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  <front>
    <journal-meta />
    <article-meta>
      <title-group>
        <article-title>Explanations and Case-Based Reasoning in Ambient Intelligent Systems</article-title>
      </title-group>
      <contrib-group>
        <contrib contrib-type="author">
          <string-name>J¨org Cassens</string-name>
          <email>cassens@idi.ntnu.no</email>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Anders Kofod-Petersen</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <aff id="aff0">
          <label>0</label>
          <institution>Department of Computer and Information Science (IDI), Norwegian University of Science and Technology (NTNU)</institution>
          ,
          <addr-line>7491 Trondheim</addr-line>
          ,
          <country country="NO">Norway</country>
        </aff>
      </contrib-group>
      <abstract>
        <p>Interacting with intelligent systems in general and ambient intelligent systems in particular, requires that these systems have the ability to build a trust relationship with the users. The ability to explain its own behaviour is one of the most important abilities that such a system can exhibit to gain trust. We argue that explanations are not just an addition to an ambient intelligent system rather it is an approach to the design and implementation of such a system. Explanations are useful both for the reasoning process itself and as a means of communicating with the users. In this paper, we present a knowledge intensive approach for identifying different contexts and generating a course of action depending on the context found. We explore the use of explanations both as a means of reasoning and as a means of communication with the user.</p>
      </abstract>
    </article-meta>
  </front>
  <body>
    <sec id="sec-1">
      <title>-</title>
      <p>
        Ambient intelligent systems are described by their ability to be aware of its users,
perceive their needs and respond intelligently to them [
        <xref ref-type="bibr" rid="ref1">1</xref>
        ]. To achieve this, such
a system must exhibit pro-activity and reasoning. Thus, contrary to traditional
systems where the user is in charge and the system plays a passive role,
ambient intelligent system can assume responsibility and behave proactively. The
shift from passive systems, to what could be regarded as a partnership between
humans and intelligent artefacts, fosters the need for social adept system [
        <xref ref-type="bibr" rid="ref2">2</xref>
        ], in
such a way that intelligent systems have to show certain abilities traditionally
ascribed to humans [
        <xref ref-type="bibr" rid="ref3">3</xref>
        ]. Among these abilities, we would count a system’s ability
to explain its behaviour.
      </p>
      <p>Further, the nature of an ambient intelligent system dictates that the way we
traditionally interact with computer systems are substituted with multi modal
interfaces and in particular behavioural interfaces. It is not only the input devices
where behavioural interfaces are used; the main output device for an ambient
intelligent system is its behaviour. Thus, a user now runs the risk of having to
master the methods of behavioural psychology to use an ambient intelligent
system. Relying solely on observing the behaviour of an ambient intelligent system
will, at best, give us a limited understanding of its behaviour. It will not allow
us to consider any internal organisation. Yet, to persuade the user of a system’s
usability and credibility, explanations are in order</p>
      <p>The work presented here argues that explanations are not just an addition
to an ambient intelligent system; rather it is an approach to the design and
implementation of such a system. Explanations are a useful approach to both
the reasoning process from a system centric perspective, as well as a means of
communication viewed from a user centric perspective.</p>
      <p>This paper is structured as follows: First, an overview on how explanations
and case-based reasoning are related is given. Secondly, an introduction to the
use of case-based reasoning in ambient intelligence, as well as a short overview of
the system employed here, is presented. Thirdly, a description of the theoretical
framework underpinning our approach to the use of explanations and case-based
reasoning in ambient intelligence is given. A summary and pointers to future
work ends the paper.
2</p>
    </sec>
    <sec id="sec-2">
      <title>Explanations and Case-based Reasoning</title>
      <p>
        Originally, case-based reasoning did emerge from an understanding of
reasoning as an explanation process [
        <xref ref-type="bibr" rid="ref4 ref5">4,5</xref>
        ]. Schank describes explanations as the most
common method used by humans to support their decision making. An
understanding of common occurrences assists in comprehending stories; in such a way
that details omitted or assumed implicitly do not make a story incomprehensible.
