of actions
32 """
33
34 def __init__(self, planning_problem, heur=zero):
35 """creates a regression search space from a planning problem.
36 heur(state,goal) is a heuristic function;
37 an underestimate of the cost from state to goal, where
38 both state and goals are feature:value dictionaries
39 """
40 self.prob_domain = planning_problem.prob_domain
41 self.top_goal = Subgoal(planning_problem.goal)
42 self.initial_state = planning_problem.initial_state

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 136 6. Deterministic Planning

43 self.heur = heur
44
45 def is_goal(self, subgoal):
46 """if subgoal is true in the initial state, a path has been found"""
47 goal_asst = subgoal.assignment
48 return all(self.initial_state[g]==goal_asst[g]
49 for g in goal_asst)
50
51 def start_node(self):
52 """the start node is the top-level goal"""
53 return self.top_goal
54
55 def neighbors(self,subgoal):
56 """returns a list of the arcs for the neighbors of subgoal in this
problem"""
57 goal_asst = subgoal.assignment
58 return [ Arc(subgoal, self.weakest_precond(act,goal_asst),
act.cost, act)
59 for act in self.prob_domain.actions
60 if self.possible(act,goal_asst)]
61
62 def possible(self,act,goal_asst):
63 """True if act is possible to achieve goal_asst.
64
65 the action achieves an element of the effects and
66 the action doesn't delete something that needs to be achieved and
67 the preconditions are consistent with other subgoals that need to
be achieved
68 """
69 return ( any(goal_asst[prop] == act.effects[prop]
70 for prop in act.effects if prop in goal_asst)
71 and all(goal_asst[prop] == act.effects[prop]
72 for prop in act.effects if prop in goal_asst)
73 and all(goal_asst[prop]== act.preconds[prop]
74 for prop in act.preconds if prop not in act.effects
and prop in goal_asst)
75 )
76
77 def weakest_precond(self,act,goal_asst):
78 """returns the subgoal that must be true so goal_asst holds after
act
79 should be: act.preconds | (goal_asst - act.effects)
80 """
81 new_asst = act.preconds.copy()
82 for g in goal_asst:
83 if g not in act.effects:
84 new_asst[g] = goal_asst[g]
85 return Subgoal(new_asst)
86
87 def heuristic(self,subgoal):

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88 """in the regression planner a node is a subgoal.

89 the heuristic is an (under)estimate of the cost of going from the
initial state to subgoal.
90 """
91 return self.heur(self.initial_state, subgoal.assignment)

stripsRegressionPlanner.py — (continued)

93 from searchBranchAndBound import DF_branch_and_bound

94 from searchMPP import SearcherMPP
95 import stripsProblem
96
97 # SearcherMPP(Regression_STRIPS(stripsProblem.problem1)).search() #A* with
MPP
98 #
DF_branch_and_bound(Regression_STRIPS(stripsProblem.problem1),10).search()
#B&B

Exercise 6.7 Multiple path pruning could be used to prune more than the current
node. In particular, if the current node contains more conditions than a previously
visited node, it can be pruned. For example, if {a:True, b:False} has been visited,
then any node that is a superset, e.g., {a:True, b:False, d:True}, need not be
expanded. If the simpler subgoal does not lead to a solution, the more complicated
one will not either. Implement this more severe pruning. (Hint: This may require
modifications to the searcher.)
Exercise 6.8 It is possible that, as knowledge of the domain, that some as-
signment of values to features can never be achieved. For example, the robot
cannot be holding mail when there is mail waiting (assuming it isn’t holding
mail initially). An assignment of values to (some of the) features is incompat-
ible if no possible (reachable) state can include that assignment. For example,
{'MW':True, 'RHM':True} is an incompatible assignment. This information may
be useful information for a planner; there is no point in trying to achieve these
together. Define a subclass of STRIPS_domain that can accept a list of incompatible
assignments. Modify the regression planner code to use such a list of incompatible
assignments. Give an example where the search space is smaller.
Exercise 6.9 After completing the previous exercise, design incompatible assign-
ments for the blocks world. (This can result in dramatic search improvements.)

6.3.1 Defining Heuristics for a Regression Planner

The regression planner can use the same heuristic function as the forward plan-
ner. However, just because a heuristic is useful for a forward planner does not
mean it is useful for a regression planner, and vice versa. you should experi-
ment with whether the same heuristic works well for both a regression planner
and a forward planner.
The following runs the same example as the forward planner with and
without the heuristic defined for the forward planner:

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stripsHeuristic.py — (continued)

69 ##### Regression Planner

70 from stripsRegressionPlanner import Regression_STRIPS
71
72 def test_regression_heuristic(thisproblem=stripsProblem.problem1):
73 print("\n***** REGRESSION NO HEURISTIC")
74 print(SearcherMPP(Regression_STRIPS(thisproblem)).search())
75
76 print("\n***** REGRESSION WITH HEURISTICs h1 and h2")
77 print(SearcherMPP(Regression_STRIPS(thisproblem,maxh(h1,h2))).search())
78
79 if __name__ == "__main__":
80 test_regression_heuristic()

Exercise 6.10 Try the regression planner with a heuristic function of just h1 and
with just h2 (defined in Section 6.2.1). Explain how each one prunes or doesn’t
prune the search space.
Exercise 6.11 Create a heuristic that is better for regression planning than heuristic_fun
defined in Section 6.2.1.

6.4 Planning as a CSP

To run the demo, in folder "aipython", load "stripsCSPPlanner.py",
and copy and paste the commented-out example queries at the bot-
tom of that file. This assumes Python 3.

The CSP planner assumes there is a single action at each step. This creates a
CSP that can use any of the CSP algorithms to solve (e.g., stochastic local search
or arc consistency with domain splitting).
It uses the same action representation as before; it does not consider fac-
tored actions (action features), or implement state constraints.
stripsCSPPlanner.py — CSP planner where actions are represented using STRIPS
11 from cspProblem import Variable, CSP, Constraint
12
13 class CSP_from_STRIPS(CSP):
14 """A CSP where:
15 * CSP variables are constructed for each feature and time, and each
action and time
16 * the dynamics are specified by the STRIPS representation of actions
17 """
18
19 def __init__(self, planning_problem, number_stages=2):
20 prob_domain = planning_problem.prob_domain
21 initial_state = planning_problem.initial_state
22 goal = planning_problem.goal
23 # self.action_vars[t] is the action variable for time t

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 6.4. Planning as a CSP 139

24 self.action_vars = [Variable(f"Action{t}", prob_domain.actions)

25 for t in range(number_stages)]
26 # feat_time_var[f][t] is the variable for feature f at time t
27 feat_time_var = {feat: [Variable(f"{feat}_{t}",dom)
28 for t in range(number_stages+1)]
29 for (feat,dom) in
prob_domain.feature_domain_dict.items()}
30
31 # initial state constraints:
32 constraints = [Constraint([feat_time_var[feat][0]], is_(val),
33 f"{feat}[0]={val}")
34 for (feat,val) in initial_state.items()]
35
36 # goal constraints on the final state:
37 constraints += [Constraint([feat_time_var[feat][number_stages]],
38 is_(val),
f"{feat}[{number_stages}]={val}")
39 for (feat,val) in goal.items()]
40
41 # precondition constraints:
42 constraints += [Constraint([feat_time_var[feat][t],
self.action_vars[t]],
43 if_(val,act),
44 f"{feat}[{t}]={val} if action[{t}]={act}")
45 for act in prob_domain.actions
46 for (feat,val) in act.preconds.items()
47 for t in range(number_stages)]
48
49 # effect constraints:
50 constraints += [Constraint([feat_time_var[feat][t+1],
self.action_vars[t]],
51 if_(val,act),
52 f"{feat}[{t+1}]={val} if action[{t}]={act}")
53 for act in prob_domain.actions
54 for feat,val in act.effects.items()
55 for t in range(number_stages)]
56 # frame constraints:
57
58 constraints += [Constraint([feat_time_var[feat][t],
self.action_vars[t], feat_time_var[feat][t+1]],
59 eq_if_not_in_({act for act in
prob_domain.actions
60 if feat in act.effects}),
61 f"{feat}[t]={feat}[{t+1}] if act not in
{set(act for act in prob_domain.actions
if feat in act.effects)}")
62 for feat in prob_domain.feature_domain_dict
63 for t in range(number_stages) ]
64 variables = set(self.action_vars) | {feat_time_var[feat][t]
65 for feat in

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prob_domain.feature_domain_dict
66 for t in range(number_stages+1)}
67 CSP.__init__(self, "CSP_from_Strips", variables, constraints)
68
69 def extract_plan(self,soln):
70 return [soln[a] for a in self.action_vars]
The following methods return methods which can be applied to the particular
environment.
For example, is_(3) returns a function that when applied to 3, returns True
and when applied to any other value returns False. So is_(3)(3) returns True
and is_(3)(7) returns False.
Note that the underscore (’_’) is part of the name; we use the convention
that a function with name ending in underscore returns a function. Com-
mented out is an alternative style to define is_ and if_; returning a function
defined by lambda is equivalent to returning the embedded function, except
that the embedded function has a name. The embedded function can also be
given a docstring.
stripsCSPPlanner.py — (continued)

72 def is_(val):
73 """returns a function that is true when it is it applied to val.
74 """
75 #return lambda x: x == val
76 def is_fun(x):
77 return x == val
78 is_fun.__name__ = f"value_is_{val}"
79 return is_fun
80
81 def if_(v1,v2):
82 """if the second argument is v2, the first argument must be v1"""
83 #return lambda x1,x2: x1==v1 if x2==v2 else True
84 def if_fun(x1,x2):
85 return x1==v1 if x2==v2 else True
86 if_fun.__name__ = f"if x2 is {v2} then x1 is {v1}"
87 return if_fun
88
89 def eq_if_not_in_(actset):
90 """first and third arguments are equal if action is not in actset"""
91 # return lambda x1, a, x2: x1==x2 if a not in actset else True
92 def eq_if_not_fun(x1, a, x2):
93 return x1==x2 if a not in actset else True
94 eq_if_not_fun.__name__ = f"first and third arguments are equal if
action is not in {actset}"
95 return eq_if_not_fun
Putting it together, this returns a list of actions that solves the problem for
a given horizon. If you want to do more than just return the list of actions, you
might want to get it to return the solution. Or even enumerate the solutions
(by using Search_with_AC_from_CSP).

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 6.4. Planning as a CSP 141

stripsCSPPlanner.py — (continued)

97 def con_plan(prob,horizon):
98 """finds a plan for problem prob given horizon.
99 """
100 csp = CSP_from_STRIPS(prob, horizon)
101 sol = Con_solver(csp).solve_one()
102 return csp.extract_plan(sol) if sol else sol

The following are some example queries.

stripsCSPPlanner.py — (continued)

104 from searchGeneric import Searcher

105 from cspConsistency import Search_with_AC_from_CSP, Con_solver
106 from stripsProblem import Planning_problem
107 import stripsProblem
108
109 # Problem 0
110 # con_plan(stripsProblem.problem0,1) # should it succeed?
111 # con_plan(stripsProblem.problem0,2) # should it succeed?
112 # con_plan(stripsProblem.problem0,3) # should it succeed?
113 # To use search to enumerate solutions
114 #searcher0a =
Searcher(Search_with_AC_from_CSP(CSP_from_STRIPS(stripsProblem.problem0,
1)))
115 #print(searcher0a.search()) # returns path to solution
116
117 ## Problem 1
118 # con_plan(stripsProblem.problem1,5) # should it succeed?
119 # con_plan(stripsProblem.problem1,4) # should it succeed?
120 ## To use search to enumerate solutions:
121 #searcher15a =
Searcher(Search_with_AC_from_CSP(CSP_from_STRIPS(stripsProblem.problem1,
5)))
122 #print(searcher15a.search()) # returns path to solution
123
124 ## Problem 2
125 #con_plan(stripsProblem.problem2, 6) # should fail??
126 #con_plan(stripsProblem.problem2, 7) # should succeed???
127
128 ## Example 6.13
129 problem3 = Planning_problem(stripsProblem.delivery_domain,
130 {'SWC':True, 'RHC':False}, {'SWC':False})
131 #con_plan(problem3,2) # Horizon of 2
132 #con_plan(problem3,3) # Horizon of 3
133
134 problem4 = Planning_problem(stripsProblem.delivery_domain,{'SWC':True},
135 {'SWC':False, 'MW':False, 'RHM':False})
136
137 # For the stochastic local search:
138 #from cspSLS import SLSearcher, Runtime_distribution

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 142 6. Deterministic Planning

139 # cspplanning15 = CSP_from_STRIPS(stripsProblem.problem1, 5) # should

succeed
140 #se0 = SLSearcher(cspplanning15); print(se0.search(100000,0.5))
141 #p = Runtime_distribution(cspplanning15)
142 #p.plot_runs(1000,1000,0.7) # warning may take a few minutes

6.5 Partial-Order Planning

To run the demo, in folder "aipython", load "stripsPOP.py", and copy
and paste the commented-out example queries at the bottom of that
file.

A partial order planner maintains a partial order of action instances. An

action instance consists of a name and an index. You need action instances
because the same action could be carried out at different times.

stripsPOP.py — Partial-order Planner using STRIPS representation

11 from searchProblem import Arc, Search_problem
12 import random
13
14 class Action_instance(object):
15 next_index = 0
16 def __init__(self,action,index=None):
17 if index is None:
18 index = Action_instance.next_index
19 Action_instance.next_index += 1
20 self.action = action
21 self.index = index
22
23 def __str__(self):
24 return f"{self.action}#{self.index}"
25
26 __repr__ = __str__ # __repr__ function is the same as the __str__
function

A partial-order planner is represented as a search problem (Section 3.1)

where a node consists of:

• actions: a set of action instances.

• constraints: a set of (a1 , a2 ) pairs, where a1 and a2 are action instances,

which represents that a1 must come before a2 in the partial order. There
are a number of ways that this could be represented. The code below rep-
resents the set of pairs that are in transitive closure of the before relation.
This lets it quickly determine whether some before relation is consistent
with the current constraints, at the cost of pre-computing and storing the
transitive closure.

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 6.5. Partial-Order Planning 143

• agenda: a list of (s, a) pairs, where s is a (var, val) pair and a is an action
instance. This means that variable var must have value val before a can
occur.

• causal_links: a set of (a0, g, a1) triples, where a1 and a2 are action instances
and g is a (var, val) pair. This holds when action a0 makes g true for action
a1 .

stripsPOP.py — (continued)

28 class POP_node(object):
29 """a (partial) partial-order plan. This is a node in the search
space."""
30 def __init__(self, actions, constraints, agenda, causal_links):
31 """
32 * actions is a set of action instances
33 * constraints a set of (a0,a1) pairs, representing a0<a1,
34 closed under transitivity
35 * agenda list of (subgoal,action) pairs to be achieved, where
36 subgoal is a (variable,value) pair
37 * causal_links is a set of (a0,g,a1) triples,
38 where ai are action instances, and g is a (variable,value) pair
39 """
40 self.actions = actions # a set of action instances
41 self.constraints = constraints # a set of (a0,a1) pairs
42 self.agenda = agenda # list of (subgoal,action) pairs to be
achieved
43 self.causal_links = causal_links # set of (a0,g,a1) triples
44
45 def __str__(self):
46 return ("actions: "+str({str(a) for a in self.actions})+
47 "\nconstraints: "+
48 str({(str(a1),str(a2)) for (a1,a2) in self.constraints})+
49 "\nagenda: "+
50 str([(str(s),str(a)) for (s,a) in self.agenda])+
51 "\ncausal_links:"+
52 str({(str(a0),str(g),str(a2)) for (a0,g,a2) in
self.causal_links}) )
extract_plan constructs a total order of action instances that is consistent
with the partial order.
stripsPOP.py — (continued)

54 def extract_plan(self):
55 """returns a total ordering of the action instances consistent
56 with the constraints.
57 raises IndexError if there is no choice.
58 """
59 sorted_acts = []
60 other_acts = set(self.actions)
61 while other_acts:

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62 a = random.choice([a for a in other_acts if

63 all(((a1,a) not in self.constraints) for a1 in
other_acts)])
64 sorted_acts.append(a)
65 other_acts.remove(a)
66 return sorted_acts

POP_search_from_STRIPS is an instance of a search problem. As such, it

needs start nodes, a goal, and the neighbors function.

stripsPOP.py — (continued)

68 from display import Displayable

69
70 class POP_search_from_STRIPS(Search_problem, Displayable):
71 def __init__(self,planning_problem):
72 Search_problem.__init__(self)
73 self.planning_problem = planning_problem
74 self.start = Action_instance("start")
75 self.finish = Action_instance("finish")
76
77 def is_goal(self, node):
78 return node.agenda == []
79
80 def start_node(self):
81 constraints = {(self.start, self.finish)}
82 agenda = [(g, self.finish) for g in
self.planning_problem.goal.items()]
83 return POP_node([self.start,self.finish], constraints, agenda, [] )

The neighbors method enumerates the neighbors of a given node, using

yield.

stripsPOP.py — (continued)

85 def neighbors(self, node):

86 """enumerates the neighbors of node"""
87 self.display(3,"finding neighbors of\n",node)
88 if node.agenda:
89 subgoal,act1 = node.agenda[0]
90 self.display(2,"selecting",subgoal,"for",act1)
91 new_agenda = node.agenda[1:]
92 for act0 in node.actions:
93 if (self.achieves(act0, subgoal) and
94 self.possible((act0,act1),node.constraints)):
95 self.display(2," reusing",act0)
96 consts1 =
self.add_constraint((act0,act1),node.constraints)
97 new_clink = (act0,subgoal,act1)
98 new_cls = node.causal_links + [new_clink]
99 for consts2 in
self.protect_cl_for_actions(node.actions,consts1,new_clink):
100 yield Arc(node,

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 6.5. Partial-Order Planning 145

101 POP_node(node.actions,consts2,new_agenda,new_cls),
102 cost=0)
103 for a0 in self.planning_problem.prob_domain.actions: #a0 is an
action
104 if self.achieves(a0, subgoal):
105 #a0 achieves subgoal
106 new_a = Action_instance(a0)
107 self.display(2," using new action",new_a)
108 new_actions = node.actions + [new_a]
109 consts1 =
self.add_constraint((self.start,new_a),node.constraints)
110 consts2 = self.add_constraint((new_a,act1),consts1)
111 new_agenda1 = new_agenda + [(pre,new_a) for pre in
a0.preconds.items()]
112 new_clink = (new_a,subgoal,act1)
113 new_cls = node.causal_links + [new_clink]
114 for consts3 in
self.protect_all_cls(node.causal_links,new_a,consts2):
115 for consts4 in
self.protect_cl_for_actions(node.actions,consts3,new_clink):
116 yield Arc(node,
117 POP_node(new_actions,consts4,new_agenda1,new_cls),
118 cost=1)
Given a causal link (a0, subgoal, a1), the following method protects the causal
link from each action in actions. Whenever an action deletes subgoal, the action
needs to be before a0 or after a1. This method enumerates all constraints that
result from protecting the causal link from all actions.
stripsPOP.py — (continued)

120 def protect_cl_for_actions(self, actions, constrs, clink):

121 """yields constraints that extend constrs and
122 protect causal link (a0, subgoal, a1)
123 for each action in actions
124 """
125 if actions:
126 a = actions[0]
127 rem_actions = actions[1:]
128 a0, subgoal, a1 = clink
129 if a != a0 and a != a1 and self.deletes(a,subgoal):
130 if self.possible((a,a0),constrs):
131 new_const = self.add_constraint((a,a0),constrs)
132 for e in
self.protect_cl_for_actions(rem_actions,new_const,clink):
yield e # could be "yield from"
133 if self.possible((a1,a),constrs):
134 new_const = self.add_constraint((a1,a),constrs)
135 for e in
self.protect_cl_for_actions(rem_actions,new_const,clink):
yield e
136 else:

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 146 6. Deterministic Planning

137 for e in
self.protect_cl_for_actions(rem_actions,constrs,clink):
yield e
138 else:
139 yield constrs

Given an action act, the following method protects all the causal links in
clinks from act. Whenever act deletes subgoal from some causal link (a0, subgoal, a1),
the action act needs to be before a0 or after a1. This method enumerates all con-
straints that result from protecting the causal links from act.
stripsPOP.py — (continued)

141 def protect_all_cls(self, clinks, act, constrs):

142 """yields constraints that protect all causal links from act"""
143 if clinks:
144 (a0,cond,a1) = clinks[0] # select a causal link
145 rem_clinks = clinks[1:] # remaining causal links
146 if act != a0 and act != a1 and self.deletes(act,cond):
147 if self.possible((act,a0),constrs):
148 new_const = self.add_constraint((act,a0),constrs)
149 for e in self.protect_all_cls(rem_clinks,act,new_const):
yield e
150 if self.possible((a1,act),constrs):
151 new_const = self.add_constraint((a1,act),constrs)
152 for e in self.protect_all_cls(rem_clinks,act,new_const):
yield e
153 else:
154 for e in self.protect_all_cls(rem_clinks,act,constrs): yield
e
155 else:
156 yield constrs

The following methods check whether an action (or action instance) achieves
or deletes some subgoal.
stripsPOP.py — (continued)

158 def achieves(self,action,subgoal):

159 var,val = subgoal
160 return var in self.effects(action) and self.effects(action)[var] ==
val
161
162 def deletes(self,action,subgoal):
163 var,val = subgoal
164 return var in self.effects(action) and self.effects(action)[var] !=
val
165
166 def effects(self,action):
167 """returns the variable:value dictionary of the effects of action.
168 works for both actions and action instances"""
169 if isinstance(action, Action_instance):
170 action = action.action

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 6.5. Partial-Order Planning 147

171 if action == "start":

172 return self.planning_problem.initial_state
173 elif action == "finish":
174 return {}
175 else:
176 return action.effects

The constraints are represented as a set of pairs closed under transitivity.

Thus if (a, b) and (b, c) are the list, then (a, c) must also be in the list. This means
that adding a new constraint means adding the implied pairs, but querying
whether some order is consistent is quick.

stripsPOP.py — (continued)

178 def add_constraint(self, pair, const):

179 if pair in const:
180 return const
181 todo = [pair]
182 newconst = const.copy()
183 while todo:
184 x0,x1 = todo.pop()
185 newconst.add((x0,x1))
186 for x,y in newconst:
187 if x==x1 and (x0,y) not in newconst:
188 todo.append((x0,y))
189 if y==x0 and (x,x1) not in newconst:
190 todo.append((x,x1))
191 return newconst
192
193 def possible(self,pair,constraint):
194 (x,y) = pair
195 return (y,x) not in constraint

Some code for testing:

stripsPOP.py — (continued)

197 from searchBranchAndBound import DF_branch_and_bound

198 from searchMPP import SearcherMPP
199 import stripsProblem
200
201 rplanning0 = POP_search_from_STRIPS(stripsProblem.problem0)
202 rplanning1 = POP_search_from_STRIPS(stripsProblem.problem1)
203 rplanning2 = POP_search_from_STRIPS(stripsProblem.problem2)
204 searcher0 = DF_branch_and_bound(rplanning0,5)
205 searcher0a = SearcherMPP(rplanning0)
206 searcher1 = DF_branch_and_bound(rplanning1,10)
207 searcher1a = SearcherMPP(rplanning1)
208 searcher2 = DF_branch_and_bound(rplanning2,10)
209 searcher2a = SearcherMPP(rplanning2)
210 # Try one of the following searchers
211 # a = searcher0.search()
212 # a = searcher0a.search()

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 148 6. Deterministic Planning

213 # a.end().extract_plan() # print a plan found

214 # a.end().constraints # print the constraints
215 # SearcherMPP.max_display_level = 0 # less detailed display
216 # DF_branch_and_bound.max_display_level = 0 # less detailed display
217 # a = searcher1.search()
218 # a = searcher1a.search()
219 # a = searcher2.search()
220 # a = searcher2a.search()

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 Chapter 7

Supervised Machine Learning

This first chapter on machine learning covers the following topics:

• Data: how to load it, splitting into training, validation and test sets
• Features: many of the features come directly from the data. Sometimes it
is useful to construct features, e.g. height > 1.9m might be a Boolean fea-
ture constructed from the real-values feature height. The next chapter is
about neural networks and how to learn features; the code in this chapter
constructs them explicitly in what is often known as feature engineering.
• Learning with no input features: this is the base case of many methods.
What should you predict if you have no input features? This provides the
base cases for many algorithms (e.g., decision tree algorithm) and base-
lines that more sophisticated algorithms need to beat. It also provides
ways to test various predictors.
• Decision tree learning: one of the classic and simplest learning algo-
rithms, which is the basis of many other algorithms.
• Cross validation and parameter tuning: methods to prevent overfitting.
• Linear regression and classification: other classic and simple techniques
that often work well (particularly combined with feature learning or en-
gineering).
• Boosting: combining simpler learning methods to make even better learn-
ers.
A good source of classic datasets is the UCI Machine Learning Repository
https://archive.ics.uci.edu/datasets [Lichman, 2013] [Dua and Graff, 2017].
The SPECT, IRIS, and car datasets (carbool is a Boolean version of the car
dataset) are from this repository.

149
 150 7. Supervised Machine Learning

Dataset # Examples #Columns Input Types Target Type

SPECT 267 23 Boolean Boolean
IRIS 150 5 numeric categorical
car 1728 7 categorical/numeric categorical
carbool 1728 7 categorical/numeric Boolean
holiday 32 6 Boolean Boolean
mail_reading 28 5 Boolean Boolean
tv_likes 12 5 Boolean Boolean
simp_regr 7 2 numeric numeric

Figure 7.1: Some of the datasets used here.

7.1 Representations of Data and Predictions

The code uses the following definitions and conventions:

• A dataset is an enumeration of examples.

• An example is a list (or tuple) of values. The values can be numbers or

strings.

• A feature is a function from examples into the range of the feature. Each
feature f also has the following attributes:

f.ftype, the type of f, one of: "boolean", "categorical", "numeric"

f.frange, the set of values of f seen in the dataset, represented as a list.
The ftype is inferred from the frange if not given explicitly.
f.__doc__, the docstring, a string description of f (for printing).

Thus for example, a Boolean feature is a function from the examples into
{False, True}. So, if f is a Boolean feature, f .frange == [False, True], and if
e is an example, f (e) is either True or False.

learnProblem.py — A Learning Problem

11 import math, random, statistics
12 import csv
13 from display import Displayable
14 from utilities import argmax
15
16 boolean = [False, True]
A dataset is partitioned into a training set (train), a validation set (valid)
and a test set (test). The target feature is the feature that a learner making a
prediction of. A dataset ds has the following attributes:

ds.train a list of the training examples

ds.valid a list of the validation examples

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 7.1. Representations of Data and Predictions 151

ds.test a list of the test examples

ds.target_index the index of the target

ds.target the feature corresponding to the target (a function from examples

to target value)

ds.input_features a list of the input features

learnProblem.py — (continued)

18 class Data_set(Displayable):
19 """ A dataset consists of a list of training data and a list of test
data.
20 """
21
22 def __init__(self, train, test=None, target_index=0, prob_test=0.10,
23 prob_valid=0.11, header=None, target_type= None,
24 one_hot=False, seed=None):
25 """A dataset for learning.
26 train is a list of tuples representing the training examples
27 test is the list of tuples representing the test examples
28 if test is None, a test set is created by selecting each
29 example with probability prob_test
30 target_index is the index of the target.
31 If negative, it counts from right.
32 If target_index is larger than the number of properties,
33 there is no target (for unsupervised learning)
34 prob_valid proability a non-test example is in validation set
35 header is a list of names for the features
36 target_type is either None for automatic detection of target type
37 or one of "numeric", "boolean", "categorical"
38 one_hot is True gives a one-hot encoding of categorical features
39 seed is for random number; None gives a different test set each time
40 """
41 if seed: # given seed makes partition consistent from run-to-run
42 random.seed(seed)
43 if test is None:
44 train,test = partition_data(train, prob_test)
45 self.train, self.valid = partition_data(train, prob_valid)
46 self.test = test
47
48 self.display(1,"Training set has",len(self.train),"examples. Number
of columns: ",{len(e) for e in self.train})
49 self.display(1,"Test set has",len(test),"examples. Number of
columns: ",{len(e) for e in test})
50 self.display(1,"Validation set has",len(self.valid),"examples.
Number of columns: ",{len(e) for e in self.valid})
51 self.prob_test = prob_test
52 self.num_properties = len(self.train[0])
53 if target_index < 0: #allows for -1, -2, etc.

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 152 7. Supervised Machine Learning

54 self.target_index = self.num_properties + target_index

55 else:
56 self.target_index = target_index
57 self.header = header
58 self.domains = [set() for i in range(self.num_properties)]
59 for example in self.train:
60 for ind,val in enumerate(example):
61 self.domains[ind].add(val)
62 self.conditions_cache = {} # cache for computed conditions
63 self.create_features(one_hot)
64 if target_type:
65 self.target.ftype = target_type
66 self.display(1,"There are",len(self.input_features),"input
features")
67
68 def __str__(self):
69 if self.train and len(self.train)>0: # has training examples
70 return (f"Data: {len(self.train)} training, {len(self.valid)}
validation"
71 "{len(self.test)} test examples; {len(self.train[0])}
features.")
72 else:
73 return (f"Data: {len(self.train)} training, {len(self.valid)}
validation"
74 "{len(self.test)} test examples")
A feature is a function that takes an example and returns a value in the
range of the feature. Each feature has a frange, which gives the range of the
feature, and an ftype that gives the type, one of “boolean”, “numeric” or “cat-
egorical”.
learnProblem.py — (continued)

76 def create_features(self, one_hot=False):

77 """create the set of features.
78 if one_hot==True makes categorical input features into Booleans
79 """
80 self.target = None
81 self.input_features = []
82 for i in range(self.num_properties):
83 frange = list(self.domains[i])
84 ftype = self.infer_type(frange)
85 if one_hot and ftype == "categorical" and i !=
self.target_index:
86 for val in frange:
87 def feat(e,index=i,val=val):
88 return e[index]==val
89 if self.header:
90 feat.__doc__ = self.header[i]+"="+val
91 else:
92 feat.__doc__ = f"e[{i}]={val}"
93 feat.frange = boolean

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 7.1. Representations of Data and Predictions 153

94 feat.type = "boolean"
95 self.input_features.append(feat)
96 else:
97 def feat(e,index=i):
98 return e[index]
99 if self.header:
100 feat.__doc__ = self.header[i]
101 else:
102 feat.__doc__ = "e["+str(i)+"]"
103 feat.frange = frange
104 feat.ftype = ftype
105 if i == self.target_index:
106 self.target = feat
107 else:
108 self.input_features.append(feat)

The following tries to infer the type of each feature. Sometimes this can be
wrong, (e.g., when the numbers are really categorical) and may need to be set
explicitly.

learnProblem.py — (continued)

110 def infer_type(self,domain):

111 """Infers the type of a feature with domain
112 """
113 if all(v in {True,False} for v in domain) or all(v in {0,1} for v
in domain):
114 return "boolean"
115 if all(isinstance(v,(float,int)) for v in domain):
116 return "numeric"
117 else:
118 return "categorical"

7.1.1 Creating Boolean Conditions from Features

Some of the algorithms require Boolean input features (features with range
{0, 1}). In order to be able to use these algorithms on datasets with arbitrary
domains of input variables, the following code constructs Boolean conditions
from the attributes.
There are 3 cases:

• When the range only has two values, one is designated to be the “true”
value.

• When the values are all numeric, assume they are ordered (as opposed
to just being some classes that happen to be labelled with numbers) and
construct Boolean features for splits of the data. That is, the feature is
e[ind] < cut for some value cut. The number of cut values is less than or
equal to max_num_cuts.

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 154 7. Supervised Machine Learning

• When the values are not all numeric, it creates an indicator function for
each value. An indicator function for a value returns true when that value
is given and false otherwise. Note that we can’t create an indicator func-
tion for values that appear in the test set but not in the training or valida-
tion sets because we haven’t seen the test set. For the examples in the test
set with a value that doesn’t appear in the training set for that feature, the
indicator functions all return false.

There is also an option categorical_only to create only Boolean features for

categorical input features, and not to make cuts for numerical values.
learnProblem.py — (continued)

120 def conditions(self, max_num_cuts=8, categorical_only = False):

121 """returns a list of boolean conditions from the input features
122 max_num_cuts: maximum number of cute for numeric features
123 categorical_only: only categorical features are made binary
124 """
125 if (max_num_cuts, categorical_only) in self.conditions_cache:
126 return self.conditions_cache[(max_num_cuts, categorical_only)]
127 conds = []
128 for ind,frange in enumerate(self.domains):
129 if ind != self.target_index and len(frange)>1:
130 if len(frange) == 2:
131 # two values, the feature is equality to one of them.
132 true_val = list(frange)[1] # choose one as true
133 def feat(e, i=ind, tv=true_val):
134 return e[i]==tv
135 if self.header:
136 feat.__doc__ = f"{self.header[ind]}=={true_val}"
137 else:
138 feat.__doc__ = f"e[{ind}]=={true_val}"
139 feat.frange = boolean
140 feat.ftype = "boolean"
141 conds.append(feat)
142 elif all(isinstance(val,(int,float)) for val in frange):
143 if categorical_only: # numeric, don't make cuts
144 def feat(e, i=ind):
145 return e[i]
146 feat.__doc__ = f"e[{ind}]"
147 conds.append(feat)
148 else:
149 # all numeric, create cuts of the data
150 sorted_frange = sorted(frange)
151 num_cuts = min(max_num_cuts,len(frange))
152 cut_positions = [len(frange)*i//num_cuts for i in
range(1,num_cuts)]
153 for cut in cut_positions:
154 cutat = sorted_frange[cut]
155 def feat(e, ind_=ind, cutat=cutat):
156 return e[ind_] < cutat

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 7.1. Representations of Data and Predictions 155

157
158 if self.header:
159 feat.__doc__ = self.header[ind]+"<"+str(cutat)
160 else:
161 feat.__doc__ = "e["+str(ind)+"]<"+str(cutat)
162 feat.frange = boolean
163 feat.ftype = "boolean"
164 conds.append(feat)
165 else:
166 # create an indicator function for every value
167 for val in frange:
168 def feat(e, ind_=ind, val_=val):
169 return e[ind_] == val_
170 if self.header:
171 feat.__doc__ = self.header[ind]+"=="+str(val)
172 else:
173 feat.__doc__= "e["+str(ind)+"]=="+str(val)
174 feat.frange = boolean
175 feat.ftype = "boolean"
176 conds.append(feat)
177 self.conditions_cache[(max_num_cuts, categorical_only)] = conds
178 return conds

Exercise 7.1 Change the code so that it splits using e[ind] ≤ cut instead of e[ind] <
cut. Check boundary cases, such as 3 elements with 2 cuts. As a test case, make
sure that when the range is the 30 integers from 100 to 129, and you want 2 cuts,
the resulting Boolean features should be e[ind] ≤ 109 and e[ind] ≤ 119 to make
sure that each of the resulting domains is of equal size.
Exercise 7.2 This splits on whether the feature is less than one of the values in
the training set. Sam suggested it might be better to split between the values in
the training set, and suggested using
cutat = (sorted_frange[cut] + sorted_frange[cut − 1])/2
Why might Sam have suggested this? Does this work better? (Try it on a few
datasets).

7.1.2 Evaluating Predictions

A predictor is a function that takes an example and makes a prediction on the
values of the target features.
A loss takes a prediction and the actual value and returns a non-negative
real number; lower is better. The error for a dataset is either the mean loss,
or sometimes the sum of the losses; they differ by a constant (the number of
examples). When reporting results the mean is usually used, as it can be in-
terpreted indepoendently of the dataset size. When it is the sum, this will be
made explicit.
The function evaluate_dataset returns the average error for each example,
where the error for each example depends on the evaluation criteria.

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 156 7. Supervised Machine Learning

learnProblem.py — (continued)

180 def evaluate_dataset(self, data, predictor, error_measure):

181 """Evaluates predictor on data according to the error_measure
182 predictor is a function that takes an example and returns a
183 prediction for the target features.
184 error_measure(prediction,actual) -> non-negative real
185 """
186 if data:
187 try:
188 value = statistics.mean(error_measure(predictor(e),
self.target(e))
189 for e in data)
190 except ValueError: # if error_measure gives an error
191 return float("inf") # infinity
192 return value
193 else:
194 return math.nan # not a number
Three losses are implemented: the squared or L2 loss (average of the square
of the difference between the actual and predicted values), absolute or L1 loss
(average of the absolute difference between the actual and predicted values)
and the log loss (the average negative log-likelihood, which can be interpreted
as the number of bits to describe an example using a code based on the predic-
tion treated as a probability). The accuracy is also defined, but it is not a loss as
it should be maximized.
This is defined using a class, Evaluate but no instances will be created. Just
use Evaluate.squared_loss etc. (Please keep the __doc__ strings a consistent
length as they are used in tables.) The prediction is either a real value or a
{value : probability} dictionary or a list. The actual is either a real number or a
key of the prediction.
learnProblem.py — (continued)

196 class Evaluate(object):

197 """A container for the evaluation measures"""
198
199 def squared_loss(prediction, actual):
200 "squared loss "
201 if isinstance(prediction, (list,dict)):
202 return (1-prediction[actual])**2 # the correct value is 1
203 else:
204 return (prediction-actual)**2
205
206 def absolute_loss(prediction, actual):
207 "absolute loss "
208 if isinstance(prediction, (list,dict)):
209 return abs(1-prediction[actual]) # the correct value is 1
210 else:
211 return abs(prediction-actual)
212
213 def log_loss(prediction, actual):

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 7.1. Representations of Data and Predictions 157

214 "log loss (bits)"

215 try:
216 if isinstance(prediction, (list,dict)):
217 return -math.log2(prediction[actual])
218 else:
219 return -math.log2(prediction) if actual==1 else
-math.log2(1-prediction)
220 except ValueError:
221 return float("inf") # infinity
222
223 def accuracy(prediction, actual):
224 "accuracy "
225 return themode(prediction) == actual
226
227 all_criteria = [accuracy, absolute_loss, squared_loss, log_loss]
228
229 def themode(prediction):
230 """the mode of a prediction.
231 This handles all of the cases of AIPython predictors: dictionaries,
lists and boolean probabilities.
232 """
233 if isinstance(prediction, dict):
234 md, val = None, -math.inf
235 for (p,v) in prediction.items():
236 if v> val:
237 md, val = p,v
238 return md
239 if isinstance(prediction, list):
240 md,val = 0,prediction[0]
241 for i in range(1,len(prediction)):
242 if prediction[i]>val:
243 md,val = i,prediction[i]
244 return md
245 else: # prediction is probability of Boolean
246 return False if prediction < 0.5 else True

7.1.3 Creating Test and Training Sets

The following method partitions the data into a training set and a test set. (Also
training into training and validation sets). Note that this does not guarantee
that the test set will contain exactly a proportion of the data equal to prob_test.
[An alternative is to use random.sample() which can guarantee that the test
set will contain exactly a particular proportion of the data. However this would
require knowing how many elements are in the dataset, which it may not know,
as data may just be a generator of the data (e.g., when reading the data from a
file).]
learnProblem.py — (continued)

248 def partition_data(data, prob_test=0.30):

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 158 7. Supervised Machine Learning

249 """partitions the data into a training set and a test set, where
250 prob_test is the probability of each example being in the test set.
251 """
252 train = []
253 test = []
254 for example in data:
255 if random.random() < prob_test:
256 test.append(example)
257 else:
258 train.append(example)
259 return train, test

7.1.4 Importing Data From File

A dataset is typically loaded from a file. The default here is that it loaded from
a CSV (comma separated values) file, although the separator can be changed.
This assumes that all lines that contain the separator are valid data (so it only
includes those data items that contain more than one element). This allows for
blank lines and comment lines that do not contain the separator. However, it
means that this method is not suitable for cases where there is only one feature.
Note that data_all and data_tuples are generators. data_all is a generator of a
list of list of strings. This version assumes that CSV files are simple. The stan-
dard csv package, that allows quoted arguments, can be used by uncomment-
ing the line for data_all and commenting out the line that follows. data_tuples
contains only those lines that contain the delimiter (others lines are assumed to
be empty or comments), and tries to convert the elements to numbers when-
ever possible.

learnProblem.py — (continued)

261 class Data_from_file(Data_set):

262 def __init__(self, file_name, separator=',', num_train=None,
prob_test=0.10, prob_valid=0.11,
263 has_header=False, target_index=0, one_hot=False,
264 categorical=[], target_type= None, seed=None):
265 """create a dataset from a file
266 separator is the character that separates the attributes (',' for
CSV file)
267 num_train is a number specifying the first num_train tuples are
training, or None
268 prob_test is the probability each example is in the test set (if
num_train is None)
269 prob_valid is the probability each non-test example is in the
validation set
270 has_header is True if the first line of file is a header
271 target_index specifies which feature is the target
272 one_hot specifies whether categorical features should be encoded as
one_hot.

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 7.1. Representations of Data and Predictions 159

273 categorical is a set (or list) of features that should be treated

as categorical
274 target_type is either None for automatic detection of target type
275 or one of "numeric", "boolean", "categorical"
276 """
277 with open(file_name,'r',newline='') as csvfile:
278 self.display(1,"Loading",file_name)
279 # data_all = csv.reader(csvfile,delimiter=separator) # for more
complicated CSV files
280 data_all = (line.strip().split(separator) for line in csvfile)
281 if has_header:
282 header = next(data_all)
283 else:
284 header = None
285 data_tuples = (interpret_elements(d) for d in data_all if
len(d)>1)
286 if num_train is not None:
287 # training set is divided into training then text examples
288 # the file is only read once, and the data is placed in
appropriate list
289 train = []
290 for i in range(num_train): # will give an error if
insufficient examples
291 train.append(next(data_tuples))
292 test = list(data_tuples)
293 Data_set.__init__(self,train, test=test,
prob_valid=prob_valid,
294 target_index=target_index,header=header,
seed=seed,
295 target_type=target_type, one_hot=one_hot)
296 else: # randomly assign training and test examples
297 Data_set.__init__(self,data_tuples, test=None,
prob_test=prob_test, prob_valid=prob_valid,
298 target_index=target_index, header=header,
seed=seed,
299 target_type=target_type, one_hot=one_hot)

The following class is used for datasets where the training and test are in dif-
ferent files

learnProblem.py — (continued)

301 class Data_from_files(Data_set):

302 def __init__(self, train_file_name, test_file_name, separator=',',
303 has_header=False, target_index=0, one_hot=False,
304 categorical=[], target_type= None):
305 """create a dataset from separate training and file
306 separator is the character that separates the attributes
307 num_train is a number specifying the first num_train tuples are
training, or None
308 prob_test is the probability an example should in the test set (if
num_train is None)

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 160 7. Supervised Machine Learning

309 has_header is True if the first line of file is a header

310 target_index specifies which feature is the target
311 one_hot specifies whether categorical features should be encoded as
one-hot
312 categorical is a set (or list) of features that should be treated
as categorical
313 target_type is either None for automatic detection of target type
314 or one of "numeric", "boolean", "categorical"
315 """
316 with open(train_file_name,'r',newline='') as train_file:
317 with open(test_file_name,'r',newline='') as test_file:
318 # data_all = csv.reader(csvfile,delimiter=separator) # for more
complicated CSV files
319 train_data = (line.strip().split(separator) for line in
train_file)
320 test_data = (line.strip().split(separator) for line in
test_file)
321 if has_header: # this assumes the training file has a header
and the test file doesn't
322 header = next(train_data)
323 else:
324 header = None
325 train_tuples = [interpret_elements(d) for d in train_data if
len(d)>1]
326 test_tuples = [interpret_elements(d) for d in test_data if
len(d)>1]
327 Data_set.__init__(self,train_tuples, test_tuples,
328 target_index=target_index, header=header,
one_hot=one_hot)
When reading from a file all of the values are strings. This next method
tries to convert each value into a number (an int or a float) or Boolean, if it is
possible.
learnProblem.py — (continued)

330 def interpret_elements(str_list):

331 """make the elements of string list str_list numeric if possible.
332 Otherwise remove initial and trailing spaces.
333 """
334 res = []
335 for e in str_list:
336 try:
337 res.append(int(e))
338 except ValueError:
339 try:
340 res.append(float(e))
341 except ValueError:
342 se = e.strip()
343 if se in ["True","true","TRUE"]:
344 res.append(True)
345 elif se in ["False","false","FALSE"]:

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 7.1. Representations of Data and Predictions 161

346 res.append(False)
347 else:
348 res.append(e.strip())
349 return res

7.1.5 Augmented Features

Sometimes we want to augment the features with new features computed from
the old features (e.g., the product of features). The following code creates a new
dataset from an old dataset but with new features. Note that special cases of
these are kernels; mapping the original feature space into a new space, which
allow a neat way to do learning in the augmented space for many mappings
(the “kernel trick”). This is beyond the scope of AIPython; those interested
should read about support vector machines.
Reacall that a feature is a function of examples. A unary feature constructor
takes a feature and returns a new feature. A binary feature combiner takes two
features and returns a new feature.
learnProblem.py — (continued)

351 class Data_set_augmented(Data_set):

352 def __init__(self, dataset, unary_functions=[], binary_functions=[],
include_orig=True):
353 """creates a dataset like dataset but with new features
354 unary_function is a list of unary feature constructors
355 binary_functions is a list of binary feature combiners.
356 include_orig specifies whether the original features should be
included
357 """
358 self.orig_dataset = dataset
359 self.unary_functions = unary_functions
360 self.binary_functions = binary_functions
361 self.include_orig = include_orig
362 self.target = dataset.target
363 Data_set.__init__(self,dataset.train, test=dataset.test,
364 target_index = dataset.target_index)
365
366 def create_features(self, one_hot=False):
367 """create the set of features.
368 one_hot is ignored, but could be implemented as in
Data_set.create_features
369 """
370 if self.include_orig:
371 self.input_features = self.orig_dataset.input_features.copy()
372 else:
373 self.input_features = []
374 for u in self.unary_functions:
375 for f in self.orig_dataset.input_features:
376 self.input_features.append(u(f))
377 for b in self.binary_functions:

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 162 7. Supervised Machine Learning

378 for f1 in self.orig_dataset.input_features:

379 for f2 in self.orig_dataset.input_features:
380 if f1 != f2:
381 self.input_features.append(b(f1,f2))

The following are useful unary feature constructors and binary feature com-
biner.

learnProblem.py — (continued)

383 def square(f):

384 """a unary feature constructor to construct the square of a feature
385 """
386 def sq(e):
387 return f(e)**2
388 sq.__doc__ = f.__doc__+"**2"
389 return sq
390
391 def power_feat(n):
392 """given n returns a unary feature constructor to construct the nth
power of a feature.
393 e.g., power_feat(2) is the same as square, defined above
394 """
395 def fn(f,n=n):
396 def pow(e,n=n):
397 return f(e)**n
398 pow.__doc__ = f.__doc__+"**"+str(n)
399 return pow
400 return fn
401
402 def prod_feat(f1,f2):
403 """a new feature that is the product of features f1 and f2
404 """
405 def feat(e):
406 return f1(e)*f2(e)
407 feat.__doc__ = f1.__doc__+"*"+f2.__doc__
408 return feat
409
410 def eq_feat(f1,f2):
411 """a new feature that is 1 if f1 and f2 give same value
412 """
413 def feat(e):
414 return 1 if f1(e)==f2(e) else 0
415 feat.__doc__ = f1.__doc__+"=="+f2.__doc__
416 return feat
417
418 def neq_feat(f1,f2):
419 """a new feature that is 1 if f1 and f2 give different values
420 """
421 def feat(e):
422 return 1 if f1(e)!=f2(e) else 0
423 feat.__doc__ = f1.__doc__+"!="+f2.__doc__

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 7.2. Generic Learner Interface 163

424 return feat

Example:
learnProblem.py — (continued)

426 # from learnProblem import Data_set_augmented,prod_feat

427 # data = Data_from_file('data/holiday.csv', has_header=True, num_train=19,
target_index=-1)
428 # data = Data_from_file('data/iris.data', prob_test=1/3, target_index=-1)
429 ## Data = Data_from_file('data/SPECT.csv', prob_test=0.5, target_index=0)
430 # dataplus = Data_set_augmented(data,[],[prod_feat])
431 # dataplus = Data_set_augmented(data,[],[prod_feat,neq_feat])

Exercise 7.3 For symmetric properties, such as product, we don’t need both
f 1 ∗ f 2 as well as f 2 ∗ f 1 as extra properties. Allow the user to be able to declare
feature constructors as symmetric (by associating a Boolean feature with them).
Change construct_features so that it does not create both versions for symmetric
combiners.

7.2 Generic Learner Interface

A learner takes a dataset (and possibly other arguments specific to the method).
To get it to learn, call the learn() method. This implements Displayable so that it
can display traces at multiple levels of detail (perhaps with a GUI).
learnProblem.py — (continued)

432 from display import Displayable

433
434 class Learner(Displayable):
435 def __init__(self, dataset):
436 raise NotImplementedError("Learner.__init__") # abstract method
437
438 def learn(self):
439 """returns a predictor, a function from a tuple to a value for the
target feature
440 """
441 raise NotImplementedError("learn") # abstract method
442
443 def __str__(self, sig_dig=3):
444 """String reprenentation of the learned predictor
445 """
446 return "no representation"
447
448 def evaluate(self):
449 """Tests default learner on data
450 """
451 self.learn()
452 print(f"function learned is {self}")
453 print("Criterion\tTraining\tvalidation\ttest")

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 164 7. Supervised Machine Learning

454 for ecrit in Evaluate.all_criteria:

455 print(ecrit.__doc__, end='\t')
456 for data_subset in [self.dataset.train, self.dataset.valid,
self.dataset.test]:
457 error = self.dataset.evaluate_dataset(data_subset,
self.predictor, ecrit)
458 print(str(round(error,7)), end='\t')
459 print()

7.3 Learning With No Input Features

If you need make the same prediction for each example (the input features
are ignored), what prediction should you make? This can be used as a naive
baseline; if a more sophisticated method does not do better than this, it is not
useful. This also provides the base case for some methods, such as decision-
tree learning.

To run demo to compare different prediction methods on various eval-

uation criteria, in folder "aipython", load "learnNoInputs.py", using
e.g., ipython -i learnNoInputs.py, and it prints some test results.

There are a few alternatives as to what could be allowed in a prediction:

• a point prediction, where only allowed the values of the feature can pre-
dicted. For example, if the values of the feature are {0, 1} we are only
allowed to predict 0 or 1 or of the values are ratings in {1, 2, 3, 4, 5}, we
can only predict one of these integers.

• a point prediction, where any value can be predicted. For example, if the
values of the feature are {0, 1} it could predict 0.3, 1, or even 1.7. For all
of the criteria defined, there is no point in predicting a value greater than
1 or less that zero (but that doesn’t mean it can’t). If the values are ratings
in {1, 2, 3, 4, 5}, you may want to predict 3.4.

• a probability distribution over the values of the feature. For each value v,
it predicts a non-negative number pv , such that the sum over all predic-
tions is 1.

Here are some prediction functions that take in an enumeration of values,

a domain, and returns a point prediction: a value or dictionary of {value :
prediction}. Note that cmedian returns one of the middle values when there
are an even number of examples, whereas median gives the average of them
(and so cmedian is applicable for ordinals that cannot be considered cardinal
values). Similarly, cmode picks one of the values when more than one value has
the maximum number of elements.

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 7.3. Learning With No Input Features 165

learnNoInputs.py — Learning ignoring all input features

11 from learnProblem import Evaluate
12 import math, random, collections, statistics
13 import utilities # argmax for (element,value) pairs
14
15 class Predict(object):
16 """The class of prediction methods for a list of values.
17 The doc strings the same length because they are used in tables.
18 Note that the methods don't have the self argument.
19 To use call Predict.laplace(data) etc."""
20
21 ### The following return a distribution over values (for classification)
22 def empirical(data, domain=[0,1], icount=0):
23 "empirical dist "
24 # returns a distribution over values
25 # icount is pseudo count for each value
26 counts = {v:icount for v in domain}
27 for e in data:
28 counts[e] += 1
29 s = sum(counts.values())
30 return {k:v/s for (k,v) in counts.items()}
31
32 def laplace(data, domain=[0,1]):
33 "Laplace " # for categorical data
34 return Predict.empirical(data, domain, icount=1)
35
36 def cmode(data, domain=[0,1]):
37 "mode " # for categorical data
38 md = statistics.mode(data)
39 return {v: 1 if v==md else 0 for v in domain}
40
41 def cmedian(data, domain=[0,1]):
42 "median " # for categorical data
43 md = statistics.median_low(data) # always return one of the values
44 return {v: 1 if v==md else 0 for v in domain}
45
46 ### The following return a single prediction (for regression).
47 ### The domain argument is ignored.
48
49 def mean(data, domain=[0,1]):
50 "mean "
51 # returns a real number
52 return statistics.mean(data)
53
54 def rmean(data, domain=[0,1], mean0=0, pseudo_count=1):
55 "regularized mean"
56 # returns a real number.
57 # mean0 is the mean to be used for 0 data points
58 # With mean0=0.5, pseudo_count=2, same as laplace for [0,1] data
59 sm = mean0 * pseudo_count

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 166 7. Supervised Machine Learning

60 count = pseudo_count
61 for e in data:
62 sm += e
63 count += 1
64 return sm/count
65
66 def mode(data, domain=[0,1]):
67 "mode "
68 return statistics.mode(data)
69
70 def median(data, domain=[0,1]):
71 "median "
72 return statistics.median(data)
73
74 all = [empirical, mean, rmean, laplace, cmode, mode, median,cmedian]
75
76 # The following suggests appropriate predictions as a function of the
target type
77 select = {"boolean": [empirical, laplace, cmode, cmedian],
78 "categorical": [empirical, laplace, cmode, cmedian],
79 "numeric": [mean, rmean, mode, median]}

Exercise 7.4 Create a predictor bounded_empirical which is like empirical but

avoids predictions of 0 or 1 (which can give errors for log loss), by using using
some ϵ instead of 0 and 1 − ϵ instead of 1, and otherise uses the empirical mean.

7.3.1 Evaluation
To evaluate a point prediction, let’s first generate some possible values, 0 and
1 for the target feature. Given the ground truth prob, a number in the range
[0, 1], the following code generates some training and test data where prob is
the probability of each example being 1. To generate a 1 with probability prob,
it generates a random number in range [0,1] and return 1 if that number is less
than prob. A prediction is computed by applying the predictor to the training
data, which is evaluated on the test set. This is repeated num_samples times.
Let’s evaluate the predictions of the possible selections according to the
different evaluation criteria, for various training sizes.
learnNoInputs.py — (continued)

81 def test_no_inputs(error_measures = Evaluate.all_criteria,

num_samples=10000,
82 test_size=10, training_sizes=
[1,2,3,4,5,10,20,100,1000]):
83 for train_size in training_sizes:
84 results = {predictor: {error_measure: 0 for error_measure in
error_measures}
85 for predictor in Predict.all}
86 for sample in range(num_samples):
87 prob = random.random()

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 7.4. Decision Tree Learning 167

88 training = [1 if random.random()<prob else 0 for i in

range(train_size)]
89 test = [1 if random.random()<prob else 0 for i in
range(test_size)]
90 for predictor in Predict.all:
91 prediction = predictor(training)
92 for error_measure in error_measures:
93 results[predictor][error_measure] += sum(
error_measure(prediction,actual)
94 for actual in
test) /
test_size
95 print(f"For training size {train_size}:")
96 print(" Predictor\t","\t".join(error_measure.__doc__ for
97 error_measure in
error_measures),sep="\t")
98 for predictor in Predict.all:
99 print(f" {predictor.__doc__}",
100 "\t".join("{:.7f}".format(results[predictor][error_measure]/num_samples)
101 for error_measure in
error_measures),sep="\t")
102
103 if __name__ == "__main__":
104 test_no_inputs()

Exercise 7.5 Which predictor works best for low counts when the error is
(a) Squared error
(b) Absolute error
(c) Log loss
You may need to try this a few times to make sure your answer is supported by
the evidence. Does the difference from the other methods get more or less as the
number of examples grow?
Exercise 7.6 Suggest other predictors that only take the training data. (E.g.,
bounded_empirical of Exercise 7.4, for some ϵ or to change the pseodo-counts of
the Laplace method.)

7.4 Decision Tree Learning

To run the decision tree learning demo, in folder "aipython", load
"learnDT.py", using e.g., ipython -i learnDT.py, and it prints some
test results. To try more examples, copy and paste the commented-
out commands at the bottom of that file. This requires Python 3 with
matplotlib.

The decision tree algorithm does binary splits, and assumes that all input
features are binary functions of the examples.

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 168 7. Supervised Machine Learning

learnDT.py — Learning a binary decision tree

11 from learnProblem import Learner, Evaluate
12 from learnNoInputs import Predict
13 import math
14
15 class DT_learner(Learner):
16 def __init__(self,
17 dataset,
18 split_to_optimize=Evaluate.log_loss, # to minimize for at
each split
19 leaf_prediction=Predict.empirical, # what to use for value
at leaves
20 train=None, # used for cross validation
21 max_num_cuts=8, # maximum number of conditions to split a
numeric feature into
22 gamma=1e-7, # minimum improvement needed to expand a node
23 min_child_weight=10):
24 self.dataset = dataset
25 self.target = dataset.target
26 self.split_to_optimize = split_to_optimize
27 self.leaf_prediction = leaf_prediction
28 self.max_num_cuts = max_num_cuts
29 self.gamma = gamma
30 self.min_child_weight = min_child_weight
31 if train is None:
32 self.train = self.dataset.train
33 else:
34 self.train = train
35
36 def learn(self, max_num_cuts=8):
37 """learn a decision tree"""
38 self.predictor =
self.learn_tree(self.dataset.conditions(self.max_num_cuts),
self.train)
39 return self.predictor
40
41 def __str__(self):
42 """string only exists after learning"""
43 return self.predictor.__doc__
The main recursive algorithm, takes in a set of input features and a set of
training data. It first decides whether to split. If it doesn’t split, it makes a point
prediction, ignoring the input features.
It only splits if the best split increases the error by at least gamma. This im-
plies it does not split when:

• there are no more input features

• there are fewer examples than min_number_examples,

• all the examples agree on the value of the target, or

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 7.4. Decision Tree Learning 169

• the best split puts all examples in the same partition.

