Research Papers

A multi-component framework for the analysis and design of explainable artificial intelligence

S. Atakishiyev, H. Babiker, N. Farruque +6

The rapid growth of research in explainable artificial intelligence (XAI) follows on two substantial developments. First, the enormous application success of modern machine learning methods, especially deep and reinforcement learning, which have created high expectations for industrial, commercial and social value. Second, the emergence of concern for creating trusted AI systems, including the creation of regulatory principles to ensure transparency and trust of AI systems.These two threads have created a kind of "perfect storm" of research activity, all eager to create and deliver it any set of tools and techniques to address the XAI demand. As some surveys of current XAI suggest, there is yet to appear a principled framework that respects the literature of explainability in the history of science, and which provides a basis for the development of a framework for transparent XAI. Here we intend to provide a strategic inventory of XAI requirements, demonstrate their connection to a history of XAI ideas, and synthesize those ideas into a simple framework to calibrate five successive levels of XAI.

Sophisticated phishing attacks have emerged as a major cybersecurity threat, becoming more common and difficult to prevent. Though machine learning techniques have shown promise in detecting phishing attacks, they function mainly as "black boxes" without revealing their decision-making rationale. This lack of transparency erodes the trust of users and diminishes their effective threat response. We present EXPLICATE: a framework that enhances phishing detection through a three-component architecture: an ML-based classifier using domain-specific features, a dual-explanation layer combining LIME and SHAP for complementary feature-level insights, and an LLM enhancement using DeepSeek v3 to translate technical explanations into accessible natural language. Our experiments show that EXPLICATE attains 98.4 % accuracy on all metrics, which is on par with existing deep learning techniques but has better explainability. High-quality explanations are generated by the framework with an accuracy of 94.2 % as well as a consistency of 96.8\% between the LLM output and model prediction. We create EXPLICATE as a fully usable GUI application and a light Chrome extension, showing its applicability in many deployment situations. The research shows that high detection performance can go hand-in-hand with meaningful explainability in security applications. Most important, it addresses the critical divide between automated AI and user trust in phishing detection systems.

Symbolic Knowledge Extraction and Injection with Sub-symbolic Predictors: A Systematic Literature Review

Giovanni Ciatto, Federico Sabbatini, Andrea Agiollo +2

In this paper we focus on the opacity issue of sub-symbolic machine learning predictors by promoting two complementary activities, namely, symbolic knowledge extraction (SKE) and injection (SKI) from and into sub-symbolic predictors. We consider as symbolic any language being intelligible and interpretable for both humans and computers. Accordingly, we propose general meta-models for both SKE and SKI, along with two taxonomies for the classification of SKE and SKI methods. By adopting an explainable artificial intelligence (XAI) perspective, we highlight how such methods can be exploited to mitigate the aforementioned opacity issue. Our taxonomies are attained by surveying and classifying existing methods from the literature, following a systematic approach, and by generalising the results of previous surveys targeting specific sub-topics of either SKE or SKI alone. More precisely, we analyse 132 methods for SKE and 117 methods for SKI, and we categorise them according to their purpose, operation, expected input/output data and predictor types. For each method, we also indicate the presence/lack of runnable software implementations. Our work may be of interest for data scientists aiming at selecting the most adequate SKE/SKI method for their needs, and also work as suggestions for researchers interested in filling the gaps of the current state of the art, as well as for developers willing to implement SKE/SKI-based technologies.

Introduction to AI Safety, Ethics, and Society

Dan Hendrycks

Artificial Intelligence is rapidly embedding itself within militaries, economies, and societies, reshaping their very foundations. Given the depth and breadth of its consequences, it has never been more pressing to understand how to ensure that AI systems are safe, ethical, and have a positive societal impact. This book aims to provide a comprehensive approach to understanding AI risk. Our primary goals include consolidating fragmented knowledge on AI risk, increasing the precision of core ideas, and reducing barriers to entry by making content simpler and more comprehensible. The book has been designed to be accessible to readers from diverse backgrounds. You do not need to have studied AI, philosophy, or other such topics. The content is skimmable and somewhat modular, so that you can choose which chapters to read. We introduce mathematical formulas in a few places to specify claims more precisely, but readers should be able to understand the main points without these.