      </p>
      <p>
        Sørmo et al. [
        <xref ref-type="bibr" rid="ref6">6</xref>
        ] present a framework for explanations in intelligent systems
with a special focus on case-based reasoning. Specifically, they identify five goals
that explanations can satisfy. The goal of transparency is concerned with the
system’s ability to explain how an answer was reached. Justification deals with
the ability to explain why the answer is good. When dealing with the importance
of a question asked, relevance is the goal that must be satisfied. Conceptualization
is the goal that handles the meaning of concepts. Finally, learning is in itself a
goal, as it teaches us about the domain in question.
      </p>
      <p>
        Roth-Berghofer has explored some fundamental issues with different useful
kinds of explanation and their connection to the different knowledge containers of
a case-based reasoning system [
        <xref ref-type="bibr" rid="ref7">7</xref>
        ]. Five different kinds of explanation are
identified: conceptual explanations, which map unknown new concepts to known ones,
why-explanations describing causes or justifications, how-explanations depicting
causal chains for an event, purpose-explanations describing the purpose or use
of something, and cognitive explanations predicting the behaviour of intelligent
systems. Roth-Berghofer further on ties these different kinds of explanation to
the different knowledge containers of case-based reasoning systems [
        <xref ref-type="bibr" rid="ref8">8</xref>
        ], namely
case base, similarity measure, adaptation knowledge, and vocabulary.
      </p>
      <p>
        Building on the last two works, we have earlier started to investigate a
combined framework of user goals and explanation kinds [
        <xref ref-type="bibr" rid="ref9">9</xref>
        ]. The goal of this work
was to outline a design methodology that starts from an analysis of usage
scenarios in order to be able to identify possible expectations a user might have
towards the explanatory capabilities of an intelligent system. The requirements
recognised can be used to identify which kind of knowledge has to be represented
in the system, and which knowledge containers are best suited for this task. In
this work, we have identified the need for socio-psychological analyses of
workplaces in order to be able to design systems which can meaningful engage in
socio-technical interactions. The advantages of designing systems from a
sociotechnical perspective has been investigated through the use of activity theory as
a method for designing an ambient intelligent case-based reasoning system [
        <xref ref-type="bibr" rid="ref10">10</xref>
        ].
3
      </p>
    </sec>
    <sec id="sec-3">
      <title>Case-based Reasoning and Ambient Intelligence</title>
      <p>Weiser, who coined the term ubiquitous computing, did explicitly state that
artificial intelligence was unimportant when realising the visions described [11,
p.3]. This view that proper embedding of computers is sufficient does also to
a large degree saturate the field of pervasive computing. However, the insight
that achievement of the visions described in pervasive computing does indeed
require some degree of reasoning has lead to the developments jointly labelled
as ambient intelligence.</p>
      <p>
        The IST Advisory Group to the European Commission (ISTAG) describes
ambient intelligence as human beings surrounded by intelligent interfaces,
supported by computing and network technology embedded in everyday objects.
More importantly, the environment should be aware of the presence of a person,
perceive the needs of this person and respond intelligently to them [
        <xref ref-type="bibr" rid="ref1">1</xref>
        ].
      </p>
      <p>
        The ability to be aware of the environment, reason about ongoing situations
and decide about appropriate behaviour is closely linked with being
knowledgeable about the world. Case-based reasoning in general, and knowledge intensive
case-based reasoning in particular [
        <xref ref-type="bibr" rid="ref12 ref13">12,13</xref>
        ], appears to be a promising candidate
for reasoning about situations and behaviour in an ambient intelligent setting.
      </p>
      <p>
        Zimmermann reports on case-based reasoning used to generate
recommendations based on the user’s context in a mobile environment [
        <xref ref-type="bibr" rid="ref14">14</xref>
        ]. The user context
is encapsulated inside cases to facilitate comparison of contexts, generating
recommendations based on case similarities, and learning of user behaviour. The
cases are structured around a context describing the user’s environment as the
findings and a recommendation for a particular audio file as the solution.