If it splits, it selects the best split according to the evaluation criterion (as-
suming that is the only split it gets to do), and returns the condition to split on
(in the variable split) and the corresponding partition of the examples.

learnDT.py — (continued)

45 def learn_tree(self, conditions, data_subset):

46 """returns a decision tree
47 conditions is a set of possible conditions
48 data_subset is a subset of the data used to build this (sub)tree
49
50 where a decision tree is a function that takes an example and
51 makes a prediction on the target feature
52 """
53 self.display(2,f"learn_tree with {len(conditions)} features and
{len(data_subset)} examples")
54 split, partn = self.select_split(conditions, data_subset)
55 if split is None: # no split; return a point prediction
56 prediction = self.leaf_value(data_subset, self.target.frange)
57 self.display(2,f"leaf prediction for {len(data_subset)}
examples is {prediction}")
58 def leaf_fun(e):
59 return prediction
60 leaf_fun.__doc__ = str(prediction)
61 leaf_fun.num_leaves = 1
62 return leaf_fun
63 else: # a split succeeded
64 false_examples, true_examples = partn
65 rem_features = [fe for fe in conditions if fe != split]
66 self.display(2,"Splitting on",split.__doc__,"with examples
split",
67 len(true_examples),":",len(false_examples))
68 true_tree = self.learn_tree(rem_features,true_examples)
69 false_tree = self.learn_tree(rem_features,false_examples)
70 def fun(e):
71 if split(e):
72 return true_tree(e)
73 else:
74 return false_tree(e)
75 #fun = lambda e: true_tree(e) if split(e) else false_tree(e)
76 fun.__doc__ = (f"(if {split.__doc__} then {true_tree.__doc__}"
77 f" else {false_tree.__doc__})")
78 fun.num_leaves = true_tree.num_leaves + false_tree.num_leaves
79 return fun

learnDT.py — (continued)

81 def leaf_value(self, egs, domain):

82 return self.leaf_prediction((self.target(e) for e in egs), domain)
83

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 170 7. Supervised Machine Learning

84 def select_split(self, conditions, data_subset):

85 """finds best feature to split on.
86
87 conditions is a non-empty list of features.
88 returns feature, partition
89 where feature is an input feature with the smallest error as
90 judged by split_to_optimize or
91 feature==None if there are no splits that improve the error
92 partition is a pair (false_examples, true_examples) if feature is
not None
93 """
94 best_feat = None # best feature
95 # best_error = float("inf") # infinity - more than any error
96 best_error = self.sum_losses(data_subset) - self.gamma
97 self.display(3," no split has
error=",best_error,"with",len(conditions),"conditions")
98 best_partition = None
99 for feat in conditions:
100 false_examples, true_examples = partition(data_subset,feat)
101 if
min(len(false_examples),len(true_examples))>=self.min_child_weight:
102 err = (self.sum_losses(false_examples)
103 + self.sum_losses(true_examples))
104 self.display(3," split on",feat.__doc__,"has error=",err,
105 "splits
into",len(true_examples),":",len(false_examples),"gamma=",self.gamma)
106 if err < best_error:
107 best_feat = feat
108 best_error=err
109 best_partition = false_examples, true_examples
110 self.display(2,"best split is on",best_feat.__doc__,
111 "with err=",best_error)
112 return best_feat, best_partition
113
114 def sum_losses(self, data_subset):
115 """returns sum of losses for dataset (with no more splits)
116 There a single prediction for all leaves using leaf_prediction
117 It is evaluated using split_to_optimize
118 """
119 prediction = self.leaf_value(data_subset, self.target.frange)
120 error = sum(self.split_to_optimize(prediction, self.target(e))
121 for e in data_subset)
122 return error
123
124 def partition(data_subset,feature):
125 """partitions the data_subset by the feature"""
126 true_examples = []
127 false_examples = []
128 for example in data_subset:
129 if feature(example):

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 7.4. Decision Tree Learning 171

130 true_examples.append(example)
131 else:
132 false_examples.append(example)
133 return false_examples, true_examples

Test cases:

learnDT.py — (continued)

136 from learnProblem import Data_set, Data_from_file

137
138 def testDT(data, print_tree=True, selections = None, **tree_args):
139 """Prints errors and the trees for various evaluation criteria and ways
to select leaves.
140 """
141 if selections == None: # use selections suitable for target type
142 selections = Predict.select[data.target.ftype]
143 evaluation_criteria = Evaluate.all_criteria
144 print("Split Choice","Leaf Choice\t","#leaves",'\t'.join(ecrit.__doc__
145 for ecrit in
evaluation_criteria),sep="\t")
146 for crit in evaluation_criteria:
147 for leaf in selections:
148 tree = DT_learner(data, split_to_optimize=crit,
leaf_prediction=leaf,
149 **tree_args).learn()
150 print(crit.__doc__, leaf.__doc__, tree.num_leaves,
151 "\t".join("{:.7f}".format(data.evaluate_dataset(data.test,
tree, ecrit))
152 for ecrit in evaluation_criteria),sep="\t")
153 if print_tree:
154 print(tree.__doc__)
155
156 #DT_learner.max_display_level = 4 # more detailed trace
157 if __name__ == "__main__":
158 # Choose one of the data files
159 #data=Data_from_file('data/SPECT.csv', target_index=0);
print("SPECT.csv")
160 #data=Data_from_file('data/iris.data', target_index=-1);
print("iris.data")
161 data = Data_from_file('data/carbool.csv', one_hot=True,
target_index=-1, seed=123)
162 #data = Data_from_file('data/mail_reading.csv', target_index=-1);
print("mail_reading.csv")
163 #data = Data_from_file('data/holiday.csv', has_header=True,
num_train=19, target_index=-1); print("holiday.csv")
164 testDT(data, print_tree=False)

Note that different runs may provide different values as they split the train-
ing and test sets differently. So if you have a hypothesis about what works
better, make sure it is true for different runs.

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172 7. Supervised Machine Learning

Exercise 7.7 The current algorithm does not have a very sophisticated stopping
criterion. What is the current stopping criterion? (Hint: you need to look at both
learn_tree and select_split.)
Exercise 7.8 Extend the current algorithm to include in the stopping criterion
(a) A minimum child size; don’t use a split if one of the children has fewer
elements that this.
(b) A depth-bound on the depth of the tree.
(c) An improvement bound such that a split is only carried out if error with the
split is better than the error without the split by at least the improvement
bound.

Which values for these parameters make the prediction errors on the test set the
smallest? Try it on more than one dataset.
Exercise 7.9 Without any input features, it is often better to include a pseudo-
count that is added to the counts from the training data. Modify the code so that
it includes a pseudo-count for the predictions. When evaluating a split, including
pseudo counts can make the split worse than no split. Does pruning with an im-
provement bound and pseudo-counts make the algorithm work better than with
an improvement bound by itself?
Exercise 7.10 Some people have suggested using information gain (which is
equivalent to greedy optimization of log loss) as the measure of improvement
when building the tree, even in they want to have non-probabilistic predictions
in the final tree. Does this work better than myopically choosing the split that is
best for the evaluation criteria we will use to judge the final prediction?

7.5 k-fold Cross Validation and Parameter

Tuning
To run the cross validation demo, in folder "aipython",
load "learnCrossValidation.py", using e.g., ipython -i
learnCrossValidation.py. The commented-out commands at the
bottom can produce a graph like Figure 7.15. Different runs will
produce different graphs, so your graph will be different the one in
[Poole and Mackworth, 2023].

k-fold cross validation is more sophisticated than dividing the non-test set
into a training and validation set as done above. If you are doing k-fold cross
validation, set prob_valid to 0 in Data, as this does its own division into vali-
dation sets.
The above decision tree algorithm tends to overfit the data. One way to de-
termine whether the prediction is overfitting is by cross validation. The code
below implements k-fold cross validation, which can be used to choose the

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 7.5. k-fold Cross Validation and Parameter Tuning 173

value of parameters to best fit the training data. If we want to use parame-
ter tuning to improve predictions on a particular dataset, we can only use the
training data (and not the test data) to tune the parameter.
k-fold cross validation partitions the training set into k approximately equal-
sized folds. For each fold, it trains on the other examples, and determine the
error of the prediction on that fold. For example, if there are 10 folds, it train on
90% of the data, and tests on remaining 10% of the data. It does this 10 times,
so that each example gets used as a test set once, and in the training set 9 times.
The code below creates one copy of the data, and multiple views of the data.
For each fold, fold enumerates the examples in the fold, and fold_complement
enumerates the examples not in the fold.
learnCrossValidation.py — Cross Validation for Parameter Tuning
11 from learnProblem import Data_set, Data_from_file, Evaluate
12 from learnNoInputs import Predict
13 from learnDT import DT_learner
14 import matplotlib.pyplot as plt
15 import random
16
17 class K_fold_dataset(object):
18 def __init__(self, training_set, num_folds):
19 self.data = training_set.train.copy()
20 self.target = training_set.target
21 self.input_features = training_set.input_features
22 self.num_folds = num_folds
23 self.conditions = training_set.conditions
24
25 random.shuffle(self.data)
26 self.fold_boundaries = [(len(self.data)*i)//num_folds
27 for i in range(0,num_folds+1)]
28
29 def fold(self, fold_num):
30 for i in range(self.fold_boundaries[fold_num],
31 self.fold_boundaries[fold_num+1]):
32 yield self.data[i]
33
34 def fold_complement(self, fold_num):
35 for i in range(0,self.fold_boundaries[fold_num]):
36 yield self.data[i]
37 for i in range(self.fold_boundaries[fold_num+1],len(self.data)):
38 yield self.data[i]
The validation error is the average error for each example, where we test on
each fold, and learn on the other folds.
learnCrossValidation.py — (continued)

40 def validation_error(self, learner, error_measure, **other_params):

41 error = 0
42 try:
43 for i in range(self.num_folds):

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 174 7. Supervised Machine Learning

44 predictor = learner(self,
train=list(self.fold_complement(i)),
45 **other_params).learn()
46 error += sum( error_measure(predictor(e), self.target(e))
47 for e in self.fold(i))
48 except ValueError:
49 return float("inf") #infinity
50 return error/len(self.data)

The plot_error method plots the average error as a function of the mini-
mum number of examples in decision-tree search, both for the validation set
and for the test set. The error on the validation set can be used to tune the
parameter — choose the value of the parameter that minimizes the error. The
error on the test set cannot be used to tune the parameters; if it were to be used
this way it could not be used to test how well the method works on unseen
examples.

learnCrossValidation.py — (continued)

52 def plot_error(data, criterion=Evaluate.squared_loss,

53 leaf_prediction=Predict.empirical,
54 num_folds=5, maxx=None, xscale='linear'):
55 """Plots the error on the validation set and the test set
56 with respect to settings of the minimum number of examples.
57 xscale should be 'log' or 'linear'
58 """
59 plt.ion()
60 fig, ax = plt.subplots()
61 ax.set_xscale(xscale) # change between log and linear scale
62 ax.set_xlabel("min_child_weight")
63 ax.set_ylabel("average "+criterion.__doc__)
64 folded_data = K_fold_dataset(data, num_folds)
65 if maxx == None:
66 maxx = len(data.train)//2+1
67 verrors = [] # validation errors
68 terrors = [] # test set errors
69 for mcw in range(1,maxx):
70 verrors.append(folded_data.validation_error(DT_learner, criterion,
71 leaf_prediction=leaf_prediction,
72 min_child_weight=mcw))
73 tree = DT_learner(data, criterion, leaf_prediction=leaf_prediction,
74 min_child_weight=mcw).learn()
75 terrors.append(data.evaluate_dataset(data.test,tree,criterion))
76 ax.plot(range(1,maxx), verrors, ls='-',color='k',
77 label="validation for "+criterion.__doc__)
78 ax.plot(range(1,maxx), terrors, ls='--',color='k',
79 label="test set for "+criterion.__doc__)
80 ax.legend()
81
82 # The following produces variants of Figure 7.18 of Poole and Mackworth
[2023]

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 7.5. k-fold Cross Validation and Parameter Tuning 175

validation for squared loss

0.22 test set for squared loss

0.20
average squared loss

0.18

0.16

0.14

0 20 40 60 80
min_child_weight

Figure 7.2: plot_error for SPECT dataset

83 # data = Data_from_file('data/SPECT.csv',target_index=0, prob_valid=0)

84 # plot_error(data, criterion=Evaluate.log_loss,
leaf_prediction=Predict.laplace)
85
86 #alternatively try:
87 # plot_error(data)
88 # data = Data_from_file('data/carbool.csv', one_hot=True, target_index=-1,
seed=123)

Figure 7.2 shows the average squared loss in the validation and test sets as
a function of the min_child_weight in the decision-tree learning algorithmon
the SPECT dataset. It was plotted with plot_error(data)). The assumption
behind cross validation is that the parameter that minimizes the loss on the
validation set, will be a good parameter for the test set.
If you rerun the Data_from_file, you will get the new test and training sets,
and so the graph will change.

Exercise 7.11 Change the error plot so that it can evaluate the stopping criteria
of the exercise of Section 7.7. Which criteria makes the most difference?

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 176 7. Supervised Machine Learning

7.6 Linear Regression and Classification

Here is a stochastic gradient descent searcher for linear regression and classifi-
cation.
learnLinear.py — Linear Regression and Classification
11 from learnProblem import Learner
12 import random, math
13
14 class Linear_learner(Learner):
15 def __init__(self, dataset, train=None,
16 learning_rate=0.1, max_init = 0.2, squashed=True):
17 """Creates a gradient descent searcher for a linear classifier.
18 The main learning is carried out by learn()
19
20 dataset provides the target and the input features
21 train provides a subset of the training data to use
22 learning_rate is the gradient descent step size
23 max_init is the maximum absolute value of the initial weights
24 squashed specifies whether the output is a squashed linear function
25 """
26 self.dataset = dataset
27 self.target = dataset.target
28 if train==None:
29 self.train = self.dataset.train
30 else:
31 self.train = train
32 self.learning_rate = learning_rate
33 self.squashed = squashed
34 self.input_features = [one]+dataset.input_features # one is defined
below
35 self.weights = {feat:random.uniform(-max_init,max_init)
36 for feat in self.input_features}
predictor predicts the value of an example from the current parameter set-
tings.
learnLinear.py — (continued)

38
39 def predictor(self,e):
40 """returns the prediction of the learner on example e"""
41 linpred = sum(w*f(e) for f,w in self.weights.items())
42 if self.squashed:
43 return sigmoid(linpred)
44 else:
45 return linpred
46
47 def __str__(self, sig_dig=3):
48 """returns the doc string for the current prediction function
49 sig_dig is the number of significant digits in the numbers"""
50 doc = "+".join(str(round(val,sig_dig))+"*"+feat.__doc__

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 7.6. Linear Regression and Classification 177

51 for feat,val in self.weights.items())

52 if self.squashed:
53 return "sigmoid("+ doc+")"
54 else:
55 return doc

learn is the main algorithm of the learner. It does num_iter steps (batches) of
stochastic gradient descent, for the given batch size.

learnLinear.py — (continued)

57 def learn(self, batch_size=32, num_iter=100):

58 batch_size = min(batch_size, len(self.train))
59 d = {feat:0 for feat in self.weights}
60 for it in range(num_iter):
61 self.display(2,f"prediction= {self}")
62 for e in random.sample(self.train, batch_size):
63 error = self.predictor(e) - self.target(e)
64 for feat in self.weights:
65 d[feat] += error*feat(e)
66 for feat in self.weights:
67 self.weights[feat] -= self.learning_rate*d[feat]
68 d[feat]=0
69 return self.predictor

one is a function that always returns 1. This is used for one of the input prop-
erties.

learnLinear.py — (continued)

71 def one(e):
72 "1"
73 return 1

sigmoid(x) is the function

1
1 + e−x
The inverse of sigmoid is the logit function

learnLinear.py — (continued)

75 def sigmoid(x):
76 return 1/(1+math.exp(-x))
77
78 def logit(x):
79 return -math.log(1/x-1)

softmax([x0 , x2 , . . . ]) returns [v0 , v2 , . . . ] where

exp(xi )
vi =
∑j exp(xj )

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 178 7. Supervised Machine Learning

learnLinear.py — (continued)

81 def softmax(xs, domain=None):

82 """xs is a list of values, and
83 domain is the domain (a list) or None if the list should be returned
84 returns a distribution over the domain (a dict)
85 """
86 m = max(xs) # use of m prevents overflow (and all values underflowing)
87 exps = [math.exp(x-m) for x in xs]
88 s = sum(exps)
89 if domain:
90 return {d:v/s for (d,v) in zip(domain,exps)}
91 else:
92 return [v/s for v in exps]
93
94 def indicator(v, domain):
95 return [1 if v==dv else 0 for dv in domain]

The following tests the learner on a datasets. Uncomment another dataset

for different examples.
learnLinear.py — (continued)

97 from learnProblem import Data_set, Data_from_file, Evaluate

98 from learnProblem import Evaluate
99 import matplotlib.pyplot as plt
100
101 if __name__ == "__main__":
102 data = Data_from_file('data/SPECT.csv', target_index=0)
103 # data = Data_from_file('data/mail_reading.csv', target_index=-1)
104 # data = Data_from_file('data/carbool.csv', one_hot=True,
target_index=-1)
105 Linear_learner(data).evaluate()

The following plots the errors on the training and validation sets as a func-
tion of the number of steps of gradient descent.
learnLinear.py — (continued)

107 def plot_steps(data,

108 learner=None,
109 criterion=Evaluate.squared_loss,
110 step=1,
111 num_steps=1000,
112 log_scale=True,
113 legend_label=""):
114 """
115 plots the training and validation error for a learner.
116 data is the dataset
117 learner is the learning algorithm (default is linear learner on the
data)
118 criterion gives the evaluation criterion plotted on the y-axis
119 step specifies how many steps are run for each point on the plot
120 num_steps is the number of points to plot

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 7.6. Linear Regression and Classification 179

121
122 """
123 if legend_label != "": legend_label+=" "
124 plt.ion()
125 fig, ax = plt.subplots()
126 ax.set_xlabel("step")
127 ax.set_ylabel("Average "+criterion.__doc__)
128 if log_scale:
129 ax.set_xscale('log') #plt.semilogx() #Makes a log scale
130 else:
131 ax.set_xscale('linear')
132 if learner is None:
133 learner = Linear_learner(data)
134 train_errors = []
135 valid_errors = []
136 for i in range(1,num_steps+1,step):
137 valid_errors.append(data.evaluate_dataset(data.valid,
learner.predictor, criterion))
138 train_errors.append(data.evaluate_dataset(data.train,
learner.predictor, criterion))
139 learner.display(2, "Train error:",train_errors[-1],
140 "Valid error:",valid_errors[-1])
141 learner.learn(num_iter=step)
142 ax.plot(range(1,num_steps+1,step),train_errors,ls='-',label=legend_label+"training")
143 ax.plot(range(1,num_steps+1,step),valid_errors,ls='--',label=legend_label+"validation")
144 ax.legend()
145 #plt.draw()
146 learner.display(1, "Train error:",train_errors[-1],
147 "Validation error:",valid_errors[-1])
148
149 # This generates the figure
150 # from learnProblem import Data_set_augmented, prod_feat
151 # data = Data_from_file('data/SPECT.csv', prob_valid=0.5, target_index=0,
seed=123)
152 # dataplus = Data_set_augmented(data, [], [prod_feat])
153 # plot_steps(data, num_steps=1000)
154 # plot_steps(dataplus, num_steps=1000) # warning slow

Figure 7.3 shows the result of plot_steps(data, num_steps=1000) in the

code above. What would you expect to happen with the augmented data (with
extra features)? Hint: think about underfitting and overfitting.

Exercise 7.12 In Figure 7.3, the log loss is very unstable when there are over 20
steps. Hypothesize why this occurs. [Hint: when does gradient descent become
unstable?] Test your hypothesis by running with different hyperparameters.

Exercise 7.13 The squashed learner only makes predictions in the range (0, 1).
If the output values are {1, 2, 3, 4} there is no use predicting less than 1 or greater
than 4. Change the squashed learner so that it can learn values in the range (1, 4).
Test it on the file 'data/car.csv'.

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 180 7. Supervised Machine Learning

training
0.35 valid

0.30
Average squared loss

0.25

0.20

0.15

0.10

100 101 102 103

step

Figure 7.3: plot_steps for SPECT dataset

The following plots the prediction as a function of the number of steps of

gradient descent. We first define a version of range that allows for real numbers
(integers and floats). This is similar to numpy.arange.

learnLinear.py — (continued)

156 def arange(start,stop,step):

157 """enumerates values in the range [start,stop) separated by step.
158 like range(start,stop,step) but allows for integers and floats.
159 Rounding errors are expected with real numbers. (or use numpy.arange)
160 """
161 while start<stop:
162 yield start
163 start += step
164
165 def plot_prediction(data,
166 learner = None,
167 minx = 0,
168 maxx = 5,
169 step_size = 0.01, # for plotting
170 label = "function"):
171 plt.ion()
172 fig,ax = plt.subplots()
173 ax.set_xlabel("x")
174 ax.set_ylabel("y")

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 7.6. Linear Regression and Classification 181

175 if learner is None:

176 learner = Linear_learner(data, squashed=False)
177 learner.learning_rate=0.001
178 learner.learn(num_iter=100)
179 learner.learning_rate=0.0001
180 learner.learn(num_iter=1000)
181 learner.learning_rate=0.00001
182 learner.learn(num_iter=10000)
183 learner.display(1,f"function learned is {learner}. "
184 "error=",data.evaluate_dataset(data.train, learner.predictor,
Evaluate.squared_loss))
185 ax.plot([e[0] for e in data.train],[e[-1] for e in
data.train],"bo",label="data")
186 ax.plot(list(arange(minx,maxx,step_size)),
187 [learner.predictor([x])
188 for x in arange(minx,maxx,step_size)],
189 label=label)
190 ax.legend(loc='upper left')

learnLinear.py — (continued)

192 from learnProblem import Data_set_augmented, power_feat

193 def plot_polynomials(data,
194 learner_class = Linear_learner,
195 max_degree = 5,
196 minx = 0,
197 maxx = 5,
198 num_iter = 1000000,
199 learning_rate = 0.00001,
200 step_size = 0.01, # for plotting
201 ):
202 plt.ion()
203 fig, ax = plt.subplots()
204 ax.set_xlabel("x")
205 ax.set_ylabel("y")
206 ax.plot([e[0] for e in data.train],[e[-1] for e in
data.train],"ko",label="data")
207 x_values = list(arange(minx,maxx,step_size))
208 line_styles = ['-','--','-.',':']
209 colors = ['0.5','k','k','k','k']
210 for degree in range(max_degree):
211 data_aug = Data_set_augmented(data,[power_feat(n) for n in
range(1,degree+1)],
212 include_orig=False)
213 learner = learner_class(data_aug,squashed=False)
214 learner.learning_rate = learning_rate
215 learner.learn(num_iter=num_iter)
216 learner.display(1,f"For degree {degree}, "
217 f"function learned is {learner}. "
218 "error=",data.evaluate_dataset(data.train,
learner.predictor, Evaluate.squared_loss))

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 182 7. Supervised Machine Learning

219 ls = line_styles[degree % len(line_styles)]

220 col = colors[degree % len(colors)]
221 ax.plot(x_values,[learner.predictor([x]) for x in x_values],
linestyle=ls, color=col,
222 label="degree="+str(degree))
223 ax.legend(loc='upper left')
224
225 # Try:
226 # data0 = Data_from_file('data/simp_regr.csv', prob_test=0, prob_valid=0,
one_hot=False, target_index=-1)
227 # plot_prediction(data0)
228 # Alternatively:
229 # plot_polynomials(data0)
230 # What if the step size was bigger?
231 #datam = Data_from_file('data/mail_reading.csv', target_index=-1)
232 #plot_prediction(datam)

Exercise 7.14 For each of the polynomial functions learned: What is the pre-
diction as x gets larger (x → ∞). What is the prediction as x gets more negative
(x → −∞).

7.7 Boosting
The following code implements functional gradient boosting for regression.
A Boosted dataset is created from a base dataset by subtracting the pre-
diction of the offset function from each example. This does not save the new
dataset, but generates it as needed. The extra space used is constant, indepen-
dent on the size of the dataset.
learnBoosting.py — Functional Gradient Boosting
11 from learnProblem import Data_set, Learner, Evaluate
12 from learnNoInputs import Predict
13 from learnLinear import sigmoid
14 import statistics
15 import random
16
17 class Boosted_dataset(Data_set):
18 def __init__(self, base_dataset, offset_fun, subsample=1.0):
19 """new dataset which is like base_dataset,
20 but offset_fun(e) is subtracted from the target of each example e
21 """
22 self.base_dataset = base_dataset
23 self.offset_fun = offset_fun
24 self.train =
random.sample(base_dataset.train,int(subsample*len(base_dataset.train)))
25 self.valid = base_dataset.valid
26 #Data_set.__init__(self, base_dataset.train, base_dataset.valid,
27 # base_dataset.prob_valid, base_dataset.target_index)
28

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 7.7. Boosting 183

29 #def create_features(self):
30 """creates new features - called at end of Data_set.init()
31 defines a new target
32 """
33 self.input_features = self.base_dataset.input_features
34 def newout(e):
35 return self.base_dataset.target(e) - self.offset_fun(e)
36 newout.frange = self.base_dataset.target.frange
37 newout.ftype = self.infer_type(newout.frange)
38 self.target = newout
39
40 def conditions(self, *args, colsample_bytree=0.5, **nargs):
41 conds = self.base_dataset.conditions(*args, **nargs)
42 return random.sample(conds, int(colsample_bytree*len(conds)))

A boosting learner takes in a dataset and a base learner, and returns a new
predictor. The base learner, takes a dataset, and returns a Learner object.

learnBoosting.py — (continued)

44 class Boosting_learner(Learner):
45 def __init__(self, dataset, base_learner_class, subsample=0.8):
46 self.dataset = dataset
47 self.base_learner_class = base_learner_class
48 self.subsample = subsample
49 mean = sum(self.dataset.target(e)
50 for e in self.dataset.train)/len(self.dataset.train)
51 self.predictor = lambda e:mean # function that returns mean for
each example
52 self.predictor.__doc__ = "lambda e:"+str(mean)
53 self.offsets = [self.predictor] # list of base learners
54 self.predictors = [self.predictor] # list of predictors
55 self.errors = [data.evaluate_dataset(data.valid, self.predictor,
Evaluate.squared_loss)]
56 self.display(1,"Mean validation set squared loss=", self.errors[0] )
57
58
59 def learn(self, num_ensembles=10):
60 """adds num_ensemble learners to the ensemble.
61 returns a new predictor.
62 """
63 for i in range(num_ensembles):
64 train_subset = Boosted_dataset(self.dataset, self.predictor,
subsample=self.subsample)
65 learner = self.base_learner_class(train_subset)
66 new_offset = learner.learn()
67 self.offsets.append(new_offset)
68 def new_pred(e, old_pred=self.predictor, off=new_offset):
69 return old_pred(e)+off(e)
70 self.predictor = new_pred
71 self.predictors.append(new_pred)

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 184 7. Supervised Machine Learning

72 self.errors.append(data.evaluate_dataset(data.valid,
self.predictor, Evaluate.squared_loss))
73 self.display(1,f"Iteration {len(self.offsets)-1},treesize =
{new_offset.num_leaves}. mean squared
loss={self.errors[-1]}")
74 return self.predictor
For testing, sp_DT_learner returns a learner that predicts the mean at the leaves
and is evaluated using squared loss. It can also take arguments to change the
default arguments for the trees.
learnBoosting.py — (continued)

76 # Testing
77
78 from learnDT import DT_learner
79 from learnProblem import Data_set, Data_from_file
80
81 def sp_DT_learner(split_to_optimize=Evaluate.squared_loss,
82 leaf_prediction=Predict.mean,**nargs):
83 """Creates a learner with different default arguments replaced by
**nargs
84 """
85 def new_learner(dataset):
86 return DT_learner(dataset,split_to_optimize=split_to_optimize,
87 leaf_prediction=leaf_prediction, **nargs)
88 return new_learner
89
90 #data = Data_from_file('data/car.csv', target_index=-1) regression
91 #data = Data_from_file('data/SPECT.csv', target_index=0, seed=62) #123)
92 #data = Data_from_file('data/mail_reading.csv', target_index=-1)
93 #data = Data_from_file('data/holiday.csv', has_header=True, num_train=19,
target_index=-1)
94 #learner10 = Boosting_learner(data,
sp_DT_learner(split_to_optimize=Evaluate.squared_loss,
leaf_prediction=Predict.mean, min_child_weight=10))
95 #learner7 = Boosting_learner(data, sp_DT_learner(0.7))
96 #learner5 = Boosting_learner(data, sp_DT_learner(0.5))
97 #predictor9 =learner9.learn(10)
98 #for i in learner9.offsets: print(i.__doc__)
99 import matplotlib.pyplot as plt
100
101 def plot_boosting_trees(data, steps=10, mcws=[30,20,20,10], gammas=
[100,200,300,500]):
102 # to reduce clutter uncomment one of following two lines
103 #mcws=[10]
104 #gammas=[200]
105 learners = [(mcw, gamma, Boosting_learner(data,
sp_DT_learner(min_child_weight=mcw, gamma=gamma)))
106 for gamma in gammas for mcw in mcws
107 ]
108 plt.ion()

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 7.7. Boosting 185

109 fig, ax = plt.subplots()

110 ax.set_xscale('linear') # change between log and linear scale
111 ax.set_xlabel("number of trees")
112 ax.set_ylabel("mean squared loss")
113 markers = (m+c for c in ['k','g','r','b','m','c','y'] for m in
['-','--','-.',':'])
114 for (mcw,gamma,learner) in learners:
115 data.display(1,f"min_child_weight={mcw}, gamma={gamma}")
116 learner.learn(steps)
117 ax.plot(range(steps+1), learner.errors, next(markers),
118 label=f"min_child_weight={mcw}, gamma={gamma}")
119 ax.legend()
120
121 # plot_boosting_trees(data,mcws=[20], gammas= [100,200,300,500])
122 # plot_boosting_trees(data,mcws=[30,20,20,10], gammas= [100])

Exercise 7.15 For a particular dataset, suggest good values for min_child_weight
and gamma. How stable are these to different random choices that are made (e.g.,
in the training-validation split)? Try to explain why these are good settings.

7.7.1 Gradient Tree Boosting

The following implements gradient Boosted trees for classification. If you want
to use this gradient tree boosting for a real problem, we recommend using
XGBoost [Chen and Guestrin, 2016] or LightGBM [Ke, Meng, Finley, Wang,
Chen, Ma, Ye, and Liu, 2017].
GTB_learner subclasses DT_learner. The method learn_tree is used un-
changed. DT_learner assumes that the value at the leaf is the prediction of the
leaf, thus leaf_value needs to be overridden. It also assumes that all nodes
at a leaf have the same prediction, but in GBT the elements of a leaf can have
different values, depending on the previous trees. Thus sum_losses also needs
to be overridden.
learnBoosting.py — (continued)

124 class GTB_learner(DT_learner):

125 def __init__(self, dataset, number_trees, lambda_reg=1, gamma=0,
**dtargs):
126 DT_learner.__init__(self, dataset,
split_to_optimize=Evaluate.log_loss, **dtargs)
127 self.number_trees = number_trees
128 self.lambda_reg = lambda_reg
129 self.gamma = gamma
130 self.trees = []
131
132 def learn(self):
133 for i in range(self.number_trees):
134 tree =
self.learn_tree(self.dataset.conditions(self.max_num_cuts),
self.train)

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 186 7. Supervised Machine Learning

135 self.trees.append(tree)
136 self.display(1,f"""Iteration {i} treesize = {tree.num_leaves}
train logloss={
137 self.dataset.evaluate_dataset(self.dataset.train,
self.gtb_predictor, Evaluate.log_loss)
138 } validation logloss={
139 self.dataset.evaluate_dataset(self.dataset.valid,
self.gtb_predictor, Evaluate.log_loss)}""")
140 return self.gtb_predictor
141
142 def gtb_predictor(self, example, extra=0):
143 """prediction for example,
144 extras is an extra contribution for this example being considered
145 """
146 return sigmoid(sum(t(example) for t in self.trees)+extra)
147
148 def leaf_value(self, egs, domain=[0,1]):
149 """value at the leaves for examples egs
150 domain argument is ignored"""
151 pred_acts = [(self.gtb_predictor(e),self.target(e)) for e in egs]
152 return sum(a-p for (p,a) in pred_acts) /(sum(p*(1-p) for (p,a) in
pred_acts)+self.lambda_reg)
153
154
155 def sum_losses(self, data_subset):
156 """returns sum of losses for dataset (assuming a leaf is formed
with no more splits)
157 """
158 leaf_val = self.leaf_value(data_subset)
159 error = sum(Evaluate.log_loss(self.gtb_predictor(e,leaf_val),
self.target(e))
160 for e in data_subset) + self.gamma
161 return error
Testing
learnBoosting.py — (continued)

163 # data = Data_from_file('data/carbool.csv', one_hot=True, target_index=-1,

seed=123)
164 # gtb_learner = GTB_learner(data, 10)
165 # gtb_learner.learn()

Exercise 7.16 Find better hyperparameter settings than the default ones. Com-
pare prediction error with other methods for Boolean datasets.

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 Chapter 8

Neural Networks and Deep

Learning

Warning: this is not meant to be an efficient implementation of deep learning.

If you want to do serious machine learning on medium-sized or large data,
we recommend Keras (https://keras.io) [Chollet, 2021] or PyTorch (https:
//pytorch.org), which are very efficient, particularly on GPUs. They are, how-
ever, black boxes. The AIPython neural network code should be seen like a car
engine made of glass; you can see exactly how it works, even if it is not fast.
We have followed the naming conventions of Keras for the parameters: any
parameters that are the same as in Keras have the same names.

8.1 Layers
A neural network is built from layers. In AIPython (unlike Keras and PyTorch),
activation functions are treated as separate layers, which makes them more
modular and the code more readable.
This provides a modular implementation of layers. Layers can easily be
stacked in many configurations. A layer needs to implement a method to com-
pute the output values from the inputs, a method to back-propagate the error,
and a method update its parameters (if it has any) for a batch.
learnNN.py — Neural Network Learning
11 from display import Displayable
12 from learnProblem import Learner, Data_set, Data_from_file,
Data_from_files, Evaluate
13 from learnLinear import sigmoid, one, softmax, indicator
14 import random, math, time
15

187
 188 8. Neural Networks and Deep Learning

16 class Layer(Displayable):
17 def __init__(self, nn, num_outputs=None):
18 """Abstract layer class, must be overridden.
19 nn is the neural network this layer is part of
20 num outputs is the number of outputs for this layer.
21 """
22 self.nn = nn
23 self.num_inputs = nn.num_outputs # nn output is layer's input
24 if num_outputs:
25 self.num_outputs = num_outputs
26 else:
27 self.num_outputs = self.num_inputs # same as the inputs
28 self.outputs= [0]*self.num_outputs
29 self.input_errors = [0]*self.num_inputs
30 self.weights = []
31
32 def output_values(self, input_values, training=False):
33 """Return the outputs for this layer for the given input values.
34 input_values is a list (of length self.num_inputs) of the inputs
35 returns a list of length self.num_outputs.
36 It can act differently when training and when predicting.
37 """
38 raise NotImplementedError("output_values") # abstract method
39
40 def backprop(self, out_errors):
41 """Backpropagate the errors on the outputs
42 errors is a list of output errors (of length self.num_outputs).
43 Returns list of input errors (of length self.num_inputs).
44
45 This is only called after corresponding output_values(),
46 which should remember relevant information
47 """
48 raise NotImplementedError("backprop") # abstract method
49
50 class Optimizer(Displayable):
51 def update(self, layer):
52 """updates parameters after a batch.
53 """
54 pass

8.1.1 Linear Layer

A linear layer maintains an array of weights. self.weights[i][o] is the weight
between input i and output o. The bias is treated implicitly as the last input,
so the weight of the bias for output o is self.weights[self.num_inputs][o].
The default initialization is the Glorot uniform initializer [Glorot and Ben-
gio, 2010], which is the default in Keras. An alternative is to provide a limit,
in which case the values are selected uniformly in the range [−limit, limit]. As
in Keras, AIpython treats initializes the bias of hidden layers to zero. The out-

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 8.1. Layers 189

put layer is treated separately, with the weights all zero except for the bias for
categorical outputs (see following exercise).
learnNN.py — (continued)

56 class Linear_complete_layer(Layer):
57 """a completely connected layer"""
58 def __init__(self, nn, num_outputs, limit=None, final_layer=False):
59 """A completely connected linear layer.
60 nn is a neural network that the inputs come from
61 num_outputs is the number of outputs
62 the random initialization of parameters is in range [-limit,limit]
63 """
64 Layer.__init__(self, nn, num_outputs)
65 if limit is None:
66 limit =math.sqrt(6/(self.num_inputs+self.num_outputs))
67 # self.weights[i][o] is the weight between input i and output o
68 if final_layer:
69 self.weights = [[0 if i < self.num_inputs
70 or (nn.output_type != "categorical")
71 else 1
72 for o in range(self.num_outputs)]
73 for i in range(self.num_inputs+1)]
74 else:
75 self.weights = [[random.uniform(-limit, limit)
76 if i < self.num_inputs else 0
77 for o in range(self.num_outputs)]
78 for i in range(self.num_inputs+1)]
79 # self.weights[i][o] is the accumulated change for a batch.
80 self.delta = [[0 for o in range(self.num_outputs)]
81 for i in range(self.num_inputs+1)]
82
83 def output_values(self, inputs, training=False):
84 """Returns the outputs for the input values.
85 It remembers the values for the backprop.
86 """
87 self.display(3,f"Linear layer inputs: {inputs}")
88 self.inputs = inputs
89 for out in range(self.num_outputs):
90 self.outputs[out] = (sum(self.weights[inp][out]*self.inputs[inp]
91 for inp in range(self.num_inputs))
92 + self.weights[self.num_inputs][out])
93 self.display(3,f"Linear layer inputs: {inputs}")
94 return self.outputs
95
96 def backprop(self, errors):
97 """Backpropagate errors, update weights, return input error.
98 errors is a list of size self.num_outputs
99 Returns errors for layer's inputs of size
100 """
101 self.display(3,f"Linear Backprop. input: {self.inputs} output
errors: {errors}")

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 190 8. Neural Networks and Deep Learning

102 for out in range(self.num_outputs):

103 for inp in range(self.num_inputs):
104 self.input_errors[inp] = self.weights[inp][out] * errors[out]
105 self.delta[inp][out] += self.inputs[inp] * errors[out]
106 self.delta[self.num_inputs][out] += errors[out]
107 self.display(3,f"Linear layer backprop input errors:
{self.input_errors}")
108 return self.input_errors

Exercise 8.1 The initialization for the output layer is naive. Suggest an alternative
(hopefully better) initialization. Test it.
Exercise 8.2 What happens if the initialization of the hidden layer weights is also
zero? Try it. Explain why you get the behavior observed.

8.1.2 ReLU Layer

The standard activation function for hidden nodes is the ReLU.

learnNN.py — (continued)

110 class ReLU_layer(Layer):

111 """Rectified linear unit (ReLU) f(z) = max(0, z).
112 The number of outputs is equal to the number of inputs.
113 """
114 def __init__(self, nn):
115 Layer.__init__(self, nn)
116
117
118 def output_values(self, input_values, training=False):
119 """Returns the outputs for the input values.
120 It remembers the input values for the backprop.
121 """
122 self.input_values = input_values
123 for i in range(self.num_inputs):
124 self.outputs[i] = max(0,input_values[i])
125 return self.outputs
126
127 def backprop(self,out_errors):
128 """Returns the derivative of the errors"""
129 for i in range(self.num_inputs):
130 self.input_errors[i] = out_errors[i] if self.input_values[i]>0
else 0
131 return self.input_errors

8.1.3 Sigmoid Layer

One of the old standards for the activation function for hidden layers is the
sigmoid. It is also used in LSTMs. It is included here to experiment with.

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learnNN.py — (continued)

133 class Sigmoid_layer(Layer):

134 """sigmoids of the inputs.
135 The number of outputs is equal to the number of inputs.
136 Each output is the sigmoid of its corresponding input.
137 """
138 def __init__(self, nn):
139 Layer.__init__(self, nn)
140
141 def output_values(self, input_values, training=False):
142 """Returns the outputs for the input values.
143 It remembers the output values for the backprop.
144 """
145 for i in range(self.num_inputs):
146 self.outputs[i] = sigmoid(out_errors[i])
147 return self.outputs
148
149 def backprop(self,errors):
150 """Returns the derivative of the errors"""
151 for i in range(self.num_inputs):
152 self.input_errors[i] =
input_values[i]*out_errors[i]*(1-out_errors[i])
153 return self.input_errors

8.2 Feedforward Networks

learnNN.py — (continued)

155 class NN(Learner):

156 def __init__(self, dataset, optimizer=None, **hyperparms):
157 """Creates a neural network for a dataset
158 optimizer is the optimizer: default is SGD
159 hyperparms is the dictionary of hyperparameters for the optimizer
160 """
161 self.dataset = dataset
162 self.optimizer = optimizer if optimizer else SGD
163 self.hyperparms = hyperparms
164 self.output_type = dataset.target.ftype
165 self.input_features = dataset.input_features
166 self.num_outputs = len(self.input_features) # empty NN
167 self.layers = []
168 self.bn = 0 # number of batches run
169 self.printed_heading = False
170
171 def add_layer(self,layer):
172 """add a layer to the network.
173 Each layer gets number of inputs from the previous layers outputs.
174 """
175 self.layers.append(layer)

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176 #if hasattr(layer, 'weights'):

177 layer.optimizer = self.optimizer(layer, **self.hyperparms)
178 self.num_outputs = layer.num_outputs
179
180 def predictor(self,ex):
181 """Predicts the value of the first output for example ex.
182 """
183 values = [f(ex) for f in self.input_features]
184 for layer in self.layers:
185 values = layer.output_values(values)
186 return sigmoid(values[0]) if self.output_type =="boolean" \
187 else softmax(values, self.dataset.target.frange) if
self.output_type == "categorical" \
188 else values[0]
The learn method learns the parameters of a network. This is like the learn()
method of linear regression (Section 7.6) except that there can be multiple out-
puts and there can be multiple optimizers.
learnNN.py — (continued)

190 def learn(self, batch_size=32, num_iter = 100, report_each=10):

191 """Learns parameters for a neural network using the chosen
optimizer.
192 batch_size is the maximum size of each batch
193 num_iter is the number of iterations over the batches
194 report_each means print errors after each multiple of that number
of batches
195 """
196 batch_size = min(batch_size, len(self.dataset.train)) # don't have
batches bigger than training size
197 self.report_each = report_each
198 if not self.printed_heading and num_iter >= report_each:
199 self.display(1,"batch\tTraining\tTraining\tValidation\tValidation")
200 self.display(1,"\tAcccuracy\tLog loss\tAcccuracy\tLog loss")
201 self.printed_heading = True
202 self.trace()
203 for i in range(num_iter):
204 batch = random.sample(self.dataset.train, batch_size)
205 for e in batch:
206 # compute all outputs
207 values = [f(e) for f in self.input_features]
208 for layer in self.layers:
209 values = layer.output_values(values, training=True)
210 # backpropagate
211 predicted = [sigmoid(v) for v in values] \
212 if self.output_type == "boolean" \
213 else softmax(values) \
214 if self.output_type == "categorical" \
215 else values
216 actuals = indicator(self.dataset.target(e),
self.dataset.target.frange) \

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 8.3. Optimizers 193

217 if self.output_type == "categorical"\

218 else [self.dataset.target(e)]
219 errors = [pred-obsd for (obsd,pred) in
zip(actuals,predicted)]
220 for layer in reversed(self.layers):
221 errors = layer.backprop(errors)
222 # Update all parameters in batch
223 for layer in self.layers:
224 layer.optimizer.update(layer)
225 self.bn+=1
226 if (i+1)%report_each==0:
227 self.trace()
228
229 def trace(self):
230 """print tracing of the batch updates"""
231 self.display(1,self.bn,"\t",
232 "\t\t".join("{:.4f}".format(
233 self.dataset.evaluate_dataset(data, self.predictor,
criterion))
234 for data in [self.dataset.train,
self.dataset.valid]
235 for criterion in [Evaluate.accuracy,
Evaluate.log_loss]), sep="")

8.3 Optimizers
The optimizers update the weights of a layer after a batch; they implement
update. The layer must have saved the weights. In layers without weights, the
weights list is empty, and update does nothing. The backprop method stores
in layer.delta the gradient for the most recent batch. An optimizer must zero
layer.delta so the new batch can start anew.

8.3.1 Stochastic Gradient Descent

Stochastic Gradient Descent (SGD) is the most basic. It has one hyperparame-
ter, the learning rate lr.

learnNN.py — (continued)

237 class SGD(Optimizer):

238 """Vanilla SGD"""
239 def __init__(self, layer, lr=0.01):
240 """layer is a layer, which contains weight and gradient matrices
241 Layers without weights have weights=[]
242 """
243 self.lr = lr
244
245 def update(self, layer):
246 """update weights of layer after a batch.
247 """

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248 for inp in range(len(layer.weights)):

249 for out in range(len(layer.weights[0])):
250 layer.weights[inp][out] -= self.lr*layer.delta[inp][out]
251 layer.delta[inp][out] = 0

8.3.2 Momentum

learnNN.py — (continued)

253 class Momentum(Optimizer):

254 """SGD with momentum"""
255
256 """a completely connected layer"""
257 def __init__(self, layer, lr=0.01, momentum=0.9):
258 """
259 lr is the learning rate
260 momentum is the momentum parameter
261
262 """
263 self.lr = lr
264 self.momentum = momentum
265 layer.velocity = [[0 for _ in range((len(layer.weights[0])))]
266 for _ in range(len(layer.weights))]
267
268
269 def update(self, layer):
270 """updates parameters after a batch with momentum"""
271 for inp in range(len(layer.weights)):
272 for out in range(len(layer.weights[0])):
273 layer.velocity[inp][out] =
self.momentum*layer.velocity[inp][out] -
self.lr*layer.delta[inp][out]
274 layer.weights[inp][out] += layer.velocity[inp][out]
275 layer.delta[inp][out] = 0

8.3.3 RMS-Prop

learnNN.py — (continued)

277 class RMS_Prop(Optimizer):

278 """a completely connected layer"""
279 def __init__(self, layer, rho=0.9, epsilon=1e-07, lr=0.01):
280 """A completely connected linear layer.
281 nn is a neural network that the inputs come from
282 num_outputs is the number of outputs
283 max_init is the maximum value for random initialization of
parameters
284 """
285 # layer.ms[i][o] is running average of squared gradient input i and
output o

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 8.4. Dropout 195

286 layer.ms = [[0 for _ in range(len(layer.weights[0]))]

287 for _ in range(len(layer.weights))]
288 self.rho = rho
289 self.epsilon = epsilon
290 self.lr = lr
291
292 def update(self, layer):
293 """updates parameters after a batch"""
294 for inp in range(len(layer.weights)):
295 for out in range(len(layer.weights[0])):
296 layer.ms[inp][out] = self.rho*layer.ms[inp][out]+
(1-self.rho) * layer.delta[inp][out]**2
297 layer.weights[inp][out] -= self.lr * layer.delta[inp][out] /
(layer.ms[inp][out]+self.epsilon)**0.5
298 layer.delta[inp][out] = 0
Exercise 8.3 Implement Adam [see Section 8.2.3 of Poole and Mackworth, 2023].
The implementation is slightly more complex than RMS-Prop. Try it first with the
parameter settings of Keras, as reported by Poole and Mackworth [2023]. Does it
matter if epsilon is inside or outside the square root? How sensitive is the perfor-
mance to the parameter settings?
Exercise 8.4 Both Goodfellow, Bengio, and Courville [2016] and Poole and Mack-
worth [2023] find the gradient by dividing self.delta[inp][out] by the batch
size, but some of the above code doesn’t. To make code with dividing and with-
out dividing the same, the step sizes need to be different by a factor of the batch
size. Find a reasonable step size using an informal hyperparameter tuning; try
some orders of magnitude of the step size to see what works best. What happens
if the batch size is changed, but the step size is unchanged? (Try orders of magni-
tude difference is step sizes.) For each of the update method, which works better:
dividing by the step size or not?

8.4 Dropout
Dropout is implemented as a layer.
learnNN.py — (continued)

300 from utilities import flip

301 class Dropout_layer(Layer):
302 """Dropout layer
303 """
304
305 def __init__(self, nn, rate=0):
306 """
307 rate is fraction of the input units to drop. 0 =< rate < 1
308 """
309 self.rate = rate
310 Layer.__init__(self, nn)
311 self.mask = [0]*self.num_inputs
312

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 196 8. Neural Networks and Deep Learning

313 def output_values(self, input_values, training=False):

314 """Returns the outputs for the input values.
315 It remembers the input values and mask for the backprop.
316 """
317 if training:
318 scaling = 1/(1-self.rate)
319 for i in range(self.num_inputs):
320 self.mask[i] = 0 if flip(self.rate) else 1
321 input_values[i] = self.mask[i]*input_values[i]*scaling
322 return input_values
323
324 def backprop(self, output_errors):
325 """Returns the derivative of the errors"""
326 for i in range(self.num_inputs):
327 self.input_errors[i] = output_errors[i]*self.mask[i]
328 return self.input_errors

8.5 Examples
The following constructs some neural networks.
learnNN.py — (continued)

330
331 def main():
332 """Sets up some global variables to allow for interaction
333 """
334 global data, nn3, nn3do
335 #data = Data_from_file('data/mail_reading.csv', target_index=-1)
336 #data = Data_from_file('data/mail_reading_consis.csv', target_index=-1)
337 data = Data_from_file('data/SPECT.csv', target_index=0) #, seed=12345)
338 #data = Data_from_file('data/carbool.csv', one_hot=True,
target_index=-1, seed=123)
339 #data = Data_from_file('data/iris.data', target_index=-1)
340 #data = Data_from_file('data/if_x_then_y_else_z.csv', num_train=8,
target_index=-1) # not linearly sep
341 #data = Data_from_file('data/holiday.csv', target_index=-1) #,
num_train=19)
342 #data = Data_from_file('data/processed.cleveland.data', target_index=-1)
343 #random.seed(None)
344
345 # nn3 is has a single hidden layer of width 3
346 nn3 = NN(data, optimizer=SGD)
347 nn3.add_layer(Linear_complete_layer(nn3,3))
348 #nn3.add_layer(Sigmoid_layer(nn3))
349 nn3.add_layer(ReLU_layer(nn3))
350 nn3.add_layer(Linear_complete_layer(nn3, 1, final_layer=True)) # when
output_type="boolean"
351 print("nn3")
352 nn3.learn(batch_size=100, num_iter = 1000, report_each=100)

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 8.5. Examples 197

353
354 # Print some training examples
355 #for eg in random.sample(data.train,10): print(eg,nn3.predictor(eg))
356
357 # Print some test examples
358 #for eg in random.sample(data.test,10): print(eg,nn3.predictor(eg))
359
360 # To see the weights learned in linear layers
361 # nn3.layers[0].weights
362 # nn3.layers[2].weights
363
364 # nn3do is like nn3 but with dropout on the hidden layer
365 nn3do = NN(data, optimizer=SGD)
366 nn3do.add_layer(Linear_complete_layer(nn3do,3))
367 #nn3.add_layer(Sigmoid_layer(nn3)) # comment this or the next
368 nn3do.add_layer(ReLU_layer(nn3do))
369 nn3do.add_layer(Dropout_layer(nn3do, rate=0.5))
370 nn3do.add_layer(Linear_complete_layer(nn3do, 1, final_layer=True))
371 #nn3do.learn(batch_size=100, num_iter = 1000, report_each=100)
372
373 if __name__ == "__main__":
374 main()
NN_from_arch(dataset, architecture, optimizer, parameters) creates
a generic feedforward neural network with ReLU activation for the hidden
layers. The dataset is needed as the input and output is determined by the
data. The architecture is a list of the sizes of hidden layers. If the architecture is
the empty list, this corresponds to linear or logistic regression. The optimizer
is one of SGD, Momentum, RMS_Prop.
learnNN.py — (continued)

376 class NN_from_arch(NN):

377 def __init__(self, data, arch, optimizer=SGD, **hyperparms):
378 """arch is a list of widths of the hidden layers from bottom up.
379 opt is an optimizer (one of: SGD, Momentum, RMS_Prop)
380 hyperparms is the parameters of the optimizer
381 returns a neural network with ReLU activations on hidden layers
382 """
383 NN.__init__(self, data, optimizer=optimizer, **hyperparms)
384 for width in arch:
385 self.add_layer(Linear_complete_layer(self,width))
386 self.add_layer(ReLU_layer(self))
387 output_size = len(data.target.frange) if data.target.ftype ==
"categorical" else 1
388 self.add_layer(Linear_complete_layer(self,output_size,
final_layer=True))
389 hyperparms_string = ','.join(f"{p}={v}" for p,v in
hyperparms.items())
390 self.name = f"NN({arch},{optimizer.__name__}({hyperparms_string}))"
391
392 def __str__(self):

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 198 8. Neural Networks and Deep Learning

[] SGD(lr=0.01) training
1.8 [] SGD(lr=0.01) valid
[3] SGD(lr=0.01) training
[3] SGD(lr=0.01) valid
1.6 [3, 3] SGD(lr=0.01) training
[3, 3] SGD(lr=0.01) valid
1.4
Average log loss (bits)

1.2

1.0

0.8

0.6

0.4

0.2
0 250 500 750 1000 1250 1500 1750 2000
step
Figure 8.1: Plotting train and validation log loss for various architectures on
SPECT dataset. Generated by
plot_algs(archs=[[],[3],[3,3]], opts=[SGD],lrs=[0.01],num_steps=2000)
Other runs might be different, as the validation set and the algorithm are stochastic.

393 return self.name

394
395 # nn3a = NN_from_arch(data, [3], SGD, lr=0.001)

8.6 Plotting Performance

You can plot the performance of various algorithms on the training and vali-
dation sets.
Figure 8.1 shows the training and validation performance on the SPECT
dataset for the architectures given. The legend give the architecture, the op-
timizer, the options, and the evaluation dataset. The architecture [] is for lo-
gistic regression. Notice how, as the network gets larger the better they fit the
training data, but can overfit more as the number of steps increases (probably
because the probabilities get more extreme). These figures suggest that early
stopping after 200-300 steps might provide best test performance.

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 8.6. Plotting Performance 199

The plot_algs method does all combinations of architectures, optimizers

and learning rates. It plots both learning and validation errors. The output is
only readable if two of these are singletons, and one varies (as in the examples).
The plot_algs_opts method is more general as it allows for different com-
binations of architectures, optimizers and learning rates, which makes more
sense if, for example, the learning rate is set depending on the architecture and
optimizer. It also allows other hyperparameters to be specified and varied.
learnNN.py — (continued)

397 from learnLinear import plot_steps

398 from learnProblem import Evaluate
399
400 # To show plots first choose a criterion to use
401 crit = Evaluate.log_loss # penalizes overconfident predictions (when wrong)
402 # crit = Evaluate.accuracy # only considers mode
403 # crit = Evaluate.squared_loss # penalizes overconfident predictions less
404
405 def plot_algs(data, archs=[[3]], opts=[SGD],lrs=[0.1, 0.01,0.001,0.0001],
406 criterion=crit, num_steps=1000):
407 args = []
408 for arch in archs:
409 for opt in opts:
410 for lr in lrs:
411 args.append((arch,opt,{'lr':lr}))
412 plot_algs_opts(data, args, criterion, num_steps)
413
414 def plot_algs_opts(data, args, criterion=crit, num_steps=1000):
415 """args is a list of (architecture, optimizer, parameters)
416 for each of the corresponding triples it plots the learning rate"""
417 for (arch, opt, hyperparms) in args:
418 nn = NN_from_arch(data, arch, opt, **hyperparms)
419 plot_steps(data, learner = nn, criterion=crit, num_steps=num_steps,
420 log_scale=False, legend_label=str(nn))
The following are examples of how to do hyperparameter optimization manu-
ally.
learnNN.py — (continued)

422 ## first select good learning rates for each optimizer.

423 # plot_algs(data, archs=[[3]], opts=[SGD],lrs=[0.1, 0.01,0.001,0.0001])
424 # plot_algs(data, archs=[[3]], opts=[Momentum],lrs=[0.1,
0.01,0.001,0.0001])
425 # plot_algs(data, archs=[[3]], opts=[RMS_Prop],lrs=[0.1,
0.01,0.001,0.0001])
426
427 ## If they have the same best learning rate, compare the optimizers:
428 # plot_algs(data, archs=[[3]], opts=[SGD,Momentum,RMS_Prop],lrs=[0.01])
429
430 ## With different learning rates, compare the optimizer using:
431 # plot_algs_opts(data, args=[([3],SGD,{'lr':0.01}),
([3],Momentum,{'lr':0.1}), ([3],RMS_Prop,{'lr':0.001})])

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 200 8. Neural Networks and Deep Learning

432
433 # similarly select the best architecture, but the best learning rate might
depend also on the architecture

The following tests are on the MNIST digit dataset. The original files are
from http://yann.lecun.com/exdb/mnist/. This code assumes you use the csv
files from Joseph Redmon (https://pjreddie.com/projects/mnist-in-csv/ or
https://github.com/pjreddie/mnist-csv-png or https://www.kaggle.com/datasets/
oddrationale/mnist-in-csv) and put them in the directory ../MNIST/. Note
that this is very inefficient; you would be better to use Keras or PyTorch. There
are 28 ∗ 28 = 784 input units and 512 hidden units, which makes 401,408 pa-
rameters for the lowest linear layer. So don’t be surprised if it takes many hours
in AIPython (even if it only takes a few seconds in Keras).
Think about: with 10 classes what is the accuracy, absolute loss, squared
loss, log loss (bits) for a naive guess (where the naive guess might depend on
the criterion)?

learnNN.py — (continued)

435 # Simplified version: (approx 6000 training instances)

436 # data_mnist = Data_from_file('../MNIST/mnist_train.csv', prob_test=0.9,
target_index=0, target_type="categorical")
437
438 # Full version:
439 # data_mnist = Data_from_files('../MNIST/mnist_train.csv',
'../MNIST/mnist_test.csv', target_index=0, target_type="categorical")
440
441 #nn_mnist = NN_from_arch(data_mnist, [32,10], SGD, lr=0.01})
442 # one epoch:
443 # start_time = time.perf_counter();nn_mnist.learn(batch_size=128,
num_iter=len(data_mnist)/128 );end_time =
time.perf_counter();print("Time:", end_time - start_time,"seconds")
444 # determine train error:
445 # data_mnist.evaluate_dataset(data_mnist.train, nn_mnist.predictor,
Evaluate.accuracy)
446 # determine test error:
447 # data_mnist.evaluate_dataset(data_mnist.test, nn_mnist.predictor,
Evaluate.accuracy)
448 # Print some random predictions:
449 # for eg in random.sample(data_mnist.test,10):
print(data_mnist.target(eg), nn_mnist.predictor(eg),
nn_mnist.predictor(eg)[data_mnist.target(eg)])
450 # Plot learning:
451 # plot_algs(data_mnist,archs=[[32],[32,8]], opts=[RMS_Prop], lrs=[0.01],
data=data_mnist, num_steps=100)
452 # plot_algs(data_mnist,archs=[[8],[8,8,8],[8,8,8,8,8,8,8]],
opts=[RMS_Prop], lrs=[0.01], data=data_mnist, num_steps=100)

Exercise 8.5 In the definition of nn3 above, for each of the following, first hy-
pothesize what will happen, then test your hypothesis, then explain whether you

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8.6. Plotting Performance 201

testing confirms your hypothesis or not. Test it for more than one data set, and use
more than one run for each data set.
(a) Which fits the data better, having a sigmoid layer or a ReLU layer after the
first linear layer?
(b) Which is faster to learn, having a sigmoid layer or a ReLU layer after the first
linear layer? (Hint: Plot error as a function of steps).
(c) What happens if you have both the sigmoid layer and then a ReLU layer
after the first linear layer and before the second linear layer?
(d) What happens if you have a ReLU layer then a sigmoid layer after the first
linear layer and before the second linear layer?
(e) What happens if you have neither the sigmoid layer nor a ReLU layer after
the first linear layer?
Exercise 8.6 Select one dataset and architecture.
(a) For each optimizer, use the validation set to choose settings for the hyper-
parameters, including when to stop, and the parameters of the optimizer
(including the learning rate). (There is no need to do an exhaustive search,
and remember that the runs are stochastic.) For the dataset and architecture
chosen, which optimizer works best?
(b) Suggest another architecture which you conjecture would be better than the
one used in (a) on the test set (after hyperparameter optimization). Is it
better?

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 Chapter 9

Reasoning with Uncertainty

9.1 Representing Probabilistic Models

A probabilistic model uses the same definition of a variable as a CSP (Section
4.1.1, page 69). A variable consists of a name, a domain and an optional (x,y)
position (for displaying). The domain of a variable is a list or a tuple, as the
ordering matters for some representation of factors.