Large Language Model (LLMs) such as ChatGPT that exhibit generative AI capabilities are facing accelerated adoption and innovation. The increased presence of Generative AI (GAI) inevitably raises concerns about the risks and safety associated with these models. This article provides an up-to-date survey of recent trends in AI safety research of GAI-LLMs from a computer scientist's perspective: specific and technical. In this survey, we explore the background and motivation for the identified harms and risks in the context of LLMs being generative language models; our survey differentiates by emphasising the need for unified theories of the distinct safety challenges in the research development and applications of LLMs. We start our discussion with a concise introduction to the workings of LLMs, supported by relevant literature. Then we discuss earlier research that has pointed out the fundamental constraints of generative models, or lack of understanding thereof (e.g., performance and safety trade-offs as LLMs scale in number of parameters). We provide a sufficient coverage of LLM alignment -- delving into various approaches, contending methods and present challenges associated with aligning LLMs with human preferences. By highlighting the gaps in the literature and possible implementation oversights, our aim is to create a comprehensive analysis that provides insights for addressing AI safety in LLMs and encourages the development of aligned and secure models. We conclude our survey by discussing future directions of LLMs for AI safety, offering insights into ongoing research in this critical area.

In the last years, the raise of Artificial Intelligence (AI), and its pervasiveness in our lives, has sparked a flourishing debate about the ethical principles that should lead its implementation and use in society. Driven by these concerns, we conduct a rapid review of several frameworks providing principles, guidelines, and/or tools to help practitioners in the development and deployment of Responsible AI (RAI) applications. We map each framework w.r.t. the different Software Development Life Cycle (SDLC) phases discovering that most of these frameworks fall just in the Requirements Elicitation phase, leaving the other phases uncovered. Very few of these frameworks offer supporting tools for practitioners, and they are mainly provided by private companies. Our results reveal that there is not a "catching-all" framework supporting both technical and non-technical stakeholders in the implementation of real-world projects. Our findings highlight the lack of a comprehensive framework encompassing all RAI principles and all (SDLC) phases that could be navigated by users with different skill sets and with different goals.

Recent advances in the SISSO method and their implementation in the SISSO++ code

Thomas A. R. Purcell, Matthias Scheffler, Luca M. Ghiringhelli

Accurate and explainable artificial-intelligence (AI) models are promising tools for the acceleration of the discovery of new materials, ore new applications for existing materials. Recently, symbolic regression has become an increasingly popular tool for explainable AI because it yields models that are relatively simple analytical descriptions of target properties. Due to its deterministic nature, the sure-independence screening and sparsifying operator (SISSO) method is a particularly promising approach for this application. Here we describe the new advancements of the SISSO algorithm, as implemented into SISSO++, a C++ code with Python bindings. We introduce a new representation of the mathematical expressions found by SISSO. This is a first step towards introducing ``grammar'' rules into the feature creation step. Importantly, by introducing a controlled non-linear optimization to the feature creation step we expand the range of possible descriptors found by the methodology. Finally, we introduce refinements to the solver algorithms for both regression and classification, that drastically increase the reliability and efficiency of SISSO. For all of these improvements to the basic SISSO algorithm, we not only illustrate their potential impact, but also fully detail how they operate both mathematically and computationally.

Analyzing vibration data using deep neural network algorithms is an effective way to detect damages in rotating machinery at an early stage. However, the black-box approach of these methods often does not provide a satisfactory solution because the cause of classifications is not comprehensible to humans. Therefore, this work investigates the application of explainable AI (XAI) algorithms to convolutional neural networks for vibration-based condition monitoring. For this, various XAI algorithms are applied to classifications based on the Fourier transform as well as the order analysis of the vibration signal. The results are visualized as a function of the revolutions per minute (RPM), in the shape of frequency-RPM maps and order-RPM maps. This allows to assess the saliency given to features which depend on the rotation speed and those with constant frequency. To compare the explanatory power of the XAI methods, investigations are first carried out with a synthetic data set with known class-specific characteristics. Then a real-world data set for vibration-based imbalance classification on an electric motor, which runs at a broad range of rotation speeds, is used. A special focus is put on the consistency for variable periodicity of the data, which translates to a varying rotation speed of a real-world machine. This work aims to show the different strengths and weaknesses of the methods for this use case: GradCAM, LRP and LIME with a new perturbation strategy.