      </p>
      <p>Along the same lines of adapting solutions to users is the work by Ma et al.,
where case-based reasoning is used to adapt the behaviour of smart homes to
user preferences [15]. The cases are represented as frames, where the findings
are: the user, the environment, the time, and the values of the active devices.
When new cases are instantiated; the similarities between the new and existing
cases are calculated and a setting for the appliances in the house is selected.</p>
      <p>Recently B´enard et al. have investigated the use of case-based reasoning as
a mechanism for selecting suitable behaviour in different situations [16]. They
propose an agent-based architecture that uses perceived information, or context,
as the findings of a case and the proposed action as the solution. The existing
cases in the case base are pre-classified situations modelled by a domain expert.
The authors briefly describe how the case-based reasoning process approaches
Perceived</p>
      <p>Goal</p>
      <p>Directed
World Knowledge</p>
      <p>Awareness</p>
      <p>Sensitivity
Situations
Context</p>
      <p>Previous
Cases</p>
      <p>New
Case</p>
      <p>Retrieved
Case</p>
      <p>Goal
Goal
Context</p>
      <p>Decomposer Agent</p>
      <p>Application Agent
Application Agent
Application Agent
Context Middleware</p>
      <p>CREEK Agent</p>
      <p>Agents
the problem of behaviour selection. Initially a new context is compared to the
findings in the existing cases and the best matching case is retrieved. Secondly,
the retrieved case is adapted to fit the new context.</p>
      <p>The work presented here builds on the experience gained by applying
casebased reasoning to situation assessment in an ambient intelligent system [17].
The architecture developed and system implemented approaches ambient
intelligence by separating the main responsibilities into three layers.</p>
      <p>The architecture has been implemented as an ambient intelligent system in
a hospital ward [18]. The personnel at the hospital ward are involved in many
different activities, such as doing ward rounds, meetings and different forms of
examinations. The system’s main purpose is to recognise ongoing situations and
proactively acquired digital information relevant for the user.</p>
      <p>
        Figure 1 depicts the functional system architecture. The Context
Middleware [19] provides an infrastructure that perceives the environment by
collecting and maintaining a coherent model of available context. The CREEK agent
implements and extends the knowledge intensive case-based reasoning method
CREEK [
        <xref ref-type="bibr" rid="ref13">13</xref>
        ], which is responsible for assessing occurring situations through
context awareness. This is done by constructing an unsolved case where the findings
are the context received from the Context Middleware. This case is then matched
to existing cases and the best matching case contains the goal for this particular
type of situation. This goal is then transmitted to the Decomposer Agent, which
decomposes according to the existing artefacts and persons described in the
context. Each of these entities are described by an Application Agent that supplies
information. These two types of agents are together responsible for executing
suitable system behaviour by being context sensitive.
      </p>
      <p>The knowledge model utilised in this system is structured as a multi-relational
semantic network, where each of the five different parts are integrated. Three
parts of the knowledge model are universal for any CREEK application: the
top-level ontology, called ISOPOD; the domain-specific model of general and
factual knowledge; and the case base. In addition to these, two parts have been
developed for the ambient intelligent system, namely the Basic Context Model
and the Activity Theory Model.</p>
      <p>The Basic Context Model is structured around a meronomy based on
tradition in pervasive computing [19,20], which imposes a structure that facilitates
easy development of context sensitive applications [21]. The Activity Theory
Model captures knowledge regarding activities, which is one of the most
important aspect of situations [22].