9.2 Representing Factors

A factor is, mathematically, a function from variables into a number; that is,
given a value for each of its variable, it gives a number. Factors are used for
conditional probabilities, utilities in the next chapter, and are explicitly con-
structed by some algorithms (in particular, variable elimination).
A variable assignment, or just an assignment, is represented as a {variable :
value} dictionary. A factor can be evaluated when all of its variables are as-
signed. This is implemented in the can_evaluate method which can be over-
ridden for representations that don’t require all variable be assigned (such as
decision trees). The method get_value evaluates the factor for an assignment.
The assignment can include extra variables not in the factor. This method needs
to be defined for every subclass.
probFactors.py — Factors for graphical models
11 from display import Displayable
12 import math
13
14 class Factor(Displayable):
15 nextid=0 # each factor has a unique identifier; for printing
16

203
 204 9. Reasoning with Uncertainty

17 def __init__(self, variables, name=None):

18 self.variables = variables # list of variables
19 if name:
20 self.name = name
21 else:
22 self.name = f"f{Factor.nextid}"
23 Factor.nextid += 1
24
25 def can_evaluate(self,assignment):
26 """True when the factor can be evaluated in the assignment
27 assignment is a {variable:value} dict
28 """
29 return all(v in assignment for v in self.variables)
30
31 def get_value(self,assignment):
32 """Returns the value of the factor given the assignment of values
to variables.
33 Needs to be defined for each subclass.
34 """
35 assert self.can_evaluate(assignment)
36 raise NotImplementedError("get_value") # abstract method
The method __str__ returns a brief definition (like “f7(X,Y,Z)”).The method
to_table returns string representations of a table showing all of the assign-
ments of values to variables, and the corresponding value.
probFactors.py — (continued)

38 def __str__(self):
39 """returns a string representing a summary of the factor"""
40 return f"{self.name}({','.join(str(var) for var in
self.variables)})"
41
42 def to_table(self, variables=None, given={}):
43 """returns a string representation of the factor.
44 Allows for an arbitrary variable ordering.
45 variables is a list of the variables in the factor
46 (can contain other variables)"""
47 if variables==None:
48 variables = [v for v in self.variables if v not in given]
49 else: #enforce ordering and allow for extra variables in ordering
50 variables = [v for v in variables if v in self.variables and v
not in given]
51 head = "\t".join(str(v) for v in variables)+"\t"+self.name
52 return head+"\n"+self.ass_to_str(variables, given, variables)
53
54 def ass_to_str(self, vars, asst, allvars):
55 #print(f"ass_to_str({vars}, {asst}, {allvars})")
56 if vars:
57 return "\n".join(self.ass_to_str(vars[1:], {**asst,
vars[0]:val}, allvars)
58 for val in vars[0].domain)

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 9.3. Conditional Probability Distributions 205

59 else:
60 val = self.get_value(asst)
61 val_st = "{:.6f}".format(val) if isinstance(val,float) else
str(val)
62 return ("\t".join(str(asst[var]) for var in allvars)
63 + "\t"+val_st)
64
65 __repr__ = __str__

9.3 Conditional Probability Distributions

A conditional probability distribution (CPD) is a factor that represents a con-
ditional probability. A CPD representing P(X | Y1 . . . Yk ) is a factor, which
given values for X and each Yi returns a number.

probFactors.py — (continued)

67 class CPD(Factor):
68 def __init__(self, child, parents):
69 """represents P(variable | parents)
70 """
71 self.parents = parents
72 self.child = child
73 Factor.__init__(self, parents+[child], name=f"Probability")
74
75 def __str__(self):
76 """A brief description of a factor using in tracing"""
77 if self.parents:
78 return f"P({self.child}|{','.join(str(p) for p in
self.parents)})"
79 else:
80 return f"P({self.child})"
81
82 __repr__ = __str__

A constant CPD has no parents, and has probability 1 when the variable has
the value specified, and 0 when the variable has a different value.

probFactors.py — (continued)

84 class ConstantCPD(CPD):
85 def __init__(self, variable, value):
86 CPD.__init__(self, variable, [])
87 self.value = value
88 def get_value(self, assignment):
89 return 1 if self.value==assignment[self.child] else 0

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 206 9. Reasoning with Uncertainty

9.3.1 Logistic Regression

A logistic regression CPD, for Boolean variable X represents P(X=True | Y1 . . . Yk ),
using k + 1 real-valued weights so

P(X=True | Y1 . . . Yk ) = sigmoid(w0 + ∑ wi Yi )
i

where for Boolean Yi , True is represented as 1 and False as 0.

probFactors.py — (continued)

91 from learnLinear import sigmoid, logit

92
93 class LogisticRegression(CPD):
94 def __init__(self, child, parents, weights):
95 """A logistic regression representation of a conditional
probability.
96 child is the Boolean (or 0/1) variable whose CPD is being defined
97 parents is the list of parents
98 weights is list of parameters, such that weights[i+1] is the weight
for parents[i]
99 weights[0] is the bias.
100 """
101 assert len(weights) == 1+len(parents)
102 CPD.__init__(self, child, parents)
103 self.weights = weights
104
105 def get_value(self,assignment):
106 assert self.can_evaluate(assignment)
107 prob = sigmoid(self.weights[0]
108 + sum(self.weights[i+1]*assignment[self.parents[i]]
109 for i in range(len(self.parents))))
110 if assignment[self.child]: #child is true
111 return prob
112 else:
113 return (1-prob)

9.3.2 Noisy-or
A noisy-or, for Boolean variable X with Boolean parents Y1 . . . Yk is parametrized
by k + 1 parameters p0 , p1 , . . . , pk , where each 0 ≤ pi ≤ 1. The semantics is de-
fined as though there are k + 1 hidden variables Z0 , Z1 . . . Zk , where P(Z0 ) = p0
and P(Zi | Yi ) = pi for i ≥ 1, and where X is true if and only if Z0 ∨ Z1 ∨ · · · ∨ Zk
(where ∨ is “or”). Thus X is false if all of the Zi are false. Intuitively, Z0 is the
probability of X when all Yi are false and each Zi is a noisy (probabilistic) mea-
sure that Yi makes X true, and X only needs one to make it true.
probFactors.py — (continued)

115 class NoisyOR(CPD):

116 def __init__(self, child, parents, weights):

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 9.3. Conditional Probability Distributions 207

117 """A noisy representation of a conditional probability.

118 variable is the Boolean (or 0/1) child variable whose CPD is being
defined
119 parents is the list of Boolean (or 0/1) parents
120 weights is list of parameters, such that weights[i+1] is the weight
for parents[i]
121 """
122 assert len(weights) == 1+len(parents)
123 CPD.__init__(self, child, parents)
124 self.weights = weights
125
126 def get_value(self,assignment):
127 assert self.can_evaluate(assignment)
128 probfalse = (1-self.weights[0])*math.prod(1-self.weights[i+1]
129 for i in range(len(self.parents))
130 if assignment[self.parents[i]])
131 if assignment[self.child]: # child is assigned True in assignment
132 return 1-probfalse
133 else:
134 return probfalse

9.3.3 Tabular Factors and Prob

A tabular factor is a factor that represents each assignment of values to vari-
ables separately. It is represented by a Python array (or Python dict). If the
variables are V1 , V2 , . . . , Vk , the value of f (V1 = v1 , V2 = v1 , . . . , Vk = vk ) is
stored in f [v1 ][v2 ] . . . [vk ].
If the domain of Vi is [0, . . . , ni − 1] it can be represented as an array. Oth-
erwise it can use a dictionary. Python is nice in that it doesn’t care, whether an
array or dict is used except when enumerating the values; enumerating a dict
gives the keys (the variables) but enumerating an array gives the values. So we
had to be careful not to enumerate the values.
probFactors.py — (continued)

136 class TabFactor(Factor):

137
138 def __init__(self, variables, values, name=None):
139 Factor.__init__(self, variables, name=name)
140 self.values = values
141
142 def get_value(self, assignment):
143 return self.get_val_rec(self.values, self.variables, assignment)
144
145 def get_val_rec(self, value, variables, assignment):
146 if variables == []:
147 return value
148 else:
149 return self.get_val_rec(value[assignment[variables[0]]],
150 variables[1:],assignment)

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 208 9. Reasoning with Uncertainty

Prob is a factor that represents a conditional probability by enumerating all

of the values.
probFactors.py — (continued)

152 class Prob(CPD,TabFactor):

153 """A factor defined by a conditional probability table"""
154 def __init__(self, var, pars, cpt, name=None):
155 """Creates a factor from a conditional probability table, cpt
156 The cpt values are assumed to be for the ordering par+[var]
157 """
158 TabFactor.__init__(self, pars+[var], cpt, name)
159 self.child = var
160 self.parents = pars

9.3.4 Decision Tree Representations of Factors

A decision tree representation of a conditional probability of a child variable is
either:

• IFeq(var, val, true_cond, false_cond) where true_cond and false_cond

are decision trees. true_cond is used if variable var has value val in an
assignment; false_cond is used if var has a different value

• a deterministic functions that has probability 1 if a parent has the same

value as the child (using SameAs(parent))

• a distribution over the child variable (using Dist(dict)).

Note that not all parents need to be assigned to evaluate the decision tree; it
only needs a branch down the tree that gives the distribution.
probFactors.py — (continued)

162 class ProbDT(CPD):

163 def __init__(self, child, parents, dt):
164 CPD.__init__(self, child, parents)
165 self.dt = dt
166
167 def get_value(self, assignment):
168 return self.dt.get_value(assignment, self.child)
169
170 def can_evaluate(self, assignment):
171 return self.child in assignment and self.dt.can_evaluate(assignment)
Decision trees are made up of conditions; here equality of a value and a vari-
able:
probFactors.py — (continued)

173 class IFeq:

174 def __init__(self, var, val, true_cond, false_cond):
175 self.var = var

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 9.3. Conditional Probability Distributions 209

176 self.val = val

177 self.true_cond = true_cond
178 self.false_cond = false_cond
179
180 def get_value(self, assignment, child):
181 """ IFeq(var, val, true_cond, false_cond)
182 value of true_cond is used if var has value val in assignment,
183 value of false_cond is used if var has a different value
184 """
185 if assignment[self.var] == self.val:
186 return self.true_cond.get_value(assignment, child)
187 else:
188 return self.false_cond.get_value(assignment,child)
189
190 def can_evaluate(self, assignment):
191 if self.var not in assignment:
192 return False
193 elif assignment[self.var] == self.val:
194 return self.true_cond.can_evaluate(assignment)
195 else:
196 return self.false_cond.can_evaluate(assignment)
The following is a deterministic function that is true if the parent has the
same value as the child. This is used for deterministic conditional probabilities
(as is common for causal models, as described in Chapter 11).
probFactors.py — (continued)

198 class SameAs:

199 def __init__(self, parent):
200 """1 when child has same value as parent, otherwise 0"""
201 self.parent = parent
202
203 def get_value(self, assignment, child):
204 return 1 if assignment[child]==assignment[self.parent] else 0
205
206 def can_evaluate(self, assignment):
207 return self.parent in assignment
At the leaves are distributions over the child variable.
probFactors.py — (continued)

209 class Dist:

210 def __init__(self, dist):
211 """Dist is an array or dictionary indexed by value of current
child"""
212 self.dist = dist
213
214 def get_value(self, assignment, child):
215 return self.dist[assignment[child]]
216
217 def can_evaluate(self, assignment):
218 return True

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 210 9. Reasoning with Uncertainty

The following shows a decision representation of the Example 9.18 of Poole and
Mackworth [2023]. When the Action is to go out, the probability is a function
of rain; otherwise it is a function of full.

probFactors.py — (continued)

220 ##### A decision tree representation Example 9.18 of AIFCA 3e

221 from variable import Variable
222
223 boolean = [False, True]
224
225 action = Variable('Action', ['go_out', 'get_coffee'], position=(0.5,0.8))
226 rain = Variable('Rain', boolean, position=(0.2,0.8))
227 full = Variable('Cup Full', boolean, position=(0.8,0.8))
228
229 wet = Variable('Wet', boolean, position=(0.5,0.2))
230 p_wet = ProbDT(wet,[action,rain,full],
231 IFeq(action, 'go_out',
232 IFeq(rain, True, Dist([0.2,0.8]), Dist([0.9,0.1])),
233 IFeq(full, True, Dist([0.4,0.6]), Dist([0.7,0.3]))))
234
235 # See probRC for wetBN which expands this example to a complete network

9.4 Graphical Models

A graphical model consists of a title, a set of variables, and a set of factors.

probGraphicalModels.py — Graphical Models and Belief Networks

11 from display import Displayable
12 from variable import Variable
13 from probFactors import CPD, Prob
14 import matplotlib.pyplot as plt
15
16 class GraphicalModel(Displayable):
17 """The class of graphical models.
18 A graphical model consists of a title, a set of variables and a set of
factors.
19
20 vars is a set of variables
21 factors is a set of factors
22 """
23 def __init__(self, title, variables=None, factors=None):
24 self.title = title
25 self.variables = variables
26 self.factors = factors

A belief network (also known as a Bayesian network) is a graphical model

where all of the factors are conditional probabilities, and every variable has
a conditional probability of it given its parents. This checks the first condi-

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 9.4. Graphical Models 211

tion (that all factors are conditional probabilities), and builds some useful data
structures.
probGraphicalModels.py — (continued)

28 class BeliefNetwork(GraphicalModel):
29 """The class of belief networks."""
30
31 def __init__(self, title, variables, factors):
32 """vars is a set of variables
33 factors is a set of factors. All of the factors are instances of
CPD (e.g., Prob).
34 """
35 GraphicalModel.__init__(self, title, variables, factors)
36 assert all(isinstance(f,CPD) for f in factors), factors
37 self.var2cpt = {f.child:f for f in factors}
38 self.var2parents = {f.child:f.parents for f in factors}
39 self.children = {n:[] for n in self.variables}
40 for v in self.var2parents:
41 for par in self.var2parents[v]:
42 self.children[par].append(v)
43 self.topological_sort_saved = None
The following creates a topological sort of the nodes, where the parents of
a node come before the node in the resulting order. This is based on Kahn’s
algorithm from 1962.
probGraphicalModels.py — (continued)

45 def topological_sort(self):
46 """creates a topological ordering of variables such that the
parents of
47 a node are before the node.
48 """
49 if self.topological_sort_saved:
50 return self.topological_sort_saved
51 next_vars = {n for n in self.var2parents if not self.var2parents[n]
}
52 self.display(3,'topological_sort: next_vars',next_vars)
53 top_order=[]
54 while next_vars:
55 var = next_vars.pop()
56 self.display(3,'select variable',var)
57 top_order.append(var)
58 next_vars |= {ch for ch in self.children[var]
59 if all(p in top_order for p in
self.var2parents[ch])}
60 self.display(3,'var_with_no_parents_left',next_vars)
61 self.display(3,"top_order",top_order)
62 assert
set(top_order)==set(self.var2parents),(top_order,self.var2parents)
63 self.topologicalsort_saved=top_order
64 return top_order

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 212 9. Reasoning with Uncertainty

4-chain

A
B
C
D

Figure 9.1: bn_4ch.show()

9.4.1 Showing Belief Networks

The show method uses matplotlib to show the graphical structure of a belief
network.

probGraphicalModels.py — (continued)

66 def show(self, fontsize=10, facecolor='orange'):

67 plt.ion() # interactive
68 fig, ax = plt.subplots()
69 ax.set_axis_off()
70 ax.set_title(self.title, fontsize=fontsize)
71 bbox =
dict(boxstyle="round4,pad=1.0,rounding_size=0.5",facecolor=facecolor)
72 for var in self.variables: #reversed(self.topological_sort()):
73 for par in self.var2parents[var]:
74 ax.annotate(var.name, par.position, xytext=var.position,
75 arrowprops={'arrowstyle':'<-'},bbox=bbox,
76 ha='center', va='center',
fontsize=fontsize)
77 for var in self.variables:
78 x,y = var.position
79 ax.text(x,y,var.name,bbox=bbox,ha='center', va='center',
fontsize=fontsize)

9.4.2 Example Belief Networks

A Chain of 4 Variables
The first example belief network is a simple chain A −→ B −→ C −→ D,
shown in Figure 9.1.
Please do not change this, as it is the example used for testing.

probGraphicalModels.py — (continued)

81 #### Simple Example Used for Unit Tests ####

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 9.4. Graphical Models 213

Report-of-leaving

Tamper Fire

Alarm Smoke

Leaving

Report

Figure 9.2: The report-of-leaving belief network

82 boolean = [False, True]

83 A = Variable("A", boolean, position=(0,0.8))
84 B = Variable("B", boolean, position=(0.333,0.7))
85 C = Variable("C", boolean, position=(0.666,0.6))
86 D = Variable("D", boolean, position=(1,0.5))
87
88 f_a = Prob(A,[],[0.4,0.6])
89 f_b = Prob(B,[A],[[0.9,0.1],[0.2,0.8]])
90 f_c = Prob(C,[B],[[0.6,0.4],[0.3,0.7]])
91 f_d = Prob(D,[C],[[0.1,0.9],[0.75,0.25]])
92
93 bn_4ch = BeliefNetwork("4-chain", {A,B,C,D}, {f_a,f_b,f_c,f_d})

Report-of-Leaving Example
The second belief network, bn_report, is Example 9.13 of Poole and Mack-
worth [2023] (http://artint.info). The output of bn_report.show() is shown
in Figure 9.2 of this document.
probExamples.py — Example belief networks
11 from variable import Variable
12 from probFactors import CPD, Prob, LogisticRegression, NoisyOR, ConstantCPD
13 from probGraphicalModels import BeliefNetwork
14

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 214 9. Reasoning with Uncertainty

Simple Diagnosis

Influenza Smokes

Sore Throat Fever Bronchitis

Coughing Wheezing

Figure 9.3: Simple diagnosis example; simple_diagnosis.show()

15 # Belief network report-of-leaving example (Example 9.13 shown in Figure

9.3) of
16 # Poole and Mackworth, Artificial Intelligence, 2023 http://artint.info
17 boolean = [False, True]
18
19 Alarm = Variable("Alarm", boolean, position=(0.366,0.5))
20 Fire = Variable("Fire", boolean, position=(0.633,0.75))
21 Leaving = Variable("Leaving", boolean, position=(0.366,0.25))
22 Report = Variable("Report", boolean, position=(0.366,0.0))
23 Smoke = Variable("Smoke", boolean, position=(0.9,0.5))
24 Tamper = Variable("Tamper", boolean, position=(0.1,0.75))
25
26 f_ta = Prob(Tamper,[],[0.98,0.02])
27 f_fi = Prob(Fire,[],[0.99,0.01])
28 f_sm = Prob(Smoke,[Fire],[[0.99,0.01],[0.1,0.9]])
29 f_al = Prob(Alarm,[Fire,Tamper],[[[0.9999, 0.0001], [0.15, 0.85]], [[0.01,
0.99], [0.5, 0.5]]])
30 f_lv = Prob(Leaving,[Alarm],[[0.999, 0.001], [0.12, 0.88]])
31 f_re = Prob(Report,[Leaving],[[0.99, 0.01], [0.25, 0.75]])
32
33 bn_report = BeliefNetwork("Report-of-leaving",
{Tamper,Fire,Smoke,Alarm,Leaving,Report},
34 {f_ta,f_fi,f_sm,f_al,f_lv,f_re})

Simple Diagnostic Example

This is the “simple diagnostic example” of Exercise 9.1 of Poole and Mackworth
[2023], reproduced here as Figure 9.3

probExamples.py — (continued)

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 9.4. Graphical Models 215

36 # Belief network simple-diagnostic example (Exercise 9.3 shown in Figure

9.39) of
37 # Poole and Mackworth, Artificial Intelligence, 2023 http://artint.info
38
39 Influenza = Variable("Influenza", boolean, position=(0.4,0.8))
40 Smokes = Variable("Smokes", boolean, position=(0.8,0.8))
41 SoreThroat = Variable("Sore Throat", boolean, position=(0.2,0.5))
42 HasFever = Variable("Fever", boolean, position=(0.4,0.5))
43 Bronchitis = Variable("Bronchitis", boolean, position=(0.6,0.5))
44 Coughing = Variable("Coughing", boolean, position=(0.4,0.2))
45 Wheezing = Variable("Wheezing", boolean, position=(0.8,0.2))
46
47 p_infl = Prob(Influenza,[],[0.95,0.05])
48 p_smokes = Prob(Smokes,[],[0.8,0.2])
49 p_sth = Prob(SoreThroat,[Influenza],[[0.999,0.001],[0.7,0.3]])
50 p_fever = Prob(HasFever,[Influenza],[[0.99,0.05],[0.9,0.1]])
51 p_bronc = Prob(Bronchitis,[Influenza,Smokes],[[[0.9999, 0.0001], [0.3,
0.7]], [[0.1, 0.9], [0.01, 0.99]]])
52 p_cough = Prob(Coughing,[Bronchitis],[[0.93,0.07],[0.2,0.8]])
53 p_wheeze = Prob(Wheezing,[Bronchitis],[[0.999,0.001],[0.4,0.6]])
54
55 simple_diagnosis = BeliefNetwork("Simple Diagnosis",
56 {Influenza, Smokes, SoreThroat, HasFever, Bronchitis,
Coughing, Wheezing},
57 {p_infl, p_smokes, p_sth, p_fever, p_bronc, p_cough,
p_wheeze})

Sprinkler Example
The third belief network is the sprinkler example from Pearl [2009]. The output
of bn_sprinkler.show() is shown in Figure 9.4 of this document.
probExamples.py — (continued)

59 Season = Variable("Season", ["dry_season","wet_season"],

position=(0.5,0.9))
60 Sprinkler = Variable("Sprinkler", ["on","off"], position=(0.9,0.6))
61 Rained = Variable("Rained", boolean, position=(0.1,0.6))
62 Grass_wet = Variable("Grass wet", boolean, position=(0.5,0.3))
63 Grass_shiny = Variable("Grass shiny", boolean, position=(0.1,0))
64 Shoes_wet = Variable("Shoes wet", boolean, position=(0.9,0))
65
66 f_season = Prob(Season,[],{'dry_season':0.5, 'wet_season':0.5})
67 f_sprinkler = Prob(Sprinkler,[Season],{'dry_season':{'on':0.4,'off':0.6},
68 'wet_season':{'on':0.01,'off':0.99}})
69 f_rained = Prob(Rained,[Season],{'dry_season':[0.9,0.1], 'wet_season':
[0.2,0.8]})
70 f_wet = Prob(Grass_wet,[Sprinkler,Rained], {'on': [[0.1,0.9],[0.01,0.99]],
71 'off':[[0.99,0.01],[0.3,0.7]]})
72 f_shiny = Prob(Grass_shiny, [Grass_wet], [[0.95,0.05], [0.3,0.7]])
73 f_shoes = Prob(Shoes_wet, [Grass_wet], [[0.98,0.02], [0.35,0.65]])

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 216 9. Reasoning with Uncertainty

Pearl's Sprinkler Example

Season

Rained Sprinkler

Grass wet

Grass shiny Shoes wet

Figure 9.4: The sprinkler belief network

74
75 bn_sprinkler = BeliefNetwork("Pearl's Sprinkler Example",
76 {Season, Sprinkler, Rained, Grass_wet, Grass_shiny,
Shoes_wet},
77 {f_season, f_sprinkler, f_rained, f_wet, f_shiny,
f_shoes})

Bipartite Diagnostic Model with Noisy-or

The belief network bn_no1 is a bipartite diagnostic model, with independent
diseases, and the symptoms depend on the diseases, where the CPDs are de-
fined using noisy-or. Bipartite means it is in two parts; the diseases are only
connected to the symptoms and the symptoms are only connected to the dis-
eases. The output of bn_no1.show() is shown in Figure 9.5 of this document.

probExamples.py — (continued)

79 #### Bipartite Diagnostic Network ###

80 Cough = Variable("Cough", boolean, (0.1,0.1))
81 Fever = Variable("Fever", boolean, (0.5,0.1))
82 Sneeze = Variable("Sneeze", boolean, (0.9,0.1))
83 Cold = Variable("Cold",boolean, (0.1,0.9))
84 Flu = Variable("Flu",boolean, (0.5,0.9))

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 9.4. Graphical Models 217

Bipartite Diagnostic Network (noisy-or)

Cold Flu Covid

Cough Fever Sneeze

Figure 9.5: A bipartite diagnostic network

85 Covid = Variable("Covid",boolean, (0.9,0.9))

86
87 p_cold_no = Prob(Cold,[],[0.9,0.1])
88 p_flu_no = Prob(Flu,[],[0.95,0.05])
89 p_covid_no = Prob(Covid,[],[0.99,0.01])
90
91 p_cough_no = NoisyOR(Cough, [Cold,Flu,Covid], [0.1, 0.3, 0.2, 0.7])
92 p_fever_no = NoisyOR(Fever, [ Flu,Covid], [0.01, 0.6, 0.7])
93 p_sneeze_no = NoisyOR(Sneeze, [Cold,Flu ], [0.05, 0.5, 0.2 ])
94
95 bn_no1 = BeliefNetwork("Bipartite Diagnostic Network (noisy-or)",
96 {Cough, Fever, Sneeze, Cold, Flu, Covid},
97 {p_cold_no, p_flu_no, p_covid_no, p_cough_no,
p_fever_no, p_sneeze_no})
98
99 # to see the conditional probability of Noisy-or do:
100 # print(p_cough_no.to_table())
101
102 # example from box "Noisy-or compared to logistic regression"
103 # X = Variable("X",boolean)
104 # w0 = 0.01
105 # print(NoisyOR(X,[A,B,C,D],[w0, 1-(1-0.05)/(1-w0), 1-(1-0.1)/(1-w0),
1-(1-0.2)/(1-w0), 1-(1-0.2)/(1-w0), ]).to_table(given={X:True}))

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 218 9. Reasoning with Uncertainty

Bipartite Diagnostic Model with Logistic Regression

The belief network bn_lr1 is a bipartite diagnostic model, with independent
diseases, and the symptoms depend on the diseases, where the CPDs are de-
fined using logistic regression. It has the same graphical structure as the pre-
vious example (see Figure 9.5). This has the (approximately) the same con-
ditional probabilities as the previous example when zero or one diseases are
present. Note that sigmoid(−2.2) ≈ 0.1

probExamples.py — (continued)

107
108 p_cold_lr = Prob(Cold,[],[0.9,0.1])
109 p_flu_lr = Prob(Flu,[],[0.95,0.05])
110 p_covid_lr = Prob(Covid,[],[0.99,0.01])
111
112 p_cough_lr = LogisticRegression(Cough, [Cold,Flu,Covid], [-2.2, 1.67,
1.26, 3.19])
113 p_fever_lr = LogisticRegression(Fever, [ Flu,Covid], [-4.6, 5.02,
5.46])
114 p_sneeze_lr = LogisticRegression(Sneeze, [Cold,Flu ], [-2.94, 3.04, 1.79
])
115
116 bn_lr1 = BeliefNetwork("Bipartite Diagnostic Network - logistic
regression",
117 {Cough, Fever, Sneeze, Cold, Flu, Covid},
118 {p_cold_lr, p_flu_lr, p_covid_lr, p_cough_lr,
p_fever_lr, p_sneeze_lr})
119
120 # to see the conditional probability of Noisy-or do:
121 #print(p_cough_lr.to_table())
122
123 # example from box "Noisy-or compared to logistic regression"
124 # from learnLinear import sigmoid, logit
125 # w0=logit(0.01)
126 # X = Variable("X",boolean)
127 # print(LogisticRegression(X,[A,B,C,D],[w0, logit(0.05)-w0, logit(0.1)-w0,
logit(0.2)-w0, logit(0.2)-w0]).to_table(given={X:True}))
128 # try to predict what would happen (and then test) if we had
129 # w0=logit(0.01)

9.5 Inference Methods

Each of the inference methods implements the query method that computes
the posterior probability of a variable given a dictionary of {variable : value}
observations. The methods are Displayable because they implement the display
method which is text-based unless overridden.

probGraphicalModels.py — (continued)

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 9.5. Inference Methods 219

95 from display import Displayable

96
97 class InferenceMethod(Displayable):
98 """The abstract class of graphical model inference methods"""
99 method_name = "unnamed" # each method should have a method name
100
101 def __init__(self,gm=None):
102 self.gm = gm
103
104 def query(self, qvar, obs={}):
105 """returns a {value:prob} dictionary for the query variable"""
106 raise NotImplementedError("InferenceMethod query") # abstract method
We use bn_4ch as the test case, in particular P(B | D = true). This needs an
error threshold, particularly for the approximate methods, where the default
threshold is much too accurate.
probGraphicalModels.py — (continued)

108 def testIM(self, threshold=0.0000000001):

109 solver = self(bn_4ch)
110 res = solver.query(B,{D:True})
111 correct_answer = 0.429632380245
112 assert correct_answer-threshold < res[True] <
correct_answer+threshold, \
113 f"value {res[True]} not in desired range for
{self.method_name}"
114 print(f"Unit test passed for {self.method_name}.")

9.5.1 Showing Posterior Distributions

The show_post method draws the posterior distribution of all variables. Figure
9.6 shows the result of bn_reportRC.show_post({Report:True}) when run after
loading probRC.py (see below).
probGraphicalModels.py — (continued)

116 def show_post(self, obs={}, num_format="{:.3f}", fontsize=10,

facecolor='orange'):
117 """draws the graphical model conditioned on observations obs
118 num_format is number format (allows for more or less precision)
119 fontsize gives size of the text
120 facecolor gives the color of the nodes
121 """
122 plt.ion() # interactive
123 fig, ax = plt.subplots()
124 ax.set_axis_off()
125 ax.set_title(self.gm.title+" observed: "+str(obs),
fontsize=fontsize)
126 bbox = dict(boxstyle="round4,pad=1.0,rounding_size=0.5",
facecolor=facecolor)
127 vartext = {} # variable:text dictionary

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 220 9. Reasoning with Uncertainty

Report-of-leaving observed: {Report: True}

Tamper Fire
False: 0.601 False: 0.769
True: 0.399 True: 0.231

Alarm Smoke
False: 0.372 False: 0.785
True: 0.628 True: 0.215

Leaving
False: 0.347
True: 0.653

Report=True

Figure 9.6: The report-of-leaving belief network with posterior distributions

128 for var in self.gm.variables: #reversed(self.gm.topological_sort()):

129 if var in obs:
130 text = var.name + "=" + str(obs[var])
131 else:
132 distn = self.query(var, obs=obs)
133
134 text = var.name + "\n" + "\n".join(str(d)+":
"+num_format.format(v) for (d,v) in distn.items())
135 vartext[var] = text
136 # Draw arcs
137 for par in self.gm.var2parents[var]:
138 ax.annotate(text, par.position, xytext=var.position,
139 arrowprops={'arrowstyle':'<-'},bbox=bbox,
140 ha='center', va='center',
fontsize=fontsize)
141 for var in self.gm.variables:
142 x,y = var.position
143 ax.text(x,y,vartext[var], bbox=bbox, ha='center', va='center',
fontsize=fontsize)

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 9.6. Naive Search 221

9.6 Naive Search

An instance of a ProbSearch object takes in a graphical model. The query method
uses naive search to compute the probability of a query variable given obser-
vations on other variables. See Figure 9.9 of Poole and Mackworth [2023].
probRC.py — Search-based Inference for Graphical Models
11 import math
12 from probGraphicalModels import GraphicalModel, InferenceMethod
13 from probFactors import Factor
14
15 class ProbSearch(InferenceMethod):
16 """The class that queries graphical models using search
17
18 gm is graphical model to query
19 """
20 method_name = "naive search"
21
22 def __init__(self,gm=None):
23 InferenceMethod.__init__(self, gm)
24 ## self.max_display_level = 3
25
26 def query(self, qvar, obs={}, split_order=None):
27 """computes P(qvar | obs) where
28 qvar is the query variable
29 obs is a variable:value dictionary
30 split_order is a list of the non-observed non-query variables in gm
31 """
32 if qvar in obs:
33 return {val:(1 if val == obs[qvar] else 0)
34 for val in qvar.domain}
35 else:
36 if split_order == None:
37 split_order = [v for v in self.gm.variables
38 if (v not in obs) and v != qvar]
39 unnorm = [self.prob_search({qvar:val}|obs, self.gm.factors,
split_order)
40 for val in qvar.domain]
41 p_obs = sum(unnorm)
42 return {val:pr/p_obs for val,pr in zip(qvar.domain, unnorm)}
The following is the naive search-based algorithm. It is exponential in the
number of variables, so is not very useful. However, it is simple, and helpful
to understand before looking at the more complicated algorithm used in the
subclass.
probRC.py — (continued)

44 def prob_search(self, context, factors, split_order):

45 """simple search algorithm
46 context: a variable:value dictionary
47 factors: a set of factors

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 222 9. Reasoning with Uncertainty

48 split_order: list of variables not assigned in context

49 returns sum over variable assignments to variables in split order
of product of factors """
50 self.display(2,"calling prob_search,",(context,factors,split_order))
51 if not factors:
52 return 1
53 elif to_eval := {fac for fac in factors
54 if fac.can_evaluate(context)}:
55 # evaluate factors when all variables are assigned
56 self.display(3,"prob_search evaluating factors",to_eval)
57 val = math.prod(fac.get_value(context) for fac in to_eval)
58 return val * self.prob_search(context, factors-to_eval,
split_order)
59 else:
60 total = 0
61 var = split_order[0]
62 self.display(3, "prob_search branching on", var)
63 for val in var.domain:
64 total += self.prob_search({var:val}|context, factors,
split_order[1:])
65 self.display(3, "prob_search branching on", var,"returning",
total)
66 return total

9.7 Recursive Conditioning

The recursive conditioning (RC) algorithm adds forgetting and caching and
recognizing disconnected components to the naive search. We do this by adding
a cache and redefining the recursive search algorithm. It inherits the query
method. See Figure 9.12 of Poole and Mackworth [2023].
The cache is initialized with the empty context and empty factors has prob-
ability 1. This means that checking the cache can act as the base case when the
context is empty.

probRC.py — (continued)

68 class ProbRC(ProbSearch):
69 method_name = "recursive conditioning"
70
71 def __init__(self,gm=None):
72 self.cache = {(frozenset(), frozenset()):1}
73 ProbSearch.__init__(self,gm)
74
75 def prob_search(self, context, factors, split_order):
76 """ returns sum_{split_order} prod_{factors} given assignment in
context
77 context is a variable:value dictionary
78 factors is a set of factors
79 split_order: list of variables in factors that are not in context

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 9.7. Recursive Conditioning 223

80 """
81 self.display(3,"calling rc,",(context,factors))
82 ce = (frozenset(context.items()), frozenset(factors)) # key for the
cache entry
83 if ce in self.cache:
84 self.display(3,"rc cache lookup",(context,factors))
85 return self.cache[ce]
86 elif vars_not_in_factors := {var for var in context
87 if not any(var in fac.variables
88 for fac in factors)}:
89 # forget variables not in any factor
90 self.display(3,"rc forgetting variables", vars_not_in_factors)
91 return self.prob_search({key:val for (key,val) in
context.items()
92 if key not in vars_not_in_factors},
93 factors, split_order)
94 elif to_eval := {fac for fac in factors
95 if fac.can_evaluate(context)}:
96 # evaluate factors when all variables are assigned
97 self.display(3,"rc evaluating factors",to_eval)
98 val = math.prod(fac.get_value(context) for fac in to_eval)
99 if val == 0:
100 return 0
101 else:
102 return val * self.prob_search(context,
103 {fac for fac in factors
104 if fac not in to_eval},
105 split_order)
106 elif len(comp := connected_components(context, factors,
split_order)) > 1:
107 # there are disconnected components
108 self.display(3,"splitting into connected components",comp,"in
context",context)
109 return(math.prod(self.prob_search(context,f,eo) for (f,eo) in
comp))
110 else:
111 assert split_order, "split_order should not be empty to get
here"
112 total = 0
113 var = split_order[0]
114 self.display(3, "rc branching on", var)
115 for val in var.domain:
116 total += self.prob_search({var:val}|context, factors,
split_order[1:])
117 self.cache[ce] = total
118 self.display(2, "rc branching on", var,"returning", total)
119 return total
connected_components returns a list of connected components, where a con-
nected component is a set of factors and a set of variables, where the graph that
connects variables and factors that involve them is connected. The connected

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 224 9. Reasoning with Uncertainty

components are built one at a time; with a current connected component. At

all times factors is partitioned into 3 disjoint sets:

• component_factors containing factors in the current connected compo-

nent where all factors that share a variable are already in the component

• factors_to_check containing factors in the current connected component

where potentially some factors that share a variable are not in the com-
ponent; these need to be checked

• other_factors the other factors that are not (yet) in the connected com-
ponent

probRC.py — (continued)

121 def connected_components(context, factors, split_order):

122 """returns a list of (f,e) where f is a subset of factors and e is a
subset of split_order
123 such that each element shares the same variables that are disjoint from
other elements.
124 """
125 other_factors = set(factors) #copies factors
126 factors_to_check = {other_factors.pop()} # factors in connected
component still to be checked
127 component_factors = set() # factors in first connected component
already checked
128 component_variables = set() # variables in first connected component
129 while factors_to_check:
130 next_fac = factors_to_check.pop()
131 component_factors.add(next_fac)
132 new_vars = set(next_fac.variables) - component_variables -
context.keys()
133 component_variables |= new_vars
134 for var in new_vars:
135 factors_to_check |= {f for f in other_factors
136 if var in f.variables}
137 other_factors -= factors_to_check # set difference
138 if other_factors:
139 return ( [(component_factors,[e for e in split_order
140 if e in component_variables])]
141 + connected_components(context, other_factors,
142 [e for e in split_order
143 if e not in component_variables]) )
144 else:
145 return [(component_factors, split_order)]
Testing:
probRC.py — (continued)

147 from probGraphicalModels import bn_4ch, A,B,C,D,f_a,f_b,f_c,f_d

148 bn_4chv = ProbRC(bn_4ch)

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 9.7. Recursive Conditioning 225

149 ## bn_4chv.query(A,{})
150 ## bn_4chv.query(D,{})
151 ## InferenceMethod.max_display_level = 3 # show more detail in displaying
152 ## InferenceMethod.max_display_level = 1 # show less detail in displaying
153 ## bn_4chv.query(A,{D:True},[C,B])
154 ## bn_4chv.query(B,{A:True,D:False})
155
156 from probExamples import bn_report,Alarm,Fire,Leaving,Report,Smoke,Tamper
157 bn_reportRC = ProbRC(bn_report) # answers queries using recursive
conditioning
158 ## bn_reportRC.query(Tamper,{})
159 ## InferenceMethod.max_display_level = 0 # show no detail in displaying
160 ## bn_reportRC.query(Leaving,{})
161 ## bn_reportRC.query(Tamper,{},
split_order=[Smoke,Fire,Alarm,Leaving,Report])
162 ## bn_reportRC.query(Tamper,{Report:True})
163 ## bn_reportRC.query(Tamper,{Report:True,Smoke:False})
164
165 ## To display resulting posteriors try:
166 # bn_reportRC.show_post({})
167 # bn_reportRC.show_post({Smoke:False})
168 # bn_reportRC.show_post({Report:True})
169 # bn_reportRC.show_post({Report:True, Smoke:False})
170
171 ## Note what happens to the cache when these are called in turn:
172 ## bn_reportRC.query(Tamper,{Report:True},
split_order=[Smoke,Fire,Alarm,Leaving])
173 ## bn_reportRC.query(Smoke,{Report:True},
split_order=[Tamper,Fire,Alarm,Leaving])
174
175 from probExamples import bn_sprinkler, Season, Sprinkler, Rained,
Grass_wet, Grass_shiny, Shoes_wet
176 bn_sprinklerv = ProbRC(bn_sprinkler)
177 ## bn_sprinklerv.query(Shoes_wet,{})
178 ## bn_sprinklerv.query(Shoes_wet,{Rained:True})
179 ## bn_sprinklerv.query(Shoes_wet,{Grass_shiny:True})
180 ## bn_sprinklerv.query(Shoes_wet,{Grass_shiny:False,Rained:True})
181
182 from probExamples import bn_no1, bn_lr1, Cough, Fever, Sneeze, Cold, Flu,
Covid
183 bn_no1v = ProbRC(bn_no1)
184 bn_lr1v = ProbRC(bn_lr1)
185 ## bn_no1v.query(Flu, {Fever:1, Sneeze:1})
186 ## bn_lr1v.query(Flu, {Fever:1, Sneeze:1})
187 ## bn_lr1v.query(Cough,{})
188 ## bn_lr1v.query(Cold,{Cough:1,Sneeze:0,Fever:1})
189 ## bn_lr1v.query(Flu,{Cough:0,Sneeze:1,Fever:1})
190 ## bn_lr1v.query(Covid,{Cough:1,Sneeze:0,Fever:1})
191 ## bn_lr1v.query(Covid,{Cough:1,Sneeze:0,Fever:1,Flu:0})
192 ## bn_lr1v.query(Covid,{Cough:1,Sneeze:0,Fever:1,Flu:1})

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 226 9. Reasoning with Uncertainty

193
194 if __name__ == "__main__":
195 InferenceMethod.testIM(ProbSearch)
196 InferenceMethod.testIM(ProbRC)
The following example uses the decision tree representation of Section 9.3.4
(page 210).
probRC.py — (continued)

198 from probFactors import Prob, action, rain, full, wet, p_wet
199 from probGraphicalModels import BeliefNetwork
200 p_action = Prob(action,[],{'go_out':0.3, 'get_coffee':0.7})
201 p_rain = Prob(rain,[],[0.4,0.6])
202 p_full = Prob(full,[],[0.1,0.9])
203
204 wetBN = BeliefNetwork("Wet (decision tree CPD)", {action, rain, full, wet},
205 {p_action, p_rain, p_full, p_wet})
206 wetRC = ProbRC(wetBN)
207 # wetRC.query(wet, {action:'go_out', rain:True})
208 # wetRC.show_post({action:'go_out', rain:True})
209 # wetRC.show_post({action:'go_out', wet:True})

Exercise 9.1 Does recursive conditioning split on variable full for the query
commented out above? Does it need to? Fix the code so that decision tree repre-
sentations of conditional probabilities can be evaluated as soon as possible.
Exercise 9.2 This code adds to the cache only after splitting. Implement a variant
that caches after forgetting. (What can the cache start with?) Which version works
better? Compare some measure of the search tree and the space used. Try other
alternatives of what to cache; which method works best?

9.8 Variable Elimination

An instance of a VE object takes in a graphical model. The query method uses
variable elimination to compute the probability of a variable given observa-
tions on some other variables.
probVE.py — Variable Elimination for Graphical Models
11 from probFactors import Factor, FactorObserved, FactorSum, factor_times
12 from probGraphicalModels import GraphicalModel, InferenceMethod
13
14 class VE(InferenceMethod):
15 """The class that queries Graphical Models using variable elimination.
16
17 gm is graphical model to query
18 """
19 method_name = "variable elimination"
20
21 def __init__(self,gm=None):
22 InferenceMethod.__init__(self, gm)

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 9.8. Variable Elimination 227

23
24 def query(self,var,obs={},elim_order=None):
25 """computes P(var|obs) where
26 var is a variable
27 obs is a {variable:value} dictionary"""
28 if var in obs:
29 return {var:1 if val == obs[var] else 0 for val in var.domain}
30 else:
31 if elim_order == None:
32 elim_order = self.gm.variables
33 projFactors = [self.project_observations(fact,obs)
34 for fact in self.gm.factors]
35 for v in elim_order:
36 if v != var and v not in obs:
37 projFactors = self.eliminate_var(projFactors,v)
38 unnorm = factor_times(var,projFactors)
39 p_obs=sum(unnorm)
40 self.display(1,"Unnormalized probs:",unnorm,"Prob obs:",p_obs)
41 return {val:pr/p_obs for val,pr in zip(var.domain, unnorm)}
A FactorObserved is a factor that is the result of some observations on an-
other factor. We don’t store the values in a list; we just look them up as needed.
The observations can include variables that are not in the list, but should have
some intersection with the variables in the factor.
probFactors.py — (continued)

237 class FactorObserved(Factor):

238 def __init__(self,factor,obs):
239 Factor.__init__(self, [v for v in factor.variables if v not in obs])
240 self.observed = obs
241 self.orig_factor = factor
242
243 def get_value(self,assignment):
244 return self.orig_factor.get_value(assignment|self.observed)
A FactorSum is a factor that is the result of summing out a variable from the
product of other factors. I.e., it constructs a representation of:

∑ ∏ f (var).
var f ∈factors

We store the values in a list in a lazy manner; if they are already computed, we
used the stored values. If they are not already computed we can compute and
store them.
probFactors.py — (continued)

246 class FactorSum(Factor):

247 def __init__(self,var,factors):
248 self.var_summed_out = var
249 self.factors = factors
250 vars = list({v for fac in factors

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 228 9. Reasoning with Uncertainty

251 for v in fac.variables if v is not var})

252 #for fac in factors:
253 # for v in fac.variables:
254 # if v is not var and v not in vars:
255 # vars.append(v)
256 Factor.__init__(self,vars)
257 self.values = {}
258
259 def get_value(self,assignment):
260 """lazy implementation: if not saved, compute it. Return saved
value"""
261 asst = frozenset(assignment.items())
262 if asst in self.values:
263 return self.values[asst]
264 else:
265 total = 0
266 new_asst = assignment.copy()
267 for val in self.var_summed_out.domain:
268 new_asst[self.var_summed_out] = val
269 total += math.prod(fac.get_value(new_asst) for fac in
self.factors)
270 self.values[asst] = total
271 return total
The method factor_times multiplies a set of factors that are all factors on the
same variable (or on no variables). This is the last step in variable elimination
before normalizing. It returns an array giving the product for each value of
variable.
probFactors.py — (continued)

273 def factor_times(variable, factors):

274 """when factors are factors just on variable (or on no variables)"""
275 prods = []
276 facs = [f for f in factors if variable in f.variables]
277 for val in variable.domain:
278 ast = {variable:val}
279 prods.append(math.prod(f.get_value(ast) for f in facs))
280 return prods
To project observations onto a factor, for each variable that is observed in
the factor, we construct a new factor that is the factor projected onto that vari-
able. Factor_observed creates a new factor that is the result is assigning a value
to a single variable.
probVE.py — (continued)

43 def project_observations(self,factor,obs):
44 """Returns the resulting factor after observing obs
45
46 obs is a dictionary of {variable:value} pairs.
47 """
48 if any((var in obs) for var in factor.variables):

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 9.8. Variable Elimination 229

49 # a variable in factor is observed

50 return FactorObserved(factor,obs)
51 else:
52 return factor
53
54 def eliminate_var(self,factors,var):
55 """Eliminate a variable var from a list of factors.
56 Returns a new set of factors that has var summed out.
57 """
58 self.display(2,"eliminating ",str(var))
59 contains_var = []
60 not_contains_var = []
61 for fac in factors:
62 if var in fac.variables:
63 contains_var.append(fac)
64 else:
65 not_contains_var.append(fac)
66 if contains_var == []:
67 return factors
68 else:
69 newFactor = FactorSum(var,contains_var)
70 self.display(2,"Multiplying:",[str(f) for f in contains_var])
71 self.display(2,"Creating factor:", newFactor)
72 self.display(3, newFactor.to_table()) # factor in detail
73 not_contains_var.append(newFactor)
74 return not_contains_var
75
76 from probGraphicalModels import bn_4ch, A,B,C,D
77 bn_4chv = VE(bn_4ch)
78 ## bn_4chv.query(A,{})
79 ## bn_4chv.query(D,{})
80 ## InferenceMethod.max_display_level = 3 # show more detail in displaying
81 ## InferenceMethod.max_display_level = 1 # show less detail in displaying
82 ## bn_4chv.query(A,{D:True})
83 ## bn_4chv.query(B,{A:True,D:False})
84
85 from probExamples import bn_report,Alarm,Fire,Leaving,Report,Smoke,Tamper
86 bn_reportv = VE(bn_report) # answers queries using variable elimination
87 ## bn_reportv.query(Tamper,{})
88 ## InferenceMethod.max_display_level = 0 # show no detail in displaying
89 ## bn_reportv.query(Leaving,{})
90 ## bn_reportv.query(Tamper,{},elim_order=[Smoke,Report,Leaving,Alarm,Fire])
91 ## bn_reportv.query(Tamper,{Report:True})
92 ## bn_reportv.query(Tamper,{Report:True,Smoke:False})
93
94 from probExamples import bn_sprinkler, Season, Sprinkler, Rained,
Grass_wet, Grass_shiny, Shoes_wet
95 bn_sprinklerv = VE(bn_sprinkler)
96 ## bn_sprinklerv.query(Shoes_wet,{})
97 ## bn_sprinklerv.query(Shoes_wet,{Rained:True})

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 230 9. Reasoning with Uncertainty

98 ## bn_sprinklerv.query(Shoes_wet,{Grass_shiny:True})
99 ## bn_sprinklerv.query(Shoes_wet,{Grass_shiny:False,Rained:True})
100
101 from probExamples import bn_lr1, Cough, Fever, Sneeze, Cold, Flu, Covid
102 vediag = VE(bn_lr1)
103 ## vediag.query(Cough,{})
104 ## vediag.query(Cold,{Cough:1,Sneeze:0,Fever:1})
105 ## vediag.query(Flu,{Cough:0,Sneeze:1,Fever:1})
106 ## vediag.query(Covid,{Cough:1,Sneeze:0,Fever:1})
107 ## vediag.query(Covid,{Cough:1,Sneeze:0,Fever:1,Flu:0})
108 ## vediag.query(Covid,{Cough:1,Sneeze:0,Fever:1,Flu:1})
109
110 if __name__ == "__main__":
111 InferenceMethod.testIM(VE)

9.9 Stochastic Simulation

9.9.1 Sampling from a discrete distribution
The method sample_one generates a single sample from a (possibly unnormal-
ized) distribution. dist is a {value : weight} dictionary, where weight ≥ 0. This
returns a value with probability in proportion to its weight.

probStochSim.py — Probabilistic inference using stochastic simulation

11 import random
12 from probGraphicalModels import InferenceMethod
13
14 def sample_one(dist):
15 """returns the index of a single sample from normalized distribution
dist."""
16 rand = random.random()*sum(dist.values())
17 cum = 0 # cumulative weights
18 for v in dist:
19 cum += dist[v]
20 if cum > rand:
21 return v

If we want to generate multiple samples, repeatedly calling sample_one may

not be efficient. If we want to generate multiple samples, and the distribution
is over m values, it searches through the m values of the distribution for each
sample.
The method sample_multiple generates multiple samples from a distribution
defined by dist, where dist is a {value : weight} dictionary, where weight ≥ 0 and
the weights are not all zero. This returns a list of values, of length num_samples,
where each sample is selected with a probability proportional to its weight.
The method generates all of the random numbers, sorts them, and then
goes through the distribution once, saving the selected samples.

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probStochSim.py — (continued)

23 def sample_multiple(dist, num_samples):

24 """returns a list of num_samples values selected using distribution
dist.
25 dist is a {value:weight} dictionary that does not need to be normalized
26 """
27 total = sum(dist.values())
28 rands = sorted(random.random()*total for i in range(num_samples))
29 result = []
30 dist_items = list(dist.items())
31 cum = dist_items[0][1] # cumulative sum
32 index = 0
33 for r in rands:
34 while r>cum:
35 index += 1
36 cum += dist_items[index][1]
37 result.append(dist_items[index][0])
38 return result

Exercise 9.3
What is the time and space complexity of the following 4 methods to generate
n samples, where m is the length of dist:
(a) n calls to sample_one
(b) sample_multiple
(c) Create the cumulative distribution (choose how this is represented) and, for
each random number, do a binary search to determine the sample associated
with the random number.
(d) Choose a random number in the range [i/n, (i + 1)/n) for each i ∈ range(n),
where n is the number of samples. Use these as the random numbers to
select the particles. (Does this give random samples?)
For each method suggest when it might be the best method.
The test_sampling method can be used to generate the statistics from a num-
ber of samples. It is useful to see the variability as a function of the number of
samples. Try it for a few samples and also for many samples.
probStochSim.py — (continued)

40 def test_sampling(dist, num_samples):

41 """Given a distribution, dist, draw num_samples samples
42 and return the resulting counts
43 """
44 result = {v:0 for v in dist}
45 for v in sample_multiple(dist, num_samples):
46 result[v] += 1
47 return result
48
49 # try the following queries a number of times each:
50 # test_sampling({1:1,2:2,3:3,4:4}, 100)
51 # test_sampling({1:1,2:2,3:3,4:4}, 100000)

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9.9.2 Sampling Methods for Belief Network Inference

A SamplingInferenceMethod is an InferenceMethod, but the query method also
takes arguments for the number of samples and the sample-order (which is an
ordering of factors). The first methods assume a belief network (and not an
undirected graphical model).

probStochSim.py — (continued)

53 class SamplingInferenceMethod(InferenceMethod):
54 """The abstract class of sampling-based belief network inference
methods"""
55
56 def __init__(self,gm=None):
57 InferenceMethod.__init__(self, gm)
58
59 def query(self,qvar,obs={},number_samples=1000,sample_order=None):
60 raise NotImplementedError("SamplingInferenceMethod query") #
abstract

9.9.3 Rejection Sampling

probStochSim.py — (continued)

62 class RejectionSampling(SamplingInferenceMethod):
63 """The class that queries Graphical Models using Rejection Sampling.
64
65 gm is a belief network to query
66 """
67 method_name = "rejection sampling"
68
69 def __init__(self, gm=None):
70 SamplingInferenceMethod.__init__(self, gm)
71
72 def query(self, qvar, obs={}, number_samples=1000, sample_order=None):
73 """computes P(qvar | obs) where
74 qvar is a variable.
75 obs is a {variable:value} dictionary.
76 sample_order is a list of variables where the parents
77 come before the variable.
78 """
79 if sample_order is None:
80 sample_order = self.gm.topological_sort()
81 self.display(2,*sample_order,sep="\t")
82 counts = {val:0 for val in qvar.domain}
83 for i in range(number_samples):
84 rejected = False
85 sample = {}
86 for nvar in sample_order:
87 fac = self.gm.var2cpt[nvar] #factor with nvar as child

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 9.9. Stochastic Simulation 233

88 val = sample_one({v:fac.get_value({**sample, nvar:v}) for v

in nvar.domain})
89 self.display(2,val,end="\t")
90 if nvar in obs and obs[nvar] != val:
91 rejected = True
92 self.display(2,"Rejected")
93 break
94 sample[nvar] = val
95 if not rejected:
96 counts[sample[qvar]] += 1
97 self.display(2,"Accepted")
98 tot = sum(counts.values())
99 # As well as the distribution we also include raw counts
100 dist = {c:v/tot if tot>0 else 1/len(qvar.domain) for (c,v) in
counts.items()}
101 dist["raw_counts"] = counts
102 return dist

9.9.4 Likelihood Weighting

Likelihood weighting includes a weight for each sample. Instead of rejecting
samples based on observations, likelihood weighting changes the weights of
the sample in proportion with the probability of the observation. The weight
then becomes the probability that the variable would have been rejected.
probStochSim.py — (continued)

104 class LikelihoodWeighting(SamplingInferenceMethod):

105 """The class that queries Graphical Models using Likelihood weighting.
106
107 gm is a belief network to query
108 """
109 method_name = "likelihood weighting"
110
111 def __init__(self, gm=None):
112 SamplingInferenceMethod.__init__(self, gm)
113
114 def query(self,qvar,obs={},number_samples=1000,sample_order=None):
115 """computes P(qvar | obs) where
116 qvar is a variable.
117 obs is a {variable:value} dictionary.
118 sample_order is a list of factors where factors defining the parents
119 come before the factors for the child.
120 """
121 if sample_order is None:
122 sample_order = self.gm.topological_sort()
123 self.display(2,*[v for v in sample_order
124 if v not in obs],sep="\t")
125 counts = {val:0 for val in qvar.domain}
126 for i in range(number_samples):
127 sample = {}
128 weight = 1.0

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 234 9. Reasoning with Uncertainty

129 for nvar in sample_order:

130 fac = self.gm.var2cpt[nvar]
131 if nvar in obs:
132 sample[nvar] = obs[nvar]
133 weight *= fac.get_value(sample)
134 else:
135 val = sample_one({v:fac.get_value({**sample,nvar:v}) for
v in nvar.domain})
136 self.display(2,val,end="\t")
137 sample[nvar] = val
138 counts[sample[qvar]] += weight
139 self.display(2,weight)
140 tot = sum(counts.values())
141 # as well as the distribution we also include the raw counts
142 dist = {c:v/tot for (c,v) in counts.items()}
143 dist["raw_counts"] = counts
144 return dist

Exercise 9.4 Change this algorithm so that it does importance sampling using
a proposal distribution that may be different from the prior. It needs sample_one
using a different distribution and then adjust the weight of the current sample. For
testing, use a proposal distribution that only differs from the prior for a subset of
the variables. For which variables does the different proposal distribution make
the most difference?

