GenAI4ELab/papercli-papers huggingface dataset:
Fairness in Contextual Resource Allocation Systems: Metrics and Incompatibility Results
Authors: Nathanael Jo; Bill Tang; Kathryn Dullerud; Sina Aghaei; Eric Rice; Phebe Vayanos
Venue: AAAI 2023 (main)

Abstract: We study critical systems that allocate scarce resources to satisfy basic needs, such as homeless services that provide housing. These systems often support communities disproportionately affected by systemic racial, gender, or other injustices, so it is crucial to design these systems with fairness considerations in mind. To address this problem, we propose a framework for evaluating fairness in contextual resource allocation systems that is inspired by fairness metrics in machine learning. This framework can be applied to evaluate the fairness properties of a historical policy, as well as to impose constraints in the design of new (counterfactual) allocation policies. Our work culminates with a set of incompatibility results that investigate the interplay between the different fairness metrics we propose. Notably, we demonstrate that: 1) fairness in allocation and fairness in outcomes are usually incompatible; 2) policies that prioritize based on a vulnerability score will usually result in unequal outcomes across groups, even if the score is perfectly calibrated; 3) policies using contextual information beyond what is needed to characterize baseline risk and treatment effects can be fairer in their outcomes than those using just baseline risk and treatment effects; and 4) policies using group status in addition to baseline risk and treatment effects are as fair as possible given all available information. Our framework can help guide the discussion among stakeholders in deciding which fairness metrics to impose when allocating scarce resources.
Improvement-Focused Causal Recourse (ICR)
Authors: Gunnar König; Timo Freiesleben; Moritz Grosse-Wentrup
Venue: AAAI 2023 (main)

Abstract: Algorithmic recourse recommendations inform stakeholders of how to act to revert unfavorable decisions. However, existing methods may recommend actions that lead to acceptance (i.e., revert the model's decision) but do not lead to improvement (i.e., may not revert the underlying real-world state). To recommend such actions is to recommend fooling the predictor. We introduce a novel method, Improvement-Focused Causal Recourse (ICR), which involves a conceptual shift: Firstly, we require ICR recommendations to guide toward improvement. Secondly, we do not tailor the recommendations to be accepted by a specific predictor.  Instead, we leverage causal knowledge to design decision systems that predict accurately pre- and post-recourse, such that improvement guarantees translate into acceptance guarantees. Curiously, optimal pre-recourse classifiers are robust to ICR actions and thus suitable post-recourse. In semi-synthetic experiments, we demonstrate that given correct causal knowledge ICR, in contrast to existing approaches, guides toward both acceptance and improvement.
Explaining Model Confidence Using Counterfactuals
Authors: Thao Le; Tim Miller; Ronal Singh; Liz Sonenberg
Venue: AAAI 2023 (main)

Abstract: Displaying confidence scores in human-AI interaction has been shown to help build trust between humans and AI systems. However, most existing research uses only the confidence score as a form of communication. As confidence scores are just another model output, users may want to understand why the algorithm is confident to determine whether to accept the confidence score. In this paper, we show that counterfactual explanations of confidence scores help study participants to better understand and better trust a machine learning model's prediction. We present two methods for understanding model confidence using counterfactual explanation: (1) based on counterfactual examples; and (2) based on visualisation of the counterfactual space. Both increase understanding and trust for study participants over a baseline of no explanation, but qualitative results show that they are used quite differently, leading to recommendations of when to use each one and directions of designing better explanations.
Echo of Neighbors: Privacy Amplification for Personalized Private Federated Learning with Shuffle Model
Authors: Yixuan Liu; Suyun Zhao; Li Xiong; Yuhan Liu; Hong Chen
Venue: AAAI 2023 (main)

Abstract: Federated Learning, as a popular paradigm for collaborative training, is vulnerable against privacy attacks. Different privacy levels regarding users' attitudes need to be satisfied locally, while a strict privacy guarantee for the global model is also required centrally. Personalized Local Differential Privacy (PLDP) is suitable for preserving users' varying local privacy, yet only provides a central privacy guarantee equivalent to the worst-case local privacy level. Thus, achieving strong central privacy as well as personalized local privacy with a utility-promising model is a challenging problem. In this work, a general framework (APES) is built up to strengthen model privacy under personalized local privacy by leveraging the privacy amplification effect of the shuffle model.  To tighten the privacy bound, we quantify the heterogeneous contributions to the central privacy user by user. The contributions are characterized by the ability of generating “echos” from the perturbation of each user,  which is carefully measured by proposed methods Neighbor Divergence and Clip-Laplace Mechanism. Furthermore, we propose a refined framework (S-APES) with the post-sparsification technique to reduce privacy loss in high-dimension scenarios. To the best of our knowledge, the impact of shuffling on personalized local privacy is considered for the first time. We provide a strong privacy amplification effect, and the bound is tighter than the baseline result based on existing methods for uniform local privacy. Experiments demonstrate that our frameworks ensure comparable or higher accuracy for the global model.
XRand: Differentially Private Defense against Explanation-Guided Attacks
Authors: Truc Nguyen; Phung Lai; Hai Phan; My T. Thai
Venue: AAAI 2023 (main)

