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Social Aspects · Fairness, Equity, Justice and Safety

Riku Togashi, Tatsushi Oka, Naoto Ohsaka, Tetsuro Morimura

Excellent tail performance is crucial for modern machine learning tasks, such as algorithmic fairness, class imbalance, and risk-sensitive decision making, as it ensures the effective handling of challenging samples within a dataset. Tail performance is also a vital determinant of success for personalized recommender systems to reduce the risk of losing users with low satisfaction. This study introduces a "safe" collaborative filtering method that prioritizes recommendation quality for less-satisfied users rather than focusing on the average performance. Our approach minimizes the conditional value at risk (CVaR), which represents the average risk over the tails of users' loss. To overcome computational challenges for web-scale recommender systems, we develop a robust yet practical algorithm that extends the most scalable method, implicit alternating least squares (iALS). Empirical evaluation on real-world datasets demonstrates the excellent tail performance of our approach while maintaining competitive computational efficiency.

Social Aspects

Lingxuan Wu, Xiao Yang, Yinpeng Dong, Liuwei XIE, Hang Su, Jun Zhu

The vulnerability of deep neural networks to adversarial patches has motivated numerous defense strategies for boosting model robustness. However, the prevailing defenses depend on single observation or pre-established adversary information to counter adversarial patches, often failing to be confronted with unseen or adaptive adversarial attacks and easily exhibiting unsatisfying performance in dynamic 3D environments. Inspired by active human perception and recurrent feedback mechanisms, we develop Embodied Active Defense (EAD), a proactive defensive strategy that actively contextualizes environmental information to address misaligned adversarial patches in 3D real-world settings. To achieve this, EAD develops two central recurrent sub-modules, i.e., a perception module and a policy module, to implement two critical functions of active vision. These models recurrently process a series of beliefs and observations, facilitating progressive refinement of their comprehension of the target object and enabling the development of strategic actions to counter adversarial patches in 3D environments. To optimize learning efficiency, we incorporate a differentiable approximation of environmental dynamics and deploy patches that are agnostic to the adversary’s strategies. Extensive experiments demonstrate that EAD substantially enhances robustness against a variety of patches within just a few steps through its action policy in safety-critical tasks (e.g., face recognition and object detection), without compromising standard accuracy. Furthermore, due to the attack-agnostic characteristic, EAD facilitates excellent generalization to unseen attacks, diminishing the averaged attack success rate by 95% across a range of unseen adversarial attacks.

Social Aspects · Privacy-preserving Statistics and Machine Learning

Fan Wu, Huseyin Inan, Arturs Backurs, Varun Chandrasekaran, Janardhan Kulkarni, Robert Sim

Positioned between pre-training and user deployment, aligning large language models (LLMs) through reinforcement learning (RL) has emerged as a prevailing strategy for training instruction following-models such as ChatGPT. In this work, we initiate the study of privacy-preserving alignment of LLMs through Differential Privacy (DP) in conjunction with RL. Following the influential work of Ziegler et al. (2020), we study two dominant paradigms: (i) alignment via RL without human in the loop (e.g., positive review generation) and (ii) alignment via RL from human feedback (RLHF) (e.g., summarization in a human-preferred way). We give a new DP framework to achieve alignment via RL, and prove its correctness. Our experimental results validate the effectiveness of our approach, offering competitive utility while ensuring strong privacy protections.

Social Aspects · Fairness, Equity, Justice and Safety

Yu Tian, Min Shi, Yan Luo, Ava Kouhana, Tobias Elze, Mengyu Wang

Fairness in artificial intelligence models has gained significantly more attention in recent years, especially in the area of medicine, as fairness in medical models is critical to people's well-being and lives. High-quality medical fairness datasets are needed to promote fairness learning research. Existing medical fairness datasets are all for classification tasks, and no fairness datasets are available for medical segmentation, while medical segmentation is an equally important clinical task as classifications, which can provide detailed spatial information on organ abnormalities ready to be assessed by clinicians. In this paper, we propose the first fairness dataset for medical segmentation named Harvard-FairSeg with 10,000 subject samples. In addition, we propose a fair error-bound scaling approach to reweight the loss function with the upper error-bound in each identity group, using the segment anything model (SAM). We anticipate that the segmentation performance equity can be improved by explicitly tackling the hard cases with high training errors in each identity group. To facilitate fair comparisons, we utilize a novel equity-scaled segmentation performance metric to compare segmentation metrics in the context of fairness, such as the equity-scaled Dice coefficient. Through comprehensive experiments, we demonstrate that our fair error-bound scaling approach either has superior or comparable fairness performance to the state-of-the-art fairness learning models. The dataset and code are publicly accessible via https://ophai.hms.harvard.edu/datasets/harvard-fairseg10k.

