Matching Items (14)
Filtering by
- All Subjects: artificial intelligence
- Creators: Berman, Spring
Description
The main goal of this study was to understand the awareness of small business owners regarding occupational fraud, meaning fraud committed from within an organization. A survey/questionnaire was used to gather insight into the knowledge and perceptions of small business owners, while also obtaining information about the history of fraud and the internal controls within their business. Twenty-four owners of businesses with less than 100 employees participated in the study. The results suggest that small business owners overestimate their knowledge regarding internal controls and occupational fraud, while also underestimating the risk of fraud within their own business. In fact, 92% of participants were not at all familiar with the popular Internal Control \u2014 Integrated Framework published by the Committee of Sponsoring Organizations of the Treadway Commission. The results also show that small business owners tend to overestimate the protection provided by their currently implemented controls in regard to their risk of fraud. Overall, through continued knowledge of internal controls and occupational fraud, business owners can better protect their businesses from the risk of occupational fraud by increasing their awareness of fraud.
ContributorsDennis, Lauren Nicole (Author) / Orpurt, Steven (Thesis director) / Munshi, Perseus (Committee member) / Barrett, The Honors College (Contributor) / Department of Information Systems (Contributor) / School of Accountancy (Contributor)
Created2014-05
Description
This case study analyzed the internal controls of a real estate company using the widely accepted COSO framework. Testing of the internal environment and controls was completed using the COSO framework. The major internal control problem identified in the study was a lack of ethical standards in the control environment. In addition to this main problem, inadequate documentation, no separation of duties, and unqualified employees were also identified as violations of effective internal controls. The department of real estate ordered a "cease and desist" on August 8, 2013 due to illegal company activities. The company participated in illegal actions regarding: the trust account and company documentation and procedures. Material weaknesses were found in the company's internal controls; therefore the result of this study was an adverse opinion on internal controls.
ContributorsFrederick, Nicole Lorraine (Author) / Munshi, Perseus (Thesis director) / Benali, Kayla (Committee member) / Barrett, The Honors College (Contributor) / School of Accountancy (Contributor) / Department of Psychology (Contributor)
Created2013-12
Description
Chemical Reaction Networks (CRNs) provide a useful framework for modeling andcontrolling large numbers of agents that undergo stochastic transitions between a set of states
in a manner similar to chemical compounds. By utilizing CRN models to design agent control
policies, some of the computational challenges in the coordination of multi-agent systems can
be overcome. In this thesis, a CRN model is developed that defines agent control policies for a
multi-agent construction task. The use of surface CRNs to overcome the tradeoff between
speed and accuracy of task performance is explained. The computational difficulties involved
in coordinating multiple agents to complete collective construction tasks is then discussed. A
method for stochastic task and motion planning (TAMP) is proposed to explain how a TAMP
solver can be applied with CRNs to coordinate multiple agents.
This work defines a collective construction scenario in which a group of noncommunicating agents must rearrange blocks on a discrete domain with obstacles into a
predefined target distribution. Four different construction tasks are considered with 10, 20,
30, or 40 blocks, and a simulation of each scenario with 2, 4, 6, or 8 agents is performed. As the
number of blocks increases, the construction problem becomes more complex, and a given
population of agents requires more time to complete the task. Populations of fewer than 8
agents are unable to solve the 30-block and 40-block problems in the allotted simulation time,
suggesting an inflection point for computational feasibility, implying that beyond that point
the solution times for fewer than 8 agents would be expected to increase significantly. For a
group of 8 agents, the time to complete the task generally increases as the number of blocks
increases, except for the 30-block problem, which has specifications that make the task slightly
easier for the agents to complete compared to the 20-block problem. For the 10-block and 20-
block problems, the time to complete the task decreases as the number of agents increases;
however, the marginal effect of each additional two agents on this time decreases. This can be
explained through the pigeonhole principle: since there area finite number of states, when the
number of agents is greater than the number of available spaces, deadlocks start to occur and
the expectation is that the overall solution time to tend to infinity.
