Research Papers

For AI technology to fulfill its full promises, we must have effective means to ensure Responsible AI behavior and curtail potential irresponsible use, e.g., in areas of privacy protection, human autonomy, robustness, and prevention of biases and discrimination in automated decision making. Recent literature in the field has identified serious shortcomings of narrow technology focused and formalism-oriented research and has proposed an interdisciplinary approach that brings the social context into the scope of study. In this paper, we take a sociotechnical approach to propose a more expansive framework of thinking about the Responsible AI challenges in both technical and social context. Effective solutions need to bridge the gap between a technical system with the social system that it will be deployed to. To this end, we propose human agency and regulation as main mechanisms of intervention and propose a decentralized computational infrastructure, or a set of public utilities, as the computational means to bridge this gap. A decentralized infrastructure is uniquely suited for meeting this challenge and enable technical solutions and social institutions in a mutually reinforcing dynamic to achieve Responsible AI goals. Our approach is novel in its sociotechnical approach and its aim in tackling the structural issues that cannot be solved within the narrow confines of AI technical research. We then explore possible features of the proposed infrastructure and discuss how it may help solve example problems recently studied in the field.

Trust and credibility in machine learning models is bolstered by the ability of a model to explain itsdecisions. While explainability of deep learning models is a well-known challenge, a further chal-lenge is clarity of the explanation itself, which must be interpreted by downstream users. Layer-wiseRelevance Propagation (LRP), an established explainability technique developed for deep models incomputer vision, provides intuitive human-readable heat maps of input images. We present the novelapplication of LRP for the first time with structured datasets using a deep neural network (1D-CNN),for Credit Card Fraud detection and Telecom Customer Churn prediction datasets. We show how LRPis more effective than traditional explainability concepts of Local Interpretable Model-agnostic Ex-planations (LIME) and Shapley Additive Explanations (SHAP) for explainability. This effectivenessis both local to a sample level and holistic over the whole testing set. We also discuss the significantcomputational time advantage of LRP (1-2s) over LIME (22s) and SHAP (108s), and thus its poten-tial for real time application scenarios. In addition, our validation of LRP has highlighted features forenhancing model performance, thus opening up a new area of research of using XAI as an approachfor feature subset selection

Explainable AI (XAI) is paramount in industry-grade AI; however existing methods fail to address this necessity, in part due to a lack of standardisation of explainability methods. The purpose of this paper is to offer a perspective on the current state of the area of explainability, and to provide novel definitions for Explainability and Interpretability to begin standardising this area of research. To do so, we provide an overview of the literature on explainability, and of the existing methods that are already implemented. Finally, we offer a tentative taxonomy of the different explainability methods, opening the door to future research.

Stuttering Speech Disfluency Prediction using Explainable Attribution Vectors of Facial Muscle Movements

Arun Das, Jeffrey Mock, Henry Chacon +3

Speech disorders such as stuttering disrupt the normal fluency of speech by involuntary repetitions, prolongations and blocking of sounds and syllables. In addition to these disruptions to speech fluency, most adults who stutter (AWS) also experience numerous observable secondary behaviors before, during, and after a stuttering moment, often involving the facial muscles. Recent studies have explored automatic detection of stuttering using Artificial Intelligence (AI) based algorithm from respiratory rate, audio, etc. during speech utterance. However, most methods require controlled environments and/or invasive wearable sensors, and are unable explain why a decision (fluent vs stuttered) was made. We hypothesize that pre-speech facial activity in AWS, which can be captured non-invasively, contains enough information to accurately classify the upcoming utterance as either fluent or stuttered. Towards this end, this paper proposes a novel explainable AI (XAI) assisted convolutional neural network (CNN) classifier to predict near future stuttering by learning temporal facial muscle movement patterns of AWS and explains the important facial muscles and actions involved. Statistical analyses reveal significantly high prevalence of cheek muscles (p<0.005) and lip muscles (p<0.005) to predict stuttering and shows a behavior conducive of arousal and anticipation to speak. The temporal study of these upper and lower facial muscles may facilitate early detection of stuttering, promote automated assessment of stuttering and have application in behavioral therapies by providing automatic non-invasive feedback in realtime.

Instances of Artificial Intelligence (AI) systems failing to deliver consistent, satisfactory performance are legion. We investigate why AI failures occur. We address only a narrow subset of the broader field of AI Safety. We focus on AI failures on account of flaws in conceptualization, design and deployment. Other AI Safety issues like trade-offs between privacy and security or convenience, bad actors hacking into AI systems to create mayhem or bad actors deploying AI for purposes harmful to humanity and are out of scope of our discussion. We find that AI systems fail on account of omission and commission errors in the design of the AI system, as well as upon failure to develop an appropriate interpretation of input information. Moreover, even when there is no significant flaw in the AI software, an AI system may fail because the hardware is incapable of robust performance across environments. Finally an AI system is quite likely to fail in situations where, in effect, it is called upon to deliver moral judgments -- a capability AI does not possess. We observe certain trade-offs in measures to mitigate a subset of AI failures and provide some recommendations.

Explaining How Deep Neural Networks Forget by Deep Visualization

Giang Nguyen, Shuan Chen, Tae Joon Jun +1

Explaining the behaviors of deep neural networks, usually considered as black boxes, is critical especially when they are now being adopted over diverse aspects of human life. Taking the advantages of interpretable machine learning (interpretable ML), this paper proposes a novel tool called Catastrophic Forgetting Dissector (or CFD) to explain catastrophic forgetting in continual learning settings. We also introduce a new method called Critical Freezing based on the observations of our tool. Experiments on ResNet articulate how catastrophic forgetting happens, particularly showing which components of this famous network are forgetting. Our new continual learning algorithm defeats various recent techniques by a significant margin, proving the capability of the investigation. Critical freezing not only attacks catastrophic forgetting but also exposes explainability.