4</p>
    </sec>
    <sec id="sec-4">
      <title>Facets of Explanation and Context</title>
      <p>
        As outlined in Section 2, the term explanation can have different focii in artificial
intelligence. In his introduction to the ECCBR-04 Workshop on Explanation in
case-based reasoning, David Leake [23] has identified three different facets of
explanation and case-based reasoning:
– Using explanations to support the case-based reasoning process
– Generating explanations by case-based reasoning
– Using cases for explaining system results to an external user
With our notion of user goals, we can subsume the last two facets as both being
targeted towards the user of the system. In our understanding, showing the case
to the user is a special case of ‘generating explanations by case-based reasoning’,
making use of the case-based reasoning assumption that similar problems have
similar solutions. Provided that the user has some knowledge about the
similarity function and that the case structure is understandable by the user, the
displayed case acts as an explanation to the user (see e.g. [
        <xref ref-type="bibr" rid="ref6">6,24</xref>
        ]). We are left
with two functions of an explanation, as described in [25]: first, enhancing and
promoting the reasoning process. Second, delivering some knowledge about the
reasoning process, its results, or implication to the user. We call the first aspect
the system centric view on explanation and the second one the user centric view
on explanation:
– Explanation as part of the reasoning process itself.
      </p>
      <p>Example: a knowledge intensive case-based reasoning system can use its
domain knowledge to explain the absence/variation of feature values.
– Giving explanations of the found solution, its application, or the reasoning
process to the user.</p>
      <p>Example: in an engine failure diagnosis system, the user gets an explanation
on why a particular case was matched.</p>
      <p>When we now look at the use of context, we can again identify different views
on context during the reasoning process and the use of the system. First, the
system has to identify an unknown situation out of its internal state and the
percieved state of the world. Here the system has to find out which situation it
is in. Second, the system has to act according to the percieved state of the world
and an assumed context. Following our earlier argumentation introduced in [18],
we identify these two aspects as two distinct steps in the reasoning process:
– Context Awareness: Trying to figure out which situation the system is in.</p>
      <p>Example: An ambient intelligent system for supporting health personnel
recognises that the user is on a ward-round because of the time of the day,
the location, and the other persons present.
– Context Sensitivity: Acting according to the situation the system thinks
it is in.</p>
      <p>Example: the same system fetches the newest versions of electronic patient
records of all patients in the room from the hospital systems. When the user
stands close to the bed of a patient, the system automatically displays them.
Combing these views on explanation and on context, we end up with two
dimensions of inquiry as depicted in Table 1.
5</p>
    </sec>
    <sec id="sec-5">
      <title>Using Explanations in an Ambient Intelligent System</title>
      <p>We will further investigate the relationship between context and explanations by
examining an example from our current implementation. At this time, our system
is capable of assessing ongoing situations in a simulated hospital (cardiology)
ward domain. The system’s main purpose is to identify ongoing situations and
proactively acquire digital information required by the persons present.
Recognise: In this step, we are using explanations to recognise the current
ongoing situation. The system uses all available resources in its reasoning process.
Let us assume that the ongoing situation is a ward round. Normally ward rounds
take place in a patient room, however the current situation is occurring in the
hallway. This discrepancy can be explained away by the system generalising
that both locations can indeed contain patient beds. When CREEK retrieves a
matching case, the system has no explicit knowledge stating that a hallway can
contain hospital beds. The initial match is of a syntactical nature only. However,
it can use its general knowledge and the reasoning mechanism of plausible
inheritance to generate an explanation supporting the hypothesis that beds can be
located in the hallway, for example because they are both some kinds of rooms,
and beds are some kinds of objects which have a room as a location. Therefore,
as all other parameters are consistent with a ward round, the system assumes
that it is indeed a ward round situation.</p>
      <p>The explanation used by the system in this example states that a hallway is
a room and can therefore contain a hospital bed.</p>
      <p>Elucidate: We now want to generate an explanation for the user that tells the
user why the system assumes a certain situation. The system will make use of
all available sources of knowledge in order to gain the user’s confidence in its
capabilities. It will also have to consider the user’s goals when chosing a specific
explanation. It has been shown that simply presenting the reasoning trace is not
always sufficient (it can even be counter productive) [26,27]. The system might
therefore generate an after-the-fact explanation, which for example justifies its
assumption instead. Since the ward round situation is occurring at an unusual
place, CREEK will point out the time of the day, the availability of the other
expected participants, and the fact that hallways might contain beds, as the
reason for its assumption instead of only displaying its generalisation of the
location.</p>
      <p>The explanation shown to the user is a justification of the system’s believe
of being on a ward round.</p>
      <p>Identify: After the system has successfully identified the context, it is using
explanations to generate a plan for a reasonable course of action. Now, it is using
only the knowledge sources important for the situation at hand (the context is
acting as a focus lense [18]). When we now presume that the system has
recognised that we are on a ward round, discussing medical conditions and treatments
with several patients, it will try to prepare all the relevant information to be
presented to the user. This includes all test results. The system can now ask other
available artefacts for test results on the user, and the medical images database
can offer a MR image whereas the patient record offers a textual description of
the MRI. Because of limitations of handheld devices, the system will for example
not be able to display high resolution MR images. When choosing which of the
artefacts to query, the system will reject the medical image database and only
query the electronic patient record database.</p>
      <p>The explanation used by the system is based on the knowledge that a high
resolution image displaying device is not available on a ward round.
