Research Papers

Toward Trustworthy AI Development: Mechanisms for Supporting Verifiable Claims

Miles Brundage, Shahar Avin, Jasmine Wang +56

With the recent wave of progress in artificial intelligence (AI) has come a growing awareness of the large-scale impacts of AI systems, and recognition that existing regulations and norms in industry and academia are insufficient to ensure responsible AI development. In order for AI developers to earn trust from system users, customers, civil society, governments, and other stakeholders that they are building AI responsibly, they will need to make verifiable claims to which they can be held accountable. Those outside of a given organization also need effective means of scrutinizing such claims. This report suggests various steps that different stakeholders can take to improve the verifiability of claims made about AI systems and their associated development processes, with a focus on providing evidence about the safety, security, fairness, and privacy protection of AI systems. We analyze ten mechanisms for this purpose--spanning institutions, software, and hardware--and make recommendations aimed at implementing, exploring, or improving those mechanisms.

FACE: Feasible and Actionable Counterfactual Explanations

Rafael Poyiadzi, Kacper Sokol, Raul Santos-Rodriguez +2

Work in Counterfactual Explanations tends to focus on the principle of "the closest possible world" that identifies small changes leading to the desired outcome. In this paper we argue that while this approach might initially seem intuitively appealing it exhibits shortcomings not addressed in the current literature. First, a counterfactual example generated by the state-of-the-art systems is not necessarily representative of the underlying data distribution, and may therefore prescribe unachievable goals(e.g., an unsuccessful life insurance applicant with severe disability may be advised to do more sports). Secondly, the counterfactuals may not be based on a "feasible path" between the current state of the subject and the suggested one, making actionable recourse infeasible (e.g., low-skilled unsuccessful mortgage applicants may be told to double their salary, which may be hard without first increasing their skill level). These two shortcomings may render counterfactual explanations impractical and sometimes outright offensive. To address these two major flaws, first of all, we propose a new line of Counterfactual Explanations research aimed at providing actionable and feasible paths to transform a selected instance into one that meets a certain goal. Secondly, we propose FACE: an algorithmically sound way of uncovering these "feasible paths" based on the shortest path distances defined via density-weighted metrics. Our approach generates counterfactuals that are coherent with the underlying data distribution and supported by the "feasible paths" of change, which are achievable and can be tailored to the problem at hand.

Large generative AI models (LGAIMs), such as ChatGPT, GPT-4 or Stable Diffusion, are rapidly transforming the way we communicate, illustrate, and create. However, AI regulation, in the EU and beyond, has primarily focused on conventional AI models, not LGAIMs. This paper will situate these new generative models in the current debate on trustworthy AI regulation, and ask how the law can be tailored to their capabilities. After laying technical foundations, the legal part of the paper proceeds in four steps, covering (1) direct regulation, (2) data protection, (3) content moderation, and (4) policy proposals. It suggests a novel terminology to capture the AI value chain in LGAIM settings by differentiating between LGAIM developers, deployers, professional and non-professional users, as well as recipients of LGAIM output. We tailor regulatory duties to these different actors along the value chain and suggest strategies to ensure that LGAIMs are trustworthy and deployed for the benefit of society at large. Rules in the AI Act and other direct regulation must match the specificities of pre-trained models. The paper argues for three layers of obligations concerning LGAIMs (minimum standards for all LGAIMs; high-risk obligations for high-risk use cases; collaborations along the AI value chain). In general, regulation should focus on concrete high-risk applications, and not the pre-trained model itself, and should include (i) obligations regarding transparency and (ii) risk management. Non-discrimination provisions (iii) may, however, apply to LGAIM developers. Lastly, (iv) the core of the DSA content moderation rules should be expanded to cover LGAIMs. This includes notice and action mechanisms, and trusted flaggers. In all areas, regulators and lawmakers need to act fast to keep track with the dynamics of ChatGPT et al.

Transparency of Deep Neural Networks for Medical Image Analysis: A Review of Interpretability Methods

Zohaib Salahuddin, Henry C Woodruff, Avishek Chatterjee +1

Artificial Intelligence has emerged as a useful aid in numerous clinical applications for diagnosis and treatment decisions. Deep neural networks have shown same or better performance than clinicians in many tasks owing to the rapid increase in the available data and computational power. In order to conform to the principles of trustworthy AI, it is essential that the AI system be transparent, robust, fair and ensure accountability. Current deep neural solutions are referred to as black-boxes due to a lack of understanding of the specifics concerning the decision making process. Therefore, there is a need to ensure interpretability of deep neural networks before they can be incorporated in the routine clinical workflow. In this narrative review, we utilized systematic keyword searches and domain expertise to identify nine different types of interpretability methods that have been used for understanding deep learning models for medical image analysis applications based on the type of generated explanations and technical similarities. Furthermore, we report the progress made towards evaluating the explanations produced by various interpretability methods. Finally we discuss limitations, provide guidelines for using interpretability methods and future directions concerning the interpretability of deep neural networks for medical imaging analysis.