Social Aspects · Trustworthy Machine Learning

Maximilian Baader, Mark N Müller, Yuhao Mao, Martin Vechev

Convex relaxations are a key component of training and certifying provably safe neural networks. However, despite substantial progress, a wide and poorly understood accuracy gap to standard networks remains, raising the question of whether this is due to fundamental limitations of convex relaxations. Initial work investigating this question focused on the simple and widely used IBP relaxation. It revealed that some univariate, convex, continuous piecewise linear (CPWL) functions cannot be encoded by any ReLU network such that its IBP-analysis is precise.To explore whether this limitation is shared by more advanced convex relaxations, we conduct the first in-depth study on the expressive power of ReLU networks across all commonly used convex relaxations. We show that: (i) more advanced relaxations allow a larger class of univariate functions to be expressed as precisely analyzable ReLU networks, (ii) more precise relaxations can allow exponentially larger solution spaces of ReLU networks encoding the same functions, and (iii) even using the most precise single-neuron relaxations, it is impossible to construct precisely analyzable ReLU networks that express multivariate, convex, monotone CPWL functions.

Social Aspects · Privacy-preserving Statistics and Machine Learning

Zhenan Fan, Huang Fang, Xinglu Wang, Zirui Zhou, Jian Pei, Michael Friedlander, Yong Zhang

Federated learning is an emerging technology for training machine learning models across decentralized data sources without sharing data. Vertical federated learning, also known as feature-based federated learning, applies to scenarios where data sources have the same sample IDs but different feature sets. To ensure fairness among data owners, it is critical to objectively assess the contributions from different data sources and compensate the corresponding data owners accordingly. The Shapley value is a provably fair contribution valuation metric originating from cooperative game theory. However, its straight-forward computation requires extensively retraining a model on each potential combination of data sources, leading to prohibitively high communication and computation overheads due to multiple rounds of federated learning. To tackle this challenge, we propose a contribution valuation metric called vertical federated Shapley value (VerFedSV) based on the classic Shapley value. We show that VerFedSV not only satisfies many desirable properties of fairness but is also efficient to compute. Moreover, VerFedSV can be adapted to both synchronous and asynchronous vertical federated learning algorithms. Both theoretical analysis and extensive experimental results demonstrate the fairness, efficiency, adaptability, and effectiveness of VerFedSV.

Social Aspects · Fairness, Equity, Justice and Safety

Jian Kang, Yinglong Xia, Ross Maciejewski, Jiebo Luo, Hanghang Tong

We study deceptive fairness attacks on graphs to answer the following question: How can we achieve poisoning attacks on a graph learning model to exacerbate the bias deceptively? We answer this question via a bi-level optimization problem and propose a meta learning-based framework named FATE. FATE is broadly applicable with respect to various fairness definitions and graph learning models, as well as arbitrary choices of manipulation operations. We further instantiate FATE to attack statistical parity or individual fairness on graph neural networks. We conduct extensive experimental evaluations on real-world datasets in the task of semi-supervised node classification. The experimental results demonstrate that FATE could amplify the bias of graph neural networks with or without fairness consideration while maintaining the utility on the downstream task. We hope this paper provides insights into the adversarial robustness of fair graph learning and can shed light on designing robust and fair graph learning in future studies.

Social Aspects · Accountability, Transparency and Interpretability

Ruoyu Chen, Hua Zhang, Siyuan Liang, Jingzhi Li, Xiaochun Cao

Image attribution algorithms aim to identify important regions that are highly relevant to model decisions. Although existing attribution solutions can effectively assign importance to target elements, they still face the following challenges: 1) existing attribution methods generate inaccurate small regions thus misleading the direction of correct attribution, and 2) the model cannot produce good attribution results for samples with wrong predictions. To address the above challenges, this paper re-models the above image attribution problem as a submodular subset selection problem, aiming to enhance model interpretability using fewer regions. To address the lack of attention to local regions, we construct a novel submodular function to discover more accurate small interpretation regions. To enhance the attribution effect for all samples, we also impose four different constraints on the selection of sub-regions, i.e., confidence, effectiveness, consistency, and collaboration scores, to assess the importance of various subsets. Moreover, our theoretical analysis substantiates that the proposed function is in fact submodular. Extensive experiments show that the proposed method outperforms SOTA methods on two face datasets (Celeb-A and VGG-Face2) and one fine-grained dataset (CUB-200-2011). For correctly predicted samples, the proposed method improves the Deletion and Insertion scores with an average of 4.9\% and 2.5\% gain relative to HSIC-Attribution. For incorrectly predicted samples, our method achieves gains of 81.0\% and 18.4\% compared to the HSIC-Attribution algorithm in the average highest confidence and Insertion score respectively. The code is released at https://github.com/RuoyuChen10/SMDL-Attribution.