Meta-learning is a field that aims at discovering how different machine learning algorithms perform on a wide range of predictive tasks. Such knowledge speeds up the hyperparameter tuning or feature engineering. With the use of surrogate models various aspects of the predictive task such as meta-features, landmarker models e.t.c. are used to predict the expected performance. State of the art approaches are focused on searching for the best meta-model but do not explain how these different aspects contribute to its performance. However, to build a new generation of meta-models we need a deeper understanding of the importance and effect of meta-features on the model tunability. In this paper, we propose techniques developed for eXplainable Artificial Intelligence (XAI) to examine and extract knowledge from black-box surrogate models. To our knowledge, this is the first paper that shows how post-hoc explainability can be used to improve the meta-learning.

Artificial Artificial Intelligence: Measuring Influence of AI 'Assessments' on Moral Decision-Making

Lok Chan, Kenzie Doyle, Duncan McElfresh +4

Given AI's growing role in modeling and improving decision-making, how and when to present users with feedback is an urgent topic to address. We empirically examined the effect of feedback from false AI on moral decision-making about donor kidney allocation. We found some evidence that judgments about whether a patient should receive a kidney can be influenced by feedback about participants' own decision-making perceived to be given by AI, even if the feedback is entirely random. We also discovered different effects between assessments presented as being from human experts and assessments presented as being from AI.

Current techniques for explainable AI have been applied with some success to image processing. The recent rise of research in video processing has called for similar work n deconstructing and explaining spatio-temporal models. While many techniques are designed for 2D convolutional models, others are inherently applicable to any input domain. One such body of work, deep Taylor decomposition, propagates relevance from the model output distributively onto its input and thus is not restricted to image processing models. However, by exploiting a simple technique that removes motion information, we show that it is not the case that this technique is effective as-is for representing relevance in non-image tasks. We instead propose a discriminative method that produces a naïve representation of both the spatial and temporal relevance of a frame as two separate objects. This new discriminative relevance model exposes relevance in the frame attributed to motion, that was previously ambiguous in the original explanation. We observe the effectiveness of this technique on a range of samples from the UCF-101 action recognition dataset, two of which are demonstrated in this paper.

As AI becomes an integral part of our lives, the development of explainable AI, embodied in the decision-making process of an AI or robotic agent, becomes imperative. For a robotic teammate, the ability to generate explanations to justify its behavior is one of the key requirements of explainable agency. Prior work on explanation generation has been focused on supporting the rationale behind the robot's decision or behavior. These approaches, however, fail to consider the mental demand for understanding the received explanation. In other words, the human teammate is expected to understand an explanation no matter how much information is presented. In this work, we argue that explanations, especially those of a complex nature, should be made in an online fashion during the execution, which helps spread out the information to be explained and thus reduce the mental workload of humans in highly cognitive demanding tasks. However, a challenge here is that the different parts of an explanation may be dependent on each other, which must be taken into account when generating online explanations. To this end, a general formulation of online explanation generation is presented with three variations satisfying different "online" properties. The new explanation generation methods are based on a model reconciliation setting introduced in our prior work. We evaluated our methods both with human subjects in a simulated rover domain, using NASA Task Load Index (TLX), and synthetically with ten different problems across two standard IPC domains. Results strongly suggest that our methods generate explanations that are perceived as less cognitively demanding and much preferred over the baselines and are computationally efficient.

Autonomous agents trained via reinforcement learning present numerous safety concerns: reward hacking, negative side effects, and unsafe exploration, among others. In the context of near-future autonomous agents, operating in environments where humans understand the existing dangers, human involvement in the learning process has proved a promising approach to AI Safety. Here we demonstrate that a precise framework for learning from human input, loosely inspired by the way humans parent children, solves a broad class of safety problems in this context. We show that our Parenting algorithm solves these problems in the relevant AI Safety gridworlds of Leike et al. (2017), that an agent can learn to outperform its parent as it "matures", and that policies learnt through Parenting are generalisable to new environments.

The development of online banking has brought about an increase in fraudulent operations, which is a major problem for banks. This study delves into the urgent requirement for interpretable, scalable, and top-notch fraud detection systems by using TabNet, an adaptable deep learning framework, on a Kaggle dataset consisting of actual bank transactions in India. Maximizing operational risk management by improving the accuracy of transaction anomaly detection and ensuring regulatory compliance through transparent models is the goal. We utilize a supervised learning pipeline that incorporates the Synthetic Minority Oversampling Technique (SMOTE) to ensure that classes are balanced. Subsequently, we conduct thorough exploratory data analysis (EDA) to identify patterns of fraud, both during specific times and across behaviors. On this dataset, five different deep learning architectures are tested: DNN, GRU, LSTM, CNN1D, and TabNet. Assessment of predictive performance was carried out using a 3-fold cross-validation framework. With a ROC-AUC of 0.9739 and an accuracy of 97.39 %, TabNet considerably outperformed the competition. The method of sparse feature selection used improved interpretability, generalized better on tabular data, and produced fewer false positives and negatives. Critical insights for operational fraud detection systems and a contribution to the broader literature on explainable AI (XAI) in financial decision-making are offered by the findings. Goals 8 and 16 of the Sustainable Development Agenda are supported by this study, which promotes inclusive economic growth and institutional transparency. Supporting strong, policy-compliant, and interpretable decision-support systems, it also offers practical use for real-time implementation in banking infrastructure.