9.9.5 Particle Filtering

In this implementation, a particle is a {variable : value} dictionary. Because
adding a new value to dictionary involves a side effect, the dictionaries are
copied during resampling.
probStochSim.py — (continued)

146 class ParticleFiltering(SamplingInferenceMethod):

147 """The class that queries Graphical Models using Particle Filtering.
148
149 gm is a belief network to query
150 """
151 method_name = "particle filtering"
152
153 def __init__(self, gm=None):
154 SamplingInferenceMethod.__init__(self, gm)
155
156 def query(self, qvar, obs={}, number_samples=1000, sample_order=None):
157 """computes P(qvar | obs) where
158 qvar is a variable.
159 obs is a {variable:value} dictionary.
160 sample_order is a list of factors where factors defining the parents
161 come before the factors for the child.
162 """
163 if sample_order is None:

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 9.9. Stochastic Simulation 235

164 sample_order = self.gm.topological_sort()

165 self.display(2,*[v for v in sample_order
166 if v not in obs],sep="\t")
167 particles = [{} for i in range(number_samples)]
168 for nvar in sample_order:
169 fac = self.gm.var2cpt[nvar]
170 if nvar in obs:
171 weights = [fac.get_value({**part, nvar:obs[nvar]})
172 for part in particles]
173 particles = [{**p, nvar:obs[nvar]}
174 for p in resample(particles, weights,
number_samples)]
175 else:
176 for part in particles:
177 part[nvar] = sample_one({v:fac.get_value({**part,
nvar:v})
178 for v in nvar.domain})
179 self.display(2,part[nvar],end="\t")
180 counts = {val:0 for val in qvar.domain}
181 for part in particles:
182 counts[part[qvar]] += 1
183 tot = sum(counts.values())
184 # as well as the distribution we also include the raw counts
185 dist = {c:v/tot for (c,v) in counts.items()}
186 dist["raw_counts"] = counts
187 return dist

Resampling
Resample is based on sample_multiple but works with an array of particles.
(Aside: Python doesn’t let us use sample_multiple directly as it uses a dictio-
nary and particles, represented as dictionaries can’t be the key of dictionaries).
probStochSim.py — (continued)

189 def resample(particles, weights, num_samples):

190 """returns num_samples copies of particles resampled according to
weights.
191 particles is a list of particles
192 weights is a list of positive numbers, of same length as particles
193 num_samples is n integer
194 """
195 total = sum(weights)
196 rands = sorted(random.random()*total for i in range(num_samples))
197 result = []
198 cum = weights[0] # cumulative sum
199 index = 0
200 for r in rands:
201 while r>cum:
202 index += 1
203 cum += weights[index]

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 236 9. Reasoning with Uncertainty

204 result.append(particles[index])
205 return result

9.9.6 Examples
probStochSim.py — (continued)

207 from probGraphicalModels import bn_4ch, A,B,C,D

208 bn_4chr = RejectionSampling(bn_4ch)
209 bn_4chL = LikelihoodWeighting(bn_4ch)
210 ## InferenceMethod.max_display_level = 2 # detailed tracing for all
inference methods
211 ## bn_4chr.query(A,{})
212 ## bn_4chr.query(C,{})
213 ## bn_4chr.query(A,{C:True})
214 ## bn_4chr.query(B,{A:True,C:False})
215
216 from probExamples import bn_report,Alarm,Fire,Leaving,Report,Smoke,Tamper
217 bn_reportr = RejectionSampling(bn_report) # answers queries using
rejection sampling
218 bn_reportL = LikelihoodWeighting(bn_report) # answers queries using
likelihood weighting
219 bn_reportp = ParticleFiltering(bn_report) # answers queries using particle
filtering
220 ## bn_reportr.query(Tamper,{})
221 ## bn_reportr.query(Tamper,{})
222 ## bn_reportr.query(Tamper,{Report:True})
223 ## InferenceMethod.max_display_level = 0 # no detailed tracing for all
inference methods
224 ## bn_reportr.query(Tamper,{Report:True},number_samples=100000)
225 ## bn_reportr.query(Tamper,{Report:True,Smoke:False})
226 ## bn_reportr.query(Tamper,{Report:True,Smoke:False},number_samples=100)
227
228 ## bn_reportL.query(Tamper,{Report:True,Smoke:False},number_samples=100)
229 ## bn_reportL.query(Tamper,{Report:True,Smoke:False},number_samples=100)
230
231 from probExamples import bn_sprinkler,Season, Sprinkler
232 from probExamples import Rained, Grass_wet, Grass_shiny, Shoes_wet
233 bn_sprinklerr = RejectionSampling(bn_sprinkler) # answers queries using
rejection sampling
234 bn_sprinklerL = LikelihoodWeighting(bn_sprinkler) # answers queries using
rejection sampling
235 bn_sprinklerp = ParticleFiltering(bn_sprinkler) # answers queries using
particle filtering
236 #bn_sprinklerr.query(Shoes_wet,{Grass_shiny:True,Rained:True})
237 #bn_sprinklerL.query(Shoes_wet,{Grass_shiny:True,Rained:True})
238 #bn_sprinklerp.query(Shoes_wet,{Grass_shiny:True,Rained:True})
239
240 if __name__ == "__main__":
241 InferenceMethod.testIM(RejectionSampling, threshold=0.1)

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 9.9. Stochastic Simulation 237

242 InferenceMethod.testIM(LikelihoodWeighting, threshold=0.1)

243 InferenceMethod.testIM(ParticleFiltering, threshold=0.1)

9.9.7 Gibbs Sampling

The following implements Gibbs sampling, a form of Markov Chain Monte
Carlo MCMC.
probStochSim.py — (continued)

245 #import random

246 #from probGraphicalModels import InferenceMethod
247
248 #from probStochSim import sample_one, SamplingInferenceMethod
249
250 class GibbsSampling(SamplingInferenceMethod):
251 """The class that queries Graphical Models using Gibbs Sampling.
252
253 bn is a graphical model (e.g., a belief network) to query
254 """
255 method_name = "Gibbs sampling"
256
257 def __init__(self, gm=None):
258 SamplingInferenceMethod.__init__(self, gm)
259 self.gm = gm
260
261 def query(self, qvar, obs={}, number_samples=1000, burn_in=100,
sample_order=None):
262 """computes P(qvar | obs) where
263 qvar is a variable.
264 obs is a {variable:value} dictionary.
265 sample_order is a list of non-observed variables in order, or
266 if sample_order None, an arbitrary ordering is used
267 """
268 counts = {val:0 for val in qvar.domain}
269 if sample_order is not None:
270 variables = sample_order
271 else:
272 variables = [v for v in self.gm.variables if v not in obs]
273 random.shuffle(variables)
274 var_to_factors = {v:set() for v in self.gm.variables}
275 for fac in self.gm.factors:
276 for var in fac.variables:
277 var_to_factors[var].add(fac)
278 sample = {var:random.choice(var.domain) for var in variables}
279 self.display(3,"Sample:",sample)
280 sample.update(obs)
281 for i in range(burn_in + number_samples):
282 for var in variables:
283 # get unnormalized probability distribution of var given its
neighbors
284 vardist = {val:1 for val in var.domain}

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 238 9. Reasoning with Uncertainty

285 for val in var.domain:

286 sample[var] = val
287 for fac in var_to_factors[var]: # Markov blanket
288 vardist[val] *= fac.get_value(sample)
289 sample[var] = sample_one(vardist)
290 if i >= burn_in:
291 counts[sample[qvar]] +=1
292 self.display(3," ",sample)
293 tot = sum(counts.values())
294 # as well as the computed distribution, we also include raw counts
295 dist = {c:v/tot for (c,v) in counts.items()}
296 dist["raw_counts"] = counts
297 self.display(2, f"Gibbs sampling P({qvar}|{obs}) = {dist}")
298 return dist
299
300 #from probGraphicalModels import bn_4ch, A,B,C,D
301 bn_4chg = GibbsSampling(bn_4ch)
302 ## InferenceMethod.max_display_level = 2 # detailed tracing for all
inference methods
303 bn_4chg.query(A,{})
304 ## bn_4chg.query(D,{})
305 ## bn_4chg.query(B,{D:True})
306 ## bn_4chg.query(B,{A:True,C:False})
307
308 from probExamples import bn_report,Alarm,Fire,Leaving,Report,Smoke,Tamper
309 bn_reportg = GibbsSampling(bn_report)
310 ## bn_reportg.query(Tamper,{Report:True},number_samples=1000)
311
312 if __name__ == "__main__":
313 InferenceMethod.testIM(GibbsSampling, threshold=0.1)

Exercise 9.5 Change the code so that it can have multiple query variables. Make
the list of query variable be an input to the algorithm, so that the default value is
the list of all non-observed variables.
Exercise 9.6 In this algorithm, explain where it computes the probability of a
variable given its Markov blanket. Instead of returning the average of the samples
for the query variable, it is possible to return the average estimate of the probabil-
ity of the query variable given its Markov blanket. Does this converge to the same
answer as the given code? Does it converge faster, slower, or the same?

9.9.8 Plotting Behavior of Stochastic Simulators

The stochastic simulation runs can give different answers each time they are
run. For the algorithms that give the same answer in the limit as the number of
samples approaches infinity (as do all of these algorithms), the algorithms can
be compared by comparing the accuracy for multiple runs. Summary statistics
like the variance may provide some information, but the assumptions behind
the variance being appropriate (namely that the distribution is approximately

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 9.9. Stochastic Simulation 239

1000

800
Cumulative Number

600

400

recursive conditioning P(Tamper=True|Report=True,Smoke=False)

200 rejection sampling P(Tamper=True|Report=True,Smoke=False)
likelihood weighting P(Tamper=True|Report=True,Smoke=False)
particle filtering P(Tamper=True|Report=True,Smoke=False)
0 Gibbs sampling P(Tamper=True|Report=True,Smoke=False)
0.0 0.2 0.4 0.6 0.8 1.0
value

Figure 9.7: Cumulative distribution of the prediction of various models for

P(Tamper=True | report ∧ ¬smoke)

Gaussian) may not hold for cases where the predictions are bounded and often
skewed.
It is more appropriate to plot the distribution of predictions over multiple
runs. The plot_stats method plots the prediction of a particular variable (or for
the partition function) for a number of runs of the same algorithm. On the x-
axis, is the prediction of the algorithm. On the y-axis is the number of runs
with prediction less than or equal to the x value. Thus this is like a cumulative
distribution over the predictions, but with counts on the y-axis.
Note that for runs where there are no samples that are consistent with the
observations (as can happen with rejection sampling), the prediction of proba-
bility is 1.0 (as a convention for 0/0).
That variable what contains the query variable, or if what is “prob_ev”, the
probability of evidence.
Figure 9.7 shows the distribution of various models. This figure is gener-
ated using the first plot_mult example below. Recursive conditioning gives
the exact answer, and so is a vertical line. The others provide the cumulative
prediction for 1000 runs for each method. This graph shows that for this graph
and query, likelihood weighting is closest to the exact answer.
probStochSim.py — (continued)

315 import matplotlib.pyplot as plt

316
317 def plot_stats(method, qvar, qval, obs, number_runs=1000, **queryargs):
318 """Plots a cumulative distribution of the prediction of the model.
319 method is a InferenceMethod (that implements appropriate query(.))
320 plots P(qvar=qval | obs)
321 qvar is the query variable, qval is corresponding value
322 obs is the {variable:value} dictionary representing the observations

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 240 9. Reasoning with Uncertainty

323 number_iterations is the number of runs that are plotted

324 **queryargs is the arguments to query (often number_samples for
sampling methods)
325 """
326 plt.ion()
327 # ax is global
328 ax.set_xlabel("value")
329 ax.set_ylabel("Cumulative Number")
330 method.max_display_level, prev_mdl = 0, method.max_display_level #no
display
331 answers = [method.query(qvar,obs,**queryargs)
332 for i in range(number_runs)]
333 values = [ans[qval] for ans in answers]
334 label = f"""{method.method_name}
P({qvar}={qval}|{','.join(f'{var}={val}'
335 for (var,val) in
obs.items())})"""
336 values.sort()
337 ax.plot(values,range(number_runs),label=label)
338 ax.legend() #loc="upper left")
339 plt.show()
340 method.max_display_level = prev_mdl # restore display level
341
342 if __name__ == "__main__":
343 fig, ax = plt.subplots()
344
345 # Try:
346 # plot_stats(bn_reportr,Tamper,True,{Report:True,Smoke:True},
number_samples=1000, number_runs=1000)
347 # plot_stats(bn_reportL,Tamper,True,{Report:True,Smoke:True},
number_samples=1000, number_runs=1000)
348 # plot_stats(bn_reportp,Tamper,True,{Report:True,Smoke:True},
number_samples=1000, number_runs=1000)
349 # plot_stats(bn_reportr,Tamper,True,{Report:True,Smoke:True},
number_samples=100, number_runs=1000)
350 # plot_stats(bn_reportL,Tamper,True,{Report:True,Smoke:True},
number_samples=100, number_runs=1000)
351 # plot_stats(bn_reportg,Tamper,True,{Report:True,Smoke:True},
number_samples=1000, number_runs=1000)
352
353 def plot_mult(methods, example, qvar, qval, obs, number_samples=1000,
number_runs=1000):
354 for method in methods:
355 solver = method(example)
356 if isinstance(method,SamplingInferenceMethod):
357 plot_stats(solver, qvar, qval, obs,
number_samples=number_samples, number_runs=number_runs)
358 else:
359 plot_stats(solver, qvar, qval, obs, number_runs=number_runs)
360

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 9.10. Hidden Markov Models 241

361 from probRC import ProbRC

362 # Try following (but it takes a while..)
363 methods = [ProbRC, RejectionSampling, LikelihoodWeighting,
ParticleFiltering, GibbsSampling]
364 #plot_mult(methods,bn_report,Tamper,True,{Report:True,Smoke:False},
number_samples=100, number_runs=1000)
365 # plot_mult(methods,bn_report,Tamper,True,{Report:False,Smoke:True},
number_samples=100, number_runs=1000)
366
367 # Sprinkler Example:
368 # plot_stats(bn_sprinklerr,Shoes_wet,True,{Grass_shiny:True,Rained:True},
number_samples=1000)
369 # plot_stats(bn_sprinklerL,Shoes_wet,True,{Grass_shiny:True,Rained:True},
number_samples=1000)

9.10 Hidden Markov Models

This code for hidden Markov models (HMMs) is independent of the graphi-
cal models code, to keep it simple. Section 9.11 gives code that models hid-
den Markov models, and more generally, dynamic belief networks, using the
graphical models code.
This HMM code assumes there are multiple Boolean observation variables
that depend on the current state and are independent of each other given the
state.

probHMM.py — Hidden Markov Model

11 import random
12 from probStochSim import sample_one, sample_multiple
13
14 class HMM(object):
15 def __init__(self, states, obsvars, pobs, trans, indist):
16 """A hidden Markov model.
17 states - set of states
18 obsvars - set of observation variables
19 pobs - probability of observations, pobs[i][s] is P(Obs_i=True |
State=s)
20 trans - transition probability - trans[i][j] gives P(State=j |
State=i)
21 indist - initial distribution - indist[s] is P(State_0 = s)
22 """
23 self.states = states
24 self.obsvars = obsvars
25 self.pobs = pobs
26 self.trans = trans
27 self.indist = indist

Consider the following example. Suppose you want to unobtrusively keep

track of an animal in a triangular enclosure using sound. Suppose you have

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 242 9. Reasoning with Uncertainty

3 microphones that provide unreliable (noisy) binary information at each time

step. The animal is either close to one of the 3 points of the triangle or in the
middle of the triangle.
probHMM.py — (continued)

29 # state
30 # 0=middle, 1,2,3 are corners
31 states1 = {'middle', 'c1', 'c2', 'c3'} # states
32 obs1 = {'m1','m2','m3'} # microphones
The observation model is as follows. If the animal is in a corner, it will
be detected by the microphone at that corner with probability 0.6, and will be
independently detected by each of the other microphones with a probability of
0.1. If the animal is in the middle, it will be detected by each microphone with
a probability of 0.4.
probHMM.py — (continued)

34 # pobs gives the observation model:

35 #pobs[mi][state] is P(mi=on | state)
36 closeMic=0.6; farMic=0.1; midMic=0.4
37 pobs1 = {'m1':{'middle':midMic, 'c1':closeMic, 'c2':farMic, 'c3':farMic},
# mic 1
38 'm2':{'middle':midMic, 'c1':farMic, 'c2':closeMic, 'c3':farMic}, #
mic 2
39 'm3':{'middle':midMic, 'c1':farMic, 'c2':farMic, 'c3':closeMic}} #
mic 3
The transition model is as follows: If the animal is in a corner it stays in
the same corner with probability 0.80, goes to the middle with probability 0.1
or goes to one of the other corners with probability 0.05 each. If it is in the
middle, it stays in the middle with probability 0.7, otherwise it moves to one
the corners, each with probability 0.1.
probHMM.py — (continued)

41 # trans specifies the dynamics

42 # trans[i] is the distribution over states resulting from state i
43 # trans[i][j] gives P(S=j | S=i)
44 sm=0.7; mmc=0.1 # transition probabilities when in middle
45 sc=0.8; mcm=0.1; mcc=0.05 # transition probabilities when in a corner
46 trans1 = {'middle':{'middle':sm, 'c1':mmc, 'c2':mmc, 'c3':mmc}, # was in
middle
47 'c1':{'middle':mcm, 'c1':sc, 'c2':mcc, 'c3':mcc}, # was in corner
1
48 'c2':{'middle':mcm, 'c1':mcc, 'c2':sc, 'c3':mcc}, # was in corner
2
49 'c3':{'middle':mcm, 'c1':mcc, 'c2':mcc, 'c3':sc}} # was in corner
3
Initially the animal is in one of the four states, with equal probability.
probHMM.py — (continued)

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 9.10. Hidden Markov Models 243

51 # initially we have a uniform distribution over the animal's state

52 indist1 = {st:1.0/len(states1) for st in states1}
53
54 hmm1 = HMM(states1, obs1, pobs1, trans1, indist1)

9.10.1 Exact Filtering for HMMs

A HMMVEfilter has a current state distribution which can be updated by ob-
serving or by advancing to the next time.
probHMM.py — (continued)

56 from display import Displayable

57
58 class HMMVEfilter(Displayable):
59 def __init__(self,hmm):
60 self.hmm = hmm
61 self.state_dist = hmm.indist
62
63 def filter(self, obsseq):
64 """updates and returns the state distribution following the
sequence of
65 observations in obsseq using variable elimination.
66
67 Note that it first advances time.
68 This is what is required if it is called sequentially.
69 If that is not what is wanted initially, do an observe first.
70 """
71 for obs in obsseq:
72 self.advance() # advance time
73 self.observe(obs) # observe
74 return self.state_dist
75
76 def observe(self, obs):
77 """updates state conditioned on observations.
78 obs is a list of values for each observation variable"""
79 for i in self.hmm.obsvars:
80 self.state_dist = {st:self.state_dist[st]*(self.hmm.pobs[i][st]
81 if obs[i] else
(1-self.hmm.pobs[i][st]))
82 for st in self.hmm.states}
83 norm = sum(self.state_dist.values()) # normalizing constant
84 self.state_dist = {st:self.state_dist[st]/norm for st in
self.hmm.states}
85 self.display(2,"After observing",obs,"state
distribution:",self.state_dist)
86
87 def advance(self):
88 """advance to the next time"""
89 nextstate = {st:0.0 for st in self.hmm.states} # distribution over
next states

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90 for j in self.hmm.states: # j ranges over next states

91 for i in self.hmm.states: # i ranges over previous states
92 nextstate[j] += self.hmm.trans[i][j]*self.state_dist[i]
93 self.state_dist = nextstate
94 self.display(2,"After advancing state
distribution:",self.state_dist)

The following are some queries for hmm1.

probHMM.py — (continued)

96 hmm1f1 = HMMVEfilter(hmm1)
97 # hmm1f1.filter([{'m1':0, 'm2':1, 'm3':1}, {'m1':1, 'm2':0, 'm3':1}])
98 ## HMMVEfilter.max_display_level = 2 # show more detail in displaying
99 # hmm1f2 = HMMVEfilter(hmm1)
100 # hmm1f2.filter([{'m1':1, 'm2':0, 'm3':0}, {'m1':0, 'm2':1, 'm3':0},
{'m1':1, 'm2':0, 'm3':0},
101 # {'m1':0, 'm2':0, 'm3':0}, {'m1':0, 'm2':0, 'm3':0},
{'m1':0, 'm2':0, 'm3':0},
102 # {'m1':0, 'm2':0, 'm3':0}, {'m1':0, 'm2':0, 'm3':1},
{'m1':0, 'm2':0, 'm3':1},
103 # {'m1':0, 'm2':0, 'm3':1}])
104 # hmm1f3 = HMMVEfilter(hmm1)
105 # hmm1f3.filter([{'m1':1, 'm2':0, 'm3':0}, {'m1':0, 'm2':0, 'm3':0},
{'m1':1, 'm2':0, 'm3':0}, {'m1':1, 'm2':0, 'm3':1}])
106
107 # How do the following differ in the resulting state distribution?
108 # Note they start the same, but have different initial observations.
109 ## HMMVEfilter.max_display_level = 1 # show less detail in displaying
110 # for i in range(100): hmm1f1.advance()
111 # hmm1f1.state_dist
112 # for i in range(100): hmm1f3.advance()
113 # hmm1f3.state_dist

Exercise 9.7 The representation assumes that there are a list of Boolean obser-
vations. Extend the representation so that the each observation variable can have
multiple discrete values. You need to choose a representation for the model, and
change the algorithm.

9.10.2 Localization
The localization example in the book is a controlled HMM, where there is a
given action at each time and the transition depends on the action.
probLocalization.py — Controlled HMM and Localization example
11 from probHMM import HMMVEfilter, HMM
12 from display import Displayable
13 import matplotlib.pyplot as plt
14 from matplotlib.widgets import Button, CheckButtons
15
16 class HMM_Controlled(HMM):

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17 """A controlled HMM, where the transition probability depends on the

action.
18 Instead of the transition probability, it has a function act2trans
19 from action to transition probability.
20 Any algorithms need to select the transition probability according
to the action.
21 """
22 def __init__(self, states, obsvars, pobs, act2trans, indist):
23 self.act2trans = act2trans
24 HMM.__init__(self, states, obsvars, pobs, None, indist)
25
26
27 local_states = list(range(16))
28 door_positions = {2,4,7,11}
29 def prob_door(loc): return 0.8 if loc in door_positions else 0.1
30 local_obs = {'door':[prob_door(i) for i in range(16)]}
31 act2trans = {'right': [[0.1 if next == current
32 else 0.8 if next == (current+1)%16
33 else 0.074 if next == (current+2)%16
34 else 0.002 for next in range(16)]
35 for current in range(16)],
36 'left': [[0.1 if next == current
37 else 0.8 if next == (current-1)%16
38 else 0.074 if next == (current-2)%16
39 else 0.002 for next in range(16)]
40 for current in range(16)]}
41 hmm_16pos = HMM_Controlled(local_states, {'door'}, local_obs,
42 act2trans, [1/16 for i in range(16)])

To change the VE localization code to allow for controlled HMMs, notice

that the action selects which transition probability to us.

probLocalization.py — (continued)

43 class HMM_Local(HMMVEfilter):
44 """VE filter for controlled HMMs
45 """
46 def __init__(self, hmm):
47 HMMVEfilter.__init__(self, hmm)
48
49 def go(self, action):
50 self.hmm.trans = self.hmm.act2trans[action]
51 self.advance()
52
53 loc_filt = HMM_Local(hmm_16pos)
54 # loc_filt.observe({'door':True}); loc_filt.go("right");
loc_filt.observe({'door':False}); loc_filt.go("right");
loc_filt.observe({'door':True})
55 # loc_filt.state_dist

The following lets us interactively move the agent and provide observa-
tions. It shows the distribution over locations. Figure 9.8 shows the GUI ob-

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Location Probability Distribution

1.0

0.8

0.6
Probability

0.42
0.4

0.2 0.14
0.08 0.05 0.05 0.08 0.05
0.010.01 0.01 0.02 0.01 0.02 0.01 0.02 0.01
0.0
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
Location
left right door no door reset

Figure 9.8: Localization GUI after observing a door, moving right, observing no
door, moving right, and observing a door.

tained by Show_Localization(hmm_16pos) after some interaction.

probLocalization.py — (continued)

57 class Show_Localization(Displayable):
58 def __init__(self, hmm, fontsize=10):
59 self.hmm = hmm
60 self.fontsize = fontsize
61 self.loc_filt = HMM_Local(hmm)
62 fig, self.ax = plt.subplots()
63 fig.subplots_adjust(bottom=0.2)
64 ## Set up buttons:
65 left_butt = Button(fig.add_axes([0.05,0.02,0.1,0.05]), "left")
66 left_butt.label.set_fontsize(self.fontsize)
67 left_butt.on_clicked(self.left)
68 right_butt = Button(fig.add_axes([0.25,0.02,0.1,0.05]), "right")
69 right_butt.label.set_fontsize(self.fontsize)
70 right_butt.on_clicked(self.right)
71 door_butt = Button(fig.add_axes([0.45,0.02,0.1,0.05]), "door")
72 door_butt.label.set_fontsize(self.fontsize)
73 door_butt.on_clicked(self.door)
74 nodoor_butt = Button(fig.add_axes([0.65,0.02,0.1,0.05]), "no door")
75 nodoor_butt.label.set_fontsize(self.fontsize)

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76 nodoor_butt.on_clicked(self.nodoor)
77 reset_butt = Button(fig.add_axes([0.85,0.02,0.1,0.05]), "reset")
78 reset_butt.label.set_fontsize(self.fontsize)
79 reset_butt.on_clicked(self.reset)
80 ## draw the distribution
81 plt.subplot(1, 1, 1)
82 self.draw_dist()
83 plt.show()
84
85 def draw_dist(self):
86 self.ax.clear()
87 self.ax.set_ylim(0,1)
88 self.ax.set_ylabel("Probability", fontsize=self.fontsize)
89 self.ax.set_xlabel("Location", fontsize=self.fontsize)
90 self.ax.set_title("Location Probability Distribution",
fontsize=self.fontsize)
91 self.ax.set_xticks(self.hmm.states, labels = self.hmm.states,
fontsize=self.fontsize)
92 vals = [self.loc_filt.state_dist[i] for i in self.hmm.states]
93 self.bars = self.ax.bar(self.hmm.states, vals, color='black')
94 self.ax.bar_label(self.bars,["{v:.2f}".format(v=v) for v in vals],
padding = 1, fontsize=self.fontsize)
95 plt.draw()
96
97 def left(self,event):
98 self.loc_filt.go("left")
99 self.draw_dist()
100 def right(self,event):
101 self.loc_filt.go("right")
102 self.draw_dist()
103 def door(self,event):
104 self.loc_filt.observe({'door':True})
105 self.draw_dist()
106 def nodoor(self,event):
107 self.loc_filt.observe({'door':False})
108 self.draw_dist()
109 def reset(self,event):
110 self.loc_filt.state_dist = {i:1/16 for i in range(16)}
111 self.draw_dist()
112
113 # Show_Localization(hmm_16pos)
114 # Show_Localization(hmm_16pos, fontsize=15) # for demos - enlarge window
115
116 if __name__ == "__main__":
117 print("Try: Show_Localization(hmm_16pos)")

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9.10.3 Particle Filtering for HMMs

In this implementation, a particle is just a state. If you want to do some form
of smoothing, a particle should probably be a history of states. This maintains,
particles, an array of states, weights an array of (non-negative) real numbers,
such that weights[i] is the weight of particles[i].

probHMM.py — (continued)

114 from display import Displayable

115 from probStochSim import resample
116
117 class HMMparticleFilter(Displayable):
118 def __init__(self,hmm,number_particles=1000):
119 self.hmm = hmm
120 self.particles = [sample_one(hmm.indist)
121 for i in range(number_particles)]
122 self.weights = [1 for i in range(number_particles)]
123
124 def filter(self, obsseq):
125 """returns the state distribution following the sequence of
126 observations in obsseq using particle filtering.
127
128 Note that it first advances time.
129 This is what is required if it is called after previous filtering.
130 If that is not what is wanted initially, do an observe first.
131 """
132 for obs in obsseq:
133 self.advance() # advance time
134 self.observe(obs) # observe
135 self.resample_particles()
136 self.display(2,"After observing", str(obs),
137 "state distribution:",
self.histogram(self.particles))
138 self.display(1,"Final state distribution:",
self.histogram(self.particles))
139 return self.histogram(self.particles)
140
141 def advance(self):
142 """advance to the next time.
143 This assumes that all of the weights are 1."""
144 self.particles = [sample_one(self.hmm.trans[st])
145 for st in self.particles]
146
147 def observe(self, obs):
148 """reweighs the particles to incorporate observations obs"""
149 for i in range(len(self.particles)):
150 for obv in obs:
151 if obs[obv]:
152 self.weights[i] *= self.hmm.pobs[obv][self.particles[i]]
153 else:

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154 self.weights[i] *=
1-self.hmm.pobs[obv][self.particles[i]]
155
156 def histogram(self, particles):
157 """returns list of the probability of each state as represented by
158 the particles"""
159 tot=0
160 hist = {st: 0.0 for st in self.hmm.states}
161 for (st,wt) in zip(self.particles,self.weights):
162 hist[st]+=wt
163 tot += wt
164 return {st:hist[st]/tot for st in hist}
165
166 def resample_particles(self):
167 """resamples to give a new set of particles."""
168 self.particles = resample(self.particles, self.weights,
len(self.particles))
169 self.weights = [1] * len(self.particles)
The following are some queries for hmm1.
probHMM.py — (continued)

171 hmm1pf1 = HMMparticleFilter(hmm1)

172 # HMMparticleFilter.max_display_level = 2 # show each step
173 # hmm1pf1.filter([{'m1':0, 'm2':1, 'm3':1}, {'m1':1, 'm2':0, 'm3':1}])
174 # hmm1pf2 = HMMparticleFilter(hmm1)
175 # hmm1pf2.filter([{'m1':1, 'm2':0, 'm3':0}, {'m1':0, 'm2':1, 'm3':0},
{'m1':1, 'm2':0, 'm3':0},
176 # {'m1':0, 'm2':0, 'm3':0}, {'m1':0, 'm2':0, 'm3':0},
{'m1':0, 'm2':0, 'm3':0},
177 # {'m1':0, 'm2':0, 'm3':0}, {'m1':0, 'm2':0, 'm3':1},
{'m1':0, 'm2':0, 'm3':1},
178 # {'m1':0, 'm2':0, 'm3':1}])
179 # hmm1pf3 = HMMparticleFilter(hmm1)
180 # hmm1pf3.filter([{'m1':1, 'm2':0, 'm3':0}, {'m1':0, 'm2':0, 'm3':0},
{'m1':1, 'm2':0, 'm3':0}, {'m1':1, 'm2':0, 'm3':1}])

Exercise 9.8 A form of importance sampling can be obtained by not resampling.

Is it better or worse than particle filtering? Hint: you need to think about how
they can be compared. Is the comparison different if there are more states than
particles?
Exercise 9.9 Extend the particle filtering code to continuous variables and ob-
servations. In particular, suppose the state transition is a linear function with
Gaussian noise of the previous state, and the observations are linear functions
with Gaussian noise of the state. You may need to research how to sample from a
Gaussian distribution (or use Python’s random library) .

9.10.4 Generating Examples

The following code is useful for generating examples.

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probHMM.py — (continued)

182 def simulate(hmm,horizon):

183 """returns a pair of (state sequence, observation sequence) of length
horizon.
184 for each time t, the agent is in state_sequence[t] and
185 observes observation_sequence[t]
186 """
187 state = sample_one(hmm.indist)
188 obsseq=[]
189 stateseq=[]
190 for time in range(horizon):
191 stateseq.append(state)
192 newobs =
{obs:sample_one({0:1-hmm.pobs[obs][state],1:hmm.pobs[obs][state]})
193 for obs in hmm.obsvars}
194 obsseq.append(newobs)
195 state = sample_one(hmm.trans[state])
196 return stateseq,obsseq
197
198 def simobs(hmm,stateseq):
199 """returns observation sequence for the state sequence"""
200 obsseq=[]
201 for state in stateseq:
202 newobs =
{obs:sample_one({0:1-hmm.pobs[obs][state],1:hmm.pobs[obs][state]})
203 for obs in hmm.obsvars}
204 obsseq.append(newobs)
205 return obsseq
206
207 def create_eg(hmm,n):
208 """Create an annotated example for horizon n"""
209 seq,obs = simulate(hmm,n)
210 print("True state sequence:",seq)
211 print("Sequence of observations:\n",obs)
212 hmmfilter = HMMVEfilter(hmm)
213 dist = hmmfilter.filter(obs)
214 print("Resulting distribution over states:\n",dist)

9.11 Dynamic Belief Networks

A dynamic belief network (DBN) is a belief network that extends in time.
There are a number of ways that reasoning can be carried out in a DBN,
including:

• Rolling out the DBN for some time period, and using standard belief net-
work inference. The latest time that needs to be in the rolled out network
is the time of the latest observation or the time of a query (whichever is

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 9.11. Dynamic Belief Networks 251

later). This allows us to observe any variables at any time and query any
variables at any time. This is covered in Section 9.11.2.

• An unrolled belief network may be very large, and we might only be in-
terested in asking about “now”. In this case we can just representing the
variables “now”. In this approach we can observe and query the current
variables. We can them move to the next time. This does not allow for
arbitrary historical queries (about the past or the future), but can be much
simpler. This is covered in Section 9.11.3.

9.11.1 Representing Dynamic Belief Networks

To specify a DBN, consider an arbitrary point, now, which will will be repre-
sented as time 1. Each variable will have a corresponding previous variable;
the variables and their previous instances will be created together.
A dynamic belief network consists of:

• A set of features. A variable is a feature-time pair.

• An initial distribution over the features “now” (time 1). This is a belief
network with all variables being time 1 variables.

• A specification of the dynamics. We define the how the variables now

(time 1) depend on variables now and the previous time (time 0), in such
a way that the graph is acyclic.

probDBN.py — Dynamic belief networks

11 from variable import Variable
12 from probGraphicalModels import GraphicalModel, BeliefNetwork
13 from probFactors import Prob, Factor, CPD
14 from probVE import VE
15 from display import Displayable
16
17 class DBNvariable(Variable):
18 """A random variable that incorporates the stage (time)
19
20 A DBN variable has both a name and an index. The index defaults to 1.
21 position is (x,y) where x>0.3
22 """
23 def __init__(self, name, domain=[False,True], index=1, position=None):
24 Variable.__init__(self, f"{name}_{index}", domain,
position=position)
25 self.basename = name
26 self.domain = domain
27 self.index = index
28 self.previous = None
29
30 def __lt__(self,other):

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31 if self.name == other.name:
32 return self.index < other.index
33 else:
34 return self.name < other.name
35
36 def variable_pair(name, domain=[False,True], position=None):
37 """returns a variable and its predecessor. This is used to define
2-stage DBNs
38
39 If the name is X, it returns the pair of variables X_prev,X_now"""
40 var_now = DBNvariable(name, domain, index='now', position=position)
41 if position:
42 (x,y) = position
43 position = (x-0.3, y)
44 var_prev = DBNvariable(name, domain, index='prev', position=position)
45 var_now.previous = var_prev
46 return var_prev, var_now

A FactorRename is a factor that is the result of renaming the variables in the

factor. It takes a factor, fac, and a {new : old} dictionary, where new is the name
of a variable in the resulting factor and old is the corresponding name in fac.
This assumes that all variables are renamed.

probDBN.py — (continued)

48 class FactorRename(Factor):
49 def __init__(self,fac,renaming):
50 """A renamed factor.
51 fac is a factor
52 renaming is a dictionary of the form {new:old} where old and new
var variables,
53 where the variables in fac appear exactly once in the renaming
54 """
55 Factor.__init__(self,[n for (n,o) in renaming.items() if o in
fac.variables])
56 self.orig_fac = fac
57 self.renaming = renaming
58
59 def get_value(self,assignment):
60 return self.orig_fac.get_value({self.renaming[var]:val
61 for (var,val) in assignment.items()
62 if var in self.variables})

The following class renames the variables of a conditional probability distri-

bution. It is used for template models (e.g., dynamic decision networks or
relational models)

probDBN.py — (continued)

64 class CPDrename(FactorRename, CPD):

65 def __init__(self, cpd, renaming):
66 renaming_inverse = {old:new for (new,old) in renaming.items()}

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 9.11. Dynamic Belief Networks 253

67 CPD.__init__(self,renaming_inverse[cpd.child],[renaming_inverse[p]
for p in cpd.parents])
68 self.orig_fac = cpd
69 self.renaming = renaming

probDBN.py — (continued)

71 class DBN(Displayable):
72 """The class of stationary Dynamic Belief networks.
73 * name is the DBN name
74 * vars_now is a list of current variables (each must have
75 previous variable).
76 * transition_factors is a list of factors for P(X|parents) where X
77 is a current variable and parents is a list of current or previous
variables.
78 * init_factors is a list of factors for P(X|parents) where X is a
79 current variable and parents can only include current variables
80 The graph of transition factors + init factors must be acyclic.
81
82 """
83 def __init__(self, title, vars_now, transition_factors=None,
init_factors=None):
84 self.title = title
85 self.vars_now = vars_now
86 self.vars_prev = [v.previous for v in vars_now]
87 self.transition_factors = transition_factors
88 self.init_factors = init_factors
89 self.var_index = {} # var_index[v] is the index of variable v
90 for i,v in enumerate(vars_now):
91 self.var_index[v]=i
92
93 def show(self):
94 BNfromDBN(self,1).show()
Here is a 3 variable DBN (shown in Figure 9.9):
probDBN.py — (continued)

96 A0,A1 = variable_pair("A", domain=[False,True], position = (0.4,0.8))

97 B0,B1 = variable_pair("B", domain=[False,True], position = (0.4,0.5))
98 C0,C1 = variable_pair("C", domain=[False,True], position = (0.4,0.2))
99
100 # dynamics
101 pc = Prob(C1,[B1,C0],[[[0.03,0.97],[0.38,0.62]],[[0.23,0.77],[0.78,0.22]]])
102 pb = Prob(B1,[A0,A1],[[[0.5,0.5],[0.77,0.23]],[[0.4,0.6],[0.83,0.17]]])
103 pa = Prob(A1,[A0,B0],[[[0.1,0.9],[0.65,0.35]],[[0.3,0.7],[0.8,0.2]]])
104
105 # initial distribution
106 pa0 = Prob(A1,[],[0.9,0.1])
107 pb0 = Prob(B1,[A1],[[0.3,0.7],[0.8,0.2]])
108 pc0 = Prob(C1,[],[0.2,0.8])
109
110 dbn1 = DBN("Simple DBN",[A1,B1,C1],[pa,pb,pc],[pa0,pb0,pc0])

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254 9. Reasoning with Uncertainty

Simple DBN

A_0 A_1

B_0 B_1

C_0 C_1

Figure 9.9: Simple dynamic belief network (dbn1.show())

Animal DBN

Position_0 Position_1

Mic1_0 Mic1_1

Mic2_0 Mic2_1

Mic3_0 Mic3_1

Figure 9.10: Animal dynamic belief network (dbn_an.show())

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 9.11. Dynamic Belief Networks 255

Here is the animal example

probDBN.py — (continued)

112 from probHMM import closeMic, farMic, midMic, sm, mmc, sc, mcm, mcc
113
114 Pos_0,Pos_1 = variable_pair("Position", domain=[0,1,2,3],
position=(0.5,0.8))
115 Mic1_0,Mic1_1 = variable_pair("Mic1", position=(0.6,0.6))
116 Mic2_0,Mic2_1 = variable_pair("Mic2", position=(0.6,0.4))
117 Mic3_0,Mic3_1 = variable_pair("Mic3", position=(0.6,0.2))
118
119 # conditional probabilities - see hmm for the values of sm,mmc, etc
120 ppos = Prob(Pos_1, [Pos_0],
121 [[sm, mmc, mmc, mmc], #was in middle
122 [mcm, sc, mcc, mcc], #was in corner 1
123 [mcm, mcc, sc, mcc], #was in corner 2
124 [mcm, mcc, mcc, sc]]) #was in corner 3
125 pm1 = Prob(Mic1_1, [Pos_1], [[1-midMic, midMic], [1-closeMic, closeMic],
126 [1-farMic, farMic], [1-farMic, farMic]])
127 pm2 = Prob(Mic2_1, [Pos_1], [[1-midMic, midMic], [1-farMic, farMic],
128 [1-closeMic, closeMic], [1-farMic, farMic]])
129 pm3 = Prob(Mic3_1, [Pos_1], [[1-midMic, midMic], [1-farMic, farMic],
130 [1-farMic, farMic], [1-closeMic, closeMic]])
131 ipos = Prob(Pos_1,[], [0.25, 0.25, 0.25, 0.25])
132 dbn_an =DBN("Animal DBN",[Pos_1,Mic1_1,Mic2_1,Mic3_1],
133 [ppos, pm1, pm2, pm3],
134 [ipos, pm1, pm2, pm3])

9.11.2 Unrolling DBNs

probDBN.py — (continued)

136 class BNfromDBN(BeliefNetwork):

137 """Belief Network unrolled from a dynamic belief network
138 """
139
140 def __init__(self,dbn,horizon):
141 """dbn is the dynamic belief network being unrolled
142 horizon>0 is the number of steps (so there will be horizon+1
variables for each DBN variable.
143 """
144 self.dbn = dbn
145 self.horizon = horizon
146 self.minx,self.width = None, None # for positions pf variables
147 self.name2var = {var.basename:
[DBNvariable(var.basename,var.domain,index,
148 position=self.pos(var,index))
149 for index in range(horizon+1)]
150 for var in dbn.vars_now}
151 self.display(1,f"name2var={self.name2var}")

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 256 9. Reasoning with Uncertainty

152 variables = {v for vs in self.name2var.values() for v in vs}

153 self.display(1,f"variables={variables}")
154 bnfactors = {CPDrename(fac,{self.name2var[var.basename][0]:var
155 for var in fac.variables})
156 for fac in dbn.init_factors}
157 bnfactors |= {CPDrename(fac,{self.name2var[var.basename][i]:var
158 for var in fac.variables if
var.index=='prev'}
159 | {self.name2var[var.basename][i+1]:var
160 for var in fac.variables if
var.index=='now'})
161 for fac in dbn.transition_factors
162 for i in range(horizon)}
163 self.display(1,f"bnfactors={bnfactors}")
164 BeliefNetwork.__init__(self, dbn.title, variables, bnfactors)
165
166 def pos(self, var, index):
167 minx = min(x for (x,y) in (var.position for var in
self.dbn.vars_now))-1e-6
168 maxx = max(x for (x,y) in (var.position for var in
self.dbn.vars_now))
169 width = maxx-minx
170 xo,yo = var.position
171 xi = index/(self.horizon+1)+(xo-minx)/width/(self.horizon+1)/2
172 return (xi, yo)

Here are two examples. You use bn.name2var['B'][2] to get the variable
B2 (B at time 2). Figure 9.11 shows the output of the drc.show_post below:

probDBN.py — (continued)

174 # Try
175 from probRC import ProbRC
176 # bn = BNfromDBN(dbn1,2) # construct belief network
177 # drc = ProbRC(bn) # initialize recursive conditioning
178 # B2 = bn.name2var['B'][2]
179 # drc.query(B2) #P(B2)
180 #
drc.query(bn.name2var['B'][1],{bn.name2var['B'][0]:True,bn.name2var['C'][1]:False})
#P(B1|b0,~c1)
181 # drc.show_post({bn.name2var['B'][0]:True,bn.name2var['C'][1]:False})
182
183 # Plot Distributions:
184 # bna = BNfromDBN(dbn_an,5) # animal belief network with horizon 5
185 # dra = ProbRC(bna)
186 # dra.show_post(obs =
{bna.name2var['Mic1'][1]:True,bna.name2var['Mic1'][2]:True})

9.11.3 DBN Filtering

If we only wanted to ask questions about the current state, we can save space
by forgetting the history variables.

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 9.11. Dynamic Belief Networks 257

Simple DBN observed: {B_0: True, C_1: False}

A_0 A_1 A_2

False: 0.967 False: 0.704 False: 0.483
True: 0.033 True: 0.296 True: 0.517

B_1 B_2
B_0=True False: 0.401 False: 0.634
True: 0.599 True: 0.366

C_0 C_2
False: 0.049 C_1=False False: 0.103
True: 0.951 True: 0.897

Figure 9.11: Simple dynamic belief network (dbn1) horizon 2

probDBN.py — (continued)

188 class DBNVEfilter(VE):

189 def __init__(self,dbn):
190 self.dbn = dbn
191 self.current_factors = dbn.init_factors
192 self.current_obs = {}
193
194 def observe(self, obs):
195 """updates the current observations with obs.
196 obs is a variable:value dictionary where variable is a current
197 variable.
198 """
199 assert all(self.current_obs[var]==obs[var] for var in obs
200 if var in self.current_obs),"inconsistent current
observations"
201 self.current_obs.update(obs) # note 'update' is a dict method
202
203 def query(self,var):
204 """returns the posterior probability of current variable var"""
205 return
VE(GraphicalModel(self.dbn.title,self.dbn.vars_now,self.current_factors)
206 ).query(var,self.current_obs)
207
208 def advance(self):

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 258 9. Reasoning with Uncertainty

209 """advance to the next time"""

210 prev_factors = [self.make_previous(fac) for fac in
self.current_factors]
211 prev_obs = {var.previous:val for var,val in
self.current_obs.items()}
212 two_stage_factors = prev_factors + self.dbn.transition_factors
213 self.current_factors =
self.elim_vars(two_stage_factors,self.dbn.vars_prev,prev_obs)
214 self.current_obs = {}
215
216 def make_previous(self,fac):
217 """Creates new factor from fac where the current variables in fac
218 are renamed to previous variables.
219 """
220 return FactorRename(fac, {var.previous:var for var in
fac.variables})
221
222 def elim_vars(self,factors, vars, obs):
223 for var in vars:
224 if var in obs:
225 factors = [self.project_observations(fac,obs) for fac in
factors]
226 else:
227 factors = self.eliminate_var(factors, var)
228 return factors
Example queries:
probDBN.py — (continued)

230 #df = DBNVEfilter(dbn1)

231 #df.observe({B1:True}); df.advance(); df.observe({C1:False})
232 #df.query(B1) #P(B1|B0,C1)
233 #df.advance(); df.query(B1)
234 #dfa = DBNVEfilter(dbn_an)
235 # dfa.observe({Mic1_1:0, Mic2_1:1, Mic3_1:1})
236 # dfa.advance()
237 # dfa.observe({Mic1_1:1, Mic2_1:0, Mic3_1:1})
238 # dfa.query(Pos_1)

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 Chapter 10

Learning with Uncertainty

10.1 Bayesian Learning

The section contains two implementations of the (discretized) beta distribution.
The first represents Bayesian learning as a belief network. The second is an
interactive tool to understand the beta distribution.
The following uses a belief network representation from the previous chap-
ter to learn (discretized) probabilities. Figure 10.1 shows the output after ob-
serving heads, heads, tails. Notice the prediction of future tosses.

learnBayesian.py — Bayesian Learning

11 from variable import Variable
12 from probFactors import Prob
13 from probGraphicalModels import BeliefNetwork
14 from probRC import ProbRC
15
16 #### Coin Toss ###
17 # multiple coin tosses:
18 toss = ['tails','heads']
19 tosses = [ Variable(f"Toss#{i}", toss,
20 (0.8, 0.9-i/10) if i<10 else (0.4,0.2))
21 for i in range(11)]
22
23 def coinTossBN(num_bins = 10):
24 prob_bins = [x/num_bins for x in range(num_bins+1)]
25 PH = Variable("P_heads", prob_bins, (0.1,0.9))
26 p_PH = Prob(PH,[],{x:0.5/num_bins if x in [0,1] else 1/num_bins for x
in prob_bins})
27 p_tosses = [ Prob(tosses[i],[PH], {x:{'tails':1-x,'heads':x} for x in
prob_bins})
28 for i in range(11)]

259
260 10. Learning with Uncertainty

P_heads
0.0: 0.000
0.05: 0.001
0.1: 0.005
0.15: 0.012 Coin Tosses observed: {Toss#0: 'heads', Toss#1: 'heads', Toss#2: 'tails'}
0.2: 0.019
0.25: 0.028
0.3: 0.038
0.35: 0.048
0.4: 0.058
0.45: 0.067 Toss#0=heads
0.5: 0.075
0.55: 0.082
0.6: 0.087
0.65: 0.089
0.7: 0.088 Toss#1=heads
0.75: 0.085
0.8: 0.077
0.85: 0.065
0.9: 0.049
0.95: 0.027 Toss#2=tails
1.0: 0.000

Toss#3
tails: 0.401
heads: 0.599

Toss#4
tails: 0.401
heads: 0.599

Toss#5
tails: 0.401
heads: 0.599

Toss#6
tails: 0.401
heads: 0.599

Toss#10 Toss#7
tails: 0.401 tails: 0.401
heads: 0.599 heads: 0.599

Toss#8
tails: 0.401
heads: 0.599

Toss#9
tails: 0.401
heads: 0.599

Figure 10.1: coinTossBN after observing heads, heads, tails

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 10.1. Bayesian Learning 261

Beta Distribution
4.0
12 heads; 4 tails
3.5 3 heads; 1 tails
6 heads; 2 tails
3.0
2.5
Probability

2.0
1.5
1.0
0.5
0.0
0.0 0.2 0.4 0.6 0.8 1.0
P(Heads)
heads tails save reset

Figure 10.2: Beta distribution after some observations

29 return BeliefNetwork("Coin Tosses",

30 [PH]+tosses,
31 [p_PH]+p_tosses)
32
33
34 #
35 # coinRC = ProbRC(coinTossBN(20))
36 # coinRC.query(tosses[10],{tosses[0]:'heads'})
37 # coinRC.show_post({})
38 # coinRC.show_post({tosses[0]:'heads'})
39 # coinRC.show_post({tosses[0]:'heads',tosses[1]:'heads'})
40 # coinRC.show_post({tosses[0]:'heads',tosses[1]:'heads',tosses[2]:'tails'})

Figure 10.2 shows a plot of the Beta distribution (the P_head variable in the
previous belief network) given some sets of observations.
This is a plot that is produced by the following interactive tool.
learnBayesian.py — (continued)

42 from display import Displayable

43 import matplotlib.pyplot as plt
44 from matplotlib.widgets import Button, CheckButtons
45
46 class Show_Beta(Displayable):

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47 def __init__(self,num=100, fontsize=10):

48 self.num = num
49 self.dist = [1 for i in range(num)]
50 self.vals = [i/num for i in range(num)]
51 self.fontsize = fontsize
52 self.saves = []
53 self.num_heads = 0
54 self.num_tails = 0
55 plt.ioff()
56 fig, self.ax = plt.subplots()
57 plt.subplots_adjust(bottom=0.2)
58 ## Set up buttons:
59 heads_butt = Button(fig.add_axes([0.05,0.02,0.1,0.05]), "heads")
60 heads_butt.label.set_fontsize(self.fontsize)
61 heads_butt.on_clicked(self.heads)
62 tails_butt = Button(fig.add_axes([0.25,0.02,0.1,0.05]), "tails")
63 tails_butt.label.set_fontsize(self.fontsize)
64 tails_butt.on_clicked(self.tails)
65 save_butt = Button(fig.add_axes ([0.45,0.02,0.1,0.05]), "save")
66 save_butt.label.set_fontsize(self.fontsize)
67 save_butt.on_clicked(self.save)
68 reset_butt = Button(fig.add_axes ([0.85,0.02,0.1,0.05]), "reset")
69 reset_butt.label.set_fontsize(self.fontsize)
70 reset_butt.on_clicked(self.reset)
71 ## draw the distribution
72 self.draw_dist()
73 plt.show()
74
75 def draw_dist(self):
76 sv = self.num/sum(self.dist)
77 self.dist = [v*sv for v in self.dist]
78 #print(self.dist)
79 self.ax.clear()
80 self.ax.set_ylabel("Probability", fontsize=self.fontsize)
81 self.ax.set_xlabel("P(Heads)", fontsize=self.fontsize)
82 self.ax.set_title("Beta Distribution", fontsize=self.fontsize)
83 self.ax.plot(self.vals, self.dist, color='black', label =
f"{self.num_heads} heads; {self.num_tails} tails")
84 for (nh,nt,d) in self.saves:
85 self.ax.plot(self.vals, d, label = f"{nh} heads; {nt} tails")
86 self.ax.legend()
87 plt.draw()
88
89 def heads(self,event):
90 self.num_heads += 1
91 self.dist = [self.dist[i]*self.vals[i] for i in range(self.num)]
92 self.draw_dist()
93 def tails(self,event):
94 self.num_tails += 1
95 self.dist = [self.dist[i]*(1-self.vals[i]) for i in range(self.num)]

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 10.2. K-means 263

96 self.draw_dist()
97 def save(self,event):
98 self.saves.append((self.num_heads,self.num_tails,self.dist))
99 self.draw_dist()
100 def reset(self,event):
101 self.num_tails = 0
102 self.num_heads = 0
103 self.dist = [1/self.num for i in range(self.num)]
104 self.draw_dist()
105
106 # s1 = Show_Beta(100)
107 # sl = Show_Beta(100, fontsize=15) # for demos - enlarge window
108
109 if __name__ == "__main__":
110 print("Try: Show_Beta(100)")

10.2 K-means
The k-means learner takes in a dataset and a number of classes, and learns a
mapping from examples to classes (class_of_eg) and a function that makes
predictions for classes (class_predictions).
It maintains two lists that suffice as sufficient statistics to classify examples,
and to learn the classification:

• class_counts is a list such that class_counts[c] is the number of examples in

the training set with class = c.

• feature_sum is a list such that feature_sum[f ][c] is sum of the values for the
feature f for members of class c. The average value of the ith feature in
class i is
feature_sum[i][c]
class_counts[c]

when class_counts[c] > 0 and is 0 otherwise.

The class is initialized by randomly assigning examples to classes, and updat-

ing the statistics for class_counts and feature_sum.
learnKMeans.py — k-means learning
11 from learnProblem import Data_set, Learner, Data_from_file
12 import random
13 import matplotlib.pyplot as plt
14
15 class K_means_learner(Learner):
16
17 def __init__(self,dataset, num_classes):
18 self.dataset = dataset
19 self.num_classes = num_classes

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 264 10. Learning with Uncertainty

20 self.random_initialize()
21 self.max_display_level = 5
22
23 def random_initialize(self):
24 # class_counts[c] is the number of examples with class=c
25 self.class_counts = [0]*self.num_classes
26 # feature_sum[f][c] is the sum of the values of feature f for class
c
27 self.feature_sum = {feat:[0]*self.num_classes
28 for feat in self.dataset.input_features}
29 for eg in self.dataset.train:
30 cl = random.randrange(self.num_classes) # assign eg to random
class
31 self.class_counts[cl] += 1
32 for feat in self.dataset.input_features:
33 self.feature_sum[feat][cl] += feat(eg)
34 self.num_iterations = 0
35 self.display(1,"Initial class counts: ",self.class_counts)
The distance from (the mean of) a class to an example is the sum, over all
features, of the sum-of-squares differences of the class mean and the example
value.
learnKMeans.py — (continued)

37 def distance(self,cl,eg):
38 """distance of the eg from the mean of the class"""
39 return sum( (self.class_prediction(feat,cl)-feat(eg))**2
40 for feat in self.dataset.input_features)
41
42 def class_prediction(self,feat,cl):
43 """prediction of the class cl on the feature with index feat_ind"""
44 if self.class_counts[cl] == 0:
45 return 0 # arbitrary prediction
46 else:
47 return self.feature_sum[feat][cl]/self.class_counts[cl]
48
49 def class_of_eg(self,eg):
50 """class to which eg is assigned"""
51 return (min((self.distance(cl,eg),cl)
52 for cl in range(self.num_classes)))[1]
53 # second element of tuple, which is a class with minimum
distance
One step of k-means updates the class_counts and feature_sum. It uses the old
values to determine the classes, and so the new values for class_counts and
feature_sum. At the end it determines whether the values of these have changes,
and then replaces the old ones with the new ones. It returns an indicator of
whether the values are stable (have not changed).
learnKMeans.py — (continued)

55 def k_means_step(self):

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 10.2. K-means 265

56 """Updates the model with one step of k-means.

57 Returns whether the assignment is stable.
58 """
59 new_class_counts = [0]*self.num_classes
60 # feature_sum[f][c] is the sum of the values of feature f for class
c
61 new_feature_sum = {feat: [0]*self.num_classes
62 for feat in self.dataset.input_features}
63 for eg in self.dataset.train:
64 cl = self.class_of_eg(eg)
65 new_class_counts[cl] += 1
66 for feat in self.dataset.input_features:
67 new_feature_sum[feat][cl] += feat(eg)
68 stable = (new_class_counts == self.class_counts) and
(self.feature_sum == new_feature_sum)
69 self.class_counts = new_class_counts
70 self.feature_sum = new_feature_sum
71 self.num_iterations += 1
72 return stable
73
74
75 def learn(self,n=100):
76 """do n steps of k-means, or until convergence"""
77 i=0
78 stable = False
79 while i<n and not stable:
80 stable = self.k_means_step()
81 i += 1
82 self.display(1,"Iteration",self.num_iterations,
83 "class counts: ",self.class_counts,"
Stable=",stable)
84 return stable
85
86 def show_classes(self):
87 """sorts the data by the class and prints in order.
88 For visualizing small data sets
89 """
90 class_examples = [[] for i in range(self.num_classes)]
91 for eg in self.dataset.train:
92 class_examples[self.class_of_eg(eg)].append(eg)
93 print("Class","Example",sep='\t')
94 for cl in range(self.num_classes):
95 for eg in class_examples[cl]:
96 print(cl,*eg,sep='\t')

Figure 10.3 shows multiple runs for Example 10.5 in Section 10.3.1 of Poole
and Mackworth [2023]. Note that the y-axis is sum of squares of the values,
which is the square of the Euclidian distance. K-means can stabilize on a dif-
ferent assignment each time it is run. The first run with 2 classes shown in the
figure was stable after the first step. The next two runs with 3 classes started

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 266 10. Learning with Uncertainty

12 2 classes. Training set

2 classes. Training set
2 classes. Training set
10 3 classes. Training set
3 classes. Training set
Ave sum-of-squares error

0 2 4 6 8
step

Figure 10.3: k-means plotting error.

with different assignments, but stabilized on the same assignment. (You can-
not check if it is the same assignment from the graph, but need to check the
assignment of examples to classes.) The second run with 3 classes took tow
steps to stabilize, but the other only took one. Note that the algorithm only
determines that it is stable with one more run.

learnKMeans.py — (continued)

97 def plot_error(self, maxstep=20):

98 """Plots the sum-of-squares error as a function of the number of
steps"""
99 plt.ion()
100 fig, ax = plt.subplots()
101 ax.set_xlabel("step")
102 ax.set_ylabel("Ave sum-of-squares error")
103 train_errors = []
104 if self.dataset.test:
105 test_errors = []
106 for i in range(maxstep):
107 train_errors.append( sum(self.distance(self.class_of_eg(eg),eg)
108 for eg in self.dataset.train)
109 /len(self.dataset.train))
110 if self.dataset.test:

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 10.2. K-means 267

111 test_errors.append(
sum(self.distance(self.class_of_eg(eg),eg)
112 for eg in self.dataset.test)
113 /len(self.dataset.test))
114 self.learn(1)
115 ax.plot(range(maxstep), train_errors,
116 label=str(self.num_classes)+" classes. Training set")
117 if self.dataset.test:
118 ax.plot(range(maxstep), test_errors,
119 label=str(self.num_classes)+" classes. Test set")
120 ax.legend()
121 plt.draw()
122
123 def testKM():
124 # data = Data_from_file('data/emdata1.csv', num_train=10,
target_index=2000) # trivial example
125 data = Data_from_file('data/emdata2.csv', num_train=10,
target_index=2000)
126 # data = Data_from_file('data/emdata0.csv', num_train=14,
target_index=2000) # example from textbook
127 # data = Data_from_file('data/carbool.csv', target_index=2000,
one_hot=True)
128 kml = K_means_learner(data,2)
129 num_iter=4
130 print("Class assignment after",num_iter,"iterations:")
131 kml.learn(num_iter); kml.show_classes()
132
133 if __name__ == "__main__":
134 testKM()
135
136 # Plot the error
137 # km2=K_means_learner(data,2); km2.plot_error(10) # 2 classes
138 # km3=K_means_learner(data,3); km3.plot_error(10) # 3 classes
139 # km13=K_means_learner(data,10); km13.plot_error(10) # 10 classes

Exercise 10.1 If there are many classes, some of the classes can become empty
(e.g., try 100 classes with carbool.csv). Implement a way to put some examples
into a class, if possible. Two ideas are:

(a) Initialize the classes with actual examples, so that the classes will not start
empty. (Do the classes become empty?)
(b) In class_prediction, we test whether the code is empty, and make a prediction
of 0 for an empty class. It is possible to make a different prediction to “steal”
an example (but you should make sure that a class has a consistent value for
each feature in a loop).

Make your own suggestions, and compare it with the original, and whichever of
these you think may work better.

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 268 10. Learning with Uncertainty

10.3 EM
In the following definition, a class, c, is a integer in range [0, num_classes). i is
an index of a feature, so feat[i] is the ith feature, and a feature is a function from
tuples to values. val is a value of a feature.
A model consists of 2 lists, which form the sufficient statistics:

• class_counts is a list such that class_counts[c] is the number of tuples with

class = c, where each tuple is weighted by its probability, i.e.,

class_counts[c] = ∑ P(t)
t:class(t)=c

• feature_counts is a list such that feature_counts[i][val][c] is the weighted

count of the number of tuples t with feat[i](t) = val and class(t) = c,
each tuple is weighted by its probability, i.e.,

feature_counts[i][val][c] = ∑ P(t)
t:feat[i](t)=val andclass(t)=c

learnEM.py — EM Learning
11 from learnProblem import Data_set, Learner, Data_from_file
12 import random
13 import math
14 import matplotlib.pyplot as plt
15
16 class EM_learner(Learner):
17 def __init__(self,dataset, num_classes):
18 self.dataset = dataset
19 self.num_classes = num_classes
20 self.class_counts = None
21 self.feature_counts = None

The function em_step goes though the training examples, and updates these
counts. The first time it is run, when there is no model, it uses random distri-
butions.
learnEM.py — (continued)

23 def em_step(self, orig_class_counts, orig_feature_counts):

24 """updates the model."""
25 class_counts = [0]*self.num_classes
26 feature_counts = [{val:[0]*self.num_classes
27 for val in feat.frange}
28 for feat in self.dataset.input_features]
29 for tple in self.dataset.train:
30 if orig_class_counts: # a model exists
31 tpl_class_dist = self.prob(tple, orig_class_counts,
orig_feature_counts)

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 10.3. EM 269

32 else: # initially, with no model, return a random

distribution
33 tpl_class_dist = random_dist(self.num_classes)
34 for cl in range(self.num_classes):
35 class_counts[cl] += tpl_class_dist[cl]
36 for (ind,feat) in enumerate(self.dataset.input_features):
37 feature_counts[ind][feat(tple)][cl] += tpl_class_dist[cl]
38 return class_counts, feature_counts
prob computes the probability of a class c for a tuple tpl, given the current statis-
tics.