Social Aspects · Privacy-preserving Statistics and Machine Learning

Mingkun Yang, Ran Zhu, Qing Wang, Jie Yang

Federated Learning (FL) is an important privacy-preserving learning paradigm that plays an important role in the Intelligent Internet of Things. Training a global model in FL, however, is vulnerable to the noise in the heterogeneous data across the clients. In this paper, we introduce **FedTrans**, a novel client-transparent client utility estimation method designed to guide client selection for noisy scenarios, mitigating performance degradation problems. To estimate the client utility, we propose a Bayesian framework that models client utility and its relationships with the weight parameters and the performance of local models. We then introduce a variational inference algorithm to effectively infer client utility, given only a small amount of auxiliary data. Our evaluation demonstrates that leveraging FedTrans as a guide for client selection can lead to a better accuracy performance (up to 7.8\%), ensuring robustness in noisy scenarios.

Social Aspects · Fairness, Equity, Justice and Safety

Yanzhou Li, Tianlin Li, Kangjie Chen, Jian Zhang, Shangqing Liu, Wenhan Wang, Tianwei Zhang, Yang Liu

Mainstream backdoor attack methods typically demand substantial tuning data for poisoning, limiting their practicality and potentially degrading the overall performance when applied to Large Language Models (LLMs). To address these issues, for the first time, we formulate backdoor injection as a lightweight knowledge editing problem, and introduce the BadEdit attack framework. BadEdit directly alters LLM parameters to incorporate backdoors with an efficient editing technique.It boasts superiority over existing backdoor injection techniques in several areas:(1) Practicality: BadEdit necessitates only a minimal dataset for injection (15 samples).(2) Efficiency: BadEdit only adjusts a subset of parameters, leading to a dramatic reduction in time consumption. (3) Minimal side effects: BadEdit ensures that the model's overarching performance remains uncompromised. (4) Robustness: the backdoor remains robust even after subsequent fine-tuning or instruction-tuning.Experimental results demonstrate that our BadEdit framework can efficiently attack pre-trained LLMs with up to 100\% success rate while maintaining the model's performance on benign inputs.

Social Aspects · Accountability, Transparency and Interpretability

Wes Gurnee, Max Tegmark

The capabilities of large language models (LLMs) have sparked debate over whether such systems just learn an enormous collection of superficial statistics or a set of more coherent and grounded representations that reflect the real world. We find evidence for the latter by analyzing the learned representations of three spatial datasets (world, US, NYC places) and three temporal datasets (historical figures, artworks, news headlines) in the Llama-2 family of models. We discover that LLMs learn linear representations of space and time across multiple scales. These representations are robust to prompting variations and unified across different entity types (e.g. cities and landmarks). In addition, we identify individual "space neurons" and "time neurons" that reliably encode spatial and temporal coordinates. While further investigation is needed, our results suggest modern LLMs learn rich spatiotemporal representations of the real world and possess basic ingredients of a world model.

Social Aspects · Accountability, Transparency and Interpretability

Maximilian Fleissner, Leena Chennuru Vankadara, Debarghya Ghoshdastidar

Despite the growing popularity of explainable and interpretable machine learning, there is still surprisingly limited work on inherently interpretable clustering methods. Recently, there has been a surge of interest in explaining the classic k-means algorithm, leading to efficient algorithms that approximate k-means clusters using axis-aligned decision trees. However, interpretable variants of k-means have limited applicability in practice, where more flexible clustering methods are often needed to obtain useful partitions of the data. In this work, we investigate interpretable kernel clustering, and propose algorithms that construct decision trees to approximate the partitions induced by kernel k-means, a nonlinear extension of k-means. We further build on previous work on explainable k-means and demonstrate how a suitable choice of features allows preserving interpretability without sacrificing approximation guarantees on the interpretable model.