AI safety via debate

Geoffrey Irving, Paul Christiano, Dario Amodei

To make AI systems broadly useful for challenging real-world tasks, we need them to learn complex human goals and preferences. One approach to specifying complex goals asks humans to judge during training which agent behaviors are safe and useful, but this approach can fail if the task is too complicated for a human to directly judge. To help address this concern, we propose training agents via self play on a zero sum debate game. Given a question or proposed action, two agents take turns making short statements up to a limit, then a human judges which of the agents gave the most true, useful information. In an analogy to complexity theory, debate with optimal play can answer any question in PSPACE given polynomial time judges (direct judging answers only NP questions). In practice, whether debate works involves empirical questions about humans and the tasks we want AIs to perform, plus theoretical questions about the meaning of AI alignment. We report results on an initial MNIST experiment where agents compete to convince a sparse classifier, boosting the classifier's accuracy from 59.4% to 88.9% given 6 pixels and from 48.2% to 85.2% given 4 pixels. Finally, we discuss theoretical and practical aspects of the debate model, focusing on potential weaknesses as the model scales up, and we propose future human and computer experiments to test these properties.

A Survey of the State of Explainable AI for Natural Language Processing

Marina Danilevsky, Kun Qian, Ranit Aharonov +3

Recent years have seen important advances in the quality of state-of-the-art models, but this has come at the expense of models becoming less interpretable. This survey presents an overview of the current state of Explainable AI (XAI), considered within the domain of Natural Language Processing (NLP). We discuss the main categorization of explanations, as well as the various ways explanations can be arrived at and visualized. We detail the operations and explainability techniques currently available for generating explanations for NLP model predictions, to serve as a resource for model developers in the community. Finally, we point out the current gaps and encourage directions for future work in this important research area.

Fairness-Aware Ranking in Search & Recommendation Systems with Application to LinkedIn Talent Search

Sahin Cem Geyik, Stuart Ambler, Krishnaram Kenthapadi

We present a framework for quantifying and mitigating algorithmic bias in mechanisms designed for ranking individuals, typically used as part of web-scale search and recommendation systems. We first propose complementary measures to quantify bias with respect to protected attributes such as gender and age. We then present algorithms for computing fairness-aware re-ranking of results. For a given search or recommendation task, our algorithms seek to achieve a desired distribution of top ranked results with respect to one or more protected attributes. We show that such a framework can be tailored to achieve fairness criteria such as equality of opportunity and demographic parity depending on the choice of the desired distribution. We evaluate the proposed algorithms via extensive simulations over different parameter choices, and study the effect of fairness-aware ranking on both bias and utility measures. We finally present the online A/B testing results from applying our framework towards representative ranking in LinkedIn Talent Search, and discuss the lessons learned in practice. Our approach resulted in tremendous improvement in the fairness metrics (nearly three fold increase in the number of search queries with representative results) without affecting the business metrics, which paved the way for deployment to 100% of LinkedIn Recruiter users worldwide. Ours is the first large-scale deployed framework for ensuring fairness in the hiring domain, with the potential positive impact for more than 630M LinkedIn members.

An increasing number of decisions regarding the daily lives of human beings are being controlled by artificial intelligence (AI) algorithms in spheres ranging from healthcare, transportation, and education to college admissions, recruitment, provision of loans and many more realms. Since they now touch on many aspects of our lives, it is crucial to develop AI algorithms that are not only accurate but also objective and fair. Recent studies have shown that algorithmic decision-making may be inherently prone to unfairness, even when there is no intention for it. This paper presents an overview of the main concepts of identifying, measuring and improving algorithmic fairness when using AI algorithms. The paper begins by discussing the causes of algorithmic bias and unfairness and the common definitions and measures for fairness. Fairness-enhancing mechanisms are then reviewed and divided into pre-process, in-process and post-process mechanisms. A comprehensive comparison of the mechanisms is then conducted, towards a better understanding of which mechanisms should be used in different scenarios. The paper then describes the most commonly used fairness-related datasets in this field. Finally, the paper ends by reviewing several emerging research sub-fields of algorithmic fairness.