P(c | tple) ∝ P(c) ∗ ∏ P(Xi =tple(i) | c)

i
class_counts[c] feature_counts[i][feati (tple)][c]
= ∗∏
len(self .dataset) i
class_counts[c]
∏i feature_counts[i][feati (tple)][c]
∝
class_counts[c]|feats|−1

The last step is because len(self .dataset) is a constant (independent of c). class_counts[c]
can be taken out of the product, but needs to be raised to the power of the num-
ber of features, and one of them cancels.
learnEM.py — (continued)

40 def prob(self, tple, class_counts, feature_counts):

41 """returns a distribution over the classes for tuple tple in the
model defined by the counts
42 """
43 feats = self.dataset.input_features
44 unnorm = [prod(feature_counts[i][feat(tple)][c]
45 for (i,feat) in enumerate(feats))
46 /(class_counts[c]**(len(feats)-1))
47 for c in range(self.num_classes)]
48 thesum = sum(unnorm)
49 return [un/thesum for un in unnorm]
learn does n steps of EM:
learnEM.py — (continued)

51 def learn(self,n):
52 """do n steps of em"""
53 for i in range(n):
54 self.class_counts,self.feature_counts =
self.em_step(self.class_counts,
55 self.feature_counts)
The following is for visualizing the classes. It prints the dataset ordered by the
probability of class c.
learnEM.py — (continued)

57 def show_class(self,c):

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 270 10. Learning with Uncertainty

58 """sorts the data by the class and prints in order.

59 For visualizing small data sets
60 """
61 sorted_data =
sorted((self.prob(tpl,self.class_counts,self.feature_counts)[c],
62 ind, # preserve ordering for equal
probabilities
63 tpl)
64 for (ind,tpl) in enumerate(self.dataset.train))
65 for cc,r,tpl in sorted_data:
66 print(cc,*tpl,sep='\t')

The following are for evaluating the classes.

The probability of a tuple can be evaluated by marginalizing over the classes:

P(tple) = ∑ P(c) ∗ ∏ P(Xi =tple(i) | c)

c i
cc[c] fc[i][feati (tple)][c]
=∑ ∗∏
c len(self .dataset) i
cc[c]

where cc is the class count and fc is feature count. len(self .dataset) can be dis-
tributed out of the sum, and cc[c] can be taken out of the product:

1 1
=
len(self .dataset) ∑ cc[c]#feats−1 ∗ ∏ fc[i][feati (tple)][c]
c i

Given the probability of each tuple, we can evaluate the logloss, as the negative
of the log probability:
learnEM.py — (continued)

68 def logloss(self,tple):
69 """returns the logloss of the prediction on tple, which is
-log(P(tple))
70 based on the current class counts and feature counts
71 """
72 feats = self.dataset.input_features
73 res = 0
74 cc = self.class_counts
75 fc = self.feature_counts
76 for c in range(self.num_classes):
77 res += prod(fc[i][feat(tple)][c]
78 for (i,feat) in
enumerate(feats))/(cc[c]**(len(feats)-1))
79 if res>0:
80 return -math.log2(res/len(self.dataset.train))
81 else:
82 return float("inf") #infinity

Figure 10.4 shows the training and test error for various numbers of classes for
the carbool dataset (calls commented out at the end of the code).

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 10.3. EM 271

17
Ave Logloss (bits)

16

40 classes. Training set

15 40 classes. Test set
20 classes. Training set
20 classes. Test set
3 classes. Training set
14 3 classes. Test set
1 classes. Training set
1 classes. Test set
0 5 10 15 20 25 30
step

Figure 10.4: EM plotting error.

learnEM.py — (continued)

84 def plot_error(self, maxstep=20):

85 """Plots the logloss error as a function of the number of steps"""
86 plt.ion()
87 ax.set_xlabel("step")
88 ax.set_ylabel("Ave Logloss (bits)")
89 train_errors = []
90 if self.dataset.test:
91 test_errors = []
92 for i in range(maxstep):
93 self.learn(1)
94 train_errors.append( sum(self.logloss(tple) for tple in
self.dataset.train)
95 /len(self.dataset.train))
96 if self.dataset.test:
97 test_errors.append( sum(self.logloss(tple) for tple in
self.dataset.test)
98 /len(self.dataset.test))
99 ax.plot(range(1,maxstep+1),train_errors,
100 label=str(self.num_classes)+" classes. Training set")
101 if self.dataset.test:
102 ax.plot(range(1,maxstep+1),test_errors,
103 label=str(self.num_classes)+" classes. Test set")
104 ax.legend()
105 plt.show()
106
107 # global variables so the plots can share axes.

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 272 10. Learning with Uncertainty

108 fig, ax = plt.subplots()

109
110 def prod(L):
111 """returns the product of the elements of L"""
112 res = 1
113 for e in L:
114 res *= e
115 return res
116
117 def random_dist(k):
118 """generate k random numbers that sum to 1"""
119 res = [random.random() for i in range(k)]
120 s = sum(res)
121 return [v/s for v in res]
122
123 def testEM():
124 print("testing EM")
125 global data, eml
126 data = Data_from_file('data/emdata2.csv', num_train=10,
target_index=2000)
127 # data = Data_from_file('data/carbool.csv', target_index=2000,
one_hot=True)
128 eml = EM_learner(data,2)
129 num_iter=2
130 print("Class assignment after",num_iter,"iterations:")
131 eml.learn(num_iter); eml.show_class(0)
132
133 if __name__ == "__main__":
134 testEM()
135
136 # Plot the error
137 # em1=EM_learner(data,1); em1.plot_error(30) # 1 class (predict mean)
138 # em2=EM_learner(data,2); em2.plot_error(40) # 2 classes
139 # em3=EM_learner(data,3); em3.plot_error(40) # 3 classes
140 # em10=EM_learner(data,10); em10.plot_error(40) # 10 classes
141 # em13=EM_learner(data,13); em13.plot_error(40) # 13 classes
142
143 # show the values for the variables
144 # [f.frange for f in data.input_features]

Exercise 10.2 For data where there are naturally 2 classes, does EM with 3 classes
do better on the training set after a while than 2 classes? Is is better on a test set.
Explain why. Hint: look what the 3 classes are. Use "eml.show_class(i)" for each
of the classes i ∈ [0, 3).
Exercise 10.3 Write code to plot the logloss as a function of the number of classes
(from 1 to, say, 30) for a fixed number of iterations. (From the experience with the
existing code, think about how many iterations are appropriate.
Exercise 10.4 Repeat the previous exercise, but use cross validation to select the
number of iterations as a function of the number of classes and other features of

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10.3. EM 273

the dataset.

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 Chapter 11

Causality

11.1 Do Questions
A causal model can answer “do” questions.
The intervene function takes a belief network and a variable : value dictio-
nary specifying what to “do”, and returns a belief network resulting from in-
tervening to set each variable in the dictionary to its value specified. It replaces
the conditional probability distribution, CPD, (Section 9.3) of each intervened
variable with an constant CPD.

probDo.py — Probabilistic inference with the do operator

11 from probGraphicalModels import InferenceMethod, BeliefNetwork
12 from probFactors import CPD, ConstantCPD
13
14 def intervene(bn, do={}):
15 assert isinstance(bn, BeliefNetwork), f"Do only applies to belief
networks ({bn.title})"
16 if do=={}:
17 return bn
18 else:
19 newfacs = ({f for (ch,f) in bn.var2cpt.items() if ch not in do} |
20 {ConstantCPD(v,c) for (v,c) in do.items()})
21 return BeliefNetwork(f"{bn.title}(do={do})", bn.variables, newfacs)

The following adds the queryDo method to the InferenceMethod class, so it

can be used with any inference method. It replaces the graphical model with
the modified one, runs the inference algorithm, and restores the initial belief
network.

probDo.py — (continued)

23 def queryDo(self, qvar, obs={}, do={}):

275
 276 11. Causality

Pearl's Sprinkler Example(do={Sprinkler: 'on'}) observed: {}

Season
dry_season: 0.500
wet_season: 0.500

Rained Sprinkler
False: 0.550 on: 1.000
True: 0.450 off: 0.000

Grass wet
False: 0.059
True: 0.940

Grass shiny Shoes wet

False: 0.339 False: 0.387
True: 0.661 True: 0.613

Figure 11.1: The sprinkler belief network with do={Sprinkler:"on"}.

24 """Extends query method to also allow for interventions.

25 """
26 oldBN, self.gm = self.gm, intervene(self.gm, do)
27 result = self.query(qvar, obs)
28 self.gm = oldBN # restore original
29 return result
30
31 # make queryDo available for all inference methods
32 InferenceMethod.queryDo = queryDo
The following example is based on the sprinkler belief network of Section 9.4.2
shown in Figure 9.4. The network with the intervention of putting the sprinkler
on is shown in Figure 11.1.
probDo.py — (continued)

34 from probRC import ProbRC

35
36 from probExamples import bn_sprinkler, Season, Sprinkler, Rained,
Grass_wet, Grass_shiny, Shoes_wet
37 bn_sprinklerv = ProbRC(bn_sprinkler)
38 ## bn_sprinklerv.queryDo(Shoes_wet)
39 ## bn_sprinklerv.queryDo(Shoes_wet,obs={Sprinkler:"on"})
40 ## bn_sprinklerv.queryDo(Shoes_wet,do={Sprinkler:"on"})
41 ## bn_sprinklerv.queryDo(Season, obs={Sprinkler:"on"})
42 ## bn_sprinklerv.queryDo(Season, do={Sprinkler:"on"})

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 11.1. Do Questions 277

Gateway Drug? observed: {}

Drug_Prone
Takes_Marijuana
Side_Effects Takes_Hard_Drugs
0.800
False: 0.894 False: 0.957
False: 0.200
True: 0.106
0.824 True: 0.043
True: 0.176

Figure 11.2: Does taking marijuana lead to hard drugs: observable variables

43
44 ### Showing posterior distributions:
45 # bn_sprinklerv.show_post({})
46 # bn_sprinklerv.show_post({Sprinkler:"on"})
47 # spon = intervene(bn_sprinkler, do={Sprinkler:"on"})
48 # ProbRC(spon).show_post({})
The following is a representation of a possible model where marijuana is a gate-
way drug to harder drugs (or not). Before reading the code, try the commented-
out queries at the end. Figure 11.2 shows the network with the observable
variables, Takes_Marijuana and Takes_Hard_Drugs.
probDo.py — (continued)

50 from variable import Variable

51 from probFactors import Prob
52 from probGraphicalModels import BeliefNetwork
53 boolean = [False, True]
54
55 Drug_Prone = Variable("Drug_Prone", boolean, position=(0.1,0.5)) #
(0.5,0.9))
56 Side_Effects = Variable("Side_Effects", boolean, position=(0.1,0.5)) #
(0.5,0.1))
57 Takes_Marijuana = Variable("\nTakes_Marijuana\n", boolean,
position=(0.1,0.5))
58 Takes_Hard_Drugs = Variable("Takes_Hard_Drugs", boolean,
position=(0.9,0.5))
59
60 p_dp = Prob(Drug_Prone, [], [0.8, 0.2])
61 p_be = Prob(Side_Effects, [Takes_Marijuana], [[1, 0], [0.4, 0.6]])
62 p_tm = Prob(Takes_Marijuana, [Drug_Prone], [[0.98, 0.02], [0.2, 0.8]])
63 p_thd = Prob(Takes_Hard_Drugs, [Side_Effects, Drug_Prone],
64 # Drug_Prone=False Drug_Prone=True
65 [[[0.999, 0.001], [0.6, 0.4]], # Side_Effects=False
66 [[0.99999, 0.00001], [0.995, 0.005]]]) # Side_Effects=True
67

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 278 11. Causality

68 drugs = BeliefNetwork("Gateway Drug?",

69 [Drug_Prone,Side_Effects, Takes_Marijuana,
Takes_Hard_Drugs],
70 [p_tm, p_dp, p_be, p_thd])
71
72 drugsq = ProbRC(drugs)
73 # drugsq.queryDo(Takes_Hard_Drugs)
74 # drugsq.queryDo(Takes_Hard_Drugs, obs = {Takes_Marijuana: True})
75 # drugsq.queryDo(Takes_Hard_Drugs, obs = {Takes_Marijuana: False})
76 # drugsq.queryDo(Takes_Hard_Drugs, do = {Takes_Marijuana: True})
77 # drugsq.queryDo(Takes_Hard_Drugs, do = {Takes_Marijuana: False})
78
79 # ProbRC(drugs).show_post({})
80 # ProbRC(drugs).show_post({Takes_Marijuana: True})
81 # ProbRC(drugs).show_post({Takes_Marijuana: False})
82 # ProbRC(intervene(drugs, do={Takes_Marijuana: True})).show_post({})
83 # ProbRC(intervene(drugs, do={Takes_Marijuana: False})).show_post({})
84 # Why was that? Try the following then repeat:
85 # Drug_Prone.position=(0.5,0.9); Side_Effects.position=(0.5,0.1)

11.2 Counterfactual Reasoning

The following provides two examples of counterfactual reasoning. In the fol-
lowing code, the user has to provide the deterministic system with noise. As
we will see, there are multiple deterministic systems with noise that can pro-
duce the same causal probabilities.
probCounterfactual.py — Counterfactual Query Example
11 from variable import Variable
12 from probFactors import Prob, ProbDT, IFeq, SameAs, Dist
13 from probGraphicalModels import BeliefNetwork
14 from probRC import ProbRC
15 from probDo import queryDo
16
17 boolean = [False, True]

11.2.1 Choosing Deterministic System

This section presents an example to encourage you to think about what deter-
ministic system to use.
Consider the following example (thanks to Sophie Song). Suppose Bob
went on a date with Alice. Bob was either on time or not (variable B is true
when Bob is on time). Alice, who is fastidious about punctuality chooses
whether to go on a second date (variable A is true when Alice agrees to a
second date). Whether Bob is late depends on which cab company he called
(variable C). Suppose Bob calls one of the cab companies, he was late, and Al-
ice doesn’t ask for a second date. Bob wonders “what if I had called the other

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11.2. Counterfactual Reasoning 279

CBA Counterfactual Example

C B_b B_0 B_1 C'

B A_b A_0 A_1 B'

A A'

Figure 11.3: C → B → A belief network for “what if C”. Figure generated by by

cbaCounter.show()

cab company”. Suppose all variables are Boolean. C causally depends on B,

and not directly on C, and B depends on C, so the appropriate causal model is
C → B → A.
Assume the following probabilities obtained from observations (where the
lower case c represents C = true, and similarly for other variables):

P(c) = 0.5
P(b | c) = P(b | ¬c) = 0.7 (the cab companies are equally reliable)
(a | b) = 0.4, (a | ¬b) = 0.2.

Consider “what if C was True” or “what if C was False”. For example,

suppose A=false and C=false is observed and you want the probability of A if
C were false.
Figure 11.3 shows the paired network for “what if C”. The primed vari-
ables represent the situation where C is counterfactually True or False. In this
network, Cprime should be conditioned on. Conditioning on Cprime should not
affect the non-primed variables. (You should check this).

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 280 11. Causality

probCounterfactual.py — (continued)

19 # as a deterministic system with independent noise

20 C = Variable("C", boolean, position=(0.1,0.8))
21 B = Variable("B", boolean, position=(0.1,0.4))
22 A = Variable("A", boolean, position=(0.1,0.0))
23 Cprime = Variable("C'", boolean, position=(0.9,0.8))
24 Bprime = Variable("B'", boolean, position=(0.9,0.4))
25 Aprime = Variable("A'", boolean, position=(0.9,0.0))
26 B_b = Variable("B_b", boolean, position=(0.3,0.8))
27 B_0 = Variable("B_0", boolean, position=(0.5,0.8))
28 B_1 = Variable("B_1", boolean, position=(0.7,0.8))
29 A_b = Variable("A_b", boolean, position=(0.3,0.4))
30 A_0 = Variable("A_0", boolean, position=(0.5,0.4))
31 A_1 = Variable("A_1", boolean, position=(0.7,0.4))

The conditional probability P(A | B) is represented using three noise parame-

ters, Ab , A0 and A1 , with the equivalence:

a ≡ ab ∨ (¬b ∧ a0 ) ∨ (b ∧ a1 )

Thus ab is the background cause of a, a0 is the cause used when B=false and a1
is the cause used when B=false. Note that this is over parametrized with re-
spect the belief network, using three parameters whereas arbitrary conditional
probability can be represented using two parameters.
The running example where (a | b) = 0.4 and (a | ¬b) = 0.2 can be repre-
sented using

P(ab ) = 0, P(a0 ) = 0.2, P(a1 ) = 0.4

or

P(ab ) = 0.2, P(a0 ) = 0, P(a1 ) = 0.25

(and infinitely many others between these). These cannot be distinguished by

observations or by interventions. As you can see if you play with the code,
these have different counterfactual conclusions.
P(B | C) is represented similarly, using variables Bb , B0 , and B1 .
The following code uses the decision tree representation of conditional prob-
abilities of Section 9.3.4.
probCounterfactual.py — (continued)

33 p_C = Prob(C, [], [0.5,0.5])

34 p_B = ProbDT(B, [C, B_b, B_0, B_1], IFeq(B_b,True,Dist([0,1]),
35 IFeq(C,True,SameAs(B_1),SameAs(B_0))))
36 p_A = ProbDT(A, [B, A_b, A_0, A_1], IFeq(A_b,True,Dist([0,1]),
37 IFeq(B,True,SameAs(A_1),SameAs(A_0))))
38 p_Cprime = Prob(Cprime,[], [0.5,0.5])
39 p_Bprime = ProbDT(Bprime, [Cprime, B_b, B_0, B_1],
40 IFeq(B_b,True,Dist([0,1]),

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 11.2. Counterfactual Reasoning 281

41 IFeq(Cprime,True,SameAs(B_1),SameAs(B_0))))
42 p_Aprime = ProbDT(Aprime, [Bprime, A_b, A_0, A_1],
43 IFeq(A_b,True,Dist([0,1]),
44 IFeq(Bprime,True,SameAs(A_1),SameAs(A_0))))
45 p_b_b = Prob(B_b, [], [1,0])
46 p_b_0 = Prob(B_0, [], [0.3,0.7])
47 p_b_1 = Prob(B_1, [], [0.3,0.7])
48
49 p_a_b = Prob(A_b, [], [1,0])
50 p_a_0 = Prob(A_0, [], [0.8,0.2])
51 p_a_1 = Prob(A_1, [], [0.6,0.4])
52
53 p_b_np = Prob(B, [], [0.3,0.7]) # for AB network
54 p_Bprime_np = Prob(Bprime, [], [0.3,0.7]) # for AB network
55 ab_Counter = BeliefNetwork("AB Counterfactual Example",
56 [A,B,Aprime,Bprime, A_b,A_0,A_1],
57 [p_A, p_b_np, p_Aprime, p_Bprime_np, p_a_b, p_a_0,
p_a_1])
58
59 cbaCounter = BeliefNetwork("CBA Counterfactual Example",
60 [A,B,C, Aprime,Bprime,Cprime, B_b,B_0,B_1, A_b,A_0,A_1],
61 [p_A, p_B, p_C, p_Aprime, p_Bprime, p_Cprime,
62 p_b_b, p_b_0, p_b_1, p_a_b, p_a_0, p_a_1])

Here are some queries you might like to try. The show_post queries might be
most useful if you have the space to show multiple queries.

probCounterfactual.py — (continued)

64 cbaq = ProbRC(cbaCounter)
65 # cbaq.queryDo(Aprime, obs = {C:True, Cprime:False})
66 # cbaq.queryDo(Aprime, obs = {C:False, Cprime:True})
67 # cbaq.queryDo(Aprime, obs = {A:True, C:True, Cprime:False})
68 # cbaq.queryDo(Aprime, obs = {A:False, C:True, Cprime:False})
69 # cbaq.queryDo(Aprime, obs = {A:False, C:True, Cprime:False})
70 # cbaq.queryDo(A_1, obs = {C:True,Aprime:False})
71 # cbaq.queryDo(A_0, obs = {C:True,Aprime:False})
72
73 # cbaq.show_post(obs = {})
74 # cbaq.show_post(obs = {C:True, Cprime:False})
75 # cbaq.show_post(obs = {A:False, C:True, Cprime:False})
76 # cbaq.show_post(obs = {A:True, C:True, Cprime:False})

Exercise 11.1 Consider the scenario “Bob called the first cab (C = true), was
late and Alice agrees to a second date”. What would you expect from the scenario
“what if Bob called the other cab?”. What does the network predict? Design prob-
abilities for the noise variables that fits the conditional probability and also fits
your expectation.
Exercise 11.2 How would you expect the counterfactual conclusion to change
given the following two scenarios that fit the story:

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282 11. Causality

Firing squad observed: {}

S1o Order S2o

False: 0.010 False: 0.900 False: 0.010
True: 0.990 True: 0.100 True: 0.990
S1n S2n
False: 0.990 False: 0.990
True: 0.010 True: 0.010
S1 S2
False: 0.892 False: 0.892
True: 0.108 True: 0.108

Dead
False: 0.882
True: 0.118

Figure 11.4: Firing squad belief network (figure obtained from fsq.show_post({})

• The cabs are both very reliable and start at the same location (and so face the
same traffic).

• The cabs are each 90% reliable and start from opposite directions.

(a) How would you expect the predictions to differ in these two cases?
(b) How can you fit the conditional probabilities above and represent each of
these by changing the probabilities of the noise variables?
(c) How can these be learned from data? (Hint: consider learning a correlation
between the taxi arrivals). Is your approach always applicable? If not, for
which cases is it applicable or not.
Exercise 11.3 Choose two assignments to values to each of ab , a0 and a1 using
a ≡ ab ∨ (¬b ∧ a0 ) ∨ (b ∧ a1 ), and a counterfactual query such that (a) the two
assignments cannot be distinguished by observations or by interventions, and (b)
the predictions for the query differ by an arbitrarluy large amount (differ by 1 − ϵ
for a small value of ϵ, such as ϵ = 0.1).

11.2.2 Firing Squad Example

The following is the firing squad example of Pearl [2009] as a deterministic
system. See Figure 11.4.
probCounterfactual.py — (continued)

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 11.2. Counterfactual Reasoning 283

78 Order = Variable("Order", boolean, position=(0.4,0.8))

79 S1 = Variable("S1", boolean, position=(0.3,0.4))
80 S1o = Variable("S1o", boolean, position=(0.1,0.8))
81 S1n = Variable("S1n", boolean, position=(0.0,0.6))
82 S2 = Variable("S2", boolean, position=(0.5,0.4))
83 S2o = Variable("S2o", boolean, position=(0.7,0.8))
84 S2n = Variable("S2n", boolean, position=(0.8,0.6))
85 Dead = Variable("Dead", boolean, position=(0.4,0.0))

Instead of the tabular representation of the if-then-else structure used for the
A → B → C network above, the following uses the decision tree representation
of conditional probabilities of Section 9.3.4.

probCounterfactual.py — (continued)

87 p_S1 = ProbDT(S1, [Order, S1o, S1n],

88 IFeq(Order,True, SameAs(S1o), SameAs(S1n)))
89 p_S2 = ProbDT(S2, [Order, S2o, S2n],
90 IFeq(Order,True, SameAs(S2o), SameAs(S2n)))
91 p_dead = Prob(Dead, [S1,S2], [[[1,0],[0,1]],[[0,1],[0,1]]])
92 #IFeq(S1,True,True,SameAs(S2)))
93 p_order = Prob(Order, [], [0.9, 0.1])
94 p_s1o = Prob(S1o, [], [0.01, 0.99])
95 p_s1n = Prob(S1n, [], [0.99, 0.01])
96 p_s2o = Prob(S2o, [], [0.01, 0.99])
97 p_s2n = Prob(S2n, [], [0.99, 0.01])
98
99 firing_squad = BeliefNetwork("Firing squad",
100 [Order, S1, S1o, S1n, S2, S2o, S2n, Dead],
101 [p_order, p_dead, p_S1, p_s1o, p_s1n, p_S2, p_s2o,
p_s2n])
102 fsq = ProbRC(firing_squad)
103 # fsq.queryDo(Dead)
104 # fsq.queryDo(Order, obs={Dead:True})
105 # fsq.queryDo(Dead, obs={Order:True})
106 # fsq.show_post({})
107 # fsq.show_post({Dead:True})
108 # fsq.show_post({S2:True})

Exercise 11.4 Create the network for “what if shooter 2 did or did not shoot”.
Give the probabilities of the following counterfactuals:
(a) The prisoner is dead; what is the probability that the prisoner would be dead
if shooter 2 did not shoot?
(b) Shooter 2 shot; what is the probability that the prisoner would be dead if
shooter 2 did not shoot?
(c) No order was given, but the prisoner is dead; what is the probability that
the prisoner would be dead if shooter 2 did not shoot?
Exercise 11.5 Create the network for “what if the order was or was not given”.
Give the probabilities of the following counterfactuals:

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284 11. Causality

(a) The prisoner is dead; what is the probability that the prisoner would be dead
if the order was not given?
(b) The prisoner is not dead; what is the probability that the prisoner would be
dead if the order was not given? (Is this different from the prior that the
prisoner is dead, or the posterior that the prisoner was dead given the order
was not given).
(c) Shooter 2 shot; what is the probability that the prisoner would be dead if the
order was not given?
(d) Shooter 2 did not shoot; what is the probability that the prisoner would be
dead if the order was given? (Is this different from the probability that the
the prisoner would be dead if the order was given without the counterfac-
tual observation)?

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 Chapter 12

Planning with Uncertainty

12.1 Decision Networks

The decision network code builds on the representation for belief networks of
Chapter 9.
First, define factors that define the utility. Here the utility is a function
of the variables in vars. In a utility table the utility is defined in terms of a
tabular factor – a list that enumerates the values – as in Section 9.3.3. Another
representations for factors (Section 9.2) could able be used.

decnNetworks.py — Representations for Decision Networks

11 from probGraphicalModels import GraphicalModel, BeliefNetwork
12 from probFactors import Factor, CPD, TabFactor, factor_times, Prob
13 from variable import Variable
14 import matplotlib.pyplot as plt
15
16 class Utility(Factor):
17 """A factor defining a utility"""
18 pass
19
20 class UtilityTable(TabFactor, Utility):
21 """A factor defining a utility using a table"""
22 def __init__(self, vars, table, position=None):
23 """Creates a factor on vars from the table.
24 The table is ordered according to vars.
25 """
26 TabFactor.__init__(self,vars,table, name="Utility")
27 self.position = position

A decision variable is like a random variable with a string name, and a do-
main, which is a list of possible values. The decision variable also includes the

285
 286 12. Planning with Uncertainty

parents, a list of the variables whose value will be known when the decision is
made. It also includes a position, which is used for plotting.
decnNetworks.py — (continued)

29 class DecisionVariable(Variable):
30 def __init__(self, name, domain, parents, position=None):
31 Variable.__init__(self, name, domain, position)
32 self.parents = parents
33 self.all_vars = set(parents) | {self}
A decision network is a graphical model where the variables can be random
variables or decision variables. Among the factors we assume there is one
utility factor. Note that this is an instance of BeliefNetwork but overrides
__init__.
decnNetworks.py — (continued)

35 class DecisionNetwork(BeliefNetwork):
36 def __init__(self, title, vars, factors):
37 """title is a string
38 vars is a list of variables (random and decision)
39 factors is a list of factors (instances of CPD and Utility)
40 """
41 GraphicalModel.__init__(self, title, vars, factors)
42 # not BeliefNetwork.__init__
43 self.var2parents = ({v : v.parents for v in vars
44 if isinstance(v,DecisionVariable)}
45 | {f.child:f.parents for f in factors
46 if isinstance(f,CPD)})
47 self.children = {n:[] for n in self.variables}
48 for v in self.var2parents:
49 for par in self.var2parents[v]:
50 self.children[par].append(v)
51 self.utility_factor = [f for f in factors
52 if isinstance(f,Utility)][0]
53 self.topological_sort_saved = None
54
55 def __str__(self):
56 return self.title
The split order ensures that the parents of a decision node are split before
the decision node, and no other variables (if that is possible).
decnNetworks.py — (continued)

58 def split_order(self):
59 so = []
60 tops = self.topological_sort()
61 for v in tops:
62 if isinstance(v,DecisionVariable):
63 so += [p for p in v.parents if p not in so]
64 so.append(v)
65 so += [v for v in tops if v not in so]
66 return so

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decnNetworks.py — (continued)

68 def show(self, fontsize=10,

69 colors={'utility':'red', 'decision':'lime', 'random':'orange'}):
70 plt.ion() # interactive
71 fig, ax = plt.subplots()
72 ax.set_axis_off()
73 ax.set_title(self.title, fontsize=fontsize)
74 for par in self.utility_factor.variables:
75 ax.annotate("Utility", par.position,
76 xytext=self.utility_factor.position,
77 arrowprops={'arrowstyle':'<-'},
78 bbox=dict(boxstyle="sawtooth,pad=1.0",
79 facecolor=colors['utility']),
80 ha='center', va='center', fontsize=fontsize)
81 for var in reversed(self.topological_sort()):
82 if isinstance(var,DecisionVariable):
83 bbox = dict(boxstyle="square,pad=1.0",
84 facecolor=colors['decision'])
85 else:
86 bbox = dict(boxstyle="round4,pad=1.0,rounding_size=0.5",
87 facecolor=colors['random'])
88 if self.var2parents[var]:
89 for par in self.var2parents[var]:
90 ax.annotate(var.name, par.position, xytext=var.position,
91 arrowprops={'arrowstyle':'<-'},bbox=bbox,
92 ha='center', va='center',
93 fontsize=fontsize)
94 else:
95 x,y = var.position
96 ax.text(x,y,var.name,bbox=bbox,ha='center', va='center',
fontsize=fontsize)

12.1.1 Example Decision Networks

Umbrella Decision Network
Here is a simple "umbrella" decision network. The output of umbrella_dn.show()
is shown in Figure 12.1.
decnNetworks.py — (continued)

98 Weather = Variable("Weather", ["NoRain", "Rain"],

99 position=(0.5,0.8))
100 Forecast = Variable("Forecast", ["Sunny", "Cloudy", "Rainy"],
101 position=(0,0.4))
102 # Each variant uses one of the following:
103 Umbrella = DecisionVariable("Umbrella", ["Take", "Leave"], {Forecast},
104 position=(0.5,0))
105
106 p_weather = Prob(Weather, [], {"NoRain":0.7, "Rain":0.3})
107 p_forecast = Prob(Forecast, [Weather],

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 288 12. Planning with Uncertainty

Umbrella Decision Network

Weather

Forecast Utility

Umbrella

Figure 12.1: The umbrella decision network. Figure generated by

umbrella_dn.show()

108 {"NoRain":{"Sunny":0.7, "Cloudy":0.2, "Rainy":0.1},

109 "Rain":{"Sunny":0.15, "Cloudy":0.25, "Rainy":0.6}})
110 umb_utility = UtilityTable([Weather, Umbrella],
111 {"NoRain":{"Take":20, "Leave":100},
112 "Rain":{"Take":70, "Leave":0}}, position=(1,0.4))
113
114 umbrella_dn = DecisionNetwork("Umbrella Decision Network",
115 {Weather, Forecast, Umbrella},
116 {p_weather, p_forecast, umb_utility})
117
118 # umbrella_dn.show()
119 # umbrella_dn.show(fontsize=15)
The following is a variant with the umbrella decision having 2 parents; nothing
else has changed. This is interesting because one of the parents is not needed;
if the agent knows the weather, it can ignore the forecast.
decnNetworks.py — (continued)

121 Umbrella2p = DecisionVariable("Umbrella", ["Take", "Leave"],

122 {Forecast, Weather}, position=(0.5,0))
123 umb_utility2p = UtilityTable([Weather, Umbrella2p],
124 {"NoRain":{"Take":20, "Leave":100},
125 "Rain":{"Take":70, "Leave":0}},
126 position=(1,0.4))

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 12.1. Decision Networks 289

Fire Decision Network

Tamper Fire

Alarm Smoke Utility

Leaving Chk_Sm See_Sm

Report Call

Figure 12.2: Fire Decision Network. Figure generated by fire_dn.show()

127 umbrella_dn2p = DecisionNetwork("Umbrella Decision Network (extra arc)",

128 {Weather, Forecast, Umbrella2p},
129 {p_weather, p_forecast, umb_utility2p})
130
131 # umbrella_dn2p.show()
132 # umbrella_dn2p.show(fontsize=15)

Fire Decision Network

The fire decision network of Figure 12.2 (showing the result of fire_dn.show())
is represented as:

decnNetworks.py — (continued)

134 boolean = [False, True]

135 Alarm = Variable("Alarm", boolean, position=(0.25,0.633))
136 Fire = Variable("Fire", boolean, position=(0.5,0.9))
137 Leaving = Variable("Leaving", boolean, position=(0.25,0.366))
138 Report = Variable("Report", boolean, position=(0.25,0.1))
139 Smoke = Variable("Smoke", boolean, position=(0.75,0.633))
140 Tamper = Variable("Tamper", boolean, position=(0,0.9))
141
142 See_Sm = Variable("See_Sm", boolean, position=(0.75,0.366) )
143 Chk_Sm = DecisionVariable("Chk_Sm", boolean, {Report},

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 290 12. Planning with Uncertainty

144 position=(0.5, 0.366))

145 Call = DecisionVariable("Call", boolean,{See_Sm,Chk_Sm,Report},
146 position=(0.75,0.1))
147
148 f_ta =
Prob(Tamper,[],[0.98,0.02])
149 f_fi =
Prob(Fire,[],[0.99,0.01])
150 f_sm =
Prob(Smoke,[Fire],[[0.99,0.01],[0.1,0.9]])
151 f_al =
Prob(Alarm,[Fire,Tamper],[[[0.9999, 0.0001], [0.15, 0.85]],
152 [[0.01, 0.99], [0.5, 0.5]]])
153 f_lv = Prob(Leaving,[Alarm],[[0.999, 0.001], [0.12, 0.88]])
154 f_re = Prob(Report,[Leaving],[[0.99, 0.01], [0.25, 0.75]])
155 f_ss = Prob(See_Sm,[Chk_Sm,Smoke],[[[1,0],[1,0]],[[1,0],[0,1]]])
156
157 ut = UtilityTable([Chk_Sm,Fire,Call],
158 [[[0,-200],[-5000,-200]],[[-20,-220],[-5020,-220]]],
159 position=(1,0.633))
160
161 fire_dn = DecisionNetwork("Fire Decision Network",
162 {Tamper,Fire,Alarm,Leaving,Smoke,Call,See_Sm,Chk_Sm,Report},
163 {f_ta,f_fi,f_sm,f_al,f_lv,f_re,f_ss,ut})
164
165 # print(ut.to_table())
166 # fire_dn.show()
167 # fire_dn.show(fontsize=15)

Cheating Decision Network

The following is the representation of the cheating decision shown in Figure
12.3. Someone has to decide whether to cheat at two different times. Cheat-
ing can improve grades. However, someone is watching for cheating, and if
caught, results in punishment. The utility is a combination of final grade and
the punishment. The decision maker finds out whether they were caught the
first time when they have to decide whether to cheat the second time.

decnNetworks.py — (continued)

169 grades = ['A','B','C','F']

170 Watched = Variable("Watched", boolean, position=(0,0.9))
171 Caught1 = Variable("Caught1", boolean, position=(0.2,0.7))
172 Caught2 = Variable("Caught2", boolean, position=(0.6,0.7))
173 Punish = Variable("Punish", ["None","Suspension","Recorded"],
174 position=(0.8,0.9))
175 Grade_1 = Variable("Grade_1", grades, position=(0.2,0.3))
176 Grade_2 = Variable("Grade_2", grades, position=(0.6,0.3))
177 Fin_Grd = Variable("Fin_Grd", grades, position=(0.8,0.1))
178 Cheat_1 = DecisionVariable("Cheat_1", boolean, set(), position=(0,0.5))
179 Cheat_2 = DecisionVariable("Cheat_2", boolean, {Cheat_1,Caught1},
180 position=(0.4,0.5))
181
182 p_wa = Prob(Watched,[],[0.7, 0.3])

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 12.1. Decision Networks 291

Cheating Decision Network

Watched Punish

Caught1 Caught2

Cheat_1 Cheat_2 Utility

Grade_1 Grade_2

Fin_Grd

Figure 12.3: Cheating Decision Network (cheating_dn.show())

183 p_cc1 = Prob(Caught1,[Watched,Cheat_1],[[[1.0, 0.0], [0.9, 0.1]],

184 [[1.0, 0.0], [0.5, 0.5]]])
185 p_cc2 = Prob(Caught2,[Watched,Cheat_2],[[[1.0, 0.0], [0.9, 0.1]],
186 [[1.0, 0.0], [0.5, 0.5]]])
187 p_pun = Prob(Punish,[Caught1,Caught2],
188 [[{"None":0,"Suspension":0,"Recorded":0},
189 {"None":0.5,"Suspension":0.4,"Recorded":0.1}],
190 [{"None":0.6,"Suspension":0.2,"Recorded":0.2},
191 {"None":0.2,"Suspension":0.3,"Recorded":0.3}]])
192 p_gr1 = Prob(Grade_1,[Cheat_1], [{'A':0.2, 'B':0.3, 'C':0.3, 'F': 0.2},
193 {'A':0.5, 'B':0.3, 'C':0.2, 'F':0.0}])
194 p_gr2 = Prob(Grade_2,[Cheat_2], [{'A':0.2, 'B':0.3, 'C':0.3, 'F': 0.2},
195 {'A':0.5, 'B':0.3, 'C':0.2, 'F':0.0}])
196 p_fg = Prob(Fin_Grd,[Grade_1,Grade_2],
197 {'A':{'A':{'A':1.0, 'B':0.0, 'C': 0.0, 'F':0.0},
198 'B': {'A':0.5, 'B':0.5, 'C': 0.0, 'F':0.0},
199 'C':{'A':0.25, 'B':0.5, 'C': 0.25, 'F':0.0},
200 'F':{'A':0.25, 'B':0.25, 'C': 0.25, 'F':0.25}},
201 'B':{'A':{'A':0.5, 'B':0.5, 'C': 0.0, 'F':0.0},
202 'B': {'A':0.0, 'B':1, 'C': 0.0, 'F':0.0},
203 'C':{'A':0.0, 'B':0.5, 'C': 0.5, 'F':0.0},
204 'F':{'A':0.0, 'B':0.25, 'C': 0.5, 'F':0.25}},
205 'C':{'A':{'A':0.25, 'B':0.5, 'C': 0.25, 'F':0.0},
206 'B': {'A':0.0, 'B':0.5, 'C': 0.5, 'F':0.0},

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 292 12. Planning with Uncertainty

207 'C':{'A':0.0, 'B':0.0, 'C': 1, 'F':0.0},

208 'F':{'A':0.0, 'B':0.0, 'C': 0.5, 'F':0.5}},
209 'F':{'A':{'A':0.25, 'B':0.25, 'C': 0.25, 'F':0.25},
210 'B': {'A':0.0, 'B':0.25, 'C': 0.5, 'F':0.25},
211 'C':{'A':0.0, 'B':0.0, 'C': 0.5, 'F':0.5},
212 'F':{'A':0.0, 'B':0.0, 'C': 0, 'F':1.0}}})
213
214 utc = UtilityTable([Punish,Fin_Grd],
215 {'None':{'A':100, 'B':90, 'C': 70, 'F':50},
216 'Suspension':{'A':40, 'B':20, 'C': 10, 'F':0},
217 'Recorded':{'A':70, 'B':60, 'C': 40, 'F':20}},
218 position=(1,0.5))
219
220 cheating_dn = DecisionNetwork("Cheating Decision Network",
221 {Punish,Caught2,Watched,Fin_Grd,Grade_2,Grade_1,Cheat_2,Caught1,Cheat_1},
222 {p_wa, p_cc1, p_cc2, p_pun, p_gr1, p_gr2,p_fg,utc})
223
224 # cheating_dn.show()
225 # cheating_dn.show(fontsize=15)

Chain of 3 decisions
The following decision network represents a finite-stage fully-observable Markov
decision process with a single reward (utility) at the end. It is interesting be-
cause the parents do not include all the predecessors. The methods we use will
work without change on this, even though the agent does not condition on all
of its previous observations and actions. The output of ch3.show() is shown in
Figure 12.4.

decnNetworks.py — (continued)

227 S0 = Variable('S0', boolean, position=(0,0.5))

228 D0 = DecisionVariable('D0', boolean, {S0}, position=(1/7,0.1))
229 S1 = Variable('S1', boolean, position=(2/7,0.5))
230 D1 = DecisionVariable('D1', boolean, {S1}, position=(3/7,0.1))
231 S2 = Variable('S2', boolean, position=(4/7,0.5))
232 D2 = DecisionVariable('D2', boolean, {S2}, position=(5/7,0.1))
233 S3 = Variable('S3', boolean, position=(6/7,0.5))
234
235 p_s0 = Prob(S0, [], [0.5,0.5])
236 tr = [[[0.1, 0.9], [0.9, 0.1]], [[0.2, 0.8], [0.8, 0.2]]] # 0 is flip, 1
is keep value
237 p_s1 = Prob(S1, [D0,S0], tr)
238 p_s2 = Prob(S2, [D1,S1], tr)
239 p_s3 = Prob(S3, [D2,S2], tr)
240
241 ch3U = UtilityTable([S3],[0,1], position=(7/7,0.9))
242
243 ch3 = DecisionNetwork("3-chain",
{S0,D0,S1,D1,S2,D2,S3},{p_s0,p_s1,p_s2,p_s3,ch3U})

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 12.1. Decision Networks 293

3-chain

Utility

S0 S1 S2 S3

D0 D1 D2

Figure 12.4: A decision network that is a chain of 3 decisions (ch3.show())

244
245 # ch3.show()
246 # ch3.show(fontsize=15)

12.1.2 Decision Functions

The output of an optimization function is an optimal policy and its expected
value. A policy is a list of decision functions. A decision function is the action
for each decision variable as a function of its parents.
Let’s represent the factor for a decision function as a dictionary.

decnNetworks.py — (continued)

248 class DictFactor(Factor):

249 """A factor that represents its values using a dictionary"""
250 def __init__(self, *pargs, **kwargs):
251 self.values = {}
252 Factor.__init__(self, *pargs, **kwargs)
253
254 def assign(self, assignment, value):
255 self.values[frozenset(assignment.items())] = value
256
257 def get_value(self, assignment):
258 ass = frozenset(assignment.items())

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 294 12. Planning with Uncertainty

259 assert ass in self.values, f"assignment {assignment} cannot be

evaluated"
260 return self.values[ass]
261
262 class DecisionFunction(DictFactor):
263 def __init__(self, decision, parents):
264 """ A decision function
265 decision is a decision variable
266 parents is a set of variables
267 """
268 self.decision = decision
269 self.parent = parents
270 DictFactor.__init__(self, parents, name=decision.name)

12.1.3 Recursive Conditioning for Decision Networks

An instance of a RC_DN object takes in a decision network. The query method
uses recursive conditioning to compute the expected utility of the optimal pol-
icy. When it is finished, self.opt_policy is the optimal policy.
decnNetworks.py — (continued)

272 import math

273 from display import Displayable
274 from probGraphicalModels import GraphicalModel
275 from probFactors import Factor
276 from probRC import connected_components
277
278 class RC_DN(Displayable):
279 """The class that finds the optimal policy for a decision network.
280
281 dn is graphical model to query
282 """
283
284 def __init__(self, dn):
285 self.dn = dn
286 self.cache = {(frozenset(), frozenset()):1}
287 ## self.max_display_level = 3
288
289 def optimize(self, split_order=None, algorithm=None):
290 """computes expected utility, and creates optimal decision
functions, where
291 elim_order is a list of the non-observed non-query variables in dn
292 algorithm is the (search algorithm to use). Default is self.rc
293 """
294 if algorithm is None:
295 algorithm = self.rc
296 if split_order == None:
297 split_order = self.dn.split_order()
298 self.opt_policy = {v:DecisionFunction(v, v.parents)
299 for v in self.dn.variables

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 12.1. Decision Networks 295

300 if isinstance(v,DecisionVariable)}
301 return algorithm({}, self.dn.factors, split_order)
302
303 def show_policy(self):
304 print('\n'.join(df.to_table() for df in self.opt_policy.values()))
The following is the simplest search-based algorithm. It is exponential in
the number of variables, so is not very useful. However, it is simple, and help-
ful to understand before looking at the more complicated algorithm. Note
that the above code does not call rc0; you will need to change the self.rc
to self.rc0 in above code to use it.
decnNetworks.py — (continued)

306 def rc0(self, context, factors, split_order):

307 """simplest search algorithm
308 context is a variable:value dictionary
309 factors is a set of factors
310 split_order is a list of variables in factors that are not in
context
311 """
312 self.display(3,"calling rc0,",(context,factors),"with
SO",split_order)
313 if not factors:
314 return 1
315 elif to_eval := {fac for fac in factors if
fac.can_evaluate(context)}:
316 self.display(3,"rc0 evaluating factors",to_eval)
317 val = math.prod(fac.get_value(context) for fac in to_eval)
318 return val * self.rc0(context, factors-to_eval, split_order)
319 else:
320 var = split_order[0]
321 self.display(3, "rc0 branching on", var)
322 if isinstance(var,DecisionVariable):
323 assert set(context) <= set(var.parents), f"cannot optimize
{var} in context {context}"
324 maxres = -math.inf
325 for val in var.domain:
326 self.display(3,"In rc0, branching on",var,"=",val)
327 newres = self.rc0({var:val}|context, factors,
split_order[1:])
328 if newres > maxres:
329 maxres = newres
330 theval = val
331 self.opt_policy[var].assign(context,theval)
332 return maxres
333 else:
334 total = 0
335 for val in var.domain:
336 total += self.rc0({var:val}|context, factors,
split_order[1:])
337 self.display(3, "rc0 branching on", var,"returning", total)

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338 return total

We can combine the optimization for decision networks above, with the
improvements of recursive conditioning used for graphical models (Section
9.7, page 222).
decnNetworks.py — (continued)

340 def rc(self, context, factors, split_order):

341 """ returns the number sum_{split_order} prod_{factors} given
assignments in context
342 context is a variable:value dictionary
343 factors is a set of factors
344 split_order is a list of variables in factors that are not in
context
345 """
346 self.display(3,"calling rc,",(context,factors))
347 ce = (frozenset(context.items()), frozenset(factors)) # key for the
cache entry
348 if ce in self.cache:
349 self.display(2,"rc cache lookup",(context,factors))
350 return self.cache[ce]
351 # if not factors: # no factors; needed if you don't have forgetting
and caching
352 # return 1
353 elif vars_not_in_factors := {var for var in context
354 if not any(var in fac.variables for
fac in factors)}:
355 # forget variables not in any factor
356 self.display(3,"rc forgetting variables", vars_not_in_factors)
357 return self.rc({key:val for (key,val) in context.items()
358 if key not in vars_not_in_factors},
359 factors, split_order)
360 elif to_eval := {fac for fac in factors if
fac.can_evaluate(context)}:
361 # evaluate factors when all variables are assigned
362 self.display(3,"rc evaluating factors",to_eval)
363 val = math.prod(fac.get_value(context) for fac in to_eval)
364 if val == 0:
365 return 0
366 else:
367 return val * self.rc(context, {fac for fac in factors if fac
not in to_eval}, split_order)
368 elif len(comp := connected_components(context, factors,
split_order)) > 1:
369 # there are disconnected components
370 self.display(2,"splitting into connected components",comp)
371 return(math.prod(self.rc(context,f,eo) for (f,eo) in comp))
372 else:
373 assert split_order, f"split_order empty rc({context},{factors})"
374 var = split_order[0]
375 self.display(3, "rc branching on", var)

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 12.1. Decision Networks 297

376 if isinstance(var,DecisionVariable):
377 assert set(context) <= set(var.parents), f"cannot optimize
{var} in context {context}"
378 maxres = -math.inf
379 for val in var.domain:
380 self.display(3,"In rc, branching on",var,"=",val)
381 newres = self.rc({var:val}|context, factors,
split_order[1:])
382 if newres > maxres:
383 maxres = newres
384 theval = val
385 self.opt_policy[var].assign(context,theval)
386 self.cache[ce] = maxres
387 return maxres
388 else:
389 total = 0
390 for val in var.domain:
391 total += self.rc({var:val}|context, factors,
split_order[1:])
392 self.display(3, "rc branching on", var,"returning", total)
393 self.cache[ce] = total
394 return total
Here is how to run the optimizer on the example decision networks:
decnNetworks.py — (continued)

396 # Umbrella decision network

397 #urc = RC_DN(umbrella_dn)
398 #urc.optimize(algorithm=urc.rc0) #RC0
399 #urc.optimize() #RC
400 #urc.show_policy()
401
402 #rc_fire = RC_DN(fire_dn)
403 #rc_fire.optimize()
404 #rc_fire.show_policy()
405
406 #rc_cheat = RC_DN(cheating_dn)
407 #rc_cheat.optimize()
408 #rc_cheat.show_policy()
409
410 #rc_ch3 = RC_DN(ch3)
411 #rc_ch3.optimize()
412 #rc_ch3.show_policy()
413 # rc_ch3.optimize(algorithm=rc_ch3.rc0) # why does that happen?

12.1.4 Variable elimination for decision networks

VE_DN is variable elimination for decision networks. The method optimize is
used to optimize all the decisions. Note that optimize requires a legal elimina-
tion ordering of the random and decision variables, otherwise it will give an

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exception. (A decision node can only be maximized if the variables that are not
its parents have already been eliminated.)

decnNetworks.py — (continued)

415 from probVE import VE

416
417 class VE_DN(VE):
418 """Variable Elimination for Decision Networks"""
419 def __init__(self,dn=None):
420 """dn is a decision network"""
421 VE.__init__(self,dn)
422 self.dn = dn
423
424 def optimize(self,elim_order=None,obs={}):
425 if elim_order == None:
426 elim_order = reversed(self.dn.split_order())
427 self.opt_policy = {}
428 proj_factors = [self.project_observations(fact,obs)
429 for fact in self.dn.factors]
430 for v in elim_order:
431 if isinstance(v,DecisionVariable):
432 to_max = [fac for fac in proj_factors
433 if v in fac.variables and set(fac.variables) <=
v.all_vars]
434 assert len(to_max)==1, "illegal variable order
"+str(elim_order)+" at "+str(v)
435 newFac = FactorMax(v, to_max[0])
436 self.opt_policy[v]=newFac.decision_fun
437 proj_factors = [fac for fac in proj_factors if fac is not
to_max[0]]+[newFac]
438 self.display(2,"maximizing",v )
439 self.display(3,newFac)
440 else:
441 proj_factors = self.eliminate_var(proj_factors, v)
442 assert len(proj_factors)==1,"Should there be only one element of
proj_factors?"
443 return proj_factors[0].get_value({})
444
445 def show_policy(self):
446 print('\n'.join(df.to_table() for df in self.opt_policy.values()))

decnNetworks.py — (continued)

448 class FactorMax(TabFactor):

449 """A factor obtained by maximizing a variable in a factor.
450 Also builds a decision_function. This is based on FactorSum.
451 """
452
453 def __init__(self, dvar, factor):
454 """dvar is a decision variable.
455 factor is a factor that contains dvar and only parents of dvar

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 12.1. Decision Networks 299

456 """
457 self.dvar = dvar
458 self.factor = factor
459 vars = [v for v in factor.variables if v is not dvar]
460 Factor.__init__(self,vars)
461 self.values = {}
462 self.decision_fun = DecisionFunction(dvar, dvar.parents)
463
464 def get_value(self,assignment):
465 """lazy implementation: if saved, return saved value, else compute
it"""
466 new_asst = {x:v for (x,v) in assignment.items() if x in
self.variables}
467 asst = frozenset(new_asst.items())
468 if asst in self.values:
469 return self.values[asst]
470 else:
471 max_val = float("-inf") # -infinity
472 for elt in self.dvar.domain:
473 fac_val = self.factor.get_value(assignment|{self.dvar:elt})
474 if fac_val>max_val:
475 max_val = fac_val
476 best_elt = elt
477 self.values[asst] = max_val
478 self.decision_fun.assign(assignment, best_elt)
479 return max_val

Here are some example queries:

decnNetworks.py — (continued)

481 # Example queries:

482 # vf = VE_DN(fire_dn)
483 # vf.optimize()
484 # vf.show_policy()
485
486 # VE_DN.max_display_level = 3 # if you want to show lots of detail
487 # vc = VE_DN(cheating_dn)
488 # vc.optimize()
489 # vc.show_policy()
490
491 def test(dn):
492 rc0dn = RC_DN(dn)
493 rc0v = rc0dn.optimize(algorithm=rc0dn.rc0)
494 rcdn = RC_DN(dn)
495 rcv = rcdn.optimize()
496 assert abs(rc0v-rcv)<1e-10, f"rc0 produces {rc0v}; rc produces {rcv}"
497 vedn = VE_DN(dn)
498 vev = vedn.optimize()
499 assert abs(vev-rcv)<1e-10, f"VE_DN produces {vev}; RC produces {rcv}"
500 print(f"passed unit test. rc0, rc and VE gave same result for {dn}")
501

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502 if __name__ == "__main__":

503 test(fire_dn)

12.2 Markov Decision Processes

The following represent a Markov decision process (MDP) directly, rather
than using the recursive conditioning or variable elimination code.
mdpProblem.py — Representations for Markov Decision Processes
11 import random
12 from display import Displayable
13 from utilities import argmaxd
14
15 class MDP(Displayable):
16 """A Markov Decision Process. Must define:
17 title a string that gives the title of the MDP
18 states the set (or list) of states
19 actions the set (or list) of actions
20 discount a real-valued discount
21 """
22
23 def __init__(self, title, states, actions, discount, init=0):
24 self.title = title
25 self.states = states
26 self.actions = actions
27 self.discount = discount
28 self.initv = self.V = {s:init for s in self.states}
29 self.initq = self.Q = {s: {a: init for a in self.actions} for s in
self.states}
30
31 def P(self,s,a):
32 """Transition probability function
33 returns a dictionary of {s1:p1} such that P(s1 | s,a)=p1,
34 and other probabilities are zero.
35 """
36 raise NotImplementedError("P") # abstract method
37
38 def R(self,s,a):
39 """Reward function R(s,a)
40 returns the expected reward for doing a in state s.
41 """
42 raise NotImplementedError("R") # abstract method

Two state partying example (Example 12.29 in Poole and Mackworth [2023]):

mdpExamples.py — MDP Examples

11 from mdpProblem import MDP, ProblemDomain, distribution
12 from mdpGUI import GridDomain

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 12.2. Markov Decision Processes 301

13 import matplotlib.pyplot as plt

14
15 class partyMDP(MDP):
16 """Simple 2-state, 2-Action Partying MDP Example"""
17 def __init__(self, discount=0.9):
18 states = {'healthy','sick'}
19 actions = {'relax', 'party'}
20 MDP.__init__(self, "party MDP", states, actions, discount)
21
22 def R(self,s,a):
23 "R(s,a)"
24 return { 'healthy': {'relax': 7, 'party': 10},
25 'sick': {'relax': 0, 'party': 2 }}[s][a]
26
27 def P(self,s,a):
28 "returns a dictionary of {s1:p1} such that P(s1 | s,a)=p1. Other
probabilities are zero."
29 phealthy = { # P('healthy' | s, a)
30 'healthy': {'relax': 0.95, 'party': 0.7},
31 'sick': {'relax': 0.5, 'party': 0.1 }}[s][a]
32 return {'healthy':phealthy, 'sick':1-phealthy}
The distribution class is used to represent distributions as they are being
created. Probability distributions are represented as item : value dictionaries.
When being constructed, adding an item : value to the dictionary has to act
differently when the item is already in the dictionary and when it isn’t. The
add_prob method works whether the item is in the dictionary or not.
mdpProblem.py — (continued)

44 class distribution(dict):
45 """A distribution is an item:prob dictionary.
46 Probabilities are added using add_prop.
47 """
48 def __init__(self,d):
49 dict.__init__(self,d)
50
51 def add_prob(self, item, pr):
52 """adds a probability to a distribution.
53 Like dictionary assignment, but if item is already there, the
values are summed
54 """
55 if item in self:
56 self[item] += pr
57 else:
58 self[item] = pr
59 return self

12.2.1 Problem Domains

An MDP does not contain enough information to simulate a domain, because

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 302 12. Planning with Uncertainty

(a) the rewards and resulting state can be correlated (e.g., in the grid do-
mains below, crashing into a wall results in both a negative reward and
the agent not moving), and
(b) it represents the expected reward (e.g., a reward of 1 is has the same ex-
pected value as a reward of 100 with probability 1/100 and 0 otherwise,
but these are different in a simulation).
A problem domain represents a problem as a function result from states
and actions into a distribution of (state, reward) pairs. This can be a subclass of
MDP because it implements R and P. A problem domain also specifies an initial
state and coordinate information used by the graphical user interfaces.
mdpProblem.py — (continued)

61 class ProblemDomain(MDP):
62 """A ProblemDomain implements
63 self.result(state, action) -> {(reward, state):probability}.
64 Other pairs have probability are zero.
65 The probabilities must sum to 1.
66 """
67 def __init__(self, title, states, actions, discount,
68 initial_state=None, x_dim=0, y_dim = 0,
69 vinit=0, offsets={}):
70 """A problem domain
71 * title is list of titles
72 * states is the list of states
73 * actions is the list of actions
74 * discount is the discount factor
75 * initial_state is the state the agent starts at (for simulation)
if known
76 * x_dim and y_dim are the dimensions used by the GUI to show the
states in 2-dimensions
77 * vinit is the initial value
78 * offsets is a {action:(x,y)} map which specifies how actions are
displayed in GUI
79 """
80 MDP.__init__(self, title, states, actions, discount)
81 if initial_state is not None:
82 self.state = initial_state
83 else:
84 self.state = random.choice(states)
85 self.vinit = vinit # value to reset v,q to
86 # The following are for the GUI:
87 self.x_dim = x_dim
88 self.y_dim = y_dim
89 self.offsets = offsets
90
91 def state2pos(self,state):
92 """When displaying as a grid, this specifies how the state is
mapped to (x,y) position.
93 The default is for domains where the (x,y) position is the state

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 12.2. Markov Decision Processes 303

94 """
95 return state
96
97 def state2goal(self,state):
98 """When displaying as a grid, this specifies how the state is
mapped to goal position.
99 The default is for domains where there is no goal
100 """
101 return None
102
103 def pos2state(self,pos):
104 """When displaying as a grid, this specifies how the state is
mapped to (x,y) position.
105 The default is for domains where the (x,y) position is the state
106 """
107 return pos
108
109 def P(self, state, action):
110 """Transition probability function
111 returns a dictionary of {s1:p1} such that P(s1 | state,action)=p1.
112 Other probabilities are zero.
113 """
114 res = self.result(state, action)
115 acc = 1e-6 # accuracy for test of equality
116 assert 1-acc<sum(res.values())<1+acc, f"result({state},{action})
not a distribution, sum={sum(res.values())}"
117 dist = distribution({})
118 for ((r,s),p) in res.items():
119 dist.add_prob(s,p)
120 return dist
121
122 def R(self, state, action):
123 """Reward function R(s,a)
124 returns the expected reward for doing a in state s.
125 """
126 return sum(r*p for ((r,s),p) in self.result(state, action).items())

Tiny Game
The next example is the tiny game from Example 13.1 and Figure 13.1 of Poole
and Mackworth [2023], shown here as Figure 12.5. There are 6 states and 4
actions. The state is represented as (x, y) where x counts from zero from the
left, and y counts from zero upwards, so the state (0, 0) is on the bottom-left.
The actions are upC for up-careful, upR for up-risky, left, and right. Going left
from (0, 2) results in a reward of 10 and ending up in state (0, 0); going left
from (0, 1) results in a reward of −100 and staying there. Up-risky goes up but
with a chance of going left or right. Up careful goes up, but has a reward of
−1. Left and right are deterministic. Crashing into a wall results in a reward of
−1 and staying still.