Explicate: Looking at the user centric part again, we are now in need of
generating an explanation for why the systems takes a specific action. The system
will take into account which situation it assumes it is in and the possible goals
the user might have for an explanation. In executing its plan, the system
proposes its user to visit the isolation room with patients which should be kept
seperate. The user is surprised since he is not aware that any of the patient he
should see at the ward round is in the isolation room, and no information on
this was exchanged in the morning briefing. The system can then generate an
explanation that shows the relevance of the proposal by pointing out that one
particular patient had to be moved to the isolation room for medical reasons
since the time of the morning meeting, and this information was available via
the patient information system. This explanation would not be useful if it had
not been established already that we are on a ward round and the aim was to
visit the patients. Vice versa, if the system would generate a justification for its
assumption of being on a ward round, this would still not satisfy the need of the
user to know why he should go to the isolation room.</p>
      <p>The explanation shown to the user is pointing out the relevance of performing
a particular action, namely visiting the isolation room.
6</p>
    </sec>
    <sec id="sec-6">
      <title>Summary and Future Work</title>
      <p>This paper has presented an approach to combine explanations and case-based
reasoning in context awareness. It has been argued that explanations can be
viewed from both a system centric and user centric perspective. It has further
been described how explanations play a key role in ambient intelligent systems,
where traditional interaction has been changed, and division of responsibility
has been shifted from user initiated to mixed initiative.</p>
      <p>The current implementation does support some of the goals seen from an user
centric perspective; that is elucidating why it assumes that a given situation is
occurring. The transparency goal is satisfied by CREEK’s ability to graphically
represent the case-match and the underlying semantic network representation,
as well as a textual representation of the overall match strength and individual
feature matches. A textual representation of explanations used in the reasoning
process is also shown to the user.</p>
      <p>The conceptualization goal is supported by providing a means to the user to
explore the relation of the case to the underlying knowledge base. By examining
the relations of the case features to this underlying knowledge structure, the user
can gain some insight into the conceptual model the system has of the domain
at hand.</p>
      <p>The justification goal is to some degree supported in our current
implementation. CREEK does explain why two different features are similar by means of
plausible inheritance [28].</p>
      <p>The most important future development is to apply the facets of explanation
to the context sensitive part of our system. Here the Decomposer and Application
agents must be able to use a system centric perspective on identifying a suitable
behaviour in a given situation; as well as explicating why a given behaviour was
chosen to the user.</p>
      <p>Another direction for future research we want to explore is to tie our findings
back in to our earlier work on a design methodology for explanation-aware
intelligent systems with a socio-technical perspective. Our research has shown that
ambient intelligent systems can benefit from a psychologically plausible
knowledge model, but we have not yet explored the relation to the different knowledge
containers in detail.</p>
      <p>Additionally, we want to augment existing design guidelines with methods
for the analysis of social aspects that can lead to a better understanding than
ad-hoc methods. It is also important to note that we have not yet fully utilised
some aspects of our theoretical foundations in organisational psychology, like the
notions of breakdown situations or functional organs in Activity Theory, or the
use of Semiotics for the organisation of the user interface itself.
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