Research Papers

Modern Machine Learning (ML) has significantly advanced various research fields, but the opaque nature of ML models hinders their adoption in several domains. Explainable AI (XAI) addresses this challenge by providing additional information to help users understand the internal decision-making process of ML models. In the field of neuroscience, enriching a ML model for brain decoding with attribution-based XAI techniques means being able to highlight which brain areas correlate with the task at hand, thus offering valuable insights to domain experts. In this paper, we analyze human and Computer Vision (CV) systems in parallel, training and explaining two ML models based respectively on functional Magnetic Resonance Imaging (fMRI) and movie frames. We do so by leveraging the "StudyForrest" dataset, which includes functional Magnetic Resonance Imaging (fMRI) scans of subjects watching the "Forrest Gump" movie, emotion annotations, and eye-tracking data. For human vision the ML task is to link fMRI data with emotional annotations, and the explanations highlight the brain regions strongly correlated with the label. On the other hand, for computer vision, the input data is movie frames, and the explanations are pixel-level heatmaps. We cross-analyzed our results, linking human attention (obtained through eye-tracking) with XAI saliency on CV models and brain region activations. We show how a parallel analysis of human and computer vision can provide useful information for both the neuroscience community (allocation theory) and the ML community (biological plausibility of convolutional models).

This chapter explores the essential role of Binding Corporate Rules (BCRs) in managing and facilitating secure health data transfers within corporate groups under the EU General Data Protection Regulation (GDPR). BCRs are tailored to ensure compliance with the GDPR and similar international data protection laws, presenting a flexible mechanism for transferring sensitive health and genomic data. The chapter situates BCRs within the broader spectrum of the GDPR international data transfer mechanisms, addressing the unique challenges posed by the sensitive nature of health data and the increased adoption of AI technologies. The European Data Protection Board (EDPB) Recommendations 1/2022 on BCRs, issued following the Schrems II decision, are critically analyzed, highlighting their stringent requirements and the need for a balanced approach that prioritizes data protection and an AI governance framework. The chapter outlines the BCR approval process, stressing the importance of streamlining this process to encourage broader adoption. It underscores the necessity of a multidisciplinary approach in developing BCRs, incorporating recently adopted international standards and frameworks, which offer valuable guidance for organizations to build trustworthy AI management systems. They guarantee the ethical development, deployment, and operation of AI, which is essential for its successful integration and the broader digital transformation. In conclusion, BCRs are positioned as essential tools for secure health data management, fostering transparency, accountability, and collaboration across international borders. The chapter calls for proactive measures to incentivize BCR adoption, streamline approval processes, and promote more innovative approaches, ensuring BCRs remain a robust mechanism for global data protection and compliance.

Probabilistic Scoring Lists for Interpretable Machine Learning

Jonas Hanselle, Stefan Heid, Johannes Fürnkranz +1

A scoring system is a simple decision model that checks a set of features, adds a certain number of points to a total score for each feature that is satisfied, and finally makes a decision by comparing the total score to a threshold. Scoring systems have a long history of active use in safety-critical domains such as healthcare and justice, where they provide guidance for making objective and accurate decisions. Given their genuine interpretability, the idea of learning scoring systems from data is obviously appealing from the perspective of explainable AI. In this paper, we propose a practically motivated extension of scoring systems called probabilistic scoring lists (PSL), as well as a method for learning PSLs from data. Instead of making a deterministic decision, a PSL represents uncertainty in the form of probability distributions, or, more generally, probability intervals. Moreover, in the spirit of decision lists, a PSL evaluates features one by one and stops as soon as a decision can be made with enough confidence. To evaluate our approach, we conduct a case study in the medical domain.

Large language models (LLMs) play a vital role in almost every domain in today's organizations. In the context of this work, we highlight the use of LLMs for sentiment analysis (SA) and explainability. Specifically, we contribute a novel technique to leverage LLMs as a post-hoc model-independent tool for the explainability of SA. We applied our technique in the financial domain for currency-pair price predictions using open news feed data merged with market prices. Our application shows that the developed technique is not only a viable alternative to using conventional eXplainable AI but can also be fed back to enrich the input to the machine learning (ML) model to better predict future currency-pair values. We envision our results could be generalized to employing explainability as a conventional enrichment for ML input for better ML predictions in general.