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 304 12. Planning with Uncertainty

(0,2) (1,2)
+10
-100 (0,1) (1,1)

(0,0) (1,0)

Figure 12.5: Tiny game

(Note that GridDomain means that it can be shown with the MDP GUI in
Section 12.2.3).

mdpExamples.py — (continued)

34 class MDPtiny(ProblemDomain, GridDomain):

35 def __init__(self, discount=0.9):
36 x_dim = 2 # x-dimension
37 y_dim = 3
38 ProblemDomain.__init__(self,
39 "Tiny MDP", # title
40 [(x,y) for x in range(x_dim) for y in range(y_dim)], #states
41 ['right', 'upC', 'left', 'upR'], #actions
42 discount,
43 x_dim=x_dim, y_dim = y_dim,
44 offsets = {'right':(0.25,0), 'upC':(0,-0.25), 'left':(-0.25,0),
'upR':(0,0.25)}
45 )
46
47 def result(self, state, action):
48 """return a dictionary of {(r,s):p} where p is the probability of
reward r, state s
49 a state is an (x,y) pair
50 """
51 (x,y) = state
52 right = (-x,(1,y)) # reward is -1 if x was 1
53 left = (0,(0,y)) if x==1 else [(-1,(0,0)), (-100,(0,1)),
(10,(0,0))][y]
54 up = (0,(x,y+1)) if y<2 else (-1,(x,y))
55 if action == 'right':
56 return {right:1}
57 elif action == 'upC':
58 (r,s) = up

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 12.2. Markov Decision Processes 305

-1

+3

-1 -5 -1

-10 +10

-1

Figure 12.6: Grid world

59 return {(r-1,s):1}
60 elif action == 'left':
61 return {left:1}
62 elif action == 'upR':
63 return distribution({left:
0.1}).add_prob(right,0.1).add_prob(up,0.8)
64 # Exercise: what is wrong with return {left: 0.1, right:0.1,
up:0.8}
65
66 # To show GUI do
67 # MDPtiny().viGUI()

Grid World
Here is the domain of Example 12.30 of Poole and Mackworth [2023], shown
here in Figure 12.6. A state is represented as (x, y) where x counts from zero
from the left, and y counts from zero upwards, so the state (0, 0) is on the
bottom-left.

mdpExamples.py — (continued)

69 class grid(ProblemDomain, GridDomain):

70 """ x_dim * y_dim grid with rewarding states"""
71 def __init__(self, discount=0.9, x_dim=10, y_dim=10):
72 ProblemDomain.__init__(self,
73 "Grid World",
74 [(x,y) for x in range(y_dim) for y in range(y_dim)], #states
75 ['up', 'down', 'right', 'left'], #actions
76 discount,
77 x_dim = x_dim, y_dim = y_dim,

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 306 12. Planning with Uncertainty

78 offsets = {'right':(0.25,0), 'up':(0,0.25), 'left':(-0.25,0),

'down':(0,-0.25)})
79 self.rewarding_states = {(3,2):-10, (3,5):-5, (8,2):10, (7,7):3 }
80 self.fling_states = {(8,2), (7,7)} # assumed a subset of
rewarding_states
81
82 def intended_next(self,s,a):
83 """returns the (reward, state) in the direction a.
84 This is where the agent will end up if to goes in its
intended_direction
85 (which it does with probability 0.7).
86 """
87 (x,y) = s
88 if a=='up':
89 return (0, (x,y+1)) if y+1 < self.y_dim else (-1, (x,y))
90 if a=='down':
91 return (0, (x,y-1)) if y > 0 else (-1, (x,y))
92 if a=='right':
93 return (0, (x+1,y)) if x+1 < self.x_dim else (-1, (x,y))
94 if a=='left':
95 return (0, (x-1,y)) if x > 0 else (-1, (x,y))
96
97 def result(self,s,a):
98 """return a dictionary of {(r,s):p} where p is the probability of
reward r, state s.
99 a state is an (x,y) pair
100 """
101 r0 = self.rewarding_states[s] if s in self.rewarding_states else 0
102 if s in self.fling_states:
103 return {(r0,(0,0)): 0.25, (r0,(self.x_dim-1,0)):0.25,
104 (r0,(0,self.y_dim-1)):0.25,
(r0,(self.x_dim-1,self.y_dim-1)):0.25}
105 dist = distribution({})
106 for a1 in self.actions:
107 (r1,s1) = self.intended_next(s,a1)
108 rs = (r1+r0, s1)
109 p = 0.7 if a1==a else 0.1
110 dist.add_prob(rs,p)
111 return dist

Figure 12.7 shows the immediate expected reward for each of the 100 states.
This was generated using grid().viGUI() and carrying out one step.

Monster Game
This is for the game depicted in Figure 12.8 (Example 13.2 of Poole and Mack-
worth [2023]). There are 25 locations where the agent can be, there can be no
prize or there can be a prize in one of the corners (P1 . . . P4 ). The agent only
gets a positive reward when gets to the prize. The agent can be damaged or
undamaged. There are possible monsters at the locations marked with M. If

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 12.2. Markov Decision Processes 307

9 -0.20 -0.10 -0.10 -0.10 -0.10 -0.10 -0.10 -0.10 -0.10 -0.20

8 -0.10 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -0.10

7 -0.10 0.00 0.00 0.00 0.00 0.00 0.00 3.00 0.00 -0.10

6 -0.10 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -0.10

5 -0.10 0.00 0.00 -5.00 0.00 0.00 0.00 0.00 0.00 -0.10

4 -0.10 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -0.10

3 -0.10 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -0.10

2 -0.10 0.00 0.00 -10.00 0.00 0.00 0.00 0.00 10.00 -0.10

1 -0.10 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -0.10

0 -0.20 -0.10 -0.10 -0.10 -0.10 -0.10 -0.10 -0.10 -0.10 -0.20

0 1 2 3 4 5 6 7 8 9

Font: 10.0 show Q-values reset step

show policy

Figure 12.7: Grid world GUI: grid().viGUI()

the agent lands on a monster when it is undamaged, it gets damaged. If the

agent lands on a monster when it is damaged, it gets a negative reward. It
can get undamaged by going to the location marked with R. It gets a negative
reward by crashing into a wall. There are 25 ∗ 5 ∗ 2 = 250 states. There are 4
actions, up, down, left, and right; the agent generally goes in the direction of the
action, but has a chance of going in one of the other directions.
mdpExamples.py — (continued)

113 class Monster_game(ProblemDomain, GridDomain):

114
115 vwalls = [(0,3), (0,4), (1,4)] # vertical walls right of these locations
116 crash_reward = -1
117
118 prize_locs = [(0,0), (0,4), (4,0), (4,4)]
119 prize_apears_prob = 0.3
120 prize_reward = 10
121
122 monster_locs = [(0,1), (1,1), (2,3), (3,1), (4,2)]
123 monster_appears_prob = 0.4
124 monster_reward_when_damaged = -10
125 repair_stations = [(1,4)]

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 308 12. Planning with Uncertainty

4 P1 R P2

3 M

2 M

1 M M M

0 P3 P4

0 1 2 3 4

Figure 12.8: Monster game

126
127 def __init__(self, discount=0.9):
128 x_dim = 5
129 y_dim = 5
130 # which damaged and prize to show
131 ProblemDomain.__init__(self,
132 "Monster Game",
133 [(x,y,damaged,prize)
134 for x in range(x_dim)
135 for y in range(y_dim)
136 for damaged in [False,True]
137 for prize in [None]+self.prize_locs], #states
138 ['up', 'down', 'right', 'left'], #actions
139 discount,
140 x_dim = x_dim, y_dim = y_dim,
141 offsets = {'right':(0.25,0), 'up':(0,0.25), 'left':(-0.25,0),
'down':(0,-0.25)})
142 self.state = (2,2,False,None)
143
144 def intended_next(self,xy,a):
145 """returns the (reward, (x,y)) in the direction a.
146 This is where the agent will end up if to goes in its
intended_direction
147 (which it does with probability 0.7).
148 """
149 (x,y) = xy # original x-y position
150 if a=='up':
151 return (0, (x,y+1)) if y+1 < self.y_dim else
(self.crash_reward, (x,y))
152 if a=='down':
153 return (0, (x,y-1)) if y > 0 else (self.crash_reward, (x,y))

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 12.2. Markov Decision Processes 309

154 if a=='right':
155 if (x,y) in self.vwalls or x+1==self.x_dim: # hit wall
156 return (self.crash_reward, (x,y))
157 else:
158 return (0, (x+1,y))
159 if a=='left':
160 if (x-1,y) in self.vwalls or x==0: # hit wall
161 return (self.crash_reward, (x,y))
162 else:
163 return (0, (x-1,y))
164
165 def result(self,s,a):
166 """return a dictionary of {(r,s):p} where p is the probability of
reward r, state s.
167 a state is an (x,y) pair
168 """
169 (x,y,damaged,prize) = s
170 dist = distribution({})
171 for a1 in self.actions: # possible results
172 mp = 0.7 if a1==a else 0.1
173 mr,(xn,yn) = self.intended_next((x,y),a1)
174 if (xn,yn) in self.monster_locs:
175 if damaged:
176 dist.add_prob((mr+self.monster_reward_when_damaged,(xn,yn,True,prize)),
mp*self.monster_appears_prob)
177 dist.add_prob((mr,(xn,yn,True,prize)),
mp*(1-self.monster_appears_prob))
178 else:
179 dist.add_prob((mr,(xn,yn,True,prize)),
mp*self.monster_appears_prob)
180 dist.add_prob((mr,(xn,yn,False,prize)),
mp*(1-self.monster_appears_prob))
181 elif (xn,yn) == prize:
182 dist.add_prob((mr+self.prize_reward,(xn,yn,damaged,None)),
mp)
183 elif (xn,yn) in self.repair_stations:
184 dist.add_prob((mr,(xn,yn,False,prize)), mp)
185 else:
186 dist.add_prob((mr,(xn,yn,damaged,prize)), mp)
187 if prize is None:
188 res = distribution({})
189 for (r,(x2,y2,d,p2)),p in dist.items():
190 res.add_prob((r,(x2,y2,d,None)),
p*(1-self.prize_apears_prob))
191 for pz in self.prize_locs:
192 res.add_prob((r,(x2,y2,d,pz)),
p*self.prize_apears_prob/len(self.prize_locs))
193 return res
194 else:
195 return dist

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 310 12. Planning with Uncertainty

196
197 def state2pos(self, state):
198 """When displaying as a grid, this specifies how the state is
mapped to (x,y) position.
199 The default is for domains where the (x,y) position is the state
200 """
201 (x,y,d,p) = state
202 return (x,y)
203
204 def pos2state(self, pos):
205 """When displaying as a grid, this specifies how the state is
mapped to (x,y) position.
206 """
207 (x,y) = pos
208 (xs, ys, damaged, prize) = self.state
209 return (x, y, damaged, prize)
210
211 def state2goal(self,state):
212 """the (x,y) position for the goal
213 """
214 (x, y, damaged, prize) = state
215 return prize
216
217 # value iteration GUI for Monster game:
218 # mg = Monster_game()
219 # mg.viGUI() # then run vi a few times
220 # to see other states, exit the GUI
221 # mg.state = (2,2,True,(4,4)) # or other damaged/prize states
222 # mg.viGUI()

12.2.2 Value Iteration

The following implements value iteration for Markov decision processes.
A Q function is represented as a dictionary so Q[s][a] is the value for doing
action a in state s. The value function is represented as a dictionary so V [s] is
the value of state s. Policy π is represented as a dictionary where pi[s], where s
is a state, returns the action.
Note that the following defines vi to be a method in MDP.
mdpProblem.py — (continued)

128 def vi(self, n):

129 """carries out n iterations of value iteration, updating value
function self.V
130 Returns a Q-function, value function, policy
131 """
132 self.display(3,f"calling vi({n})")
133 for i in range(n):
134 self.Q = {s: {a: self.R(s,a)
135 +self.discount*sum(p1*self.V[s1]

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 12.2. Markov Decision Processes 311

136 for (s1,p1) in

self.P(s,a).items())
137 for a in self.actions}
138 for s in self.states}
139 self.V = {s: max(self.Q[s][a] for a in self.actions)
140 for s in self.states}
141 self.pi = {s: argmaxd(self.Q[s])
142 for s in self.states}
143 return self.Q, self.V, self.pi
144
145 MDP.vi = vi
The following shows how this can be used.
mdpExamples.py — (continued)

224 ## Testing value iteration

225 # Try the following:
226 # pt = partyMDP(discount=0.9)
227 # pt.vi(1)
228 # pt.vi(100)
229 # partyMDP(discount=0.99).vi(100)
230 # partyMDP(discount=0.4).vi(100)
231
232 # gr = grid(discount=0.9)
233 # gr.viGUI()
234 # q,v,pi = gr.vi(100)
235 # q[(7,2)]

12.2.3 Value Iteration GUI for Grid Domains

A GridDomain is a domain where the states can be mapped into (x, y) posi-
tions, and the actions can be mapped into up-down-left-right. They are special
because the viGUI() method to interact with them. It requires the following
values/methods be defined:

• self.x_dim and self.y_dim define the dimensions of the grid (so the
states are (x,y), where 0 ≤ x < self.x_dim and 0 ≤ y < self.y_dim.

• self.state2pos(state)] gives the (x,y) position of state. The default

is that that states are already (x,y) positions.

• self.state2goal(state)] gives the (x,y) position of the goal in state.

The default is None.

• self.pos2state(pos)] where pos is an (x,y) pair, gives the state that is

shown at position (x,y). When the state contain more information than
the (x,y) pair, the extra information is taken from self.state.

• self.offsets[a] defines where to display action a, as (x, y) offset for ac-

tion a when displaying Q-values.

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mdpGUI.py — GUI for value iteration in MDPs

11 import matplotlib.pyplot as plt
12 from matplotlib.widgets import Button, CheckButtons, TextBox
13 from mdpProblem import MDP
14
15 class GridDomain(object):
16
17 def viGUI(self):
18 fig,self.ax = plt.subplots()
19 plt.subplots_adjust(bottom=0.2)
20 stepB = Button(fig.add_axes([0.8,0.05,0.1,0.075]), "step")
21 stepB.on_clicked(self.on_step)
22 resetB = Button(fig.add_axes([0.65,0.05,0.1,0.075]), "reset")
23 resetB.on_clicked(self.on_reset)
24 self.qcheck = CheckButtons(fig.add_axes([0.2,0.05,0.35,0.075]),
25 ["show Q-values","show policy"])
26 self.qcheck.on_clicked(self.show_vals)
27 self.font_box = TextBox(fig.add_axes([0.1,0.05,0.05,0.075]),
28 "Font:", textalignment="center")
29 self.font_box.on_submit(self.set_font_size)
30 self.font_box.set_val(str(plt.rcParams['font.size']))
31 self.show_vals(None)
32 plt.show()
33
34 def set_font_size(self, s):
35 plt.rcParams.update({'font.size': eval(s)})
36 plt.draw()
37
38 def show_vals(self,event):
39 self.ax.cla() # clear the axes
40
41 array = [[self.V[self.pos2state((x,y))] for x in range(self.x_dim)]
42 for y in range(self.y_dim)]
43 self.ax.pcolormesh([x-0.5 for x in range(self.x_dim+1)],
44 [y-0.5 for y in range(self.y_dim+1)],
45 array, edgecolors='black',cmap='summer')
46 # for cmap see
https://matplotlib.org/stable/tutorials/colors/colormaps.html
47 if self.qcheck.get_status()[1]: # "show policy"
48 for x in range(self.x_dim):
49 for y in range(self.y_dim):
50 state = self.pos2state((x,y))
51 maxv = max(self.Q[state][a] for a in self.actions)
52 for a in self.actions:
53 if self.Q[state][a] == maxv:
54 # draw arrow in appropriate direction
55 xoff, yoff = self.offsets[a]
56 self.ax.arrow(x,y,xoff*2,yoff*2,
57 color='red',width=0.05, head_width=0.2,
58 length_includes_head=True)

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 12.2. Markov Decision Processes 313

59 if self.qcheck.get_status()[0]: # "show q-values"

60 self.show_q(event)
61 else:
62 self.show_v(event)
63 self.ax.set_xticks(range(self.x_dim))
64 self.ax.set_xticklabels(range(self.x_dim))
65 self.ax.set_yticks(range(self.y_dim))
66 self.ax.set_yticklabels(range(self.y_dim))
67 plt.draw()
68
69 def on_step(self,event):
70 self.step()
71 self.show_vals(event)
72
73 def step(self):
74 """The default step is one step of value iteration"""
75 self.vi(1)
76
77 def show_v(self,event):
78 """show values"""
79 for x in range(self.x_dim):
80 for y in range(self.y_dim):
81 state = self.pos2state((x,y))
82 self.ax.text(x,y,"{val:.2f}".format(val=self.V[state]),ha='center')
83
84 def show_q(self,event):
85 """show q-values"""
86 for x in range(self.x_dim):
87 for y in range(self.y_dim):
88 state = self.pos2state((x,y))
89 for a in self.actions:
90 xoff, yoff = self.offsets[a]
91 self.ax.text(x+xoff,y+yoff,
92 "{val:.2f}".format(val=self.Q[state][a]),ha='center')
93
94 def on_reset(self,event):
95 self.V = {s:self.vinit for s in self.states}
96 self.Q = {s: {a: self.vinit for a in self.actions} for s in
self.states}
97 self.show_vals(event)
98
99 # to use the GUI do some of:
100 import mdpExamples
101 # mdpExamples.MDPtiny(discount=0.9).viGUI()
102 # mdpExamples.grid(discount=0.9).viGUI()
103 # mdpExamples.Monster_game(discount=0.9).viGUI() # see mdpExamples.py
104
105 if __name__ == "__main__":
106 print("Try: mdpExamples.MDPtiny(discount=0.9).viGUI()")

Figure 12.9 shows the user interface for the tiny domain, which can be ob-

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314 12. Planning with Uncertainty

24.27 21.71
2 28.09 22.34 25.03 21.34
23.03 20.34

14.10 21.84
1 -78.56 19.25 21.44 18.25
24.03 21.34

20.53 18.78
0 17.09 16.67 18.09 15.67
20.44 18.25

0 1

show q-values reset step

show policy

Figure 12.9: Interface for tiny example, after a number of steps. Each rectangle
represents a state. In each rectangle are the 4 Q-values for the state. The left-
most number is for the left action; the rightmost number is for the right action;
the uppermost is for the upR (up-risky) action and the lowest number is for the
upC action. The arrow points to the action(s) with the maximum Q-value. Use
MDPtiny().viGUI() after loading mdpExamples.py

tained using
MDPtiny(discount=0.9).viGUI()
resizing it, checking “show q-values” and “show policy”, and clicking “step” a
few times.
To run the demo in class do:
% python -i mdpExamples.py
MDPtiny(discount=0.9).viGUI()

Figure 12.10 shows the user interface for the grid domain, which can be
obtained using
grid(discount=0.9).viGUI()

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 12.2. Markov Decision Processes 315

resizing it, checking “show q-values” and “show policy”, and clicking “step” a
few times.
Figure 12.11 shows the optimal policy and Q-values after convergence (click-
ing “step” more does not change the Q-values) for the states where the agent
is damaged and the goal is in the top-right. The are 10 times as many states as
positions, so we can’t show them all. See the commented out lines at the end
of the Monster game code to reproduce this figure.
Exercise 12.1 Computing q before v may seem like a waste of space because we
don’t need to store q in order to compute the value function or the policy. Change
the algorithm so that it loops through the states and actions once per iteration, and
only stores the value function and the policy. Note that to get the same results as
before, you would need to make sure that you use the previous value of v in the
computation not the current value of v. Does using the current value of v hurt the
algorithm or make it better (in approaching the actual value function)?

12.2.4 Asynchronous Value Iteration

This implements asynchronous value iteration, storing Q.
A Q function is represented using Q[s][a] as the value for doing action with
a in state s.
mdpProblem.py — (continued)

147 def avi(self,n):

148 states = list(self.states)
149 actions = list(self.actions)
150 for i in range(n):
151 s = random.choice(states)
152 a = random.choice(actions)
153 self.Q[s][a] = (self.R(s,a) + self.discount *
154 sum(p1 * max(self.Q[s1][a1]
155 for a1 in self.actions)
156 for (s1,p1) in self.P(s,a).items()))
157 return self.Q
158
159 # make this a method for the MPD class:
160 MDP.avi = avi
The following shows how avi can be used.
mdpExamples.py — (continued)

238 ## Testing asynchronous value iteration

239 # Try the following:
240 # pt = partyMDP(discount=0.9)
241 # pt.avi(10)
242 # pt.vi(1000)
243
244 # gr = grid(discount=0.9)
245 # q = gr.avi(100000)
246 # q[(7,2)]

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316 12. Planning with Uncertainty

0.12 0.54 0.85 1.18 1.57 2.01 2.50 2.89 2.57 2.03
9 0.12 0.94 0.92 1.32 1.27 1.65 1.59 2.01 1.94 2.43 2.35 2.90 2.80 3.37 3.22 3.27 3.39 2.87 2.93 2.03
0.93 1.35 1.68 2.04 2.46 2.94 3.49 3.99 3.58 3.02
0.90 1.33 1.65 2.00 2.40 2.87 3.41 3.82 3.49 2.93
8 0.51 1.33 1.32 1.74 1.68 2.10 2.03 2.51 2.43 3.00 2.90 3.56 3.44 4.17 3.94 4.00 4.21 3.58 3.64 2.72
1.19 1.63 1.99 2.42 2.93 3.52 4.21 4.91 4.32 3.73
1.17 1.59 1.93 2.32 2.82 3.37 4.00 6.01 4.21 3.60
7 0.65 1.48 1.45 1.91 1.83 2.32 2.21 2.82 2.73 3.44 3.31 4.13 3.96 4.97 6.01 6.01 5.12 4.30 4.35 3.42
1.20 1.60 1.90 2.27 3.07 3.69 4.33 6.01 5.10 4.50
1.24 1.67 2.00 2.07 3.07 3.77 4.50 5.34 4.86 4.34
6 0.59 1.39 1.39 1.75 1.69 2.05 1.66 2.41 2.51 3.45 3.40 4.14 4.05 4.83 4.70 5.32 5.10 5.01 5.14 4.23
1.21 1.60 1.70 -0.62 3.07 4.05 4.79 5.57 5.97 5.40
1.21 1.58 1.49 -2.72 2.80 3.91 4.62 5.34 5.71 5.22
5 0.63 1.43 1.41 1.59 1.35 -0.79 -3.07 -2.16 -0.23 3.45 3.54 4.65 4.53 5.50 5.31 6.21 5.96 5.97 6.19 5.20
1.37 1.78 1.77 -2.32 3.38 4.63 5.51 6.45 7.19 6.46
1.29 1.70 1.83 -0.44 3.42 4.49 5.34 6.24 6.86 6.27
4 0.82 1.67 1.64 2.13 2.02 2.58 2.12 3.17 3.26 4.51 4.42 5.48 5.32 6.48 6.25 7.46 7.10 7.13 7.48 6.33
1.43 1.88 2.26 2.46 4.33 5.43 6.47 7.62 8.71 7.69
1.43 1.89 2.24 2.13 4.14 5.24 6.25 7.40 8.29 7.48
3 0.83 1.68 1.65 2.13 2.00 2.57 1.81 3.20 3.43 5.15 5.06 6.39 6.20 7.61 7.39 9.01 8.45 8.50 9.06 7.65
1.34 1.73 1.65 -2.96 4.30 6.08 7.44 9.00 10.61 9.10
1.41 1.81 1.46 -7.13 3.78 5.81 7.07 8.44 13.01 8.59
2 0.72 1.50 1.47 1.47 1.06 -3.31 -8.04 -6.26 -2.38 4.81 4.96 7.05 6.77 8.68 8.26 10.60 13.01 13.01 10.70 8.85
1.44 1.84 1.50 -7.10 3.78 5.81 7.07 8.44 13.01 8.59
1.35 1.76 1.69 -2.91 4.30 6.08 7.44 9.00 10.61 9.11
1 0.87 1.72 1.69 2.19 2.07 2.64 1.89 3.25 3.46 5.16 5.06 6.39 6.20 7.62 7.39 9.01 8.46 8.51 9.06 7.65
1.45 1.99 2.45 2.43 4.15 5.22 6.24 7.40 8.32 7.50
1.39 1.90 2.35 2.94 4.37 5.40 6.46 7.63 8.76 7.71
0 0.78 1.69 1.63 2.28 2.16 2.89 2.75 3.63 3.55 4.53 4.40 5.45 5.29 6.47 6.26 7.50 7.15 7.19 7.52 6.36
0.78 1.34 1.89 2.55 3.44 4.30 5.24 6.29 7.15 6.36
0 1 2 3 4 5 6 7 8 9

show q-values
reset step
show policy

Figure 12.10: Interface for grid example, after a number of steps. Each rectan-
gle represents a state. In each rectangle are the 4 Q-values for the state. The
leftmost number is for the left action; the rightmost number is for the right ac-
tion; the uppermost is for the up action and the lowest number is for the down
action. The arrow points to the action(s) with the maximum Q-value. From
grid(discount=0.9).viGUI()

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 12.2. Markov Decision Processes 317

-0.34 3.70 6.19 8.59 10.45

4 -0.34 -0.34 3.70 3.70 6.19 8.11 7.88 10.55 9.70 10.45
0.57 3.65 3.63 7.97 9.41
0.52 4.03 6.61 8.27 10.01
3 0.22 0.22 2.79 2.43 4.41 6.70 3.80 7.98 7.43 7.77
1.14 2.86 4.60 5.72 4.42
0.68 2.86 2.46 5.83 7.14
2 0.39 1.72 1.61 3.05 2.89 4.39 3.73 2.82 4.88 2.59
-2.12 -0.69 2.70 1.23 2.74
0.40 1.89 2.69 4.21 1.87
1 -3.32 -1.91 -1.94 1.70 -1.05 0.19 2.51 2.07 0.28 0.82
-0.48 0.80 1.40 1.80 1.13
-2.64 -1.43 1.99 0.17 1.34
0 -1.00 0.10 0.00 1.03 1.09 1.28 1.38 1.03 1.08 0.46
-1.00 -0.09 1.01 0.45 0.46
0 1 2 3 4

Font: 10.0 show Q-values reset step

show policy

Figure 12.11: Q-values and optimal policy for the monster game, for the states
where the agent is damaged and the goal is in the top-right.

247
248 def test_MDP(mdp, discount=0.9, eps=0.01):
249 """tests vi and avi give the same answer for a MDP class mdp
250 """
251 mdp1 = mdp(discount=discount)
252 q1,v1,pi1 = mdp1.vi(100)
253 mdp2 = mdp(discount=discount)
254 q2 = mdp2.avi(1000)
255 same = all(abs(q1[s][a]-q2[s][a]) < eps
256 for s in mdp1.states
257 for a in mdp1.actions)
258 assert same, "vi and avi are different:\n{q1}\n{q2}"
259 print(f"passed unit test. vi and avi gave same result for {mdp1.title}")
260
261 if __name__ == "__main__":
262 test_MDP(partyMDP)

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318 12. Planning with Uncertainty

Exercise 12.2 Implement value iteration that stores the V-values rather than the
Q-values. Does it work better than storing Q? (What might “better” mean?)
Exercise 12.3 In asynchronous value iteration, try a number of different ways
to choose the states and actions to update (e.g., sweeping through the state-action
pairs, choosing them at random). Note that the best way may be to determine
which states have had their Q-values changed the most, and then update the pre-
vious ones, but that is not so straightforward to implement, because you need to
find those previous states.

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 Chapter 13

Reinforcement Learning

13.1 Representing Agents and Environments

The reinforcement learning agents and environments are instances of the gen-
eral agent architecture of Section 2.1, where the percepts are (reward, state)
pairs. The state here is the state of the environment, not the state of the agent.
Thus this is assuming that the environment if fully observable.
Agents are told what actions are available to it to use, but don’t initially
know anything about the possible states.

• An agent implements the method select_action takes a (reward, state)

returns the next action (and updates the state of the agent).

• An environment implements the method do that takes an action and re-

turns a (reward, state) pair.

These are alternated to simulate the system. The simulation starts with the
agent choosing the initial action given the state, using the method initial_action(state),
which typically remembers the state and returns a random action.

13.1.1 Environments
RL environments have names to make tracing easier. An environment also
has a list of all of the actions that can be carried out in the environment. It is
initialized with the initial state.
rlProblem.py — Representations for Reinforcement Learning
11 import random
12 import math
13 from display import Displayable

319
 320 13. Reinforcement Learning

14 from agents import Agent, Environment

15 from utilities import select_from_dist, argmaxe, argmaxd, flip
16
17 class RL_env(Environment):
18 def __init__(self, name, actions, state):
19 """creates an environment given name, list of actions, and initial
state"""
20 self.name = name # the name of the environment
21 self.actions = actions # list of all actions
22 self.state = state # initial state
23 self.reward = None # last reward
24
25 # must implement do(action)->(reward,state)

13.1.2 Agents
An agent initially knows what actions it can carry out (its abilities). The in-
teractions is started by calling initial_action, which tells the agent what the
initial state is. An agent typically remembers the state and returns an action.
It has no reason to prefer one action over another, so it chooses an action at
random.
rlProblem.py — (continued)

27 class RL_agent(Agent):
28 """An RL_Agent
29 has percepts (s, r) for some state s and real reward r
30 """
31 def __init__(self, actions):
32 self.actions = actions
33
34 def initial_action(self, env_state):
35 """return the initial action, and remember the state and action
36 Act randomly initially
37 Could be overridden to initialize data structures (as the agent now
knows about one state)
38 """
39 self.state = env_state
40 self.action = random.choice(self.actions)
41 return self.action
At each time step, an agent selects its next action action given the reward it
received and the environment.
rlProblem.py — (continued)

43 def select_action(self, reward, state):

44 """
45 Select the action given the reward and state
46 Remember the action in self.action
47 This implements "Act randomly" and should be overridden!
48 """

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 13.1. Representing Agents and Environments 321

49 self.reward = reward
50 self.action = random.choice(self.actions)
51 return self.action
52
53 def v(self, state):
54 """estimate of the value of doing a best action in state.
55 """
56 return max(self.q(state,a) for a in self.actions)
57
58 def q(self, state, action):
59 """"estimate of value of doing action in state. Should be
overridden to be useful.
60 """
61 return 0

13.1.3 Simulating an Environment-Agent Interaction

The interaction between an agent and an environment is mediated by a simu-
lator that calls the agent and the environment in turn. Simulate in this section is
similar to Simulate of Section 2.1, except it is initialized by agent.initial_action(state),
and the rewards are accumulated.

rlProblem.py — (continued)

63 import matplotlib.pyplot as plt

64
65 class Simulate(Displayable):
66 """simulate the interaction between the agent and the environment
67 for n time steps.
68 Returns a pair of the agent state and the environment state.
69 """
70 def __init__(self, agent, environment):
71 self.agent = agent
72 self.env = environment
73 self.reward_history = [] # for plotting
74 self.step = 0
75 self.sum_rewards = 0
76
77 def start(self):
78 self.action = self.agent.initial_action(self.env.state)
79 return self
80
81 def go(self, n):
82 for i in range(n):
83 self.step += 1
84 (reward,state) = self.env.do(self.action)
85 self.display(2,f"step={self.step} reward={reward},
state={state}")
86 self.sum_rewards += reward
87 self.reward_history.append(reward)

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 322 13. Reinforcement Learning

Monster Game
10000 Q alpha=0.2
UCB(0.1),alpha=0.2
Q alpha=1/k
5000
Sum of rewards

5000

10000

0 20000 40000 60000 80000 100000

step

Figure 13.1: Plotting the performance of some algorithms for the monster game

88 self.action = self.agent.select_action(reward,state)
89 self.display(2,f" action={self.action}")
90 return self
The following plots the sum of rewards as a function of the step in a simula-
tion. Figure 13.1 shows the performance of three algorithms for the Monster
Game (Sections 12.2.1 and 13.1.6). One the x-axis is the number of actions.
On the y-axis is the cumulative reward. The algorithm corresponding to the
blue line has not learned very well; the plot keeps going down (but less than
it did initially). The learner represented by the green line starts getting posi-
tive performance after about 20,000 steps. It took about 55,000 steps for it to
have gained back the cost of exploration (when it crosses y = 0). The learner
represented by the orange line seems to have learned quicker, but is more er-
ratic. Each algorithm should be run multiple times, because the performance
can vary a lot, even for the same problem, algorithm, and parameter settings.
This graph can be reproduced (but the lines will be different) using code at the
bottom of RLQlearner.py.
rlProblem.py — (continued)

91 def plot(self, label=None, step_size=None, xscale='linear'):

92 """
93 plots the rewards history in the simulation
94 label is the label for the plot
95 step_size is the number of steps between each point plotted

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 13.1. Representing Agents and Environments 323

96 xscale is 'log' or 'linear'

97
98 returns sum of rewards
99 """
100 if step_size is None: #for long simulations (> 999), only plot some
points
101 step_size = max(1,len(self.reward_history)//500)
102 if label is None:
103 label = self.agent.name
104 plt.ion()
105 fig, ax = plt.subplots()
106 ax.set_xscale(xscale)
107 ax.set_title(self.env.name)
108 ax.set_xlabel("step")
109 ax.set_ylabel("Sum of rewards")
110 sum_history, sum_rewards = acc_rews(self.reward_history, step_size)
111 ax.plot(range(0,len(self.reward_history),step_size), sum_history,
label=label)
112 ax.legend()
113 plt.draw()
114 return sum_rewards
115
116 def acc_rews(rews,step_size):
117 """returns the rolling sum of the values, sampled each step_size, and
the sum
118 """
119 acc = []
120 sumr = 0; i=0
121 for e in rews:
122 sumr += e
123 i += 1
124 if (i%step_size == 0): acc.append(sumr)
125 return acc, sumr

13.1.4 Party Environment

Here is the definition of the simple 2-state, 2-action decision about whether to
party or relax (Example 12.29 in Poole and Mackworth [2023]). (Compare to
the MDP representation of page 300)
rlExamples.py — Some example reinforcement learning environments
11 from rlProblem import RL_env
12 class Party_env(RL_env):
13 def __init__(self):
14 RL_env.__init__(self, "Party Decision", ["party", "relax"],
"healthy")
15
16 def do(self, action):
17 """updates the state based on the agent doing action.
18 returns reward,state

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 324 13. Reinforcement Learning

19 """
20 if self.state=="healthy":
21 if action=="party":
22 self.state = "healthy" if flip(0.7) else "sick"
23 self.reward = 10
24 else: # action=="relax"
25 self.state = "healthy" if flip(0.95) else "sick"
26 self.reward = 7
27 else: # self.state=="sick"
28 if action=="party":
29 self.state = "healthy" if flip(0.1) else "sick"
30 self.reward = 2
31 else:
32 self.state = "healthy" if flip(0.5) else "sick"
33 self.reward = 0
34 return self.reward, self.state

13.1.5 Environment from a Problem Domain

Env_fom_ProblemDomain takes a ProblemDomain (page 301) and constructs an
environment that can be used for reinforcement learners.
As explained in Section 12.2.1, the representation of an MDP does not con-
tain enough information to simulate a system, because it loses any dependency
between the rewards and the resulting state (e.g., hitting the wall and having
a negative reward may be correlated), and only represents the expected value
of rewards, not how they are distributed. The ProblemDomain class defines the
result method to map states and actions into distributions over (reward, state)
pairs.

rlProblem.py — (continued)

127
128 class Env_from_ProblemDomain(RL_env):
129 def __init__(self, prob_dom):
130 RL_env.__init__(self, prob_dom.title, prob_dom.actions,
prob_dom.state)
131 self.problem_domain = prob_dom
132 self.state = prob_dom.state
133 self.x_dim = prob_dom.x_dim
134 self.y_dim = prob_dom.y_dim
135 self.offsets = prob_dom.offsets
136 self.state2pos = self.problem_domain.state2pos
137 self.state2goal = self.problem_domain.state2goal
138 self.pos2state = self.problem_domain.pos2state
139
140 def do(self, action):
141 """updates the state based on the agent doing action.
142 returns state,reward
143 """

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 13.1. Representing Agents and Environments 325

4 P1 R P2

3 M

2 M

1 M M M

0 P3 P4

0 1 2 3 4

Figure 13.2: Monster game

144 (self.reward, self.state) =

select_from_dist(self.problem_domain.result(self.state, action))
145 self.problem_domain.state = self.state
146 self.display(2,f"do({action} -> ({self.reward}, {self.state})")
147 return (self.reward,self.state)

13.1.6 Monster Game Environment

This is for the game depicted in Figure 13.2 (Example 13.2 of Poole and Mack-
worth [2023]). This is an alternative representation to that of Section 12.2.1,
which defined the distribution over reward-state pairs. This directly builds a
simulator, which might be easier to understand and easier adapt to new envi-
ronments.
There are 25 ∗ 5 ∗ 2 = 250 states. The agent does not know anything about
how the environment works; it just knows what actions are available to it and
what state it is in. It has to learn what to do.
rlExamples.py — (continued)

36 import random
37 from utilities import flip
38 from rlProblem import RL_env
39
40 class Monster_game_env(RL_env):
41 x_dim = 5
42 y_dim = 5
43
44 vwalls = [(0,3), (0,4), (1,4)] # vertical walls right of these locations
45 hwalls = [] # not implemented
46 crashed_reward = -1

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 326 13. Reinforcement Learning

47
48 prize_locs = [(0,0), (0,4), (4,0), (4,4)]
49 prize_apears_prob = 0.3
50 prize_reward = 10
51
52 monster_locs = [(0,1), (1,1), (2,3), (3,1), (4,2)]
53 monster_appears_prob = 0.4
54 monster_reward_when_damaged = -10
55 repair_stations = [(1,4)]
56
57 actions = ["up","down","left","right"]
58
59 def __init__(self):
60 # State:
61 self.x = 2
62 self.y = 2
63 self.damaged = False
64 self.prize = None
65 # Statistics
66 self.number_steps = 0
67 self.accumulated_rewards = 0 # sum of rewards received
68 self.min_accumulated_rewards = 0
69 self.min_step = 0
70 self.zero_crossing = 0
71 RL_env.__init__(self, "Monster Game", self.actions, (self.x,
self.y, self.damaged, self.prize))
72 self.display(2,"","Step","Tot Rew","Ave Rew",sep="\t")
73
74 def do(self,action):
75 """updates the state based on the agent doing action.
76 returns reward,state
77 """
78 assert action in self.actions, f"Monster game, unknown action:
{action}"
79 self.reward = 0.0
80 # A prize can appear:
81 if self.prize is None and flip(self.prize_apears_prob):
82 self.prize = random.choice(self.prize_locs)
83 # Actions can be noisy
84 if flip(0.4):
85 actual_direction = random.choice(self.actions)
86 else:
87 actual_direction = action
88 # Modeling the actions given the actual direction
89 if actual_direction == "right":
90 if self.x==self.x_dim-1 or (self.x,self.y) in self.vwalls:
91 self.reward += self.crashed_reward
92 else:
93 self.x += 1
94 elif actual_direction == "left":

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 13.1. Representing Agents and Environments 327

95 if self.x==0 or (self.x-1,self.y) in self.vwalls:

96 self.reward += self.crashed_reward
97 else:
98 self.x += -1
99 elif actual_direction == "up":
100 if self.y==self.y_dim-1:
101 self.reward += self.crashed_reward
102 else:
103 self.y += 1
104 elif actual_direction == "down":
105 if self.y==0:
106 self.reward += self.crashed_reward
107 else:
108 self.y += -1
109 else:
110 raise RuntimeError(f"unknown_direction: {actual_direction}")
111
112 # Monsters
113 if (self.x,self.y) in self.monster_locs and
flip(self.monster_appears_prob):
114 if self.damaged:
115 self.reward += self.monster_reward_when_damaged
116 else:
117 self.damaged = True
118 if (self.x,self.y) in self.repair_stations:
119 self.damaged = False
120
121 # Prizes
122 if (self.x,self.y) == self.prize:
123 self.reward += self.prize_reward
124 self.prize = None
125
126 # Statistics
127 self.number_steps += 1
128 self.accumulated_rewards += self.reward
129 if self.accumulated_rewards < self.min_accumulated_rewards:
130 self.min_accumulated_rewards = self.accumulated_rewards
131 self.min_step = self.number_steps
132 if self.accumulated_rewards>0 and
self.reward>self.accumulated_rewards:
133 self.zero_crossing = self.number_steps
134 self.display(2,"",self.number_steps,self.accumulated_rewards,
135 self.accumulated_rewards/self.number_steps,sep="\t")
136
137 return self.reward, (self.x, self.y, self.damaged, self.prize)

The following methods are used by the GUI (Section 13.7, page 347) so that the
states can be shown.

rlExamples.py — (continued)

139 ### For GUI

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 328 13. Reinforcement Learning

140 def state2pos(self,state):

141 """the (x,y) position for the state
142 """
143 (x, y, damaged, prize) = state
144 return (x,y)
145
146 def state2goal(self,state):
147 """the (x,y) position for the goal
148 """
149 (x, y, damaged, prize) = state
150 return prize
151
152 def pos2state(self,pos):
153 """the state corresponding to the (x,y) position.
154 The damages and prize are not shown in the GUI
155 """
156 (x,y) = pos
157 return (x, y, self.damaged, self.prize)

13.2 Q Learning
To run the Q-learning demo, in folder “aipython”, load
“rlQLearner.py”, and copy and paste the example queries at the
bottom of that file.

rlQLearner.py — Q Learning
11 import random
12 import math
13 from display import Displayable
14 from utilities import argmaxe, argmaxd, flip
15 from rlProblem import RL_agent, epsilon_greedy, ucb
16
17 class Q_learner(RL_agent):
18 """A Q-learning agent has
19 belief-state consisting of
20 state is the previous state (initialized by RL_agent
21 q is a {(state,action):value} dict
22 visits is a {(state,action):n} dict. n is how many times action was
done in state
23 acc_rewards is the accumulated reward
24 """

rlQLearner.py — (continued)

26 def __init__(self, name, actions, discount,

27 exploration_strategy=epsilon_greedy, es_kwargs={},
28 alpha_fun=lambda _:0.2, Qinit=0):
29 """

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 13.2. Q Learning 329

30 name is string representation of the agent

31 actions is the set of actions the agent can do
32 discount is the discount factor
33 exploration_strategy is the exploration function, default
"epsilon_greedy"
34 es_kwargs is extra arguments of exploration_strategy
35 alpha_fun is a function that computes alpha from the number of
visits
36 Qinit is the initial q-value
37 """
38 RL_agent.__init__(self, actions)
39 self.name = name
40 self.discount = discount
41 self.exploration_strategy = exploration_strategy
42 self.es_kwargs = es_kwargs
43 self.alpha_fun = alpha_fun
44 self.Qinit = Qinit
45 self.acc_rewards = 0
46 self.Q = {}
47 self.visits = {}

The initial action is a random action. It remembers the state, and initializes the
data structures.

rlQLearner.py — (continued)

49 def initial_action(self, state):

50 """ Returns the initial action; selected at random
51 Initialize Data Structures
52 """
53 self.state = state
54 self.Q[state] = {act:self.Qinit for act in self.actions}
55 self.visits[state] = {act:0 for act in self.actions}
56 self.action = self.exploration_strategy(state, self.Q[state],
57 self.visits[state],**self.es_kwargs)
58 self.display(2, f"Initial State: {state} Action {self.action}")
59 self.display(2,"s\ta\tr\ts'\tQ")
60 # display looks best if states and actions are < 8 characters
61 return self.action
62
63 def select_action(self, reward, next_state):
64 """give reward and next state, select next action to be carried
out"""
65 if next_state not in self.visits: # next_state not seen before
66 self.Q[next_state] = {act:self.Qinit for act in self.actions}
67 self.visits[next_state] = {act:0 for act in self.actions}
68 self.visits[self.state][self.action] +=1
69 alpha = self.alpha_fun(self.visits[self.state][self.action])
70 self.Q[self.state][self.action] += alpha*(
71 reward
72 + self.discount * max(self.Q[next_state].values())
73 - self.Q[self.state][self.action])

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 330 13. Reinforcement Learning

74 self.display(2,self.state, self.action, reward, next_state,

75 self.Q[self.state][self.action], sep='\t')
76 self.action = self.exploration_strategy(next_state,
self.Q[next_state],
77 self.visits[next_state],**self.es_kwargs)
78 self.state = next_state
79 self.display(3,f"Agent {self.name} doing {self.action} in state
{self.state}")
80 return self.action

The GUI requires the q(s, a) functions:

rlQLearner.py — (continued)

82 def q(self,s,a):
83 if s in self.Q and a in self.Q[s]:
84 return self.Q[s][a]
85 else:
86 return self.Qinit

SARSA is the same as Q-learning except in the action selection. SARSA changes
3 lines:

rlQLearner.py — (continued)

88 class SARSA(Q_learner):
89 def __init__(self,*args, **nargs):
90 Q_learner.__init__(self,*args, **nargs)
91
92 def select_action(self, reward, next_state):
93 """give reward and next state, select next action to be carried
out"""
94 if next_state not in self.visits: # next state not seen before
95 self.Q[next_state] = {act:self.Qinit for act in self.actions}
96 self.visits[next_state] = {act:0 for act in self.actions}
97 self.visits[self.state][self.action] +=1
98 alpha = self.alpha_fun(self.visits[self.state][self.action])
99 next_action = self.exploration_strategy(next_state,
self.Q[next_state],
100 self.visits[next_state],**self.es_kwargs)
101 self.Q[self.state][self.action] += alpha*(
102 reward
103 + self.discount * self.Q[next_state][next_action]
104 - self.Q[self.state][self.action])
105 self.display(2,self.state, self.action, reward, next_state,
106 self.Q[self.state][self.action], sep='\t')
107 self.state = next_state
108 self.action = next_action
109 self.display(3,f"Agent {self.name} doing {self.action} in state
{self.state}")
110 return self.action

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 13.2. Q Learning 331

13.2.1 Exploration Strategies

Two explorations strategies are defined: epsilon-greedy and upper confidence
bound (UCB).
In general an exploration strategy takes two arguments, and some optional
arguments depending on the strategy.

• State is the state that action is chosen for

• Qs is a {action : q_value} dictionary for the state

• visits is a {action : n} dictionary for the current state; where n is the num-
ber of times that the action has been carried out in the current state.

rlProblem.py — (continued)

149 def epsilon_greedy(state, Qs, visits={}, epsilon=0.2):

150 """select action given epsilon greedy
151 Qs is the {action:Q-value} dictionary for current state
152 visits is ignored
153 epsilon is the probability of acting randomly
154 """
155 if flip(epsilon):
156 return random.choice(list(Qs.keys())) # act randomly
157 else:
158 return argmaxd(Qs) # pick an action with max Q
159
160 def ucb(state, Qs, visits, c=1.4):
161 """select action given upper-confidence bound
162 Qs is the {action:Q-value} dictionary for current state
163 visits is the {action:n} dictionary for current state
164
165 0.01 is to prevent divide-by zero when visits[a]==0
166 """
167 Ns = sum(visits.values())
168 ucb1 = {a:Qs[a]+c*math.sqrt(Ns/(0.01+visits[a]))
169 for a in Qs.keys()}
170 action = argmaxd(ucb1)
171 return action

Exercise 13.1 Implement a soft-max action selection. Choose a temperature that

works well for the domain. Explain how you picked this temperature. Compare
the epsilon-greedy, ucb, soft-max and optimism in the face of uncertainty for vari-
ous parameter settings.

13.2.2 Testing Q-learning

The unit tests are for the 2-action 2-state decision about whether to relax or
party (Example 12.29 of Poole and Mackworth [2023].

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 332 13. Reinforcement Learning

Note that simulating the same agent multiple times does not restart the
agent; it keeps learning. Try the plotting some of the other methods; make sure
to try multiple agents with the same parameter values before deciding whether
a method with particular parameter settings is good or not. To do this, make
sure you construct a new agent.

rlQLearner.py — (continued)

112 ####### TEST CASES ########

113 from rlProblem import Simulate,epsilon_greedy, ucb, Env_from_ProblemDomain
114 from rlExamples import Party_env, Monster_game_env
115 from rlQLearner import Q_learner
116 from mdpExamples import MDPtiny, partyMDP
117
118 def test_RL(learnerClass, mdp=partyMDP, env=Party_env(), discount=0.9,
eps=5, rl_steps=100000, **lkwargs):
119 """tests whether RL on env has the same (within eps) Q-values as vi on
mdp.
120 eps=5 is reasonable for partyMDP (with 100000 steps) but may not be for
other environments """
121 mdp1 = mdp(discount=discount)
122 q1,v1,pi1 = mdp1.vi(1000)
123 ag = learnerClass(learnerClass.__name__, env.actions, discount,
**lkwargs)
124 sim = Simulate(ag,env).start()
125 sim.go(rl_steps)
126 same = all(abs(ag.q(s,a)-q1[s][a]) < eps
127 for s in mdp1.states
128 for a in mdp1.actions)
129 assert same, (f"""Unit test failed for {env.name}, in {ag.name} Q="""
130 +str({(s,a):ag.q(s,a) for s in mdp1.states
131 for a in mdp1.actions})
132 +f""" in vi Q={q1}""")
133 print(f"Unit test passed. For {env.name}, {ag.name} has same Q-value as
value iteration")
134 if __name__ == "__main__":
135 test_RL(Q_learner, alpha_fun=lambda k:10/(9+k))
136 #test_RL(SARSA) # should this pass? Why or why not?

The following are some calls you can play with. Run the commented-out
code. Try other agents, including agents with the same settings.

rlQLearner.py — (continued)

138 #env = Party_env()

139 env = Env_from_ProblemDomain(MDPtiny())
140 # Some RL agents with different parameters:
141 ag = Q_learner("eps (0.1) greedy", env.actions, 0.7)
142 ag_ucb = Q_learner("ucb", env.actions, 0.7, exploration_strategy = ucb,
es_kwargs={'c':0.1})
143 ag_opt = Q_learner("optimistic", env.actions, 0.7, Qinit=100,
es_kwargs={'epsilon':0})

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 13.3. Q-leaning with Experience Replay 333

144 ag_exp_m = Q_learner("more explore", env.actions, 0.7,

es_kwargs={'epsilon':0.5})
145 ag_greedy = Q_learner("disc 0.1", env.actions, 0.1, Qinit=100)
146 sa = SARSA("SARSA", env.actions, 0.9)
147 sucb = SARSA("SARSA ucb", env.actions, 0.9, exploration_strategy = ucb,
es_kwargs={'c':1})
148
149 sim_ag = Simulate(ag,env).start()
150
151 # sim_ag.go(1000)
152 # ag.Q # get the learned Q-values
153 # sim_ag.plot()
154 # sim_ucb = Simulate(ag_ucb,env).start(); sim_ucb.go(1000); sim_ucb.plot()
155 # Simulate(ag_opt,env).start().go(1000).plot()
156 # Simulate(ag_exp_m,env).start().go(1000).plot()
157 # Simulate(ag_greedy,env).start().go(1000).plot()
158 # Simulate(sa,env).start().go(1000).plot()
159 # Simulate(sucb,env).start().go(1000).plot()
160
161 from mdpExamples import MDPtiny
162 envt = Env_from_ProblemDomain(MDPtiny())
163 agt = Q_learner("Q alpha=0.8", envt.actions, 0.8)
164 #Simulate(agt, envt).start().go(1000).plot()
165
166 ##### Monster Game ####
167 mon_env = Monster_game_env()
168 mag1 = Q_learner("Q alpha=0.2", mon_env.actions, 0.9)
169 #Simulate(mag1,mon_env).start().go(100000).plot()
170 mag_ucb = Q_learner("UCB(0.1),alpha=0.2", mon_env.actions, 0.9,
171 exploration_strategy = ucb, es_kwargs={'c':0.1})
172 #Simulate(mag_ucb,mon_env).start().go(100000).plot()
173
174 mag2 = Q_learner("Q alpha=1/k", mon_env.actions, 0.9,
175 alpha_fun=lambda k:1/k)
176 #Simulate(mag2,mon_env).start().go(100000).plot()
177 mag3 = Q_learner("alpha=10/(9+k)", mon_env.actions, 0.9,
178 alpha_fun=lambda k:10/(9+k))
179 #Simulate(mag3,mon_env).start().go(100000).plot()
180
181 mag4 = Q_learner("ucb & alpha=10/(9+k)", mon_env.actions, 0.9,
182 alpha_fun=lambda k:10/(9+k),
183 exploration_strategy = ucb, es_kwargs={'c':0.1})
184 #Simulate(mag4,mon_env).start().go(100000).plot()

13.3 Q-leaning with Experience Replay

A bounded buffer remembers values up to size buffer_size. Random values
can be obtained using get. Once the bounded buffer is full, all old experiences
have the same chance of being in the buffer.

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 334 13. Reinforcement Learning

rlQExperienceReplay.py — Q-Learner with Experience Replay

11 from rlQLearner import Q_learner
12 from utilities import flip
13 import random
14
15 class BoundedBuffer(object):
16 def __init__(self, buffer_size=1000):
17 self.buffer_size = buffer_size
18 self.buffer = [0]*buffer_size
19 self.number_added = 0
20
21 def add(self, new_value):
22 if self.number_added < self.buffer_size:
23 self.buffer[self.number_added] = new_value
24 else:
25 if flip(self.buffer_size/self.number_added):
26 position = random.randrange(self.buffer_size)
27 self.buffer[position] = new_value
28 self.number_added += 1
29
30 def get(self):
31 return self.buffer[random.randrange(min(self.number_added,
self.buffer_size))]
A Q_ER_Learner does Q-leaning with experience replay. It only uses action
replay after burn_in number of steps.
rlQExperienceReplay.py — (continued)

33 class Q_ER_learner(Q_learner):
34 def __init__(self, name, actions, discount,
35 max_buffer_size=10000,
36 num_updates_per_action=10, burn_in=100, **q_kwargs):
37 """Q-learner with experience replay
38 name is the name of the agent (e.g., in a game)
39 actions is the set of actions the agent can do
40 discount is the discount factor
41 max_buffer_size is the maximum number of past experiences that is
remembered
42 burn_in is the number of steps before using old experiences
43 num_updates_per_action is the number of q-updates for past
experiences per action
44 q_kwargs are any extra parameters for Q_learner
45 """
46 Q_learner.__init__(self, name, actions, discount, **q_kwargs)
47 self.experience_buffer = BoundedBuffer(max_buffer_size)
48 self.num_updates_per_action = num_updates_per_action
49 self.burn_in = burn_in
50
51 def select_action(self, reward, next_state):
52 """give reward and new state, select next action to be carried
out"""

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53 self.experience_buffer.add((self.state,self.action,reward,next_state))
#remember experience
54 if next_state not in self.visits: # next_state not seen before
55 self.Q[next_state] = {act:self.Qinit for act in self.actions}
56 self.visits[next_state] = {act:0 for act in self.actions}
57 self.visits[self.state][self.action] +=1
58 alpha = self.alpha_fun(self.visits[self.state][self.action])
59 self.Q[self.state][self.action] += alpha*(
60 reward
61 + self.discount * max(self.Q[next_state].values())
62 - self.Q[self.state][self.action])
63 self.display(2,self.state, self.action, reward, next_state,
64 self.Q[self.state][self.action], sep='\t')
65 # do some updates from experience buffer
66 if self.experience_buffer.number_added > self.burn_in:
67 for i in range(self.num_updates_per_action):
68 (s,a,r,ns) = self.experience_buffer.get()
69 self.visits[s][a] +=1 # is this correct?
70 alpha = self.alpha_fun(self.visits[s][a])
71 self.Q[s][a] += alpha * (r +
72 self.discount* max(self.Q[ns][na]
73 for na in self.actions)
74 -self.Q[s][a] )
75 ### CHOOSE NEXT ACTION ###
76 self.action = self.exploration_strategy(next_state,
self.Q[next_state],
77 self.visits[next_state],**self.es_kwargs)
78 self.state = next_state
79 self.display(3,f"Agent {self.name} doing {self.action} in state
{self.state}")
80 return self.action
The following code plots the performance. The experience replay learner
performance cannot be directly compared to Q-learning as it does more up-
dates per action.
rlQExperienceReplay.py — (continued)

82 from rlProblem import Simulate

83 from rlExamples import Monster_game_env
84 from rlQLearner import mag1, mag2, mag3
85
86 mon_env = Monster_game_env()
87 mag1ar = Q_ER_learner("Q_ER", mon_env.actions,0.9,
88 num_updates_per_action=5, burn_in=100)
89 # Simulate(mag1ar,mon_env).start().go(100000).plot()
90
91 mag3ar = Q_ER_learner("Q_ER alpha=10/(9+k)", mon_env.actions, 0.9,
92 num_updates_per_action=50, burn_in=1000,
93 alpha_fun=lambda k:10/(9+k))
94 # Simulate(mag3ar,mon_env).start().go(100000).plot()
95

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 336 13. Reinforcement Learning

96 from rlQLearner import test_RL

97 if __name__ == "__main__":
98 test_RL(Q_ER_learner, alpha_fun=lambda k:10/(9+k))

Exercise 13.2 Why does this have a burn-in? What problem might this solve?
How much does the burn-in affect the result?
Exercise 13.3 What is a fair way to compare the learning rate of Q_ER_learner and
Q_learner, or Q_ER_learners with different values of num_updates_per_action?
(Would this matter if the environment is a simulation versus in the real world?)
Implement a comparison that counts the number of updates, rather than the num-
ber of actions. How much does num_updates_per_action matter?