ContributorsKamojjhala, Pranav (Author) / Berman, Spring (Thesis advisor) / Fainekos, Gergios E (Thesis advisor) / Pavlic, Theodore P (Committee member) / Arizona State University (Publisher)
Created2022
Description
A Graph Neural Network (GNN) is a type of neural network architecture that operates on data consisting of objects and their relationships, which are represented by a graph. Within the graph, nodes represent objects and edges represent associations between those objects. The representation of relationships and correlations between data is unique to graph structures. GNNs exploit this feature of graphs by augmenting both forms of data, individual and relational, and have been designed to allow for communication and sharing of data within each neural network layer. These benefits allow each node to have an enriched perspective, or a better understanding, of its neighbouring nodes and its connections to those nodes. The ability of GNNs to efficiently process high-dimensional node data and multi-faceted relationships among nodes gives them advantages over neural network architectures such as Convolutional Neural Networks (CNNs) that do not implicitly handle relational data. These quintessential characteristics of GNN models make them suitable for solving problems in which the correspondences among input data are needed to produce an accurate and precise representation of these data. GNN frameworks may significantly improve existing communication and control techniques for multi-agent tasks by implicitly representing not only information associated with the individual agents, such as agent position, velocity, and camera data, but also their relationships with one another, such as distances between the agents and their ability to communicate with one another. One such task is a multi-agent navigation problem in which the agents must coordinate with one another in a decentralized manner, using proximity sensors only, to navigate safely to their intended goal positions in the environment without collisions or deadlocks. The contribution of this thesis is the design of an end-to-end decentralized control scheme for multi-agent navigation that utilizes GNNs to prevent inter-agent collisions and deadlocks. The contributions consist of the development, simulation and evaluation of the performance of an advantage actor-critic (A2C) reinforcement learning algorithm that employs actor and critic networks for training that simultaneously approximate the policy function and value function, respectively. These networks are implemented using GNN frameworks for navigation by groups of 3, 5, 10 and 15 agents in simulated two-dimensional environments. It is observed that in $40\%$ to $50\%$ of the simulation trials, between 70$\%$ to 80$\%$ of the agents reach their goal positions without colliding with other agents or becoming trapped in deadlocks. The model is also compared to a random run simulation, where actions are chosen randomly for the agents and observe that the model performs notably well for smaller groups of agents.
ContributorsAyalasomayajula, Manaswini (Author) / Berman, Spring (Thesis advisor) / Mian, Sami (Committee member) / Pavlic, Theodore (Committee member) / Arizona State University (Publisher)
Created2022
Description
Recently, Generative Adversarial Networks (GANs) have been applied to the problem of Cold-Start Recommendation, but the training performance of these models is hampered by the extreme sparsity in warm user purchase behavior. This thesis introduces a novel representation for user-vectors by combining user demographics and user preferences, making the model a hybrid system which uses Collaborative Filtering and Content Based Recommendation. This system models user purchase behavior using weighted user-product preferences (explicit feedback) rather than binary user-product interactions (implicit feedback). Using this a novel sparse adversarial model, Sparse ReguLarized Generative Adversarial Network (SRLGAN), is developed for Cold-Start Recommendation. SRLGAN leverages the sparse user-purchase behavior which ensures training stability and avoids over-fitting on warm users. The performance of SRLGAN is evaluated on two popular datasets and demonstrate state-of-the-art results.
ContributorsShah, Aksheshkumar Ajaykumar (Author) / Venkateswara, Hemanth (Thesis advisor) / Berman, Spring (Thesis advisor) / Ladani, Leila J (Committee member) / Arizona State University (Publisher)
Created2022
Description
Despite the rapid adoption of robotics and machine learning in industry, their application to scientific studies remains under-explored. Combining industry-driven advances with scientific exploration provides new perspectives and a greater understanding of the planet and its environmental processes. Focusing on rock detection, mapping, and dynamics analysis, I present technical approaches and scientific results of developing robotics and machine learning technologies for geomorphology and seismic hazard analysis. I demonstrate an interdisciplinary research direction to push the frontiers of both robotics and geosciences, with potential translational contributions to commercial applications for hazard monitoring and prospecting. To understand the effects of rocky fault scarp development on rock trait distributions, I present a data-processing pipeline that utilizes unpiloted aerial vehicles (UAVs) and deep learning to segment densely distributed rocks in several orders of magnitude. Quantification and correlation analysis of rock trait distributions demonstrate a statistical approach for geomorphology studies. Fragile geological features such as precariously balanced rocks (PBRs) provide upper-bound ground motion constraints for hazard analysis. I develop an offboard method and onboard method as complementary to each other for PBR searching and mapping. Using deep learning, the offboard method segments PBRs in point clouds reconstructed from UAV surveys. The onboard method equips a UAV with edge-computing devices and stereo cameras, enabling onboard machine learning for real-time PBR search, detection, and mapping during surveillance. The offboard method provides an efficient solution to find PBR candidates in existing point clouds, which is useful for field reconnaissance. The onboard method emphasizes mapping individual PBRs for their complete visible surface features, such as basal contacts with pedestals–critical geometry to analyze fragility. After PBRs are mapped, I investigate PBR dynamics by building a virtual shake robot (VSR) that simulates ground motions to test PBR overturning. The VSR demonstrates that ground motion directions and niches are important factors determining PBR fragility, which were rarely considered in previous studies. The VSR also enables PBR large-displacement studies by tracking a toppled-PBR trajectory, presenting novel methods of rockfall hazard zoning. I build a real mini shake robot providing a reverse method to validate simulation experiments in the VSR.