Social Aspects · Accountability, Transparency and Interpretability

Xinyue Xu, Yi Qin, Lu Mi, Hao Wang, Xiaomeng Li

Existing methods, such as concept bottleneck models (CBMs), have been successful in providing concept-based interpretations for black-box deep learning models. They typically work by predicting concepts given the input and then predicting the final class label given the predicted concepts. However, (1) they often fail to capture the high-order, nonlinear interaction between concepts, e.g., correcting a predicted concept (e.g., “yellow breast”) does not help correct highly correlated concepts (e.g., “yellow belly”), leading to suboptimal final accuracy; (2) they cannot naturally quantify the complex conditional dependencies between different concepts and class labels (e.g., for an image with the class label “Kentucky Warbler” and a concept “black bill”, what is the probability that the model correctly predicts another concept “black crown”), therefore failing to provide deeper insight into how a black-box model works. In response to these limitations, we propose Energy-based Concept Bottleneck Models (ECBMs). Our ECBMs use a set of neural networks to define the joint energy of candidate (input, concept, class) tuples. With such a unified interface, prediction, concept correction, and conditional dependency quantification are then represented as conditional probabilities, which are generated by composing different energy functions. Our ECBMs address both limitations of existing CBMs, providing higher accuracy and richer concept interpretations. Empirical results show that our approach outperforms the state-of-the-art on real-world datasets.

Social Aspects · Accountability, Transparency and Interpretability

Yair Gat, Nitay Calderon, Amir Feder, Alexander Chapanin, Amit Sharma, Roi Reichart

Causal explanations of the predictions of NLP systems are essential to ensure safety and establish trust. Yet, existing methods often fall short of explaining model predictions effectively or efficiently and are often model-specific. In this paper, we address model-agnostic explanations, proposing two approaches for counterfactual (CF) approximation. The first approach is CF generation, where a large language model (LLM) is prompted to change a specific text concept while keeping confounding concepts unchanged. While this approach is demonstrated to be very effective, applying LLM at inference-time is costly. We hence present a second approach based on matching, and propose a method that is guided by an LLM at training-time and learns a dedicated embedding space. This space is faithful to a given causal graph and effectively serves to identify matches that approximate CFs. After showing theoretically that approximating CFs is required in order to construct faithful explanations, we benchmark our approaches and explain several models, including LLMs with billions of parameters. Our empirical results demonstrate the excellent performance of CF generation models as model-agnostic explainers. Moreover, our matching approach, which requires far less test-time resources, also provides effective explanations, surpassing many baselines. We also find that Top-K techniques universally improve every tested method. Finally, we showcase the potential of LLMs in constructing new benchmarks for model explanation and subsequently validate our conclusions. Our work illuminates new pathways for efficient and accurate approaches to interpreting NLP systems.

Social Aspects · Accountability, Transparency and Interpretability

Guihong Li, Hsiang Hsu, Chun-Fu Chen, Radu Marculescu

Machine unlearning has emerged as a new paradigm to deliberately forget data samples from a given model in order to adhere to stringent regulations.However, existing machine unlearning methods have been primarily focused on classification models, leaving the landscape of unlearning for generative models relatively unexplored.This paper serves as a bridge, addressing the gap by providing a unifying framework of machine unlearning for image-to-image generative models.Within this framework, we propose a computationally-efficient algorithm, underpinned by rigorous theoretical analysis, that demonstrates negligible performance degradation on the retain samples, while effectively removing the information from the forget samples. Empirical studies on two large-scale datasets, ImageNet-1K and Places-365, further show that our algorithm does not rely on the availability of the retain samples, which further complies with data retention policy.To our best knowledge, this work is the first that represents systemic, theoretical, empirical explorations of machine unlearning specifically tailored for image-to-image generative models.

Social Aspects · Trustworthy Machine Learning

Meraj Hashemizadeh, Juan Ramirez, Rohan Sukumaran, Golnoosh Farnadi, Simon Lacoste-Julien, Jose Gallego-Posada

Model pruning is a popular approach to enable the deployment of large deep learning models on edge devices with restricted computational or storage capacities. Although sparse models achieve performance comparable to that of their dense counterparts at the level of the entire dataset, they exhibit high accuracy drops for some data sub-groups. Existing methods to mitigate this disparate impact induced by pruning (i) rely on surrogate metrics that address the problem indirectly and have limited interpretability; or (ii) scale poorly with the number of protected sub-groups in terms of computational cost. We propose a constrained optimization approach that _directly addresses the disparate impact of pruning_: our formulation bounds the accuracy change between the dense and sparse models, for each sub-group. This choice of constraints provides an interpretable success criterion to determine if a pruned model achieves acceptable disparity levels. Experimental results demonstrate that our technique scales reliably to problems involving large models and hundreds of protected sub-groups.