13.4 Stochastic Policy Learning Agent

The following agent is like a Q-learning agent but maintains a stochastic policy.
The policy is represented as unnormalized counts for each action in a state (as
in a Dirichlet distribution). This is the code described in Section 14.7.2 and
Figure 14.10 of Poole and Mackworth [2023].
rlStochasticPolicy.py — Simulations of agents learning
11 from display import Displayable
12 import utilities # argmaxall for (element,value) pairs
13 import matplotlib.pyplot as plt
14 import random
15 from rlQLearner import Q_learner
16
17 class StochasticPIAgent(Q_learner):
18 """This agent maintains the Q-function for each state.
19 Chooses the best action using empirical distribution over actions
20 """
21 def __init__(self, name, actions, discount=0, pi_init=1, **nargs):
22 """
23 name is the name of the agent (e.g., in a game)
24 actions is the set of actions the agent can do.
25 discount is the discount factor (0 is appropriate if there is a
single state)
26 pi_init gives the prior counts (Dirichlet prior) for the policy
(must be >0)
27 """
28 #self.max_display_level = 3
29 Q_learner.__init__(self, name, actions, discount,
30 exploration_strategy=self.action_from_stochastic_policy,
31 **nargs)
32 self.pi_init = pi_init
33 self.pi = {}
34
35 def initial_action(self, state):
36 """ update policy pi then do initial action from Q_learner

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37 """
38 self.pi[state] = {act:self.pi_init for act in self.actions}
39 return Q_learner.initial_action(self, state)
40
41 def action_from_stochastic_policy(self, next_state, qs, vs):
42 a_best = utilities.argmaxd(self.Q[self.state])
43 self.pi[self.state][a_best] +=1
44 if next_state not in self.pi:
45 self.pi[next_state] = {act:self.pi_init for act in
self.actions}
46 return select_from_dist(self.pi[next_state])
47
48 def normalize(dist):
49 """dict is a {value:number} dictionary, where the numbers are all
non-negative
50 returns dict where the numbers sum to one
51 """
52 tot = sum(dist.values())
53 return {var:val/tot for (var,val) in dist.items()}
54
55 def select_from_dist(dist):
56 rand = random.random()
57 for (act,prob) in normalize(dist).items():
58 rand -= prob
59 if rand < 0:
60 return act
The agent can be tested on the reinforcement learning benchmarks:
rlStochasticPolicy.py — (continued)

62 #### Testing on RL benchmarks #####

63 from rlProblem import Simulate
64 import rlExamples
65 mon_env = rlExamples.Monster_game_env()
66 magspi =StochasticPIAgent(mon_env.name, mon_env.actions,0.9)
67 #Simulate(magspi,mon_env).start().go(100000).plot()
68 magspi10 = StochasticPIAgent("stoch 10/(9+k)", mon_env.actions,0.9,
alpha_fun=lambda k:10/(9+k))
69 #Simulate(magspi10,mon_env).start().go(100000).plot()
70
71 from rlQLearner import test_RL
72 if __name__ == "__main__":
73 test_RL(StochasticPIAgent, alpha_fun=lambda k:10/(9+k))

Exercise 13.4 Test some other ways to determine the probabilities for the stochas-
tic policy in StochasticPIAgent. (It currently can be seen as using a Dirichlet
where the probability represents the proportion of times each action is best plus
pseudo-counts).
Replace self.pi[self.state][a_best] +=1 with something like
self.pi[self.state][a_best] *= c for some c > 1. E.g., c = 1.1 so it chooses that
action 10% more, independently of the number of times tried. (Try to change the

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code as little as possible; make it so that either the original or different values of c
can be run without changing your code. Warning: watch out for overflow.)
(a) Try for multiple c; which one works best for the Monster game?
(b) Suggest an alternative way to update the probabilities in the policy (e.g.,
adding δ to policy that is then normalized or some other methods). How
well does it work?

13.5 Model-based Reinforcement Learner

To run the demo, in folder “aipython”, load “rlModelLearner.py”, and
copy and paste the example queries at the bottom of that file. This
assumes Python 3.

A model-based reinforcement learner builds a Markov decision process model

of the domain, simultaneously learns the model and plans with that model.
The model-based reinforcement learner uses the following data structures:

• Q[s][a] is dictionary that, given state s and action a returns the Q-value,
the estimate of the future (discounted) value of being in state s and doing
action a. (Note that Q is the list but q is the function.)

• R[s][a] is dictionary that, given a (s, a) state s and action a is the average
reward received from doing a in state s.

• T [s][a][s′ ] is dictionary that, given states s and s′ and action a returns the
number of times a was done in state s and the result was state s′ . Note
that s′ is only a key if it has been the result of doing a in s; there are no
zero counts recorded.

• visits[s][a] is dictionary that, given state s and action a returns the number
of times action a was carried out in state s. This is the C of Figure 13.6 of
Poole and Mackworth [2023].
Note that visits[s][a] = ∑s′ T [s][a][s′ ] but is stored separately to keep the
code more readable.

The main difference to Figure 13.6 of Poole and Mackworth [2023] is the code
below does a fixed number of asynchronous value iteration updates per step.
rlModelLearner.py — Model-based Reinforcement Learner
11 import random
12 from rlProblem import RL_agent, Simulate, epsilon_greedy, ucb
13 from display import Displayable
14 from utilities import argmaxe, flip
15
16 class Model_based_reinforcement_learner(RL_agent):
17 """A Model-based reinforcement learner

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18 """
19
20 def __init__(self, name, actions, discount,
21 exploration_strategy=epsilon_greedy, es_kwargs={},
22 Qinit=0,
23 updates_per_step=10):
24 """name is the name of the agent (e.g., in a game)
25 actions is the list of actions the agent can do
26 discount is the discount factor
27 explore is the proportion of time the agent will explore
28 Qinit is the initial value of the Q's
29 updates_per_step is the number of AVI updates per action
30 label is the label for plotting
31 """
32 RL_agent.__init__(self, actions)
33 self.name = name
34 self.actions = actions
35 self.discount = discount
36 self.exploration_strategy = exploration_strategy
37 self.es_kwargs = es_kwargs
38 self.Qinit = Qinit
39 self.updates_per_step = updates_per_step

rlModelLearner.py — (continued)

41 def initial_action(self, state):

42 """ Returns the initial action; selected at random
43 Initialize Data Structures
44
45 """
46 self.action = RL_agent.initial_action(self, state)
47 self.T = {self.state: {a: {} for a in self.actions}}
48 self.visits = {self.state: {a: 0 for a in self.actions}}
49 self.Q = {self.state: {a: self.Qinit for a in self.actions}}
50 self.R = {self.state: {a: 0 for a in self.actions}}
51 self.states_list = [self.state] # list of states encountered
52 self.display(2, f"Initial State: {state} Action {self.action}")
53 self.display(2,"s\ta\tr\ts'\tQ")
54 return self.action

rlModelLearner.py — (continued)

56 def select_action(self, reward, next_state):

57 """do num_steps of interaction with the environment
58 for each action, do updates_per_step iterations of asynchronous
value iteration
59 """
60 if next_state not in self.visits: # has not been encountered before
61 self.states_list.append(next_state)
62 self.visits[next_state] = {a:0 for a in self.actions}
63 self.T[next_state] = {a:{} for a in self.actions}
64 self.Q[next_state] = {a:self.Qinit for a in self.actions}

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 340 13. Reinforcement Learning

65 self.R[next_state] = {a:0 for a in self.actions}

66 if next_state in self.T[self.state][self.action]:
67 self.T[self.state][self.action][next_state] += 1
68 else:
69 self.T[self.state][self.action][next_state] = 1
70 self.visits[self.state][self.action] += 1
71 self.R[self.state][self.action] +=
(reward-self.R[self.state][self.action])/self.visits[self.state][self.action]
72 st,act = self.state,self.action #initial state-action pair for AVI
73 for update in range(self.updates_per_step):
74 self.Q[st][act] = self.R[st][act]+self.discount*(
75 sum(self.T[st][act][nst]/self.visits[st][act]*self.v(nst)
76 for nst in self.T[st][act].keys()))
77 st = random.choice(self.states_list)
78 act = random.choice(self.actions)
79 self.state = next_state
80 self.action = self.exploration_strategy(next_state,
self.Q[next_state],
81 self.visits[next_state],**self.es_kwargs)
82 return self.action
83
84 def q(self, state, action):
85 if state in self.Q and action in self.Q[state]:
86 return self.Q[state][action]
87 else:
88 return self.Qinit

rlModelLearner.py — (continued)

90 from rlExamples import Monster_game_env

91 mon_env = Monster_game_env()
92 mbl1 = Model_based_reinforcement_learner("model-based(1)",
mon_env.actions, 0.9, updates_per_step=1)
93 # Simulate(mbl1,mon_env).start().go(100000).plot()
94 mbl10 = Model_based_reinforcement_learner("model-based(10)",
mon_env.actions, 0.9, updates_per_step=10)
95 # Simulate(mbl10,mon_env).start().go(100000).plot()
96
97 from rlGUI import rlGUI
98 #gui = rlGUI(mon_env, mbl1)
99
100 from rlQLearner import test_RL
101 if __name__ == "__main__":
102 test_RL(Model_based_reinforcement_learner)

Exercise 13.5 If there were only one update per step, the algorithm could be
made simpler and use less space. Explain how. Does it make it more efficient? Is
it worthwhile having more than one update per step for the games implemented
here?
Exercise 13.6 It is possible to implement the model-based reinforcement learner
by replacing Q, R, T, visits, res_states with a single dictionary that, given a state

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and action returns a tuple corresponding to these data structures. Does this make
the algorithm easier to understand? Does this make the algorithm more efficient?
Exercise 13.7 If the states and the actions were mapped into integers, the dictio-
naries could be implemented perhaps more efficiently as arrays. How would the
code need to change? Implement this for the monster game. Is it more efficient?
Exercise 13.8 In random_choice in the updates of select_action, all state-action
pairs have the same chance of being chosen. Does selecting state-action pairs pro-
portionally to the number of times visited work better than what is implemented?
Provide evidence for your answer.

13.6 Reinforcement Learning with Features

To run the demo, in folder “aipython”, load “rlFeatures.py”, and copy
and paste the example queries at the bottom of that file. This assumes
Python 3.

This section covers Q-learning with features, where the Q-function is a linear
function of feature values.

13.6.1 Representing Features

A feature is a real-valued function from state and action. For an environment,
you construct a function that takes a state and an action and returns a list (vec-
tor) of real numbers.
This code only does feature engineering: the feature set is redesigned for
each problem. Deep RL uses deep learning to learn features, turns out to be
trickier to get to work than is generally assumed.
party_features3 and party_features4 return lists of feature values for the
party decision. party_features4 has one extra feature.
rlGameFeature.py — Feature-based Reinforcement Learner
11 from rlExamples import Monster_game_env
12 from rlProblem import RL_env
13
14 def party_features3(state,action):
15 return [1, state=="sick", action=="party"]
16
17 def party_features4(state,action):
18 return [1, state=="sick", action=="party", state=="sick" and
action=="party"]

Exercise 13.9 With party_features3 what policies can be discovered? What

policies cannot be represented as
The monster_features defines the vector of feature values for the given
state and action.

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rlGameFeature.py — (continued)

20 def monster_features(state,action):
21 """returns the list of feature values for the state-action pair
22 """
23 assert action in Monster_game_env.actions, f"Monster game, unknown
action: {action}"
24 (x,y,d,p) = state
25 # f1: would go to a monster
26 f1 = monster_ahead(x,y,action)
27 # f2: would crash into wall
28 f2 = wall_ahead(x,y,action)
29 # f3: action is towards a prize
30 f3 = towards_prize(x,y,action,p)
31 # f4: damaged and action is toward repair station
32 f4 = towards_repair(x,y,action) if d else 0
33 # f5: damaged and towards monster
34 f5 = 1 if d and f1 else 0
35 # f6: damaged
36 f6 = 1 if d else 0
37 # f7: not damaged
38 f7 = 1-f6
39 # f8: damaged and prize ahead
40 f8 = 1 if d and f3 else 0
41 # f9: not damaged and prize ahead
42 f9 = 1 if not d and f3 else 0
43 features = [1,f1,f2,f3,f4,f5,f6,f7,f8,f9]
44 # the next 20 features are for 5 prize locations
45 # and 4 distances from outside in all directions
46 for pr in Monster_game_env.prize_locs+[None]:
47 if p==pr:
48 features += [x, 4-x, y, 4-y]
49 else:
50 features += [0, 0, 0, 0]
51 # fp04 feature for y when prize is at 0,4
52 # this knows about the wall to the right of the prize
53 if p==(0,4):
54 if x==0:
55 fp04 = y
56 elif y<3:
57 fp04 = y
58 else:
59 fp04 = 4-y
60 else:
61 fp04 = 0
62 features.append(fp04)
63 return features
64
65 def monster_ahead(x,y,action):
66 """returns 1 if the location expected to get to by doing
67 action from (x,y) can contain a monster.

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68 """
69 if action == "right" and (x+1,y) in Monster_game_env.monster_locs:
70 return 1
71 elif action == "left" and (x-1,y) in Monster_game_env.monster_locs:
72 return 1
73 elif action == "up" and (x,y+1) in Monster_game_env.monster_locs:
74 return 1
75 elif action == "down" and (x,y-1) in Monster_game_env.monster_locs:
76 return 1
77 else:
78 return 0
79
80 def wall_ahead(x,y,action):
81 """returns 1 if there is a wall in the direction of action from (x,y).
82 This is complicated by the internal walls.
83 """
84 if action == "right" and (x==Monster_game_env.x_dim-1 or (x,y) in
Monster_game_env.vwalls):
85 return 1
86 elif action == "left" and (x==0 or (x-1,y) in Monster_game_env.vwalls):
87 return 1
88 elif action == "up" and y==Monster_game_env.y_dim-1:
89 return 1
90 elif action == "down" and y==0:
91 return 1
92 else:
93 return 0
94
95 def towards_prize(x,y,action,p):
96 """action goes in the direction of the prize from (x,y)"""
97 if p is None:
98 return 0
99 elif p==(0,4): # take into account the wall near the top-left prize
100 if action == "left" and (x>1 or x==1 and y<3):
101 return 1
102 elif action == "down" and (x>0 and y>2):
103 return 1
104 elif action == "up" and (x==0 or y<2):
105 return 1
106 else:
107 return 0
108 else:
109 px,py = p
110 if p==(4,4) and x==0:
111 if (action=="right" and y<3) or (action=="down" and y>2) or
(action=="up" and y<2):
112 return 1
113 else:
114 return 0
115 if (action == "up" and y<py) or (action == "down" and py<y):

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116 return 1
117 elif (action == "left" and px<x) or (action == "right" and x<px):
118 return 1
119 else:
120 return 0
121
122 def towards_repair(x,y,action):
123 """returns 1 if action is towards the repair station.
124 """
125 if action == "up" and (x>0 and y<4 or x==0 and y<2):
126 return 1
127 elif action == "left" and x>1:
128 return 1
129 elif action == "right" and x==0 and y<3:
130 return 1
131 elif action == "down" and x==0 and y>2:
132 return 1
133 else:
134 return 0
The following uses a simpler set of features. In particular, it only considers
whether the action will most likely result in a monster position or a wall, and
whether the action moves towards the current prize.
rlGameFeature.py — (continued)

136 def simp_features(state,action):

137 """returns a list of feature values for the state-action pair
138 """
139 assert action in Monster_game_env.actions
140 (x,y,d,p) = state
141 # f1: would go to a monster
142 f1 = monster_ahead(x,y,action)
143 # f2: would crash into wall
144 f2 = wall_ahead(x,y,action)
145 # f3: action is towards a prize
146 f3 = towards_prize(x,y,action,p)
147 return [1,f1,f2,f3]

13.6.2 Feature-based RL learner

This learns a linear function approximation of the Q-values. It requires the
function get_features that given a state and an action returns a list of values for
all of the features. Each environment requires this function to be provided.
rlFeatures.py — Feature-based Reinforcement Learner
11 import random
12 from rlProblem import RL_agent, epsilon_greedy, ucb
13 from display import Displayable
14 from utilities import argmaxe, flip
15 import rlGameFeature

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16
17 class SARSA_LFA_learner(RL_agent):
18 """A SARSA with linear function approximation (LFA) learning agent has
19 """
20 def __init__(self, name, actions, discount,
get_features=rlGameFeature.party_features4,
21 exploration_strategy=epsilon_greedy, es_kwargs={},
22 step_size=0.01, winit=0):
23 """name is the name of the agent (e.g., in a game)
24 actions is the set of actions the agent can do
25 discount is the discount factor
26 get_features is a function get_features(state,action) -> list of
feature values
27 exploration_strategy is the exploration function, default
"epsilon_greedy"
28 es_kwargs is extra keyword arguments of the exploration_strategy
29 step_size is gradient descent step size
30 winit is the initial value of the weights
31 """
32 RL_agent.__init__(self, actions)
33 self.name = name
34 self.discount = discount
35 self.exploration_strategy = exploration_strategy
36 self.es_kwargs = es_kwargs
37 self.get_features = get_features
38 self.step_size = step_size
39 self.winit = winit
The initial action is a random action. It remembers the state, and initializes the
data structures.
rlFeatures.py — (continued)

41 def initial_action(self, state):

42 """ Returns the initial action; selected at random
43 Initialize Data Structures
44 """
45 self.action = RL_agent.initial_action(self, state)
46 self.features = self.get_features(state, self.action)
47 self.weights = [self.winit for f in self.features]
48 self.display(2, f"Initial State: {state} Action {self.action}")
49 self.display(2,"s\ta\tr\ts'\tQ")
50 return self.action
do takes in the number of steps.
rlFeatures.py — (continued)

52
53 def q(self, state,action):
54 """returns Q-value of the state and action for current weights
55 """
56 return dot_product(self.weights, self.get_features(state,action))
57

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58 def select_action(self, reward, next_state):

59 """do num_steps of interaction with the environment"""
60 feature_values = self.get_features(self.state,self.action)
61 oldQ = self.q(self.state,self.action)
62 next_action = self.exploration_strategy(next_state,
{a:self.q(next_state,a)
63 for a in self.actions}, {})
64 nextQ = self.q(next_state,next_action)
65 delta = reward + self.discount * nextQ - oldQ
66 for i in range(len(self.weights)):
67 self.weights[i] += self.step_size * delta * feature_values[i]
68 self.display(2,self.state, self.action, reward, next_state,
69 self.q(self.state,self.action), delta, sep='\t')
70 self.state = next_state
71 self.action = next_action
72 return self.action
73
74 def show_actions(self,state=None):
75 """prints the value for each action in a state.
76 This may be useful for debugging.
77 """
78 if state is None:
79 state = self.state
80 for next_act in self.actions:
81 print(next_act,dot_product(self.weights,
self.get_features(state,next_act)))
82
83 def dot_product(l1,l2):
84 return sum(e1*e2 for (e1,e2) in zip(l1,l2))

Test code:

rlFeatures.py — (continued)

86 from rlProblem import Simulate

87 from rlExamples import Party_env, Monster_game_env
88 import rlGameFeature
89 from rlGUI import rlGUI
90
91 party = Party_env()
92 pa3 = SARSA_LFA_learner(party.name, party.actions, 0.9,
rlGameFeature.party_features3)
93 # Simulate(pa3,party).start().go(300).plot()
94 pa4 = SARSA_LFA_learner(party.name, party.actions, 0.9,
rlGameFeature.party_features4)
95 # Simulate(pa4,party).start().go(300).plot()
96
97 mon_env = Monster_game_env()
98 fa1 = SARSA_LFA_learner("LFA", mon_env.actions, 0.9,
rlGameFeature.monster_features)
99 # Simulate(fa1,mon_env).start().go(100000).plot()

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 13.7. GUI for RL 347

100 fas1 = SARSA_LFA_learner("LFA (simp features)", mon_env.actions, 0.9,

rlGameFeature.simp_features)
101 #Simulate(fas1,mon_env).start().go(100000).plot()
102 # rlGUI(mon_env, SARSA_LFA_learner(mon_env.name, mon_env.actions, 0.9,
rlGameFeature.monster_features))
103
104 from rlQLearner import test_RL
105 if __name__ == "__main__":
106 test_RL(SARSA_LFA_learner, es_kwargs={'epsilon':1}) # random exploration

Exercise 13.10 How does the step-size affect performance? Try different step
sizes (e.g., 0.1, 0.001, other sizes in-between). Explain the behavior you observe.
Which step size works best for this example. Explain what evidence you are basing
your prediction on.
Exercise 13.11 Does having extra features always help? Does it sometime help?
Does whether it helps depend on the step size? Give evidence for your claims.
Exercise 13.12 For each of the following first predict, then plot, then explain the
behavior you observed:
(a) SARSA_LFA, Model-based learning (with 1 update per step) and Q-learning
for 10,000 steps 20% exploring followed by 10,000 steps 100% exploiting
(b) SARSA_LFA, model-based learning and Q-learning for
i) 100,000 steps 20% exploring followed by 100,000 steps 100% exploit
ii) 10,000 steps 20% exploring followed by 190,000 steps 100% exploit
(c) Suppose your goal was to have the best accumulated reward after 200,000
steps. You are allowed to change the exploration rate at a fixed number of
steps. For each of the methods, which is the best position to start exploiting
more? Which method is better? What if you wanted to have the best reward
after 10,000 or 1,000 steps?
Based on this evidence, explain when it is preferable to use SARSA_LFA, Model-
based learner, or Q-learning.
Important: you need to run each algorithm more than once. Your explanation
should include the variability as well as the typical behavior.
Exercise 13.13 In the call to self.exploration_strategy, what should the counts
be? (The code above will fail for ucb, for example.) Think about the case where
there are too many states. Suppose we are just learning for a neighborhood of a
current state (e.g., a fixed number of steps away the from the current state); how
could the algorithm be modifies to make sure it has at least explored the close
neighborhood of the current state?

13.7 GUI for RL

This implements an an interactive graphical user interface for reinforcement
learners. It lets the uses choose the actions and visualize the value function
and/or the Q-function. It works by taking over the exploration strategy; when

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348 13. Reinforcement Learning

18: State: (1, 0) Reward: 0 Sum rewards: -63

0.68 0.00
2 5.94 0.06 1.17 0.00
0.00 0.00

1.17 0.00
1 -19.94 0.00 0.00 0.00
0.45 0.00

0.13 0.00
0 -0.20 0.00 0.00 0.00
0.00 0.00

0 1
upR
show
show q-values left right
Font:10.0 show policy
visits 100 steps upC

Figure 13.3: Graphical User Interface for tiny game

the agent needs to get an action, it asks the GUI. When the user requests mul-
tiple steps, it calls the original exploration strategy.
Figure 13.3 shows the GUI for the tiny game (see commented out code at
the end of the file) after a 18 actions by the user. The 6 states are shown in a grid;
each rectangle is a state. Within each state are 4 numbers, corresponding to the
4 actions, that give the Q-value for that state and action. The red arrows corre-
spond to the actions with maximal Q-value for each state. The 4 yellow buttons
are arranged in the same order as the Q-values. The white ellipse shows the
current position of the agent. The user can simulate the agent by clicking on
one of these actions. They can also click on “steps” to simulate 100 steps (in
this case). The check-boxes are used to show the q-values, the policy (the red
arrows) and the visits – the number of times each action has been carried out
in each state (when q-values is not checked). When neither q-values or visits is
checked the value for the state is shown.
Figure 13.4 shows the GUI for the monster game after 1000 steps. From the
top line, you can see the agent is at location (4, 2) – shown by the white dot – is
damaged and the goal is at (0, 4) – shown by the green dot. It is instructive to
try to control the agent by clicking on the actions on the bottom right: it only
does what is expected 70% of the time.

rlGUI.py — Reinforcement Learning GUI

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 13.7. GUI for RL 349

1000: State: (4, 2, True, (0, 4)) Reward: 0.0 Sum rewards: -690.0
0.00 0.00 -0.40 0.00 0.00
4 0.00 0.00 0.00 0.00 -0.54 -0.20 0.00 0.00 0.00 -0.20
0.00 0.00 -2.10 0.00 -0.20
6.30 0.00 0.00 -2.00 0.00
3 0.00 0.00 -0.20 0.00 -0.02 0.00 -2.00 0.00 0.00 0.00
0.00 0.00 -0.03 0.00 0.00
1.23 0.00 0.00 0.00 0.00
2 0.00 0.51 0.08 0.00 0.01 0.00 0.00 -2.00 0.00 0.00
-0.20 0.00 0.00 -2.00 0.00
0.00 0.00 0.00 0.00 -2.00
1 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -2.00 -0.20
0.00 0.00 0.00 0.00 0.00
0.00 0.00 0.00 -2.00 -0.16
0 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -2.00 -0.20 -0.20
0.00 0.00 0.00 -0.20 -0.40
0 1 2 3 4
up
show q-values left right
Font: 10.0 show policy 1000 steps down
show visits

Figure 13.4: Graphical User Interface for Monster game

11 import matplotlib.pyplot as plt

12 from matplotlib.widgets import Button, CheckButtons, TextBox
13 from rlProblem import Simulate
14
15 class rlGUI(object):
16 def __init__(self, env, agent):
17 """
18 """
19 self.env = env
20 self.agent = agent
21 self.state = self.env.state
22 self.x_dim = env.x_dim
23 self.y_dim = env.y_dim
24 if 'offsets' in vars(env): # 'offsets' is defined in environment
25 self.offsets = env.offsets
26 else: # should be more general
27 self.offsets = {'right':(0.25,0), 'up':(0,0.25),
'left':(-0.25,0), 'down':(0,-0.25)}
28 # replace the exploration strategy with GUI
29 self.orig_exp_strategy = self.agent.exploration_strategy
30 self.agent.exploration_strategy = self.actionFromGUI

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 350 13. Reinforcement Learning

31 self.do_steps = 0
32 self.quitting = False
33 self.action = None
34
35 def go(self):
36 self.q = self.agent.q
37 self.v = self.agent.v
38 try:
39 self.fig,self.ax = plt.subplots()
40 plt.subplots_adjust(bottom=0.2)
41 self.actButtons =
{self.fig.text(0.8+self.offsets[a][0]*0.4,0.1+self.offsets[a][1]*0.1,a,
42 bbox={'boxstyle':'square','color':'yellow','ec':'black'},
43 picker=True):a #, fontsize=fontsize):a
44 for a in self.env.actions}
45 self.fig.canvas.mpl_connect('pick_event', self.sel_action)
46 self.fig.canvas.mpl_connect('close_event', self.window_closed)
47 self.sim = Simulate(self.agent, self.env)
48 self.show()
49 self.sim.start()
50 self.sim.go(1000000000000) # go forever
51 except ExitToPython:
52 print("Window closed")
53
54 def show(self):
55 self.qcheck = CheckButtons(plt.axes([0.2,0.05,0.25,0.075]),
56 ["show q-values","show policy","show
visits"])
57 self.qcheck.on_clicked(self.show_vals)
58 self.font_box = TextBox(plt.axes([0.125,0.05,0.05,0.05]),"Font:",
textalignment="center")
59 self.font_box.on_submit(self.set_font_size)
60 self.font_box.set_val(str(plt.rcParams['font.size']))
61 self.step_box = TextBox(plt.axes([0.5,0.05,0.1,0.05]),"",
textalignment="center")
62 self.step_box.set_val("100")
63 self.stepsButton = Button(plt.axes([0.6,0.05,0.075,0.05]), "steps",
color='yellow')
64 self.stepsButton.on_clicked(self.steps)
65 #self.exitButton = Button(plt.axes([0.0,0.05,0.05,0.05]), "exit",
color='yellow')
66 #self.exitButton.on_clicked(self.exit)
67 self.show_vals(None)
68
69 def set_font_size(self, s):
70 plt.rcParams.update({'font.size': eval(s)})
71 plt.draw()
72
73 def window_closed(self, s):
74 self.quitting = True

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75
76 def show_vals(self,event):
77 self.ax.cla()
78 self.ax.set_title(f"{self.sim.step}: State: {self.state} Reward:
{self.env.reward} Sum rewards: {self.sim.sum_rewards}")
79 array = [[self.v(self.env.pos2state((x,y))) for x in
range(self.x_dim)]
80 for y in range(self.y_dim)]
81 self.ax.pcolormesh([x-0.5 for x in range(self.x_dim+1)],
82 [x-0.5 for x in range(self.y_dim+1)],
83 array, edgecolors='black',cmap='summer')
84 # for cmap see
https://matplotlib.org/stable/tutorials/colors/colormaps.html
85 if self.qcheck.get_status()[1]: # "show policy"
86 for x in range(self.x_dim):
87 for y in range(self.y_dim):
88 state = self.env.pos2state((x,y))
89 maxv = max(self.agent.q(state,a) for a in
self.env.actions)
90 for a in self.env.actions:
91 xoff, yoff = self.offsets[a]
92 if self.agent.q(state,a) == maxv:
93 # draw arrow in appropriate direction
94 self.ax.arrow(x,y,xoff*2,yoff*2,
95 color='red',width=0.05, head_width=0.2,
length_includes_head=True)
96
97 if goal := self.env.state2goal(self.state):
98 self.ax.add_patch(plt.Circle(goal, 0.1, color='lime'))
99 self.ax.add_patch(plt.Circle(self.env.state2pos(self.state), 0.1,
color='w'))
100 if self.qcheck.get_status()[0]: # "show q-values"
101 self.show_q(event)
102 elif self.qcheck.get_status()[2] and 'visits' in vars(self.agent):
# "show visits"
103 self.show_visits(event)
104 else:
105 self.show_v(event)
106 self.ax.set_xticks(range(self.x_dim))
107 self.ax.set_xticklabels(range(self.x_dim))
108 self.ax.set_yticks(range(self.y_dim))
109 self.ax.set_yticklabels(range(self.y_dim))
110 plt.draw()
111
112 def sel_action(self,event):
113 self.action = self.actButtons[event.artist]
114
115 def show_v(self,event):
116 """show values"""
117 for x in range(self.x_dim):

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 352 13. Reinforcement Learning

118 for y in range(self.y_dim):

119 state = self.env.pos2state((x,y))
120 self.ax.text(x,y,"{val:.2f}".format(val=self.agent.v(state)),ha='center')
121
122 def show_q(self,event):
123 """show q-values"""
124 for x in range(self.x_dim):
125 for y in range(self.y_dim):
126 state = self.env.pos2state((x,y))
127 for a in self.env.actions:
128 xoff, yoff = self.offsets[a]
129 self.ax.text(x+xoff,y+yoff,
130 "{val:.2f}".format(val=self.agent.q(state,a)),ha='center')
131
132 def show_visits(self,event):
133 """show q-values"""
134 for x in range(self.x_dim):
135 for y in range(self.y_dim):
136 state = self.env.pos2state((x,y))
137 for a in self.env.actions:
138 xoff, yoff = self.offsets[a]
139 if state in self.agent.visits and a in
self.agent.visits[state]:
140 num_visits = self.agent.visits[state][a]
141 else:
142 num_visits = 0
143 self.ax.text(x+xoff,y+yoff,
144 str(num_visits),ha='center')
145
146 def steps(self,event):
147 "do the steps given in step box"
148 num_steps = int(self.step_box.text)
149 if num_steps > 0:
150 self.do_steps = num_steps-1
151 self.action = self.action_from_orig_exp_strategy()
152
153 def action_from_orig_exp_strategy(self):
154 """returns the action from the original explorations strategy"""
155 visits = self.agent.visits[self.state] if 'visits' in
vars(self.agent) else {}
156 return
self.orig_exp_strategy(self.state,{a:self.agent.q(self.state,a)
for a in self.agent.actions},
157 visits,**self.agent.es_kwargs)
158
159 def actionFromGUI(self, state, *args, **kwargs):
160 """called as the exploration strategy by the RL agent.
161 returns an action, either from the GUI or the original exploration
strategy
162 """

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 13.7. GUI for RL 353

163 self.state = state

164 if self.do_steps > 0: # use the original
165 self.do_steps -= 1
166 return self.action_from_orig_exp_strategy()
167 else: # get action from the user
168 self.show_vals(None)
169 while self.action == None and not self.quitting: #wait for user
action
170 plt.pause(0.05) # controls reaction time of GUI
171 if self.quitting:
172 raise ExitToPython()
173 act = self.action
174 self.action = None
175 return act
176
177 class ExitToPython(Exception):
178 """Thrown when window closes.
179 """
180 pass
181
182 from rlExamples import Monster_game_env
183 from mdpExamples import MDPtiny, Monster_game
184 from rlQLearner import Q_learner, SARSA
185 from rlStochasticPolicy import StochasticPIAgent
186 from rlProblem import Env_from_ProblemDomain, epsilon_greedy, ucb
187
188 # Choose an Environment
189 env = Env_from_ProblemDomain(MDPtiny())
190 # env = Env_from_ProblemDomain(Monster_game())
191 # env = Monster_game_env()
192
193 # Choose an algorithm
194 # gui = rlGUI(env, Q_learner("Q", env.actions, 0.9)); gui.go()
195 # gui = rlGUI(env, SARSA("SARSA", env.actions, 0.9)); gui.go()
196 # gui = rlGUI(env, SARSA("SARSA alpha(k)=k:10/(9+k))", env.actions, 0.9,
alpha_fun=lambda k:10/(9+k))); gui.go()
197 # gui = rlGUI(env, SARSA("SARSA-UCB", env.actions, 0.9,
exploration_strategy = ucb, es_kwargs={'c':0.1})); gui.go()
198 # gui = rlGUI(env, StochasticPIAgent("Q", env.actions, 0.9,
alpha_fun=lambda k:10/(9+k))); gui.go()
199
200 if __name__ == "__main__":
201 print("Try: rlGUI(env, Q_learner('Q', env.actions, 0.9)).go()")

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 Chapter 14

Multiagent Systems

This chapter considers searching game trees and reinforcement learning for
games.

14.1 Minimax
The following code implements search for two-player, zero-sum, perfect-information
(fully-observable) games. One player only wins when another player loses.
Such games can be modeled with

• a single value (utility) which one agent (the maximizing agent) is trying
maximize and the other agent (the minimizing agent) is trying to mini-
mize

• a game tree where the nodes correspond to state of the game (or the his-
tory of moves)

• each node is labelled by the player who controls the next move (the max-
imizing player or the minimizing player)

• the children of non-terminal node correspond to all of the actions by the

agent controlling the node

• nodes at the end of the game have no children and are labeled with the
value of the node (e.g., +1 for win, 0 for tie, −1 for loss).

The aim of the minimax searcher is, given a state, to find the optimal (maxi-
mizing or minimizing depending on the agent) move.

355
 356 14. Multiagent Systems

14.1.1 Creating a two-player game

masProblem.py — A Multiagent Problem

11 from display import Displayable
12
13 class Node(Displayable):
14 """A node in a search tree. It has a
15 name a string
16 isMax is True if it is a maximizing node, otherwise it is minimizing
node
17 children is the list of children
18 value is what the node evaluates to if it is a leaf.
19 """
20 def __init__(self, name, isMax, value, children):
21 self.name = name
22 self.isMax = isMax
23 self.value = value
24 self.allchildren = children
25
26 def isLeaf(self):
27 """returns true of this is a leaf node"""
28 return self.allchildren is None
29
30 def children(self):
31 """returns the list of all children."""
32 return self.allchildren
33
34 def evaluate(self):
35 """returns the evaluation for this node if it is a leaf"""
36 return self.value
37
38 def __repr__(self):
39 return self.name

The following gives the tree of Figure 14.1 (Figure 11.5 of Poole and Mackworth
[2023]); only the leaf nodes are part of the true; the other values are described
Poole and Mackworth [2023, Section 14.3.1]. 888 is used as a value for those
nodes without a value in the tree. (If you look at the trace of alpha-beta prun-
ing, 888 never appears).

masProblem.py — (continued)

41 fig10_5 = Node("a",True,None, [
42 Node("b",False,None, [
43 Node("d",True,None, [
44 Node("h",False,None, [
45 Node("h1",True,7,None),
46 Node("h2",True,9,None)]),
47 Node("i",False,None, [
48 Node("i1",True,6,None),
49 Node("i2",True,888,None)])]),

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 14.1. Minimax 357

7 a MAX

7 ≤5
b c MIN

≥11 ≤5
7 d e f g MAX
≤6 11 ≤5 ≤4
7
h i j k l m n o MIN

7 9 6 11 12 5 4

Figure 14.1: Example search tree

50 Node("e",True,None, [
51 Node("j",False,None, [
52 Node("j1",True,11,None),
53 Node("j2",True,12,None)]),
54 Node("k",False,None, [
55 Node("k1",True,888,None),
56 Node("k2",True,888,None)])])]),
57 Node("c",False,None, [
58 Node("f",True,None, [
59 Node("l",False,None, [
60 Node("l1",True,5,None),
61 Node("l2",True,888,None)]),
62 Node("m",False,None, [
63 Node("m1",True,4,None),
64 Node("m2",True,888,None)])]),
65 Node("g",True,None, [
66 Node("n",False,None, [
67 Node("n1",True,888,None),
68 Node("n2",True,888,None)]),
69 Node("o",False,None, [
70 Node("o1",True,888,None),
71 Node("o2",True,888,None)])])])])
The following is a representation of a magic-sum game, where players take
turns picking a number in the range [1, 9], and the first player to have 3 num-
bers that sum to 15 wins. Note that this is a syntactic variant of tic-tac-toe or
naughts and crosses. To see this, consider the numbers on a magic square (Fig-
ure 14.2); 3 numbers that add to 15 correspond exactly to the winning positions
of tic-tac-toe played on the magic square.
masProblem.py — (continued)

73
74 class Magic_sum(Node):

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 358 14. Multiagent Systems

6 1 8
7 5 3
2 9 4

Figure 14.2: Magic Square

75 def __init__(self, xmove=True, last_move=None,

76 available=[1,2,3,4,5,6,7,8,9], x=[], o=[]):
77 """This is a node in the search for the magic-sum game.
78 xmove is True if the next move belongs to X.
79 last_move is the number selected in the last move
80 available is the list of numbers that are available to be chosen
81 x is the list of numbers already chosen by x
82 o is the list of numbers already chosen by o
83 """
84 self.isMax = self.xmove = xmove
85 self.last_move = last_move
86 self.available = available
87 self.x = x
88 self.o = o
89 self.allchildren = None #computed on demand
90 lm = str(last_move)
91 self.name = "start" if not last_move else "o="+lm if xmove else
"x="+lm
92
93 def children(self):
94 if self.allchildren is None:
95 if self.xmove:
96 self.allchildren = [
97 Magic_sum(xmove = not self.xmove,
98 last_move = sel,
99 available = [e for e in self.available if e is
not sel],
100 x = self.x+[sel],
101 o = self.o)
102 for sel in self.available]
103 else:
104 self.allchildren = [
105 Magic_sum(xmove = not self.xmove,
106 last_move = sel,
107 available = [e for e in self.available if e is
not sel],
108 x = self.x,
109 o = self.o+[sel])
110 for sel in self.available]
111 return self.allchildren
112
113 def isLeaf(self):
114 """A leaf has no numbers available or is a win for one of the

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 14.1. Minimax 359

players.
115 We only need to check for a win for o if it is currently x's turn,
116 and only check for a win for x if it is o's turn (otherwise it would
117 have been a win earlier).
118 """
119 return (self.available == [] or
120 (sum_to_15(self.last_move,self.o)
121 if self.xmove
122 else sum_to_15(self.last_move,self.x)))
123
124 def evaluate(self):
125 if self.xmove and sum_to_15(self.last_move,self.o):
126 return -1
127 elif not self.xmove and sum_to_15(self.last_move,self.x):
128 return 1
129 else:
130 return 0
131
132 def sum_to_15(last,selected):
133 """is true if last, together with two other elements of selected sum to
15.
134 """
135 return any(last+a+b == 15
136 for a in selected if a != last
137 for b in selected if b != last and b != a)

14.1.2 Minimax and α-β Pruning

This is a naive depth-first minimax algorithm that searches the whole tree:

masMiniMax.py — Minimax search with alpha-beta pruning

11 def minimax(node,depth):
12 """returns the value of node, and a best path for the agents
13 """
14 if node.isLeaf():
15 return node.evaluate(),None
16 elif node.isMax:
17 max_score = float("-inf")
18 max_path = None
19 for C in node.children():
20 score,path = minimax(C,depth+1)
21 if score > max_score:
22 max_score = score
23 max_path = C.name,path
24 return max_score,max_path
25 else:
26 min_score = float("inf")
27 min_path = None
28 for C in node.children():
29 score,path = minimax(C,depth+1)
30 if score < min_score:

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 360 14. Multiagent Systems

31 min_score = score
32 min_path = C.name,path
33 return min_score,min_path
The following is a depth-first minimax with α-β pruning. It returns the
value for a node as well as a best path for the agents.
masMiniMax.py — (continued)

35 def minimax_alpha_beta(node, alpha, beta, depth=0):

36 """node is a Node,
37 alpha and beta are cutoffs
38 depth is the depth on node (for indentation in printing)
39 returns value, path
40 where path is a sequence of nodes that results in the value
41 """
42 node.display(2," "*depth, f"minimax_alpha_beta({node.name}, {alpha},
{beta})")
43 best=None # only used if it will be pruned
44 if node.isLeaf():
45 node.display(2," "*depth, f"{node} leaf value {node.evaluate()}")
46 return node.evaluate(),None
47 elif node.isMax:
48 for C in node.children():
49 score,path = minimax_alpha_beta(C,alpha,beta,depth+1)
50 if score >= beta: # beta pruning
51 node.display(2," "*depth, f"{node} pruned {beta=}, {C=}")
52 return score, None
53 if score > alpha:
54 alpha = score
55 best = C.name, path
56 node.display(2," "*depth, f"{node} returning max {alpha=}, {best=}")
57 return alpha,best
58 else:
59 for C in node.children():
60 score,path = minimax_alpha_beta(C,alpha,beta,depth+1)
61 if score <= alpha: # alpha pruning
62 node.display(2," "*depth, f"{node} pruned {alpha=}, {C=}")
63 return score, None
64 if score < beta:
65 beta=score
66 best = C.name,path
67 node.display(2," "*depth, f"{node} returning min {beta=}, {best=}")
68 return beta,best
Testing:
masMiniMax.py — (continued)

70 from masProblem import fig10_5, Magic_sum, Node

71
72 # Node.max_display_level=2 # print detailed trace
73 # minimax_alpha_beta(fig10_5, -9999, 9999,0)
74 # minimax_alpha_beta(Magic_sum(), -9999, 9999,0)

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75
76 #To test much time alpha-beta pruning can save over minimax:
77 ## import timeit
78 ## timeit.Timer("minimax(Magic_sum(),0)",setup="from __main__ import
minimax, Magic_sum").timeit(number=1)
79 ## timeit.Timer("minimax_alpha_beta(Magic_sum(), -9999, 9999,0)",
setup="from __main__ import minimax_alpha_beta,
Magic_sum").timeit(number=1)

Exercise 14.1 In the magic-sum game, a state is represented as lists of moves.

The same state could be reached by more than one sequence of moves. Change
the representation of the game and/or the search procedures to recognize when
the value of a state has already been computed. How much does this improve the
search?
Exercise 14.2 There are symmetries in tic-tac toe, such as rotation and reflec-
tion. How can the representation and/or the algorithm be changed to recognize
symmetries? How much difference does it make?

14.2 Multiagent Learning

The next code is for multiple agents that learn when interacting with other
agents. The main difference from the simulator of the last chapter is that the
games take actions from all the agents and provide a separate reward to each
agent. Any of the reinforcement learning agents from the last chapter can be
used.

14.2.1 Simulating Multiagent Interaction with an Environment

A game has a name, a list of player roles (which are strings for printing), a list
of lists of actions (actions[i][j] is the jth action for agent i), a list of states,
and an initial state. The default is to have a single state, and the initial state is
a randomly selected state.

masLearn.py — Multiagent learning

11 import random
12 from display import Displayable
13 import matplotlib.pyplot as plt
14 from rlProblem import RL_agent
15
16 class Game(Displayable):
17 def __init__(self, name, players, actions, states=['s0'],
initial_state=None):
18 self.name = name
19 self.players = players # list of roles (strings) of the players
20 self.num_players = len(players)
21 self.actions = actions # action[i] is list of actions for agent i

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 362 14. Multiagent Systems

22 self.states = states # list of environment states; default single

state
23 if initial_state is None:
24 self.initial_state = random.choice(states)
25 else:
26 self.initial_state = initial_state

The simulation for a game passes the joint action from all the agents to the
environment, which returns a tuple of rewards – one for each agent – and the
next state.

masLearn.py — (continued)

28 def sim(self, ag_types, discount=0):

29 """returns a simulation using default values for agent types
30 (This is a simple interface to SimulateGame)
31 ag_types is a list of agent functions (one for each player in the
game)
32 The default is for one-off games where discount=0
33 """
34 return SimulateGame(self,
35 [ag_types[i](ag_types[i].__name__,
self.actions[i], discount)
36 for i in range(self.num_players)])
37
38 class SimulateGame(Displayable):
39 """A simulation of a game.
40 (This is not subclass of a game, as a game can have multiple games.)
41 """
42 def __init__(self, game, agents):
43 """ Simulates game
44 agents is a list of agents, one for each player in the game
45 """
46 #self.max_display_level = 3
47 self.game = game
48 self.agents = agents
49 # Collect Statistics:
50 self.action_counts = [{act:0 for act in game.actions[i]} for i in
range(game.num_players)]
51 self.reward_sum = [0 for i in range(game.num_players)]
52 self.dist = {}
53 self.dist_history = []
54 self.actions = tuple(ag.initial_action(game.initial_state) for ag
in self.agents)
55 self.num_steps = 0
56
57 def go(self, steps):
58 for i in range(steps):
59 self.num_steps += 1
60 (rewards, state) = self.game.play(self.actions)
61 self.display(3, f"In go {rewards=}, {state=}")

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 14.2. Multiagent Learning 363

Soccer Gaol Kick Game

1.0 (StochasticPIAgent, StochasticPIAgent)
(Q_learner, Q_learner)
(Q_learner, StochasticPIAgent)
0.8
Probability kicker does right

0.6

0.4

0.2

0.0
0.0 0.2 0.4 0.6 0.8 1.0
Probability goalkeeper does right

Figure 14.3: Dynamics of three runs of SoccerGame

62 self.reward_sum = [self.reward_sum[i]+rewards[i] for i in

range(len(rewards))]
63 self.actions = tuple(agent.select_action(reward, state)
64 for (agent,reward) in
zip(self.agents,rewards))
65 for i in range(self.game.num_players):
66 self.action_counts[i][self.actions[i]] += 1
67 self.dist_history.append([{a:i/self.num_steps for (a,i) in
elt.items()}
68 for elt in self.action_counts])
69 self.display(1,"Scores:", ' '.join(
70 f"{self.agents[i].name} average
reward={self.reward_sum[i]/self.num_steps}"
71 for i in range(self.game.num_players)))
72 self.display(1,"Distributions:",
73 ' '.join(str({a:self.dist_history[-1][i][a]
74 /sum(self.dist_history[-1][i].values())
75 for a in self.game.actions[i]})
76 for i in range(self.game.num_players)))

The plot shows how the empirical distributions of two actions by two agents
changes as the learning continues.
Figure 14.3 shows the plot of 3 runs. The first (blue) run, where both agents
are running stochastic policy iteration, starts with the goalkeeper going left

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 364 14. Multiagent Systems

and the kicker going right; it ends with both probabilities around 0.35. The
second (orange) run, where both agents are doing Q-learning, starts with the
goalkeeper going right and the kicker going left; it ends with empirical proba-
bilities of 0.24 for the goalkeeper going right and 0.36 for the kicker going right.
The third (green) run, where the goalkeeper is doing Q-learning and the kicker
is doing stochastic policy iteration, starts both players going left; it ends with
empirical probabilities of 0.41 for the goalkeeper going right and 0.46 for the
kicker going right. (You can tell the start as the empirical distribution starts
with 0 or 1 probabilities, and moves quickly initially.) This figure is generated
using the commented out code at the end of masLearn.py.
masLearn.py — (continued)

78 def plot_dynamics(self, x_ag=0, y_ag=1, x_action=0, y_action=0):

79 """ plot how the empirical probabilities vary
80 x_ag index of the agent on the x-axis
81 y_ag index of the agent on the y-axis
82 x_action index of the action plotted for x_ag
83 y_action index of the action plotted for y_ag
84 """
85 plt.ion() # make it interactive
86 ax.set_title(self.game.name)
87 x_act = self.game.actions[x_ag][x_action]
88 y_act = self.game.actions[y_ag][y_action]
89 ax.set_xlabel(f"Probability {self.game.players[x_ag]} does "
90 f"{self.agents[x_ag].actions[x_action]}")
91 ax.set_ylabel(f"Probability {self.game.players[y_ag]} does "
92 f"{self.agents[y_ag].actions[y_action]}")
93 ax.plot([self.dist_history[i][x_ag][x_act]
94 for i in range(len(self.dist_history))],
95 [self.dist_history[i][y_ag][y_act]
96 for i in range(len(self.dist_history))],
97 label = f"({self.agents[x_ag].name},
{self.agents[y_ag].name})")
98 ax.legend()
99 plt.show()
100
101 fig, ax = plt.subplots()

14.2.2 Example Games

The following are games from Poole and Mackworth [2023].
masLearn.py — (continued)

104 class ShoppingGame(Game):

105 def __init__(self):
106 Game.__init__(self, "Shopping Game",
107 ['football-preferrer', 'shopping-preferrer'], #players
108 [['shopping', 'football']]*2 # actions
109 )

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 14.2. Multiagent Learning 365

110
111 def play(self, actions):
112 """Given (action1,action2) returns (resulting_state, (reward1,
reward2))
113 """
114 return ({('football', 'football'): (2, 1),
115 ('football', 'shopping'): (0, 0),
116 ('shopping', 'football'): (0, 0),
117 ('shopping', 'shopping'): (1, 2)
118 }[actions], 's')
119
120 class SoccerGame(Game):
121 def __init__(self):
122 Game.__init__(self, "Soccer Gaol Kick Game",
123 ['goalkeeper', 'kicker'], # players
124 [['right', 'left']]*2 # actions
125 )
126
127 def play(self, actions):
128 """Given (action1,action2) returns (resulting_state, (reward1,
reward2))
129 resulting state is 's'
130 """
131 return ({('left', 'left'): (0.6, 0.4),
132 ('left', 'right'): (0.3, 0.7),
133 ('right', 'left'): (0.2, 0.8),
134 ('right', 'right'): (0.9,0.1)
135 }[actions], 's')
136
137 class GameShow(Game):
138 def __init__(self):
139 Game.__init__(self, "Game Show (prisoners dilemma)",
140 ['Agent 1', 'Agent 2'], # players
141 [['takes', 'gives']]*2 # actions
142 )
143
144 def play(self, actions):
145 return ({('takes', 'takes'): (1, 1),
146 ('takes', 'gives'): (11, 0),
147 ('gives', 'takes'): (0, 11),
148 ('gives', 'gives'): (10, 10)
149 }[actions], 's')
150
151 class UniqueNEGameExample(Game):
152 def __init__(self):
153 Game.__init__(self, "3x3 Unique NE Game Example",
154 ['agent 1', 'agent 2'], # players
155 [['a1', 'b1', 'c1'],['d2', 'e2', 'f2']]
156 )
157

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 366 14. Multiagent Systems

158 def play(self, actions):

159 return ({('a1', 'd2'): (3, 5),
160 ('a1', 'e2'): (5, 1),
161 ('a1', 'f2'): (1, 2),
162 ('b1', 'd2'): (1, 1),
163 ('b1', 'e2'): (2, 9),
164 ('b1', 'f2'): (6, 4),
165 ('c1', 'd2'): (2, 6),
166 ('c1', 'e2'): (4, 7),
167 ('c1', 'f2'): (0, 8)
168 }[actions], 's')

14.2.3 Testing Games and Environments

masLearn.py — (continued)

170 # Choose a game:

171 # gm = ShoppingGame()
172 # gm = SoccerGame()
173 # gm = GameShow()
174 # gm = UniqueNEGameExample()
175
176 from rlQLearner import Q_learner
177 from rlProblem import RL_agent
178 from rlStochasticPolicy import StochasticPIAgent
179 # Choose one of the combinations of learners:
180 # sm = gm.sim([StochasticPIAgent, StochasticPIAgent]); sm.go(10000)
181 # sm = gm.sim([Q_learner, Q_learner]); sm.go(10000)
182 # sm = gm.sim([Q_learner, StochasticPIAgent]); sm.go(10000)
183 # sm = gm.sim([StochasticPIAgent, Q_learner]); sm.go(10000)
184
185 # sm.plot_dynamics()

Exercise 14.3 Consider a pair of controllers for a games (try multiple controllers
and games, including the soccer game). Does the empirical distribution represent
a Nash equilibrium? Would either agent be better off if they played a Nash equi-
librium instead of the empirical distribution? [10000 steps might not be enough
for the algorithm to converge.]
Exercise 14.4 Try the Game Show (prisoner’s dilemma) with two StochasticPIAgent
agents and alpha_fun=lambda k:0.1, and also with other values of k, including
0.01. Do different values of k work qualitatively differently? Explain why. Is one
better? Try other games and other algorithms.
Exercise 14.5 Consider the alternative ways to implement stochastic policy iter-
ation of Exercise 13.4.

(a) What value(s) of c converge for the soccer game? Explain your results.
(b) Suggest another method that works well for the soccer game, the other games
and other RL environments.

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14.2. Multiagent Learning 367

Exercise 14.6 For the soccer game, how can a Q_learner be regularly beaten?
Assume that the random number generator is secret. (Hint: can you predict what
it will do?) What happens when it is played against an adversary that knows how
it learns? What happens if two of these agents are played against each other? Can
a StochasticPIAgent be defeated in the same way?

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 Chapter 15

Individuals and Relations

Here we implement top-down proofs for Datalog and logic programming. This
is much less efficient than Prolog, which is typically implemented by compiling
to an abstract machine. If you want to do serious work, we suggest using
Prolog; SWI Prolog (https://www.swi-prolog.org) is good.

15.1 Representing Datalog and Logic Pro-

grams
The following extends the knowledge bases of Chapter 5 to include logical
variables. In that chapter, atoms did not have structure and were represented
as strings. Here atoms can have arguments including variables (defined below)
and constants (represented by strings).
Function symbols have the same representation as atoms. To make uni-
fication simpler and to allow treating clauses as data, Func is defined as an
abbreviation for Atom.

logicRelation.py — Datalog and Logic Programs

11 from display import Displayable
12 import logicProblem
13
14 class Var(Displayable):
15 """A logical variable"""
16 def __init__(self, name):
17 """name"""
18 self.name = name
19
20 def __str__(self):
21 return self.name

369
 370 15. Individuals and Relations

22 __repr__ = __str__
23
24 def __eq__(self, other):
25 return isinstance(other,Var) and self.name == other.name
26 def __hash__(self):
27 return hash(self.name)
28
29 class Atom(object):
30 """An atom"""
31 def __init__(self, name, args):
32 self.name = name
33 self.args = args
34
35 def __str__(self):
36 return f"{self.name}({', '.join(str(a) for a in self.args)})"
37 __repr__ = __str__
38
39 Func = Atom # same syntax is used for function symbols
The following extends Clause of Section 5.1 to include also a set of logical vari-
ables in the clause. It also allows for atoms that are strings (as in Chapter 5)
and makes them into atoms.
logicRelation.py — (continued)

41 class Clause(logicProblem.Clause):
42 next_index=0
43 def __init__(self, head, *args, **nargs):
44 if not isinstance(head, Atom):
45 head = Atom(head)
46 logicProblem.Clause.__init__(self, head, *args, **nargs)
47 self.logical_variables = log_vars([self.head,self.body],set())
48
49 def rename(self):
50 """create a unique copy of the clause"""
51 if self.logical_variables:
52 sub = {v:Var(f"{v.name}_{Clause.next_index}") for v in
self.logical_variables}
53 Clause.next_index += 1
54 return Clause(apply(self.head,sub),apply(self.body,sub))
55 else:
56 return self
57
58 def log_vars(exp, vs):
59 """the union the logical variables in exp and the set vs"""
60 if isinstance(exp,Var):
61 return {exp}|vs
62 elif isinstance(exp,Atom):
63 return log_vars(exp.name, log_vars(exp.args, vs))
64 elif isinstance(exp,(list,tuple)):
65 for e in exp:
66 vs = log_vars(e, vs)

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 15.2. Unification 371

67 return vs

15.2 Unification
The unification algorithm is very close to the pseudocode of Section 15.5.3 of
Poole and Mackworth [2023].
logicRelation.py — (continued)

69 unifdisp = Var(None) # for display

70
71 def unify(t1,t2):
72 e = [(t1,t2)]
73 s = {} # empty dictionary
74 while e:
75 (a,b) = e.pop()
76 unifdisp.display(2,f"unifying{(a,b)}, e={e},s={s}")
77 if a != b:
78 if isinstance(a,Var):
79 e = apply(e,{a:b})
80 s = apply(s,{a:b})
81 s[a]=b
82 elif isinstance(b,Var):
83 e = apply(e,{b:a})
84 s = apply(s,{b:a})
85 s[b]=a
86 elif isinstance(a,Atom) and isinstance(b,Atom) and
a.name==b.name and len(a.args)==len(b.args):
87 e += zip(a.args,b.args)
88 elif isinstance(a,(list,tuple)) and isinstance(b,(list,tuple))
and len(a)==len(b ):
89 e += zip(a,b)
90 else:
91 return False
92 return s
93
94 def apply(e,sub):
95 """e is an expression
96 sub is a {var:val} dictionary
97 returns e with all occurrence of var replaces with val"""
98 if isinstance(e,Var) and e in sub:
99 return sub[e]
100 if isinstance(e,Atom):
101 return Atom(e.name, apply(e.args,sub))
102 if isinstance(e,list):
103 return [apply(a,sub) for a in e]
104 if isinstance(e,tuple):
105 return tuple(apply(a,sub) for a in e)
106 if isinstance(e,dict):
107 return {k:apply(v,sub) for (k,v) in e.items()}

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 372 15. Individuals and Relations

108 else:
109 return e

Test cases:

logicRelation.py — (continued)

111 ### Test cases:

112 # unifdisp.max_display_level = 2 # show trace
113 e1 = Atom('p',[Var('X'),Var('Y'),Var('Y')])
114 e2 = Atom('p',['a',Var('Z'),'b'])
115 # apply(e1,{Var('Y'):'b'})
116 # unify(e1,e2)
117 e3 = Atom('p',['a',Var('Y'),Var('Y')])
118 e4 = Atom('p',[Var('Z'),Var('Z'),'b'])
119 # unify(e3,e4)

15.3 Knowledge Bases

The following modifies KB of Section 5.1 so that clause indexing is only on the
predicate symbol of the head of clauses.

logicRelation.py — (continued)

121 class KB(logicProblem.KB):

122 """A first-order knowledge base.
123 only the indexing is changed to index on name of the head."""
124
125 def add_clause(self, c):
126 """Add clause c to clause dictionary"""
127 if c.head.name in self.atom_to_clauses:
128 self.atom_to_clauses[c.head.name].append(c)
129 else:
130 self.atom_to_clauses[c.head.name] = [c]

simp_KB is the simple knowledge base of Figure 15.1 of Poole and Mackworth
[2023].

relnExamples.py — Relational Knowledge Base Example

11 from logicRelation import Var, Atom, Clause, KB
12
13 simp_KB = KB([
14 Clause(Atom('in',['kim','r123'])),
15 Clause(Atom('part_of',['r123','cs_building'])),
16 Clause(Atom('in',[Var('X'),Var('Y')]),
17 [Atom('part_of',[Var('Z'),Var('Y')]),
18 Atom('in',[Var('X'),Var('Z')])])
19 ])

elect_KB is the relational version of the knowledge base for the electrical sys-
tem of a house, as described in Example 15.11 of Poole and Mackworth [2023].