Artificial intelligence (AI) is gaining momentum, and its importance for the future of work in many areas, such as medicine and banking, is continuously rising. However, insights on the effective collaboration of humans and AI are still rare. Typically, AI supports humans in decision-making by addressing human limitations. However, it may also evoke human bias, especially in the form of automation bias as an over-reliance on AI advice. We aim to shed light on the potential to influence automation bias by explainable AI (XAI). In this pre-test, we derive a research model and describe our study design. Subsequentially, we conduct an online experiment with regard to hotel review classifications and discuss first results. We expect our research to contribute to the design and development of safe hybrid intelligence systems.

Many ML models are opaque to humans, producing decisions too complex for humans to easily understand. In response, explainable artificial intelligence (XAI) tools that analyze the inner workings of a model have been created. Despite these tools' strength in translating model behavior, critiques have raised concerns about the impact of XAI tools as a tool for `fairwashing` by misleading users into trusting biased or incorrect models. In this paper, we created a framework for evaluating explainable AI tools with respect to their capabilities for detecting and addressing issues of bias and fairness as well as their capacity to communicate these results to their users clearly. We found that despite their capabilities in simplifying and explaining model behavior, many prominent XAI tools lack features that could be critical in detecting bias. Developers can use our framework to suggest modifications needed in their toolkits to reduce issues likes fairwashing.

Gulf Cooperation Council (GCC) states increasingly adopt Artificial Intelligence (AI) to drive economic diversification and enhance services. This paper investigates the evolving AI governance landscape across the six GCC nations, the United Arab Emirates, Saudi Arabia, Qatar, Oman, Bahrain, and Kuwait, through an in-depth document analysis of six National AI Strategies (NASs) and related policies published between 2018 and 2024. Drawing on the Multiple Streams Framework (MSF) and Multi-stakeholder Governance theory, the findings highlight a "soft regulation" approach that emphasizes national strategies and ethical principles rather than binding regulations. While this approach fosters rapid innovation, it also raises concerns regarding the enforceability of ethical standards, potential ethicswashing, and alignment with global frameworks, particularly the EU AI Act. Common challenges include data limitations, talent shortages, and reconciling AI applications with cultural values. Despite these hurdles, GCC governments aspire to leverage AI for robust economic growth, better public services, and regional leadership in responsible AI. The analysis suggests that strengthening legal mechanisms, enhancing stakeholder engagement, and aligning policies with local contexts and international norms will be essential for harnessing AI's transformative potential in the GCC.

Electricity prices in liberalized markets are determined by the supply and demand for electric power, which are in turn driven by various external influences that vary strongly in time. In perfect competition, the merit order principle describes that dispatchable power plants enter the market in the order of their marginal costs to meet the residual load, i.e. the difference of load and renewable generation. Many market models implement this principle to predict electricity prices but typically require certain assumptions and simplifications. In this article, we present an explainable machine learning model for the prices on the German day-ahead market, which substantially outperforms a benchmark model based on the merit order principle. Our model is designed for the ex-post analysis of prices and thus builds on various external features. Using Shapley Additive exPlanation (SHAP) values, we can disentangle the role of the different features and quantify their importance from empiric data. Load, wind and solar generation are most important, as expected, but wind power appears to affect prices stronger than solar power does. Fuel prices also rank highly and show nontrivial dependencies, including strong interactions with other features revealed by a SHAP interaction analysis. Large generation ramps are correlated with high prices, again with strong feature interactions, due to the limited flexibility of nuclear and lignite plants. Our results further contribute to model development by providing quantitative insights directly from data.