Research Papers

As Artificial Intelligence (AI) becomes integral to business operations, integrating Responsible AI (RAI) within Environmental, Social, and Governance (ESG) frameworks is essential for ethical and sustainable AI deployment. This study examines how leading companies align RAI with their ESG goals. Through interviews with 28 industry leaders, we identified a strong link between RAI and ESG practices. However, a significant gap exists between internal RAI policies and public disclosures, highlighting the need for greater board-level expertise, robust governance, and employee engagement. We provide key recommendations to strengthen RAI strategies, focusing on transparency, cross-functional collaboration, and seamless integration into existing ESG frameworks.

Trustworthy Artificial Intelligence (TAI) integrates ethics that align with human values, looking at their influence on AI behaviour and decision-making. Primarily dependent on self-assessment, TAI evaluation aims to ensure ethical standards and safety in AI development and usage. This paper reviews the current TAI evaluation methods in the literature and offers a classification, contributing to understanding self-assessment methods in this field.

AI safety practitioners invest considerable resources in AI system evaluations, but these investments may be wasted if evaluations fail to realize their impact. This paper questions the core value proposition of evaluations: that they significantly improve our understanding of AI risks and, consequently, our ability to mitigate those risks. Evaluations may fail to improve understanding in six ways, such as risks manifesting beyond the AI system or insignificant returns from evaluations compared to real-world observations. Improved understanding may also not lead to better risk mitigation in four ways, including challenges in upholding and enforcing commitments. Evaluations could even be harmful, for example, by triggering the weaponization of dual-use capabilities or invoking high opportunity costs for AI safety. This paper concludes with considerations for improving evaluation practices and 12 recommendations for AI labs, external evaluators, regulators, and academic researchers to encourage a more strategic and impactful approach to AI risk assessment and mitigation.

Black swan events are statistically rare occurrences that carry extremely high risks. A typical view of defining black swan events is heavily assumed to originate from an unpredictable time-varying environments; however, the community lacks a comprehensive definition of black swan events. To this end, this paper challenges that the standard view is incomplete and claims that high-risk, statistically rare events can also occur in unchanging environments due to human misperception of their value and likelihood, which we call as spatial black swan event. We first carefully categorize black swan events, focusing on spatial black swan events, and mathematically formalize the definition of black swan events. We hope these definitions can pave the way for the development of algorithms to prevent such events by rationally correcting human perception.

In the contemporary financial landscape, accurately predicting the probability of filling a Request-For-Quote (RFQ) is crucial for improving market efficiency for less liquid asset classes. This paper explores the application of explainable AI (XAI) models to forecast the likelihood of RFQ fulfillment. By leveraging advanced algorithms including Logistic Regression, Random Forest, XGBoost and Bayesian Neural Tree, we are able to improve the accuracy of RFQ fill rate predictions and generate the most efficient quote price for market makers. XAI serves as a robust and transparent tool for market participants to navigate the complexities of RFQs with greater precision.

Responsible AI (RAI) encompasses the science and practice of ensuring that AI design, development, and use are socially sustainable -- maximizing the benefits of technology while mitigating its risks. Industry practitioners play a crucial role in achieving the objectives of RAI, yet there is a persistent a shortage of consolidated educational resources and effective methods for teaching RAI to practitioners. In this paper, we present a stakeholder-first educational approach using interactive case studies to foster organizational and practitioner-level engagement and enhance learning about RAI. We detail our partnership with Meta, a global technology company, to co-develop and deliver RAI workshops to a diverse company audience. Assessment results show that participants found the workshops engaging and reported an improved understanding of RAI principles, along with increased motivation to apply them in their work.

An Actionability Assessment Tool for Explainable AI

Ronal Singh, Tim Miller, Liz Sonenberg +4

In this paper, we introduce and evaluate a tool for researchers and practitioners to assess the actionability of information provided to users to support algorithmic recourse. While there are clear benefits of recourse from the user's perspective, the notion of actionability in explainable AI research remains vague, and claims of `actionable' explainability techniques are based on the researchers' intuition. Inspired by definitions and instruments for assessing actionability in other domains, we construct a seven-question tool and evaluate its effectiveness through two user studies. We show that the tool discriminates actionability across explanation types and that the distinctions align with human judgements. We show the impact of context on actionability assessments, suggesting that domain-specific tool adaptations may foster more human-centred algorithmic systems. This is a significant step forward for research and practices into actionable explainability and algorithmic recourse, providing the first clear human-centred definition and tool for assessing actionability in explainable AI.

CoXQL: A Dataset for Parsing Explanation Requests in Conversational XAI Systems

Qianli Wang, Tatiana Anikina, Nils Feldhus +2

Conversational explainable artificial intelligence (ConvXAI) systems based on large language models (LLMs) have garnered significant interest from the research community in natural language processing (NLP) and human-computer interaction (HCI). Such systems can provide answers to user questions about explanations in dialogues, have the potential to enhance users' comprehension and offer more information about the decision-making and generation processes of LLMs. Currently available ConvXAI systems are based on intent recognition rather than free chat, as this has been found to be more precise and reliable in identifying users' intentions. However, the recognition of intents still presents a challenge in the case of ConvXAI, since little training data exist and the domain is highly specific, as there is a broad range of XAI methods to map requests onto. In order to bridge this gap, we present CoXQL, the first dataset in the NLP domain for user intent recognition in ConvXAI, covering 31 intents, seven of which require filling multiple slots. Subsequently, we enhance an existing parsing approach by incorporating template validations, and conduct an evaluation of several LLMs on CoXQL using different parsing strategies. We conclude that the improved parsing approach (MP+) surpasses the performance of previous approaches. We also discover that intents with multiple slots remain highly challenging for LLMs.