Neural-Symbolic Computing: An Effective Methodology for Principled Integration of Machine Learning and Reasoning

Artur d'Avila Garcez, Marco Gori, Luis C. Lamb +3

Current advances in Artificial Intelligence and machine learning in general, and deep learning in particular have reached unprecedented impact not only across research communities, but also over popular media channels. However, concerns about interpretability and accountability of AI have been raised by influential thinkers. In spite of the recent impact of AI, several works have identified the need for principled knowledge representation and reasoning mechanisms integrated with deep learning-based systems to provide sound and explainable models for such systems. Neural-symbolic computing aims at integrating, as foreseen by Valiant, two most fundamental cognitive abilities: the ability to learn from the environment, and the ability to reason from what has been learned. Neural-symbolic computing has been an active topic of research for many years, reconciling the advantages of robust learning in neural networks and reasoning and interpretability of symbolic representation. In this paper, we survey recent accomplishments of neural-symbolic computing as a principled methodology for integrated machine learning and reasoning. We illustrate the effectiveness of the approach by outlining the main characteristics of the methodology: principled integration of neural learning with symbolic knowledge representation and reasoning allowing for the construction of explainable AI systems. The insights provided by neural-symbolic computing shed new light on the increasingly prominent need for interpretable and accountable AI systems.

Feature relevance quantification in explainable AI: A causal problem

Dominik Janzing, Lenon Minorics, Patrick Blöbaum

We discuss promising recent contributions on quantifying feature relevance using Shapley values, where we observed some confusion on which probability distribution is the right one for dropped features. We argue that the confusion is based on not carefully distinguishing between observational and interventional conditional probabilities and try a clarification based on Pearl's seminal work on causality. We conclude that unconditional rather than conditional expectations provide the right notion of dropping features in contradiction to the theoretical justification of the software package SHAP. Parts of SHAP are unaffected because unconditional expectations (which we argue to be conceptually right) are used as approximation for the conditional ones, which encouraged others to `improve' SHAP in a way that we believe to be flawed.

Measuring the Quality of Explanations: The System Causability Scale (SCS). Comparing Human and Machine Explanations

Andreas Holzinger, André Carrington, Heimo Müller

Recent success in Artificial Intelligence (AI) and Machine Learning (ML) allow problem solving automatically without any human intervention. Autonomous approaches can be very convenient. However, in certain domains, e.g., in the medical domain, it is necessary to enable a domain expert to understand, why an algorithm came up with a certain result. Consequently, the field of Explainable AI (xAI) rapidly gained interest worldwide in various domains, particularly in medicine. Explainable AI studies transparency and traceability of opaque AI/ML and there are already a huge variety of methods. For example with layer-wise relevance propagation relevant parts of inputs to, and representations in, a neural network which caused a result, can be highlighted. This is a first important step to ensure that end users, e.g., medical professionals, assume responsibility for decision making with AI/ML and of interest to professionals and regulators. Interactive ML adds the component of human expertise to AI/ML processes by enabling them to re-enact and retrace AI/ML results, e.g. let them check it for plausibility. This requires new human-AI interfaces for explainable AI. In order to build effective and efficient interactive human-AI interfaces we have to deal with the question of how to evaluate the quality of explanations given by an explainable AI system. In this paper we introduce our System Causability Scale (SCS) to measure the quality of explanations. It is based on our notion of Causability (Holzinger et al., 2019) combined with concepts adapted from a widely accepted usability scale.

Explainable AI for Trees: From Local Explanations to Global Understanding

Scott M. Lundberg, Gabriel Erion, Hugh Chen +7

Tree-based machine learning models such as random forests, decision trees, and gradient boosted trees are the most popular non-linear predictive models used in practice today, yet comparatively little attention has been paid to explaining their predictions. Here we significantly improve the interpretability of tree-based models through three main contributions: 1) The first polynomial time algorithm to compute optimal explanations based on game theory. 2) A new type of explanation that directly measures local feature interaction effects. 3) A new set of tools for understanding global model structure based on combining many local explanations of each prediction. We apply these tools to three medical machine learning problems and show how combining many high-quality local explanations allows us to represent global structure while retaining local faithfulness to the original model. These tools enable us to i) identify high magnitude but low frequency non-linear mortality risk factors in the general US population, ii) highlight distinct population sub-groups with shared risk characteristics, iii) identify non-linear interaction effects among risk factors for chronic kidney disease, and iv) monitor a machine learning model deployed in a hospital by identifying which features are degrading the model's performance over time. Given the popularity of tree-based machine learning models, these improvements to their interpretability have implications across a broad set of domains.