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 15.3. Knowledge Bases 373

relnExamples.py — (continued)

21 # define abbreviations to make the clauses more readable:

22 def lit(x): return Atom('lit',[x])
23 def light(x): return Atom('light',[x])
24 def ok(x): return Atom('ok',[x])
25 def live(x): return Atom('live',[x])
26 def connected_to(x,y): return Atom('connected_to',[x,y])
27 def up(x): return Atom('up',[x])
28 def down(x): return Atom('down',[x])
29
30 L = Var('L')
31 W = Var('W')
32 W1 = Var('W1')
33
34 elect_KB = KB([
35 # lit(L) is true if light L is lit.
36 Clause(lit(L),
37 [light(L),
38 ok(L),
39 live(L)]),
40
41 # live(W) is true if W is live (i.e., current will flow through it)
42 Clause(live(W),
43 [connected_to(W,W1),
44 live(W1)]),
45
46 Clause(live('outside')),
47
48 # light(L) is true if L is a light
49 Clause(light('l1')),
50 Clause(light('l2')),
51
52 # connected_to(W0,W1) is true if W0 is connected to W1 such that
53 # current will flow from W1 to W0.
54
55 Clause(connected_to('l1','w0')),
56 Clause(connected_to('w0','w1'),
57 [ up('s2'), ok('s2')]),
58 Clause(connected_to('w0','w2'),
59 [ down('s2'), ok('s2')]),
60 Clause(connected_to('w1','w3'),
61 [ up('s1'), ok('s1')]),
62 Clause(connected_to('w2','w3'),
63 [ down('s1'), ok('s1')]),
64 Clause(connected_to('l2','w4')),
65 Clause(connected_to('w4','w3'),
66 [ up('s3'), ok('s3')]),
67 Clause(connected_to('p1','w3')),
68 Clause(connected_to('w3','w5'),
69 [ ok('cb1')]),

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 374 15. Individuals and Relations

70 Clause(connected_to('p2','w6')),
71 Clause(connected_to('w6','w5'),
72 [ ok('cb2')]),
73 Clause(connected_to('w5','outside'),
74 [ ok('outside_connection')]),
75
76 # up(S) is true if switch S is up
77 # down(S) is true if switch S is down
78 Clause(down('s1')),
79 Clause(up('s2')),
80 Clause(up('s3')),
81
82 # ok(L) is true if K is working. Everything is ok:
83 Clause(ok(L)),
84 ])

15.4 Top-down Proof Procedure

The top-down proof procedure is the one defined in Section 15.5.4 of Poole and
Mackworth [2023] and shown in Figure 15.5. It is like prove defined in Section
5.3. It implements the iterator interface so that answers can be generated one
at a time (or put in a list), and returns answers. To implement “choose” it loops
over all alternatives and yields (returns one element at a time) the successful
proofs.

logicRelation.py — (continued)

132 def ask(self, query):

133 """self is the current KB
134 query is a list of atoms to be proved
135 generates {variable:value} dictionary"""
136
137 qvars = list(log_vars(query, set()))
138 for ans in self.prove(qvars, query):
139 yield {x:v for (x,v) in zip(qvars,ans)}
140
141 def ask_all(self, query):
142 """returns a list of all answers to the query given kb"""
143 return list(self.ask(query))
144
145 def ask_one(self, query):
146 """returns an answer to the query given kb or None of there are no
answers"""
147 for ans in self.ask(query):
148 return ans
149
150 def prove(self, ans, ans_body, indent=""):
151 """enumerates the proofs for ans_body
152 ans_body is a list of atoms to be proved

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 15.4. Top-down Proof Procedure 375

153 ans is the list of values of the query variables

154 """
155 self.display(2,indent,f"(yes({ans}) <-"," & ".join(str(a) for a in
ans_body))
156 if ans_body==[]:
157 yield ans
158 else:
159 selected, remaining = self.select_atom(ans_body)
160 if self.built_in(selected):
161 yield from self.eval_built_in(ans, selected, remaining,
indent)
162 else:
163 for chosen_clause in self.atom_to_clauses[selected.name]:
164 clause = chosen_clause.rename() # rename variables
165 sub = unify(selected, clause.head)
166 if sub is not False:
167 self.display(3,indent,"KB.prove: selected=",
selected, "clause=",clause,"sub=",sub)
168 resans = apply(ans,sub)
169 new_ans_body = apply(clause.body+remaining, sub)
170 yield from self.prove(resans, new_ans_body, indent+"
")
171
172 def select_atom(self,lst):
173 """given list of atoms, return (selected atom, remaining atoms)
174 """
175 return lst[0],lst[1:]
176
177 def built_in(self,atom):
178 return atom.name in ['lt','triple']
179
180 def eval_built_in(self,ans, selected, remaining, indent):
181 if selected.name == 'lt': # less than
182 [a1,a2] = selected.args
183 if a1 < a2:
184 yield from self.prove(ans, remaining, indent+" ")
185 if selected.name == 'triple': # use triple store (AIFCA Ch 16)
186 yield from self.eval_triple(ans, selected, remaining, indent)

The unit test run when loading is the query in(A, B), from simp_KB. It should
have two answers.

relnExamples.py — (continued)

86 # Example Queries:
87 # simp_KB.max_display_level = 2 # show trace
88 # ask_all(simp_KB, [Atom('in',[Var('A'),Var('B')])])
89
90 A = Var('A')
91 B = Var('B')
92
93 def test_ask_all(kb=simp_KB,

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 376 15. Individuals and Relations

94 query=[Atom('in',[A,B])],
95 res=[{ A:'kim',B:'r123'}, {A:'kim',B: 'cs_building'}]):
96 ans= kb.ask_all(query)
97 assert ans == res, f"ask_all({query}) gave answer {ans}"
98 print("ask_all: Passed unit test")
99
100 if __name__ == "__main__":
101 test_ask_all()
102
103 # elect_KB.max_display_level = 2 # show trace
104 # elect_KB.ask_all([light('l1')])
105 # elect_KB.ask_all([light('l6')])
106 # elect_KB.ask_all([up(Var('X'))])
107 # elect_KB.ask_all([connected_to('w0',W)])
108 # elect_KB.ask_all([connected_to('w1',W)])
109 # elect_KB.ask_all([connected_to(W,'w3')])
110 # elect_KB.ask_all([connected_to(W1,W)])
111 # elect_KB.ask_all([live('w6')])
112 # elect_KB.ask_all([live('p1')])
113 # elect_KB.ask_all([Atom('lit',[L])])
114 # elect_KB.ask_all([Atom('lit',['l2']), live('p1')])
115 # elect_KB.ask_all([live(L)])

Exercise 15.1 Implement ask-the-user similar to Section 5.3. Augment this by

allowing the user to specify which instances satisfy an atom. For example, by
asking the user "for what X is w1 connected to X?"; or perhaps in a more user
friendly way.

15.5 Logic Program Example

The following is an append program and the query of Example 15.30 of Poole
and Mackworth [2023].

append(nil,W,W).
append(c(A,X),Y,c(A,Z)) <-
append(X,Y,Z).
The term c(A,X) is represented using Atom
In Prolog syntax:

append(nil,W,W).
append([A|X],Y,[A|Z]) :-
append(X,Y,Z).
The value if lst is [l,i,s,t]. The query is

? append(F,[L],[l,i,s,t]).
We first define some constants and functions to make it more readable.

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 15.5. Logic Program Example 377

logicRelation.py — (continued)

188 A = Var('A')
189 F = Var('F')
190 L =Var('L')
191 W = Var('W')
192 X = Var('X')
193 Y = Var('Y')
194 Z = Var('Z')
195 def cons(h,t): return Atom('cons',[h,t])
196 def append(a,b,c): return Atom('append',[a,b,c])
197
198 app_KB = KB([
199 Clause(append('nil',W,W)),
200 Clause(append(cons(A,X), Y,cons(A,Z)),
201 [append(X,Y,Z)])
202 ])
203
204
205 lst = cons('l',cons('i',cons('s',cons('t','nil'))))
206 # app_KB.max_display_level = 2 #show derivation
207 #app_KB.ask_all([append(F,cons(A,'nil'), lst)])
208 # Think about the expected answer before trying:
209 #app_KB.ask_all([append(X, Y, lst)])
210 #app_KB.ask_all([append(lst, lst, L), append(X, cons('s',Y), L)])

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 Chapter 16

Knowledge Graphs and

Ontologies

16.1 Triple Store

A triple store provides efficient indexing for triples. For any combination of
the subject-verb-object being provided or not, it can efficiently retrieve the
corresponding triples. This should be comparable in speed to commercial in-
memory triple stores,. It handles fewer triples, as it is not optimized for space,
and only has in-memory starage. It also have fewer bells and whistles (e.g.,
ways to visualize triples and traverse the graph).
A triple store implements an index that covers all cases of where the subject,
verb, or object are provided or not. The unspecified parts are given using Q
(with value ’?’). Thus, for example, index[(Q,vrb,Q)] is the list of triples with
verb vrb. index[(sub,Q,obj) is the list of triples with subject sub and object
obj.

knowledgeGraph.py — Knowledge graph triple store

11 from display import Displayable
12
13 class TripleStore(Displayable):
14 Q = '?' # query position
15
16 def __init__(self):
17 self.index = {}
18
19 def add(self, triple):
20 (sb,vb,ob) = triple
21 Q = self.Q # make it easier to read
22 add_to_index(self.index, (Q,Q,Q), triple)

379
 380 16. Knowledge Graphs and Ontologies

23 add_to_index(self.index, (Q,Q,ob), triple)

24 add_to_index(self.index, (Q,vb,Q), triple)
25 add_to_index(self.index, (Q,vb,ob), triple)
26 add_to_index(self.index, (sb,Q,Q), triple)
27 add_to_index(self.index, (sb,Q,ob), triple)
28 add_to_index(self.index, (sb,vb,Q), triple)
29 add_to_index(self.index, triple, triple)
30
31 def __len__(self):
32 """number of triples in the triple store"""
33 return len(self.index[(Q,Q,Q)])
The lookup method returns a list of triples that match a pattern. The pat-
tern is a triple of the form (i, j, k) where each of i, j, and k is either “Q” or a
given value; specifying whether the subject, verb, and object are provided in
the query or not. lookup((Q,Q,Q)) returns all triples. lookup((s,v,o)) can be
used to check whether the triple (s,v,o) is in the triple store; it returns [] if
the triple is not in the knowledge graph, and [(s,v,o)] if it is.
knowledgeGraph.py — (continued)

35 def lookup(self, query):

36 """pattern is a triple of the form (i,j,k) where
37 each i, j, k is either Q or a value for the
38 subject, verb and object respectively.
39 returns all triples with the specified non-Q vars in corresponding
position
40 """
41 if query in self.index:
42 return self.index[query]
43 else:
44 return []
45
46 def add_to_index(dict, key, value):
47 if key in dict:
48 dict[key].append(value)
49 else:
50 dict[key] = [value]
Here is a simple test triple store. In Wikidata Q262802 denotes the football
(soccer) player Christine Sinclair, P27 is the country of citizenship, and Q16 is
Canada.
knowledgeGraph.py — (continued)

52 # test cases:
53 sts = TripleStore() # simple triple store
54 Q = TripleStore.Q # makes it easier to read
55 sts.add(('/entity/Q262802','http://schema.org/name',"Christine Sinclair"))
56 sts.add(('/entity/Q262802', '/prop/direct/P27','/entity/Q16'))
57 sts.add(('/entity/Q16', 'http://schema.org/name', "Canada"))
58
59 # sts.lookup(('/entity/Q262802',Q,Q))

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60 # sts.lookup((Q,'http://schema.org/name',Q))
61 # sts.lookup((Q,'http://schema.org/name',"Canada"))
62 # sts.lookup(('/entity/Q16', 'http://schema.org/name', "Canada"))
63 # sts.lookup(('/entity/Q262802', 'http://schema.org/name', "Canada"))
64 # sts.lookup((Q,Q,Q))
65
66 def test_kg(kg=sts, q=('/entity/Q262802',Q,Q),
res=[('/entity/Q262802','http://schema.org/name',"Christine
Sinclair"), ('/entity/Q262802', '/prop/direct/P27','/entity/Q16')]):
67 """Knowledge graph unit test"""
68 ans = kg.lookup(q)
69 assert res==ans, f"test_kg answer {ans}"
70 print("knowledge graph unit test passed")
71
72 if __name__ == "__main__":
73 test_kg()

To read rdf files, you can use rdflib (https://rdflib.readthedocs.io/en/

stable/).
The default in load_file is to include only English names; multiple lan-
guages can be included in the list. If the language restriction is None, all tuples
are included. Converting to strings, as done here, loses information, e.g., the
language associated with the literals. If you don’t want to lose information,
you can use rdflib objects, by omitting str in the call to ts.add.

knowledgeGraph.py — (continued)

75 # before using do:

76 # pip install rdflib
77
78 def load_file(ts, filename, language_restriction=['en']):
79 import rdflib
80 g = rdflib.Graph()
81 g.parse(filename)
82 for (s,v,o) in g:
83 if language_restriction and isinstance(o,rdflib.term.Literal) and
o._language and o._language not in language_restriction:
84 pass
85 else:
86 ts.add((str(s),str(v),str(o)))
87 print(f"{len(g)} triples read. Triple store has {len(ts)} triples.")
88
89 TripleStore.load_file = load_file
90
91 #### Test cases ####
92 ts = TripleStore()
93 #ts.load_file('http://www.wikidata.org/wiki/Special:EntityData/Q262802.nt')
94 q262802 ='http://www.wikidata.org/entity/Q262802'
95 #res=ts.lookup((q262802, 'http://www.wikidata.org/prop/P27',Q)) # country
of citizenship
96 # The attributes of the object in the first answer to the above query:

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 382 16. Knowledge Graphs and Ontologies

97 #ts.lookup((res[0][2],Q,Q))
98 #ts.lookup((q262802, 'http://www.wikidata.org/prop/P54',Q)) # member of
sports team
99 #ts.lookup((q262802,'http://schema.org/name',Q))

16.2 Integrating Datalog and Triple Store

The following extends the definite clause reasoner in the previous chapter to in-
clude a built-in “triple” predicate (an atom with name “triple” and three argu-
ments). The instances of this predicate are retrieved from the triple store. This
is a simplified version of what can be done with the semweb library of SWI Pro-
log (https://www.swi-prolog.org/pldoc/doc_for?object=section(%27packages/
semweb.html%27). For anything serious, we suggest you use that. Note that the
semweb library uses “rdf” as the predicate name, and Poole and Mackworth
[2023] uses “prop” in Section 16.1.3 for the same predicate as “triple”.
knowledgeReasoning.py — Integrating Datalog and triple store
11 from logicRelation import Var, Atom, Clause, KB, unify, apply
12 from knowledgeGraph import TripleStore, sts
13 import random
14
15 class KBT(KB):
16 def __init__(self, triplestore, statements=[]):
17 self.triplestore = triplestore
18 KB.__init__(self, statements)
19
20 def eval_triple(self, ans, selected, remaining, indent):
21 query = selected.args
22 Q = self.triplestore.Q
23 pattern = tuple(Q if isinstance(e,Var) else e for e in query)
24 retrieved = self.triplestore.lookup(pattern)
25 self.display(3,indent,"eval_triple:
query=",query,"pattern=",pattern,"retrieved=",retrieved)
26 for tr in random.sample(retrieved,len(retrieved)):
27 sub = unify(tr, query)
28 self.display(3,indent,"KB.prove:
selected=",selected,"triple=",tr,"sub=",sub)
29 if sub is not False:
30 yield from self.prove(apply(ans,sub), apply(remaining,sub),
indent+" ")
31
32 # simple test case:
33 kbt = KBT(sts) # sts is simple triplestore from knowledgeGraph.py
34 # kbt.ask_all([Atom('triple',('http://www.wikidata.org/entity/Q262802',
Var('P'),Var('O')))])
The following are some larger examples from Wikidata. You must run
load_file to load the triples related to Christine Sinclair (Q262802). Otherwise
the queries won’t work.

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 16.2. Integrating Datalog and Triple Store 383

The first query is how Christine Sinclair (Q262802) is related to Portland

Thorns (Q1446672) with two hops in the knowledge graph. It is asking for a P,
O and P1 such that

(Q262802, P, O)&(0, P1, Q1446672)

knowledgeReasoning.py — (continued)

36 O = Var('O'); O1 = Var('O1')
37 P = Var('P')
38 P1 = Var('P1')
39 T = Var('T')
40 N = Var('N')
41 def triple(s,v,o): return Atom('triple',[s,v,o])
42 def lt(a,b): return Atom('lt',[a,b])
43
44 ts = TripleStore()
45 kbts = KBT(ts)
46 #ts.load_file('http://www.wikidata.org/wiki/Special:EntityData/Q262802.nt')
47 q262802 ='http://www.wikidata.org/entity/Q262802'
48 # How is Christine Sinclair (Q262802) related to Portland Thorns
(Q1446672) with 2 hops:
49 # kbts.ask_all([triple(q262802, P, O), triple(O, P1,
'http://www.wikidata.org/entity/Q1446672') ])
The second is asking for the name of a team that Christine Sinclair (Q262802)
played for. It is asking for a O, T and N, where O is the reified object that gives
the relationship, T is the team and N is the name of the team. Informally (with
variables staring with uppercase and constants in lower case) this is

(q262802, p54, O)&(O, p54, T )&(T, name, N )

Notice how the reified relation ’P54’ (member of sports team) is represented:
knowledgeReasoning.py — (continued)

51 # What is the name of a team that Christine Sinclair played for:

52 # kbts.ask_one([triple(q262802, 'http://www.wikidata.org/prop/P54',O),
triple(O,'http://www.wikidata.org/prop/statement/P54',T),
triple(T,'http://schema.org/name',N)])
The third asks for the name of a team that Christine Sinclair (Q262802)
played for at two different start times. It is asking for a N, D1 and D2, N is
the name of the team and D1 and D2 are the start dates. In Wikidata, P54 is
“member of sports team” and P580 is “start time”.
knowledgeReasoning.py — (continued)

54 # The name of a team that Christine Sinclair played for at two different
times, and the dates
55 def playedtwice(s,n,d0,d1): return Atom('playedtwice',[s,n,d0,d1])
56 S = Var('S')
57 N = Var('N')

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 384 16. Knowledge Graphs and Ontologies

58 D0 = Var('D0')
59 D1 = Var('D2')
60
61 kbts.add_clause(Clause(playedtwice(S,N,D0,D1), [
62 triple(S, 'http://www.wikidata.org/prop/P54', O),
63 triple(O, 'http://www.wikidata.org/prop/statement/P54', T),
64 triple(S, 'http://www.wikidata.org/prop/P54', O1),
65 triple(O1,'http://www.wikidata.org/prop/statement/P54', T),
66 lt(O,O1), # ensure different and only generated once
67 triple(T, 'http://schema.org/name', N),
68 triple(O, 'http://www.wikidata.org/prop/qualifier/P580', D0),
69 triple(O1, 'http://www.wikidata.org/prop/qualifier/P580', D1)
70 ]))
71
72 # kbts.ask_all([playedtwice(q262802,N,D0,D1)])

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 Chapter 17

Relational Learning

17.1 Collaborative Filtering

The code here is based on the gradient descent algorithm for matrix factoriza-
tion of Koren, Bell, and Volinsky [2009].
A rating set consists of training and test data, each a list of (user, item, rating)
tuples.
relnCollFilt.py — Latent Property-based Collaborative Filtering
11 import random
12 import matplotlib.pyplot as plt
13 import urllib.request
14 from learnProblem import Learner
15 from display import Displayable
16
17 class Rating_set(Displayable):
18 """A rating contains:
19 training_data: list of (user, item, rating) triples
20 test_data: list of (user, item, rating) triples
21 """
22 def __init__(self, training_data, test_data):
23 self.training_data = training_data
24 self.test_data = test_data
The following is a representation of Examples 17.5-17.7 of Poole and Mack-
worth [2023]. This is a much smaller dataset than one would expect to work
well.
relnCollFilt.py — (continued)

26 grades_rs = Rating_set( # 3='A', 2='B', 1='C'

27 [('s1','c1',3), # training data
28 ('s2','c1',1),

385
 386 17. Relational Learning

29 ('s1','c2',2),
30 ('s2','c3',2),
31 ('s3','c2',2),
32 ('s4','c3',2)],
33 [('s3','c4',3), # test data
34 ('s4','c4',1)])

A CF_learner does stochastic gradient descent to make a predictor of rat-

ings for user-item pairs.

relnCollFilt.py — (continued)

36 class CF_learner(Learner):
37 def __init__(self,
38 rating_set, # a Rating_set
39 step_size = 0.01, # gradient descent step size
40 regularization = 1.0, # L2 regularization for full dataset
41 num_properties = 10, # number of hidden properties
42 property_range = 0.02 # properties are initialized to be
between
43 # -property_range and property_range
44 ):
45 self.rating_set = rating_set
46 self.training_data = rating_set.training_data
47 self.test_data = self.rating_set.test_data
48 self.step_size = step_size
49 self.regularization = regularization
50 self.num_properties = num_properties
51 self.num_ratings = len(self.training_data)
52 self.ave_rating = (sum(r for (u,i,r) in self.training_data)
53 /self.num_ratings)
54 self.users = {u for (u,i,r) in self.training_data}
55 self.items = {i for (u,i,r) in self.training_data}
56 self.user_bias = {u:0 for u in self.users}
57 self.item_bias = {i:0 for i in self.items}
58 self.user_prop = {u:[random.uniform(-property_range,property_range)
59 for p in range(num_properties)]
60 for u in self.users}
61 self.item_prop = {i:[random.uniform(-property_range,property_range)
62 for p in range(num_properties)]
63 for i in self.items}
64 # the _delta variables are the changes internal to a batch:
65 self.user_bias_delta = {u:0 for u in self.users}
66 self.item_bias_delta = {i:0 for i in self.items}
67 self.user_prop_delta = {u:[0 for p in range(num_properties)]
68 for u in self.users}
69 self.item_prop_delta = {i:[0 for p in range(num_properties)]
70 for i in self.items}
71 # zeros is used for users and items not in the training set
72 self.zeros = [0 for p in range(num_properties)]
73 self.epoch = 0
74 self.display(1, "Predict mean:" "(Ave Abs,AveSumSq)",

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 17.1. Collaborative Filtering 387

75 "training =",self.eval2string(self.training_data,
useMean=True),
76 "test =",self.eval2string(self.test_data, useMean=True))

prediction returns the current prediction of a user on an item.

relnCollFilt.py — (continued)

78 def prediction(self,user,item):
79 """Returns prediction for this user on this item.
80 The use of .get() is to handle users or items in test set but not
in the training set.
81 """
82 if user in self.user_bias: # user in training set
83 if item in self.item_bias: # item in training set
84 return (self.ave_rating
85 + self.user_bias[user]
86 + self.item_bias[item]
87 + sum([self.user_prop[user][p]*self.item_prop[item][p]
88 for p in range(self.num_properties)]))
89 else: # training set contains user but not item
90 return (self.ave_rating + self.user_bias[user])
91 elif item in self.item_bias: # training set contains item but not
user
92 return self.ave_rating + self.item_bias[item]
93 else:
94 return self.ave_rating

learn carries out num_epochs epochs of stochastic gradient descent with

batch_size giving the number of training examples in a batch. The number
of epochs is approximately the average number of times each training data
point is used. It is approximate because it processes the integral number of the
batch size.
relnCollFilt.py — (continued)

96 def learn(self, num_epochs = 50, batch_size=1000):

97 """ do (approximately) num_epochs iterations through the dataset
98 batch_size is the size of each batch of stochastic gradient
gradient descent.
99 """
100 batch_size = min(batch_size, len(self.training_data))
101 batch_per_epoch = len(self.training_data) // batch_size #
approximate
102 num_iter = batch_per_epoch*num_epochs
103 reglz =
self.step_size*self.regularization*batch_size/len(self.training_data)
#regularization per batch
104
105 for i in range(num_iter):
106 if i % batch_per_epoch == 0:
107 self.epoch += 1
108 self.display(1,"Epoch", self.epoch, "(Ave Abs,AveSumSq)",

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 388 17. Relational Learning

109 "training =",self.eval2string(self.training_data),

110 "test =",self.eval2string(self.test_data))
111 # determine errors for a batch
112 for (user,item,rating) in random.sample(self.training_data,
batch_size):
113 error = self.prediction(user,item) - rating
114 self.user_bias_delta[user] += error
115 self.item_bias_delta[item] += error
116 for p in range(self.num_properties):
117 self.user_prop_delta[user][p] +=
error*self.item_prop[item][p]
118 self.item_prop_delta[item][p] +=
error*self.user_prop[user][p]
119 # Update all parameters
120 for user in self.users:
121 self.user_bias[user] -=
(self.step_size*self.user_bias_delta[user]
122 +reglz*self.user_bias[user])
123 self.user_bias_delta[user] = 0
124 for p in range(self.num_properties):
125 self.user_prop[user][p] -=
(self.step_size*self.user_prop_delta[user][p]
126 + reglz*self.user_prop[user][p])
127 self.user_prop_delta[user][p] = 0
128 for item in self.items:
129 self.item_bias[item] -=
(self.step_size*self.item_bias_delta[item]
130 + reglz*self.item_bias[item])
131 self.item_bias_delta[item] = 0
132 for p in range(self.num_properties):
133 self.item_prop[item][p] -=
(self.step_size*self.item_prop_delta[item][p]
134 + reglz*self.item_prop[item][p])
135 self.item_prop_delta[item][p] = 0

The evaluate method evaluates current predictions on the rating set:

relnCollFilt.py — (continued)

137 def evaluate(self, ratings, useMean=False):

138 """returns (average_absolute_error, average_sum_squares_error) for
ratings
139 """
140 abs_error = 0
141 sumsq_error = 0
142 if not ratings: return (0,0)
143 for (user,item,rating) in ratings:
144 prediction = self.ave_rating if useMean else
self.prediction(user,item)
145 error = prediction - rating
146 abs_error += abs(error)
147 sumsq_error += error * error

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 17.1. Collaborative Filtering 389

148 return abs_error/len(ratings), sumsq_error/len(ratings)

149
150 def eval2string(self, *args, **nargs):
151 """returns a string form of evaluate, with fewer digits
152 """
153 (abs,ssq) = self.evaluate(*args, **nargs)
154 return f"({abs:.4f}, {ssq:.4f})"
Let’s test the code on the grades rating set:
relnCollFilt.py — (continued)

156 #lg = CF_learner(grades_rs,step_size = 0.1, regularization = 0.01,

num_properties = 1)
157 #lg.learn(num_epochs = 500)
158 # lg.item_bias
159 # lg.user_bias
160 # lg.plot_property(0,plot_all=True) # can you explain why?

Exercise 17.1 In using CF_learner with grades_rs, does it work better with 0
properties? Is it overfitting to the data? How can overfitting be adjusted?
Exercise 17.2 Modify the code so that self.ave_rating is also learned. It should
start as the average rating. Should it be regularized? Does it change from the
initialized value? Does it work better or worse?
Exercise 17.3 With the Movielens 100K dataset and the batch size being the whole
training set, what happens to the error? How can this be fixed?
Exercise 17.4 Can the regularization avoid iterating through the parameters for
all users and items after a batch? Consider items that are in many batches versus
those in a few or even no batches. (Warning: This is challenging to get right.)

17.1.1 Plotting
The plot_predictions method plots the cumulative distributions for each ground
truth. Figure 17.1 shows a plot for the Movielens 100K dataset. Consider the
rating = 1 line. The value for x is the proportion of the predictions with pre-
dicted value ≤ x when the ground truth has a rating of 1. Similarly for the
other lines.
Figure 17.1 is for one run on the training data. What would you expected
the test data to look like?
relnCollFilt.py — (continued)

162 def plot_predictions(self, examples="test"):

163 """
164 examples is either "test" or "training" or the actual examples
165 """
166 if examples == "test":
167 theexamples = self.test_data
168 elif examples == "training":
169 theexamples = self.training_data

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 390 17. Relational Learning

1.0 rating=1
rating=2
rating=3
0.8 rating=4
rating=5
cumulative proportion

0.6

0.4

0.2

0.0
0 1 2 3 4 5
prediction

Figure 17.1: learner1.plot_predictions(examples = "training")

170 else:
171 theexamples = examples
172 plt.ion()
173 if not hasattr(self,'ax'):
174 fig, self.ax = plt.subplots()
175 self.ax.set_xlabel("prediction")
176 self.ax.set_ylabel("cumulative proportion")
177 self.actuals = [[] for r in range(0,6)]
178 for (user,item,rating) in theexamples:
179 self.actuals[rating].append(self.prediction(user,item))
180 for rating in range(1,6):
181 self.actuals[rating].sort()
182 numrat=len(self.actuals[rating])
183 yvals = [i/numrat for i in range(numrat)]
184 self.ax.plot(self.actuals[rating], yvals, label=f"{examples}
rating={rating}")
185 self.ax.legend()
186 plt.draw()

The plot_property method plots a single latent property; see Figure 17.2.
Each (user, item, rating) is plotted where the x-value is the value of the property
for the user, the y-value is the value of the property for the item, and the rating
is plotted at this (x, y) position. That is, rating is plotted at the (x, y) position
(p(user), p(item)).

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 17.1. Collaborative Filtering 391

1.5 3

1.0 23
1
1 4423 4 43 34 43
3 5 4 2
5 3 5 3 24 341 24 324 5 43 4 4 3 5
0.5 41 2 2 5
1 2 3 4 2443 434 45 51 5
3 3 1 3
3 5343 44433543 3 53 445244 344 4 2 1
items

4 3 4
0.0 2 4 3 52 3 43423 54322 4 5 3 3 3
4 43 54 34344531 55 3 45 2 5 3 5
1 24 4 455 4235 344 2 4
0.5 44 4 5 45 55 4 54 3
3 3 3 43 13
3 44 5 45 4 4 4 54 43
3 4
5 2
1.0 5
2
1.5 1.0 0.5 0.0 0.5 1.0 1.5 2.0 2.5
users

Figure 17.2: learner1.plot_property(0) with 200 random ratings plotted. Rating

(u, i, r) has r plotted a position (p(u), p(i)) where p is the selected latent property.

Because there are too many ratings to show, plot_property selects a ran-
dom number of points. It is difficult to see what is going on; the create_top_subset
method was created to show the most rated items and the users who rated the
most of these. This should help visualize how the latent property helps.

relnCollFilt.py — (continued)

188 def plot_property(self,

189 p, # property
190 plot_all=False, # true if all points should be plotted
191 num_points=200 # number of random points plotted if not
all
192 ):
193 """plot some of the user-movie ratings,
194 if plot_all is true
195 num_points is the number of points selected at random plotted.
196
197 the plot has the users on the x-axis sorted by their value on
property p and
198 with the items on the y-axis sorted by their value on property p and
199 the ratings plotted at the corresponding x-y position.
200 """
201 plt.ion()

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 392 17. Relational Learning

202 fig, ax = plt.subplots()

203 ax.set_xlabel("users")
204 ax.set_ylabel("items")
205 user_vals = [self.user_prop[u][p]
206 for u in self.users]
207 item_vals = [self.item_prop[i][p]
208 for i in self.items]
209 ax.axis([min(user_vals)-0.02,
210 max(user_vals)+0.05,
211 min(item_vals)-0.02,
212 max(item_vals)+0.05])
213 if plot_all:
214 for (u,i,r) in self.training_data:
215 ax.text(self.user_prop[u][p],
216 self.item_prop[i][p],
217 str(r))
218 else:
219 for i in range(num_points):
220 (u,i,r) = random.choice(self.training_data)
221 ax.text(self.user_prop[u][p],
222 self.item_prop[i][p],
223 str(r))
224 plt.show()

17.1.2 Loading Rating Sets from Files and Websites

This assumes the form of the Movielens datasets Harper and Konstan [2015],
available from http://grouplens.org/datasets/movielens/.
The Movielens datasets consist of (user, movie, rating, timestamp) tuples. The
aim here is to predict the future from the past. Tuples with a timestamp before
data_split form the training set, and those with a timestamp after form the
test set.
A rating set can be read from the Internet or read from a local file. The
default is to read the Movielens 100K dataset from the Internet. It would be
more efficient to save the dataset as a local file, and then set local_file = True, as
then it will not need to download the dataset every time the program is run.

relnCollFilt.py — (continued)

226 class Rating_set_from_file(Rating_set):

227 def __init__(self,
228 date_split=892000000,
229 local_file=False,
230 url="http://files.grouplens.org/datasets/movielens/ml-100k/u.data",
231 file_name="u.data"):
232 self.display(1,"Collaborative Filtering Dataset. Reading...")
233 if local_file:
234 lines = open(file_name,'r')
235 else:

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 17.1. Collaborative Filtering 393

236 lines = (line.decode('utf-8') for line in

urllib.request.urlopen(url))
237 all_ratings = (tuple(int(e) for e in line.strip().split('\t'))
238 for line in lines)
239 self.training_data = []
240 self.training_stats = {1:0, 2:0, 3:0, 4:0 ,5:0}
241 self.test_data = []
242 self.test_stats = {1:0, 2:0, 3:0, 4:0 ,5:0}
243 for (user,item,rating,timestamp) in all_ratings:
244 if timestamp < date_split: # rate[3] is timestamp
245 self.training_data.append((user,item,rating))
246 self.training_stats[rating] += 1
247 else:
248 self.test_data.append((user,item,rating))
249 self.test_stats[rating] += 1
250 self.display(1,"...read:", len(self.training_data),"training
ratings and",
251 len(self.test_data),"test ratings")
252 tr_users = {user for (user,item,rating) in self.training_data}
253 test_users = {user for (user,item,rating) in self.test_data}
254 self.display(1,"users:",len(tr_users),"training,",len(test_users),"test,",
255 len(tr_users & test_users),"in common")
256 tr_items = {item for (user,item,rating) in self.training_data}
257 test_items = {item for (user,item,rating) in self.test_data}
258 self.display(1,"items:",len(tr_items),"training,",len(test_items),"test,",
259 len(tr_items & test_items),"in common")
260 self.display(1,"Rating statistics for training set:
",self.training_stats)
261 self.display(1,"Rating statistics for test set: ",self.test_stats)

17.1.3 Ratings of top items and users

Sometimes it is useful to plot a property for all (user, item, rating) triples. There
are too many such triples in the data set. The method create_top_subset creates
a much smaller dataset where this makes sense. It picks the most rated items,
then picks the users who have the most ratings on these items. It is designed for
depicting the meaning of properties, and may not be useful for other purposes.
The resulting plot is shown in Figure 17.3

relnCollFilt.py — (continued)

263 class Rating_set_top_subset(Rating_set):

264
265 def __init__(self, rating_set, num_items = (20,40), num_users =
(20,24)):
266 """Returns a subset of the ratings by picking the most rated items,
267 and then the users that have most ratings on these, and then all of
the
268 ratings that involve these users and items.

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 394 17. Relational Learning

1.00 1 3 4 4 32 3 5 5 43 5 5 35 5

0.75 2 142 23 3344 44 321 23 24 45 444424 5 35 1454 44

2
0.50 43 43 24 325 54 34 34 4 45 54545 34 45 4345 5
4 2 4 4 33 4 5 342 4 5 45 4
5 54 5 43 4 32 4 4 5 545 5 5 55 5
0.25 23 455 4552 4545 445 25344 2545 45 54 45455345 45 455 23555 55
44 4 4 34 5 34 3 4 5 545 4 5 34 4
items

0.00
5 54 3 54 5 45 4 5 545 4 5 34 5
0.25 5 5 5 55 5 43 5 4 5 555 5 5 44 5
3 54 4 45 5 23 3 3 4 443 3 5 24 3
0.50 4 5 4 55 5 34 3 4 5 545 4 3 24 5
5 5 42 4 34 3 3 5 431 2 5 24 4
0.75 4 35 4 44 4 32 3 4 4 235 4 4 12 3
5 4 3 45 4 23 3 4 433 3 1 24 3
1.00 2 5 4 24 4 32 2 4 341 4 12 1
1.00 0.75 0.50 0.25 0.00 0.25 0.50 0.75
users

Figure 17.3: learner1.plot_property(0) for 20 most rated items and 20 users with
most ratings on these. Users and items with similar property values overwrite each
other.

269 num_items is (ni,si) which selects ni users at random from the top
si users
270 num_users is (nu,su) which selects nu items at random from the top
su items
271 """
272 (ni, si) = num_items
273 (nu, su) = num_users
274 items = {item for (user,item,rating) in rating_set.training_data}
275 item_counts = {i:0 for i in items}
276 for (user,item,rating) in rating_set.training_data:
277 item_counts[item] += 1
278
279 items_sorted = sorted((item_counts[i],i) for i in items)
280 top_items = random.sample([item for (count, item) in
items_sorted[-si:]], ni)
281 set_top_items = set(top_items)
282
283 users = {user for (user,item,rating) in rating_set.training_data}
284 user_counts = {u:0 for u in users}
285 for (user,item,rating) in rating_set.training_data:
286 if item in set_top_items:
287 user_counts[user] += 1

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 17.2. Relational Probabilistic Models 395

288
289 users_sorted = sorted((user_counts[u],u) for u in users)
290 top_users = random.sample([user for (count, user) in
users_sorted[-su:]], nu)
291 set_top_users = set(top_users)
292
293 self.training_data = [ (user,item,rating)
294 for (user,item,rating) in rating_set.training_data
295 if user in set_top_users and item in set_top_items]
296 self.test_data = []
297
298 def test():
299 global learner1
300 movielens = Rating_set_from_file()
301 learner1 = CF_learner(movielens, num_properties = 1)
302 # learner10 = CF_learner(movielens, num_properties = 10)
303 learner1.learn(50)
304 learner1.plot_predictions(examples = "training")
305 learner1.plot_predictions(examples = "test")
306 # learner1.plot_property(0)
307 # movielens_subset = Rating_set_top_subset(movielens,num_items =
(20,40), num_users = (20,40))
308 # learner_s = CF_learner(movielens_subset, num_properties=1)
309 # learner_s.learn(1000)
310 # learner_s.plot_property(0,plot_all=True)
311
312 if __name__ == "__main__":
313 test()

17.2 Relational Probabilistic Models

The following implements relational belief networks – belief networks with
plates. Plates correspond to logical variables.
relnProbModels.py — Relational Probabilistic Models: belief networks with plates
11 from display import Displayable
12 from probGraphicalModels import BeliefNetwork
13 from variable import Variable
14 from probRC import ProbRC
15 from probFactors import Prob
16 import random
17
18 boolean = [False, True]

A ParVar is a parametrized random variable, which consists of the name, a list

of logical variables (plates), a domain, and a position. For each assignment of
an entity to each logical variable, there is a random variable in a grounding.
relnProbModels.py — (continued)

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 396 17. Relational Learning

20 class ParVar(object):
21 """Parametrized random variable"""
22 def __init__(self, name, log_vars, domain, position=None):
23 self.name = name # string
24 self.log_vars = log_vars
25 self.domain = domain # list of values
26 self.position = position if position else (random.random(),
random.random())
27 self.size = len(domain)

The class RBN is of relational belief networks. A relational belief network con-
sists of a title, a set of parvariables, and a set of parfactors.

relnProbModels.py — (continued)

29 class RBN(Displayable):
30 def __init__(self, title, parvars, parfactors):
31 self.title = title
32 self.parvars = parvars
33 self.parfactors = parfactors
34 self.log_vars = {V for PV in parvars for V in PV.log_vars}

The grounding of a belief network with a population for each logical variable
is a belief network, for which any of the belief network inference algorithms
work.

relnProbModels.py — (continued)

36 def ground(self, populations, offsets=None):

37 """Ground the belief network with the populations of the logical
variables.
38 populations is a dictionary that maps each logical variable to the
list of individuals.
39 Returns a belief network representation of the grounding.
40 """
41 assert all(lv in populations for lv in self.log_vars), f"{[lv for
lv in self.log_vars if lv not in populations]} have no
population"
42 self.cps = [] # conditional probabilities in the grounding
43 self.var_dict = {} # ground variables created
44 for pp in self.parfactors:
45 self.ground_parfactor(pp, list(self.log_vars), populations, {},
offsets)
46 return BeliefNetwork(self.title+"_grounded",
self.var_dict.values(), self.cps)
47
48 def ground_parfactor(self, parfactor, lvs, populations, context,
offsets):
49 """
50 parfactor is the parfactor to get instances of
51 lvs is a list of the logical variables in parfactor not assigned in
context
52 populations is {logical_variable: population} dictionary

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 17.2. Relational Probabilistic Models 397

53 context is a {logical_variable:value} dictionary for

logical_variable in parfactor
54 offsets a {loc_var:(x_offset,y_offset)} dictionary or None
55 """
56 if lvs == []:
57 if isinstance(parfactor, Prob):
58 self.cps.append(Prob(self.ground_pvr(parfactor.child,context,offsets),
59 [self.ground_pvr(p,context,offsets)
for p in parfactor.parents],
60 parfactor.values))
61 else:
62 print("Parfactor not implemented for",parfactor,"of
type",type(parfactor))
63 else:
64 for val in populations[lvs[0]]:
65 self.ground_parfactor(parfactor, lvs[1:], populations,
{lvs[0]:val}|context, offsets)
66
67 def ground_pvr(self, prv, context, offsets):
68 """grounds a parametrized random variable with respect to a context
69 prv is a parametrized random variable
70 context is a logical_variable:value dictionary that assigns all
logical variables in prv
71 offsets a {loc_var:(x_offset,y_offset)} dictionary or None
72 """
73 if isinstance(prv,ParVar):
74 args = tuple(context[lv] for lv in prv.log_vars)
75 if (prv,args) in self.var_dict:
76 return self.var_dict[(prv,args)]
77 else:
78 new_gv = GrVar(prv, args, offsets)
79 self.var_dict[(prv,args)] = new_gv
80 return new_gv
81 else: # allows for non-parametrized random variables
82 return prv

A GrVar is a variable constructed by grounding a parametrized random vari-

able with respect to a tuple of values for the logical variables.

relnProbModels.py — (continued)

84 class GrVar(Variable):
85 """Grounded Variable"""
86 def __init__(self, parvar, args, offsets = None):
87 """A grounded variable
88 parvar is the parametrized variable
89 args is a tuple of a value for each random variable
90 offsets is a map between the value and the (x,y) offsets
91 """
92 if offsets:
93 pos = sum_positions([parvar.position]+[offsets[a] for a in
args])

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 398 17. Relational Learning

94 else:
95 pos = sum_positions([parvar.position,
(random.uniform(-0.2,0.2),random.uniform(-0.2,0.2))])
96 Variable.__init__(self,parvar.name+"("+",".join(args)+")",
parvar.domain, pos)
97 self.parvar= parvar
98 self.args = tuple(args)
99 self.hash_value = None
100
101 def __hash__(self):
102 if self.hash_value is None: # only hash once
103 self.hash_value = hash((self.parvar, self.args))
104 return self.hash_value
105
106 def __eq__(self, other):
107 return isinstance(other,GrVar) and self.parvar == other.parvar and
self.args == other.args
108
109 def sum_positions(poslist):
110 (x,y) = (0,0)
111 for (xo,yo) in poslist:
112 x += xo
113 y += yo
114 return (x,y)
The following is a representation of Examples 17.5-17.7 of Poole and Mack-
worth [2023]. The plate model – represented here using grades – is shown in
Figure 17.4. The observation in obs corresponds to the dataset of Figure 17.3.
The grounding in grades_gr corresponds to Figure 17.5, but also includes the
Grade variables not needed to answer the query (see exercise below).
Try the commented out queries to the Python shell:
relnProbModels.py — (continued)

116 Int = ParVar("Intelligent", ["St"], boolean, position=(0.0,0.7))

117 Grade = ParVar("Grade", ["St","Co"], ["A", "B", "C"], position=(0.2,0.6))
118 Diff = ParVar("Difficult", ["Co"], boolean, position=(0.3,0.9))
119
120 pg = Prob(Grade, [Int, Diff],
121 [[{"A": 0.1, "B":0.4, "C":0.5},
122 {"A": 0.01, "B":0.09, "C":0.9}],
123 [{"A": 0.9, "B":0.09, "C":0.01},
124 {"A": 0.5, "B":0.4, "C":0.1}]])
125 pi = Prob( Int, [], [0.5, 0.5])
126 pd = Prob( Diff, [], [0.5, 0.5])
127 grades = RBN("Grades RBN", {Int, Grade, Diff}, {pg,pi,pd})
128
129 students = ["s1", "s2", "s3", "s4"]
130 st_offsets = {st:(0,-0.2*i) for (i,st) in enumerate(students)}
131 courses = ["c1", "c2", "c3", "c4"]
132 co_offsets = {co:(0.2*i,0) for (i,co) in enumerate(courses)}
133 grades_gr = grades.ground({"St": students, "Co": courses},

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 17.2. Relational Probabilistic Models 399

Grades RBN_grounded observed: {Grade(s1,c1): 'A', Grade(s2,c1): 'C', Grade(s1,c2): 'B'}

Difficult(c1) Difficult(c2) Difficult(c3) Difficult(c4)
False: 0.500 False: 0.222 False: 0.500 False: 0.500
True: 0.500 True: 0.778 True: 0.500 True: 0.500

Intelligent(s1)
False: 0.060
True: 0.940 Grade(s1,c3) Grade(s1,c4)
Grade(s1,c1)=A Grade(s1,c2)=B A: 0.661 A: 0.661
B: 0.245 B: 0.245
Intelligent(s2) C: 0.094 C: 0.094
False: 0.940
True: 0.060 Grade(s2,c2) Grade(s2,c3) Grade(s2,c4)
Grade(s2,c1)=C A: 0.063 A: 0.094 A: 0.094
B: 0.170 B: 0.245 B: 0.245
Intelligent(s3) C: 0.767 C: 0.661 C: 0.661
False: 0.500
True: 0.500 Grade(s3,c1) Grade(s3,c2) Grade(s3,c3) Grade(s3,c4)
A: 0.377 A: 0.309 A: 0.377 A: 0.377
B: 0.245 B: 0.245 B: 0.245 B: 0.245
Intelligent(s4) C: 0.378 C: 0.446 C: 0.377 C: 0.377
False: 0.500
True: 0.500 Grade(s4,c1) Grade(s4,c2) Grade(s4,c3) Grade(s4,c4)
A: 0.377 A: 0.309 A: 0.377 A: 0.377
B: 0.245 B: 0.245 B: 0.245 B: 0.245
C: 0.378 C: 0.446 C: 0.377 C: 0.377

Figure 17.4: Grounded network with three observations

134 offsets= st_offsets | co_offsets)

135
136 obs = {GrVar(Grade,["s1","c1"]):"A", GrVar(Grade,["s2","c1"]):"C",
GrVar(Grade,["s1","c2"]):"B",
137 GrVar(Grade,["s2","c3"]):"B", GrVar(Grade,["s3","c2"]):"B",
GrVar(Grade,["s4","c3"]):"B"}
138
139 # grades_rc = ProbRC(grades_gr)
140 # grades_rc.show_post({GrVar(Grade,["s1","c1"]):"A"},fontsize=10)
141 #
grades_rc.show_post({GrVar(Grade,["s1","c1"]):"A",GrVar(Grade,["s2","c1"]):"C"})
142 #
grades_rc.show_post({GrVar(Grade,["s1","c1"]):"A",GrVar(Grade,["s2","c1"]):"C",
GrVar(Grade,["s1","c2"]):"B"})
143 # grades_rc.show_post(obs,fontsize=10)
144 # grades_rc.query(GrVar(Grade,["s3","c4"]), obs)
145 # grades_rc.query(GrVar(Grade,["s4","c4"]), obs)
146 # grades_rc.query(GrVar(Int,["s3"]), obs)
147 # grades_rc.query(GrVar(Int,["s4"]), obs)

Figure 17.4 shows the distribution over ground variables after the 3rd show_post
in the code above (with 3 grades observed).

Exercise 17.5 What are advantages and disadvantages of using this formulation

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400 17. Relational Learning

over using CF_learner with grades_rs? Think about overfitting, and where the
parameters come from.
Exercise 17.6 The grounding above creates a random variable for each element
for each possible combination of individuals in the populations. Change it so that
it only creates as many random variables as needed to answer a query. For ex-
ample, for the observations and queries above, only the variables in Figure 17.5 in
Poole and Mackworth [2023] need to be created.

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 Chapter 18

Version History

• 2025-07-07 Version 0.9.17. Made it more compatible with Jupyter Note-

books by not running anything if the file is imported, and using object-
oriented interface in Matplotlib. (Thanks to Jason Miller for feedback).

• 2025-04-23 Version 0.9.16. Learning and neural networks more modular.

Still a candidate release for Version 1.0.

• 2024-12-19 Version 0.9.15. GUIs made more consistent and robust (with
closing working).

• 2024-12-09 Version 0.9.14. Code simplified, user manual has more expla-
nation. This is a candidate release for Version 1.0.

• 2024-04-30 Version 0.9.13: Minor changes including counterfactual rea-

soning.

• 2023-12-06 Version 0.9.12: Top-down proof for Datalog (ch 15) and triple
store (ch 16)

• 2023-11-21 Version 0.9.11 updated and simplified relational learning, show

relational belief networks

• 2023-11-07 Version 0.9.10 Improved GUIs and test cases for decision-theoretic
planning (MDPs) and reinforcement learning.

• 2023-10-6 Version 0.9.8 GUIS for search, Bayesian learning, causality and
many smaller changes.

• 2023-07-31 Version 0.9.7 includes relational probabilistic models and smaller

changes

401
402 18. Version History

• 2023-06-06 Version 0.9.6 controllers are more consistent. Many smaller

changes.

• 2022-08-13 Version 0.9.5 major revisions including extra code for causality
and deep learning

• 2021-07-08 Version 0.9.1 updated the CSP code to have the same repre-
sentation of variables as used by the probability code

• 2021-05-13 Version 0.9.0 Major revisions to chapters 8 and 9. Introduced

recursive conditioning, simplified much code. New section on multia-
gent reinforcement learning.

• 2020-11-04 Version 0.8.6 simplified value iteration for MDPs.

• 2020-10-20 Version 0.8.4 planning simplified and fixed arc costs.

• 2020-07-21 Version 0.8.2 added positions and string to constraints

• 2019-09-17 Version 0.8.0 represented blocks world (Section 6.1.2) due to

bug found by Donato Meoli.

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Pearl, J. (2009), Causality: Models, Reasoning and Inference. Cambridge University

Press, 2nd edition. 215, 282

Pérez, F. and Granger, B. E. (2007), IPython: a system for interactive scientific

computing. Computing in Science and Engineering, 9(3):21–29, URL https://
ipython.org. 10

Poole, D. L. and Mackworth, A. K. (2023), Artificial Intelligence: foundations of

computational agents. Cambridge University Press, 3rd edition, URL https:
//artint.info. 9, 25, 27, 39, 40, 48, 50, 51, 75, 114, 123, 172, 195, 210, 213, 214,
221, 222, 265, 300, 303, 305, 306, 323, 325, 331, 336, 338, 356, 364, 371, 372, 374,
376, 382, 385, 398, 400

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Index

α-β pruning, 360 Boosted_dataset, 182

Boosting_learner, 183
A∗ search, 54 Branch_and_bound, 107
A∗ Search, 61 CF_learner, 385
action, 125 CPD, 205
agent, 25, 319 CPDrename, 252
argmax, 19 CSP, 71
assignment, 70, 203 CSP_from_STRIPS, 138
assumable, 119 Clause, 109, 370
asynchronous value iteration, 315 Con_solver, 87
augmented feature, 161 ConstantCPD, 205
Constraint, 70
Bayesian network, 210
DBN, 253
belief network, 210
DBNVEfilter, 256
blocks world, 128
Boolean feature, 150 DBNvariable, 251
botton-up proof, 112 DF_Branch_and_bound, 65
branch-and-bound search, 65 DT_learner, 167
Data_from_file, 158
class Data_from_files, 159
Action_instance, 142 Data_set, 151
Agent, 26 Data_set_augmented, 161
Arc, 42 DecisionFunction, 293
Askable, 109 DecisionNetwork, 286
Assumable, 119 DecisionVariable, 286
BNfromDBN, 255 Displayable, 18
BeliefNetwork, 211 Dist, 209

405
406 Index

Dropout_layer, 195 Node, 356

EM_learner, 268 NoisyOR, 206
Env_from_MDP, 324 POP_node, 143
Environment, 26 POP_search_from_STRIPS, 144
Evaluate, 156 ParVar, 395
Factor, 203 ParticleFiltering, 234
FactorMax, 298 Partye nv, 323
FactorObserved, 227 Path, 45
FactorRename, 252 Planning_problem, 126
FactorSum, 227 Plot_env, 36
Forward_STRIPS, 131 Plot_prices, 29
FrontierPQ, 60 Predict, 164
GTB_learner, 185 Prob, 208
GibbsSampling, 237 ProbDT, 208
GrVar, 397 ProbRC, 222
GraphicalModel, 210 ProbSearch, 221
GridDomain, 312 Q_learner, 328
HMM, 241 RBN, 396
HMMVEfilter, 243 RC_DN, 294
HMM_Controlled, 244 RL_agent, 320
HMM_Local, 245 RL_env, 319
HMMparticleFilter, 248 Rating_set, 392
IFeq, 208 ReLU_layer, 190
InferenceMethod, 218, 275 Regression_STRIPS, 135
KB, 110, 372 RejectionSampling, 232
KBA, 119 Rob_body, 31
KBT, 382 Rob_env, 35
K_fold_dataset, 173 Rob_middle_layer, 33
K_means_learner, 263 Rob_top_layer, 35
Layer, 187 Runtime_distribution, 103
Learner, 163 SARSA, 330
LikelihoodWeighting, 233 SARSA_LFA_learner, 344
Linear_complete_layer, 189 SGD, 193
Linear_complete_layer_RMS_Prop, SLSearcher, 96
194 STRIPS_domain, 126
Linear_learner, 176 SameAs, 209
LogisticRegression, 206 SamplingInferenceMethod, 232
MDP, 300 Search_from_CSP, 83, 85
MDPtiny, 304 Search_problem, 41
Magic_sum, 357 Search_problem_from_explicit_graph,
Model_based_reinforcement_learner, 43
338 Search_with_AC_from_CSP, 94
Momentum, 194 Searcher, 54
Monster_game_env, 307, 325 SearcherGUI, 56
NN, 191 SearcherMPP, 63

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Index 407

Show_Localization, 246 decision variable, 285

Sigmoid_layer, 190 deep learning, 187
SoftConstraint, 105 display, 19
State, 131 Displayable, 18
Strips, 125 domain splitting, 89, 94
Subgoal, 135 Dropout, 195
TP_agent, 28 dynamic belief network (DBN), 250
TP_env, 27 representation, 251
TabFactor, 207
TripleStore, 379 EM, 268
Updatable_priority_queue, 101 environment, 25, 26, 319
Utility, 285 error, 155
UtilityTable, 285 example, 150
VE, 226 explanation, 115
VE_DN, 298 explicit graph, 43
Variable, 69
clause, 109 factor, 203, 207
collaborative filtering, 385 factor_times, 228
comprehensions, 12 feature, 150, 152
condition, 70 feature engineering, 149
conditional probability distribution file
(CPD), 205 agentBuying.py, 27
consistency algorithms, 87 agentEnv.py, 31
constraint, 70 agentFollowTarget.py, 39
constraint satisfaction problem, 69 agentMiddle.py, 33
CPD (conditional probability distri- agentTop.py, 35
bution), 205 agents.py, 26
cross validation, 172 cspConsistency.py, 87
CSP, 69 cspConsistencyGUI.py, 91
consistency, 87 cspDFS.py, 83
domain splitting, 89, 94 cspExamples.py, 74
search, 85 cspProblem.py, 70
stochastic local search, 96 cspSLS.py, 96
currying, 74 cspSearch.py, 85
cspSoft.py, 105
datalog, 369 decnNetworks.py, 285
dataset, 150 display.py, 18
DBN knowledgeGraph.py, 379
filtering, 256 knowledgeReasoning.py, 382
unrolling, 255 learnBayesian.py, 259
DBN (dynamic belief network), 250 learnBoosting.py, 182
debugging, 115 learnCrossValidation.py, 173
decision network, 285 learnDT.py, 167
decision tree learning, 167 learnEM.py, 268
decision tree factors, 208 learnKMeans.py, 263

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408 Index

learnLinear.py, 176 searchGrid.py, 64

learnNN.py, 187 searchMPP.py, 63
learnNoInputs.py, 164 searchProblem.py, 41
learnProblem.py, 150 searchTest.py, 67
logicAssumables.py, 119 stripsCSPPlanner.py, 138
logicBottomUp.py, 112 stripsForwardPlanner.py, 131
logicExplain.py, 115 stripsHeuristic.py, 133
logicNegation.py, 122 stripsPOP.py, 142
logicProblem.py, 109 stripsProblem.py, 125
logicRelation.py, 369 stripsRegressionPlanner.py, 135
logicTopDown.py, 114 utilities.py, 19
masLearn.py, 361 variable.py, 69
masMiniMax.py, 359 filtering, 243, 248
masProblem.py, 356 DBN, 256
mdpExamples.py, 300 flip, 20
mdpGUI.py, 312 forward planning, 130
mdpProblem.py, 300 frange, 152
probCounterfactual.py, 278 ftype, 152
probDBN.py, 251 fully observable, 319
probDo.py, 275
probExamples.py, 213 game, 355
probFactors.py, 203 Gibbs sampling, 237
probGraphicalModels.py, 210 graphical model, 210
probHMM.py, 241
probLocalization.py, 244 heuristic planning, 133, 137
probRC.py, 221 hidden Markov model, 241
probStochSim.py, 230 hierarchical controller, 31
probVE.py, 226 HMM
pythonDemo.py, 13 exact filtering, 243
relnCollFilt.py, 385 particle filtering, 248
relnExamples.py, 372 HMM (hidden Markov models), 241
relnProbModels.py, 395
importance sampling, 234
rlExamples.py, 323
interact
rlFeatures.py, 344
proofs, 116
rlGUI.py, 348
ipython, 10
rlGameFeature.py, 341
rlModelLearner.py, 338 k-means, 263
rlProblem.py, 319 kernel, 161
rlQExperienceReplay.py, 333 knowledge base, 110
rlQLearner.py, 328 knowledge graph, 379
rlStochasticPolicy.py, 336
searchBranchAndBound.py, 65 learner, 163
searchExample.py, 47 learning, 149–201, 259–273, 319–353,
searchGUI.py, 56 385–395
searchGeneric.py, 54 cross validation, 172

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Index 409

decision tree, 167 naive search probabilistic inference,

deep, 187–201 221
deep learning, 187 naughts and crosses, 357
EM, 268 neural network, 187
k-means, 263 noisy-or, 206
linear regression, 176 NotImplementedError, 26
linear classification, 176
neural network, 187 partial-order planner, 142
no inputs, 164 particle filtering, 234
reinforcement, 319–353 HMMs, 248
planning, 125–148, 285–318
relational, 385
CSP, 138
supervised, 149–186
decision network, 285
with uncertainty, 259–273
forward, 130
LightGBM, 185
MDP, 300
likelihood weighting, 233
partial order, 142
linear regression, 176
regression, 135
linear classification, 176
with certainty, 125–148
localization, 244
with learning, 338
logic program, 369
with uncertainty, 285–318
logistic regression, 206
plotting
logit, 177
agents in time, 29
loss, 155
reinforcement learning, 322
magic square, 357 robot environment, 36
magic-sum game, 357 run-time distribution, 103
Markov Chain Monte Carlo, 237 stochastic simulation, 238
Markov decision process, 300 predictor, 155
max_display_level, 19 Prob, 208
MCMC, 237 probabilistic inference methods, 218
MDP, 300, 324 probability, 203
GUI, 312 proof
method bottom-up, 112
explanation, 115
consistent, 72
top-down, 114, 374
holds, 71
proposition, 109
maxh, 133
Python, 9
zero, 131
minimax, 355 Q learning, 328
minimax algorithm, 359 query, 218
minsets, 120 queryD0, 275
model-based reinforcement learner,
338 RC, 222, 294
multiagent system, 355 recursive conditioning (RC), 222
multiple path pruning, 63 recursive conditioning for decision
networks, 294
n-queens problem, 82 regression planning, 135

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410 Index

reinforcement learning, 319–353 tic-tac-toe, 357

environment, 319 top-down proof, 114, 374
feature-based, 341 triple store, 379, 382
model-based, 338
Q-learning, 328 uncertainty, 203
rejection sampling, 232 unification, 371, 372
relational learning, 385 unit test, 21, 61, 83, 113, 114, 116
relations, 369 unrolling
ReLU, 190 DBN, 255
resampling, 235 updatable priority queue, 101
robot utility, 285
body, 31 utility table, 285
middle layer, 33 value iteration, 310
plotting, 36 variable, 69
top layer, 35 variable elimination (VE), 226
world, 35 variable elimination for decision net-
robot delivery domain, 126 works, 297
run time, 16 VE, 226
runtime distribution, 103
XGBoost, 185
sampling, 230
importance sampling, 234 yield, 13
belief networks, 232
likelihood weighting, 233
particle filtering, 234
rejection, 232
SARSA, 330
scope, 70
search, 41
A∗ , 54
branch-and-bound, 65
multiple path pruning, 63
search_with_any_conflict, 98
search_with_var_pq, 99
show, 72, 212
sigmoid, 177
softmax, 177
stochastic local search, 96
any-conflict, 98
two-stage choice, 99
stochastic simulation, 230

tabular factor, 207

test
SLS, 104

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