ContributorsChen, Zhiang (Author) / Arrowsmith, Ramon (Thesis advisor) / Das, Jnaneshwar (Thesis advisor) / Bell, James (Committee member) / Berman, Spring (Committee member) / Christensen, Philip (Committee member) / Whipple, Kelin (Committee member) / Arizona State University (Publisher)
Created2022
Description
In this thesis work, a novel learning approach to solving the problem of controllinga quadcopter (drone) swarm is explored. To deal with large sizes, swarm control is
often achieved in a distributed fashion by combining different behaviors such that
each behavior implements some desired swarm characteristics, such as avoiding ob-
stacles and staying close to neighbors. One common approach in distributed swarm
control uses potential fields. A limitation of this approach is that the potential fields
often depend statically on a set of control parameters that are manually specified a
priori. This paper introduces Dynamic Potential Fields for flexible swarm control.
These potential fields are modulated by a set of dynamic control parameters (DCPs)
that can change under different environment situations. Since the focus is only on
these DCPs, it simplifies the learning problem and makes it feasible for practical use.
This approach uses soft actor critic (SAC) where the actor only determines how to
modify DCPs in the current situation, resulting in more flexible swarm control. In
the results, this work will show that the DCP approach allows for the drones to bet-
ter traverse environments with obstacles compared to several state-of-the-art swarm
control methods with a fixed set of control parameters. This approach also obtained
a higher safety score commonly used to assess swarm behavior. A basic reinforce-
ment learning approach is compared to demonstrate faster convergence. Finally, an
ablation study is conducted to validate the design of this approach.
ContributorsFerraro, Calvin Shores (Author) / Zhang, Yu (Thesis advisor) / Ben Amor, Hani (Committee member) / Berman, Spring (Committee member) / Arizona State University (Publisher)
Created2022
Description
For a system of autonomous vehicles functioning together in a traffic scene, 3Dunderstanding of participants in the field of view or surrounding is very essential for
assessing the safety operation of the involved. This problem can be decomposed into online
pose and shape estimation, which has been a core research area of computer vision for over
a decade now. This work is an add-on to support and improve the joint estimate of the pose
and shape of vehicles from monocular cameras. The objective of jointly estimating the
vehicle pose and shape online is enabled by what is called an offline reconstruction
pipeline. In the offline reconstruction step, an approach to obtain the vehicle 3D shape with
keypoints labeled is formulated.
This work proposes a multi-view reconstruction pipeline using images and masks
which can create an approximate shape of vehicles and can be used as a shape prior. Then
a 3D model-fitting optimization approach to refine the shape prior using high quality
computer-aided design (CAD) models of vehicles is developed. A dataset of such 3D
vehicles with 20 keypoints annotated is prepared and call it the AvaCAR dataset. The
AvaCAR dataset can be used to estimate the vehicle shape and pose, without having the
need to collect significant amounts of data needed for adequate training of a neural
network. The online reconstruction can use this synthesis dataset to generate novel
viewpoints and simultaneously train a neural network for pose and shape estimation. Most
methods in the current literature using deep neural networks, that are trained to estimate
pose of the object from a single image, are inherently biased to the viewpoint of the images
used. This approach aims at addressing these existing limitations in the current method by
delivering the online estimation a shape prior which can generate novel views to account
for the bias due to viewpoint. The dataset is provided with ground truth extrinsic parameters
and the compact vector based shape representations which along with the multi-view
dataset can be used to efficiently trained neural networks for vehicle pose and shape
estimation. The vehicles in this library are evaluated with some standard metrics to assure
they are capable of aiding online estimation and model based tracking.