Knowledge Transfer, Knowledge Gaps, and Knowledge Silos in Citation Networks

Eoghan Cunningham, Derek Greene

The advancement of science relies on the exchange of ideas across disciplines and the integration of diverse knowledge domains. However, tracking knowledge flows and interdisciplinary integration in rapidly evolving, multidisciplinary fields remains a significant challenge. This work introduces a novel network analysis framework to study the dynamics of knowledge transfer directly from citation data. By applying dynamic community detection to cumulative, time-evolving citation networks, we can identify research areas as groups of papers sharing knowledge sources and outputs. Our analysis characterises the life-cycles and knowledge transfer patterns of these dynamic communities over time. We demonstrate our approach through a case study of eXplainable Artificial Intelligence (XAI) research, an emerging interdisciplinary field at the intersection of machine learning, statistics, and psychology. Key findings include: (i) knowledge transfer between these important foundational topics and the contemporary topics in XAI research is limited, and the extent of knowledge transfer varies across different contemporary research topics; (ii) certain application domains exist as isolated "knowledge silos"; (iii) significant "knowledge gaps" are identified between related XAI research areas, suggesting opportunities for cross-pollination and improved knowledge integration. By mapping interdisciplinary integration and bridging knowledge gaps, this work can inform strategies to synthesise ideas from disparate sources and drive innovation. More broadly, our proposed framework enables new insights into the evolution of knowledge ecosystems directly from citation data, with applications spanning literature review, research planning, and science policy.

A pressing issue in the adoption of AI models is the increasing demand for more human-centric explanations of their predictions. To advance towards more human-centric explanations, understanding how humans produce and select explanations has been beneficial. In this work, inspired by insights of human cognition we propose and test the incorporation of two novel biases to enhance the search for effective counterfactual explanations. Central to our methodology is the application of diffusion distance, which emphasizes data connectivity and actionability in the search for feasible counterfactual explanations. In particular, diffusion distance effectively weights more those points that are more interconnected by numerous short-length paths. This approach brings closely connected points nearer to each other, identifying a feasible path between them. We also introduce a directional coherence term that allows the expression of a preference for the alignment between the joint and marginal directional changes in feature space to reach a counterfactual. This term enables the generation of counterfactual explanations that align with a set of marginal predictions based on expectations of how the outcome of the model varies by changing one feature at a time. We evaluate our method, named Coherent Directional Counterfactual Explainer (CoDiCE), and the impact of the two novel biases against existing methods such as DiCE, FACE, Prototypes, and Growing Spheres. Through a series of ablation experiments on both synthetic and real datasets with continuous and mixed-type features, we demonstrate the effectiveness of our method.

Blocking events are an important cause of extreme weather, especially long-lasting blocking events that trap weather systems in place. The duration of blocking events is, however, underestimated in climate models. Explainable Artificial Intelligence are a class of data analysis methods that can help identify physical causes of prolonged blocking events and diagnose model deficiencies. We demonstrate this approach on an idealized quasigeostrophic model developed by Marshall and Molteni (1993). We train a convolutional neural network (CNN), and subsequently, build a sparse predictive model for the persistence of Atlantic blocking, conditioned on an initial high-pressure anomaly. Shapley Additive ExPlanation (SHAP) analysis reveals that high-pressure anomalies in the American Southeast and North Atlantic, separated by a trough over Atlantic Canada, contribute significantly to prediction of sustained blocking events in the Atlantic region. This agrees with previous work that identified precursors in the same regions via wave train analysis. When we apply the same CNN to blockings in the ERA5 atmospheric reanalysis, there is insufficient data to accurately predict persistent blocks. We partially overcome this limitation by pre-training the CNN on the plentiful data of the Marshall-Molteni model, and then using Transfer Learning to achieve better predictions than direct training. SHAP analysis before and after transfer learning allows a comparison between the predictive features in the reanalysis and the quasigeostrophic model, quantifying dynamical biases in the idealized model. This work demonstrates the potential for machine learning methods to extract meaningful precursors of extreme weather events and achieve better prediction using limited observational data.

We formulate an XAI-based model improvement approach for Graph Neural Networks (GNNs) for node classification, called Explanation Enhanced Graph Learning (EEGL). The goal is to improve predictive performance of GNN using explanations. EEGL is an iterative self-improving algorithm, which starts with a learned "vanilla" GNN, and repeatedly uses frequent subgraph mining to find relevant patterns in explanation subgraphs. These patterns are then filtered further to obtain application-dependent features corresponding to the presence of certain subgraphs in the node neighborhoods. Giving an application-dependent algorithm for such a subgraph-based extension of the Weisfeiler-Leman (1-WL) algorithm has previously been posed as an open problem. We present experimental evidence, with synthetic and real-world data, which show that EEGL outperforms related approaches in predictive performance and that it has a node-distinguishing power beyond that of vanilla GNNs. We also analyze EEGL's training dynamics.