Social Aspects · Accountability, Transparency and Interpretability

Mengxi Ya, Yiming Li, Tao Dai, Bin Wang, Yong Jiang, Shu-Tao Xia

Saliency-based representation visualization (SRV) ($e.g.$, Grad-CAM) is one of the most classical and widely adopted explainable artificial intelligence (XAI) methods for its simplicity and efficiency. It can be used to interpret deep neural networks by locating saliency areas contributing the most to their predictions. However, it is difficult to automatically measure and evaluate the performance of SRV methods due to the lack of ground-truth salience areas of samples. In this paper, we revisit the backdoor-based SRV evaluation, which is currently the only feasible method to alleviate the previous problem. We first reveal its \emph{implementation limitations} and \emph{unreliable nature} due to the trigger generalization of existing backdoor watermarks. Given these findings, we propose a generalization-limited backdoor watermark (GLBW), based on which we design a more faithful XAI evaluation. Specifically, we formulate the training of watermarked DNNs as a min-max problem, where we find the `worst' potential trigger (with the highest attack effectiveness and differences from the ground-truth trigger) via inner maximization and minimize its effects and the loss over benign and poisoned samples via outer minimization in each iteration. In particular, we design an adaptive optimization method to find desired potential triggers in each inner maximization. Extensive experiments on benchmark datasets are conducted, verifying the effectiveness of our generalization-limited watermark. Our codes are available at \url{https://github.com/yamengxi/GLBW}.

Social Aspects · Fairness, Equity, Justice and Safety

Pangpang Liu, Yichuan Zhao

Machine learning algorithms are commonly being deployed in decision-making systems that have a direct impact on human lives. However, if these algorithms are trained solely to minimize training/test errors, they may inadvertently discriminate against individuals based on their sensitive attributes, such as gender, race or age. Recently, algorithms that ensure the fairness are developed in the machine learning community. Fairness criteria are applied by these algorithms to measure the fairness, but they often use the point estimate to assess the fairness and fail to consider the uncertainty of the sample fairness criterion once the algorithms are deployed. We suggest that assessing the fairness should take the uncertainty into account. In this paper, we use the covariance as a proxy for the fairness and develop the confidence region of the covariance vector using empirical likelihood \citep{Owen1988}. Our confidence region based fairness constraints for classification take uncertainty into consideration during fairness assessment. The proposed confidence region can be used to test the fairness and impose fairness constraint using the significant level as a tool to balance the accuracy and fairness. Simulation studies show that our method exactly covers the target Type I error rate and effectively balances the trade-off between accuracy and fairness. Finally, we conduct data analysis to demonstrate the effectiveness of our method.

Social Aspects · Accountability, Transparency and Interpretability

Krzysztof Kacprzyk, Tennison Liu, Mihaela van der Schaar

Transparent machine learning (ML) models are essential for ensuring interpretability and trustworthiness in decision-making systems, particularly in high-stakes domains such as healthcare, finance, and criminal justice. While transparent machine learning models have been proposed for classification and regression, time series forecasting presents some unique challenges for ensuring transparency. In particular, currently used bottom-up approaches that focus on the values of the time series at specific time points (usually regularly spaced) do not provide a holistic understanding of the entire time series. This limits the applicability of ML in many critical areas. To open up these domains for ML, we propose a top-down framework of bi-level transparency, which involves understanding the higher-level trends and the lower-level properties of the predicted time series. Applying this framework, we develop TIMEVIEW, a transparent ML model for time series forecasting based on static features, complemented with an interactive visualization tool. Through a series of experiments, we demonstrate the efficacy and interpretability of our approach, paving the way for more transparent and reliable applications of ML in various domains.

Social Aspects · Privacy-preserving Statistics and Machine Learning

Galen Andrew, Peter Kairouz, Sewoong Oh, Alina Oprea, H. Brendan McMahan, Vinith Suriyakumar

Privacy estimation techniques for differentially private (DP) algorithms are useful for comparing against analytical bounds, or to empirically measure privacy loss in settings where known analytical bounds are not tight. However, existing privacy auditing techniques usually make strong assumptions on the adversary (e.g., knowledge of intermediate model iterates or the training data distribution), are tailored to specific tasks, model architectures, or DP algorithm, and/or require retraining the model many times (typically on the order of thousands). These shortcomings make deploying such techniques at scale difficult in practice, especially in federated settings where model training can take days or weeks. In this work, we present a novel “one-shot” approach that can systematically address these challenges, allowing efficient auditing or estimation of the privacy loss of a model during the same, single training run used to fit model parameters, and without requiring any a priori knowledge about the model architecture, task, or DP algorithm. We show that our method provides provably correct estimates for the privacy loss under the Gaussian mechanism, and we demonstrate its performance on a well-established FL benchmark dataset under several adversarial threat models.