ContributorsDUTTA, PRABAL BIJOY (Author) / Yang, Yezhou (Thesis advisor) / Berman, Spring (Committee member) / Lu, Duo (Committee member) / Arizona State University (Publisher)
Created2022
Description
This work has improved the quality of the solution to the sparse rewards problemby combining reinforcement learning (RL) with knowledge-rich planning. Classical
methods for coping with sparse rewards during reinforcement learning modify the
reward landscape so as to better guide the learner. In contrast, this work combines
RL with a planner in order to utilize other information about the environment. As
the scope for representing environmental information is limited in RL, this work has
conflated a model-free learning algorithm – temporal difference (TD) learning – with
a Hierarchical Task Network (HTN) planner to accommodate rich environmental
information in the algorithm. In the perpetual sparse rewards problem, rewards
reemerge after being collected within a fixed interval of time, culminating in a lack of a
well-defined goal state as an exit condition to the problem. Incorporating planning in
the learning algorithm not only improves the quality of the solution, but the algorithm
also avoids the ambiguity of incorporating a goal of maximizing profit while using
only a planning algorithm to solve this problem. Upon occasionally using the HTN
planner, this algorithm provides the necessary tweak toward the optimal solution. In
this work, I have demonstrated an on-policy algorithm that has improved the quality
of the solution over vanilla reinforcement learning. The objective of this work has
been to observe the capacity of the synthesized algorithm in finding optimal policies to
maximize rewards, awareness of the environment, and the awareness of the presence
of other agents in the vicinity.
ContributorsNandan, Swastik (Author) / Pavlic, Theodore (Thesis advisor) / Das, Jnaneshwar (Thesis advisor) / Berman, Spring (Committee member) / Arizona State University (Publisher)
Created2022
Description
Human-robot interactions can often be formulated as general-sum differential games where the equilibrial policies are governed by Hamilton-Jacobi-Isaacs (HJI) equations. Solving HJI PDEs faces the curse of dimensionality (CoD). While physics-informed neural networks (PINNs) alleviate CoD in solving PDEs with smooth solutions, they fall short in learning discontinuous solutions due to their sampling nature. This causes PINNs to have poor safety performance when they are applied to approximate values that are discontinuous due to state constraints. This dissertation aims to improve the safety performance of PINN-based value and policy models. The first contribution of the dissertation is to develop learning methods to approximate discontinuous values. Specifically, three solutions are developed: (1) hybrid learning uses both supervisory and PDE losses, (2) value-hardening solves HJIs with increasing Lipschitz constant on the constraint violation penalty, and (3) the epigraphical technique lifts the value to a higher-dimensional state space where it becomes continuous. Evaluations through 5D and 9D vehicle and 13D drone simulations reveal that the hybrid method outperforms others in terms of generalization and safety performance. The second contribution is a learning-theoretical analysis of PINN for value and policy approximation. Specifically, by extending the neural tangent kernel (NTK) framework, this dissertation explores why the choice of activation function significantly affects the PINN generalization performance, and why the inclusion of supervisory costate data improves the safety performance. The last contribution is a series of extensions of the hybrid PINN method to address real-time parameter estimation problems in incomplete-information games. Specifically, a Pontryagin-mode PINN is developed to avoid costly computation for supervisory data. The key idea is the introduction of a costate loss, which is cheap to compute yet effectively enables the learning of important value changes and policies in space-time. Building upon this, a Pontryagin-mode neural operator is developed to achieve state-of-the-art (SOTA) safety performance across a set of differential games with parametric state constraints. This dissertation demonstrates the utility of the resultant neural operator in estimating player constraint parameters during incomplete-information games.
ContributorsZhang, Lei (Author) / Ren, Yi (Thesis advisor) / Si, Jennie (Committee member) / Berman, Spring (Committee member) / Zhang, Wenlong (Committee member) / Xu, Zhe (Committee member) / Arizona State University (Publisher)
Created2024