Understanding XAI Through the Philosopher's Lens: A Historical Perspective

Martina Mattioli, Antonio Emanuele Cinà, Marcello Pelillo

Despite explainable AI (XAI) has recently become a hot topic and several different approaches have been developed, there is still a widespread belief that it lacks a convincing unifying foundation. On the other hand, over the past centuries, the very concept of explanation has been the subject of extensive philosophical analysis in an attempt to address the fundamental question of "why" in the context of scientific law. However, this discussion has rarely been connected with XAI. This paper tries to fill in this gap and aims to explore the concept of explanation in AI through an epistemological lens. By comparing the historical development of both the philosophy of science and AI, an intriguing picture emerges. Specifically, we show that a gradual progression has independently occurred in both domains from logical-deductive to statistical models of explanation, thereby experiencing in both cases a paradigm shift from deterministic to nondeterministic and probabilistic causality. Interestingly, we also notice that similar concepts have independently emerged in both realms such as, for example, the relation between explanation and understanding and the importance of pragmatic factors. Our study aims to be the first step towards understanding the philosophical underpinnings of the notion of explanation in AI, and we hope that our findings will shed some fresh light on the elusive nature of XAI.

Translational research, especially in the fast-evolving field of Artificial Intelligence (AI), is key to converting scientific findings into practical innovations. In Responsible AI (RAI) research, translational impact is often viewed through various pathways, including research papers, blogs, news articles, and the drafting of forthcoming AI legislation (e.g., the EU AI Act). However, the real-world impact of RAI research remains an underexplored area. Our study aims to capture it through two pathways: \emph{patents} and \emph{code repositories}, both of which provide a rich and structured source of data. Using a dataset of 200,000 papers from 1980 to 2022 in AI and related fields, including Computer Vision, Natural Language Processing, and Human-Computer Interaction, we developed a Sentence-Transformers Deep Learning framework to identify RAI papers. This framework calculates the semantic similarity between paper abstracts and a set of RAI keywords, which are derived from the NIST's AI Risk Management Framework; a framework that aims to enhance trustworthiness considerations in the design, development, use, and evaluation of AI products, services, and systems. We identified 1,747 RAI papers published in top venues such as CHI, CSCW, NeurIPS, FAccT, and AIES between 2015 and 2022. By analyzing these papers, we found that a small subset that goes into patents or repositories is highly cited, with the translational process taking between 1 year for repositories and up to 8 years for patents. Interestingly, impactful RAI research is not limited to top U.S. institutions, but significant contributions come from European and Asian institutions. Finally, the multidisciplinary nature of RAI papers, often incorporating knowledge from diverse fields of expertise, was evident as these papers tend to build on unconventional combinations of prior knowledge.

Volumetric neuroimaging examinations like structural Magnetic Resonance Imaging (sMRI) are routinely applied to support the clinical diagnosis of dementia like Alzheimer's Disease (AD). Neuroradiologists examine 3D sMRI to detect and monitor abnormalities in brain morphology due to AD, like global and/or local brain atrophy and shape alteration of characteristic structures. There is a strong research interest in developing diagnostic systems based on Deep Learning (DL) models to analyse sMRI for AD. However, anatomical information extracted from an sMRI examination needs to be interpreted together with patient's age to distinguish AD patterns from the regular alteration due to a normal ageing process. In this context, part-prototype neural networks integrate the computational advantages of DL in an interpretable-by-design architecture and showed promising results in medical imaging applications. We present PIMPNet, the first interpretable multimodal model for 3D images and demographics applied to the binary classification of AD from 3D sMRI and patient's age. Despite age prototypes do not improve predictive performance compared to the single modality model, this lays the foundation for future work in the direction of the model's design and multimodal prototype training process

The Impact of an XAI-Augmented Approach on Binary Classification with Scarce Data

Ximing Wen, Rosina O. Weber, Anik Sen +9

Point-of-Care Ultrasound (POCUS) is the practice of clinicians conducting and interpreting ultrasound scans right at the patient's bedside. However, the expertise needed to interpret these images is considerable and may not always be present in emergency situations. This reality makes algorithms such as machine learning classifiers extremely valuable to augment human decisions. POCUS devices are becoming available at a reasonable cost in the size of a mobile phone. The challenge of turning POCUS devices into life-saving tools is that interpretation of ultrasound images requires specialist training and experience. Unfortunately, the difficulty to obtain positive training images represents an important obstacle to building efficient and accurate classifiers. Hence, the problem we try to investigate is how to explore strategies to increase accuracy of classifiers trained with scarce data. We hypothesize that training with a few data instances may not suffice for classifiers to generalize causing them to overfit. Our approach uses an Explainable AI-Augmented approach to help the algorithm learn more from less and potentially help the classifier better generalize.

Image captioning is a technology that produces text-based descriptions for an image. Deep learning-based solutions built on top of feature recognition may very well serve the purpose. But as with any other machine learning solution, the user understanding in the process of caption generation is poor and the model does not provide any explanation for its predictions and hence the conventional methods are also referred to as Black-Box methods. Thus, an approach where the model's predictions are trusted by the user is needed to appreciate interoperability. Explainable AI is an approach where a conventional method is approached in a way that the model or the algorithm's predictions can be explainable and justifiable. Thus, this article tries to approach image captioning using Explainable AI such that the resulting captions generated by the model can be Explained and visualized. A newer architecture with a CNN decoder and hierarchical attention concept has been used to increase speed and accuracy of caption generation. Also, incorporating explainability to a model makes it more trustable when used in an application. The model is trained and evaluated using MSCOCO dataset and both quantitative and qualitative results are presented in this article.

With increasingly sophisticated large language models (LLMs), the potential for abuse rises drastically. As a submission to the Swiss AI Safety Prize, we present a novel type of metamorphic malware leveraging LLMs for two key processes. First, LLMs are used for automatic code rewriting to evade signature-based detection by antimalware programs. The malware then spreads its copies via email by utilizing an LLM to socially engineer email replies to encourage recipients to execute the attached malware. Our submission includes a functional minimal prototype, highlighting the risks that LLMs pose for cybersecurity and underscoring the need for further research into intelligent malware.

In recent years, the number of new applications for highly complex AI systems has risen significantly. Algorithmic decision-making systems (ADMs) are one of such applications, where an AI system replaces the decision-making process of a human expert. As one approach to ensure fairness and transparency of such systems, explainable AI (XAI) has become more important. One variant to achieve explainability are surrogate models, i.e., the idea to train a new simpler machine learning model based on the input-output-relationship of a black box model. The simpler machine learning model could, for example, be a decision tree, which is thought to be intuitively understandable by humans. However, there is not much insight into how well the surrogate model approximates the black box. Our main assumption is that a good surrogate model approach should be able to bring such a discriminating behavior to the attention of humans; prior to our research we assumed that a surrogate decision tree would identify such a pattern on one of its first levels. However, in this article we show that even if the discriminated subgroup - while otherwise being the same in all categories - does not get a single positive decision from the black box ADM system, the corresponding question of group membership can be pushed down onto a level as low as wanted by the operator of the system. We then generalize this finding to pinpoint the exact level of the tree on which the discriminating question is asked and show that in a more realistic scenario, where discrimination only occurs to some fraction of the disadvantaged group, it is even more feasible to hide such discrimination. Our approach can be generalized easily to other surrogate models.

Deep generative models like VAEs and diffusion models have advanced various generation tasks by leveraging latent variables to learn data distributions and generate high-quality samples. Despite the field of explainable AI making strides in interpreting machine learning models, understanding latent variables in generative models remains challenging. This paper introduces LatentExplainer, a framework for automatically generating semantically meaningful explanations of latent variables in deep generative models. LatentExplainer tackles three main challenges: inferring the meaning of latent variables, aligning explanations with inductive biases, and handling varying degrees of explainability. Our approach perturbs latent variables, interprets changes in generated data, and uses multimodal large language models (MLLMs) to produce human-understandable explanations. We evaluate our proposed method on several real-world and synthetic datasets, and the results demonstrate superior performance in generating high-quality explanations for latent variables. The results highlight the effectiveness of incorporating inductive biases and uncertainty quantification, significantly enhancing model interpretability.