Abstract: Recent development in the field of explainable artificial intelligence (XAI) has helped improve trust in Machine-Learning-as-a-Service (MLaaS) systems, in which an explanation is provided together with the model prediction in response to each query. However, XAI also opens a door for adversaries to gain insights into the black-box models in MLaaS, thereby making the models more vulnerable to several attacks. For example, feature-based explanations (e.g., SHAP) could expose the top important features that a black-box model focuses on. Such disclosure has been exploited to craft effective backdoor triggers against malware classifiers. To address this trade-off, we introduce a new concept of achieving local differential privacy (LDP) in the explanations, and from that we establish a defense, called XRand, against such attacks. We show that our mechanism restricts the information that the adversary can learn about the top important features, while maintaining the faithfulness of the explanations.
Mitigating Adversarial Norm Training with Moral Axioms
Authors: Taylor Olson; Kenneth D. Forbus
Venue: AAAI 2023 (main)

Abstract: This paper addresses the issue of adversarial attacks on ethical AI systems. We investigate using moral axioms and rules of deontic logic in a norm learning framework to mitigate adversarial norm training. This model of moral intuition and construction provides AI systems with moral guard rails yet still allows for learning conventions. We evaluate our approach by drawing inspiration from a study commonly used in moral development research. This questionnaire aims to test an agent's ability to reason to moral conclusions despite opposed testimony. Our findings suggest that our model can still correctly evaluate moral situations and learn conventions in an adversarial training environment. We conclude that adding axiomatic moral prohibitions and deontic inference rules to a norm learning model makes it less vulnerable to adversarial attacks.
Equity Promotion in Public Transportation
Authors: Anik Pramanik; Pan Xu; Yifan Xu
Venue: AAAI 2023 (main)

Abstract: There are many news articles reporting the obstacles confronting poverty-stricken households in access to public transits. These barriers create a great deal of inconveniences for these impoverished families and more importantly, they contribute a lot of social inequalities. A typical approach addressing the issue is to build more transport infrastructure to offer more opportunities to access the public transits especially for those deprived communities. Examples include adding more bus lines connecting needy residents to railways systems and extending existing bus lines to areas with low socioeconomic status. Recently, a new strategy is proposed, which is to harness the ubiquitous ride-hailing services to connect disadvantaged households with the nearest public transportations. Compared with the former infrastructure-based solution, the ride-hailing-based strategy enjoys a few exclusive benefits such as higher effectiveness and more flexibility.

In this paper, we propose an optimization model to study how to integrate the two approaches together for equity-promotion purposes. Specifically, we aim to design a strategy of allocating a given limited budget to different candidate programs such that the overall social equity is maximized, which is defined as the minimum covering ratio among all pre-specified protected groups of households (based on race, income, etc.). We have designed a linear-programming (LP) based rounding algorithm, which proves to achieve an optimal approximation ratio of 1-1/e. Additionally, we test our algorithm against a few baselines on real data assembled by outsourcing multiple public datasets collected in the city of Chicago. Experimental results confirm our theoretical predictions and demonstrate the effectiveness of our LP-based strategy in promoting social equity, especially when the budget is insufficient.
Online Platforms and the Fair Exposure Problem under Homophily
Authors: Jakob Schoeffer; Alexander Ritchie; Keziah Naggita; Faidra Monachou; Jessica Finocchiaro; Marc Juarez
Venue: AAAI 2023 (main)

Abstract: In the wake of increasing political extremism, online platforms have been criticized for contributing to polarization. One line of criticism has focused on echo chambers and the recommended content served to users by these platforms. In this work, we introduce the fair exposure problem: given limited intervention power of the platform, the goal is to enforce balance in the spread of content (e.g., news articles) among two groups of users through constraints similar to those imposed by the Fairness Doctrine in the United States in the past. Groups are characterized by different affiliations (e.g., political views) and have different preferences for content. We develop a stylized framework that models intra- and inter-group content propagation under homophily, and we formulate the platform's decision as an optimization problem that aims at maximizing user engagement, potentially under fairness constraints. Our main notion of fairness requires that each group see a mixture of their preferred and non-preferred content, encouraging information diversity. Promoting such information diversity is often viewed as desirable and a potential means for breaking out of harmful echo chambers. We study the solutions to both the fairness-agnostic and fairness-aware problems. We prove that a fairness-agnostic approach inevitably leads to group-homogeneous targeting  by the platform. This is only partially mitigated by imposing fairness constraints: we show that there exist optimal fairness-aware solutions which target one group with different types of content and the other group with only one type that is not necessarily the group's most preferred. Finally, using simulations with real-world data, we study the system dynamics and quantify the price of fairness.
Minimax AUC Fairness: Efficient Algorithm with Provable Convergence
Authors: Zhenhuan Yang; Yan Lok Ko; Kush R. Varshney; Yiming Ying
Venue: AAAI 2023 (main)

Abstract: The use of machine learning models in consequential decision making often exacerbates societal inequity, in particular yielding disparate impact on members of marginalized groups defined by race and gender. The area under the ROC curve (AUC) is widely used to evaluate the performance of a scoring function in machine learning, but is studied in algorithmic fairness less than other performance metrics. Due to the pairwise nature of the AUC, defining an AUC-based group fairness metric is pairwise-dependent and may involve both intra-group and inter-group AUCs. Importantly, considering only one category of AUCs is not sufficient to mitigate unfairness in AUC optimization. In this paper, we propose a minimax learning and bias mitigation framework that incorporates both intra-group and inter-group AUCs while maintaining utility. Based on this Rawlsian framework, we design an efficient stochastic optimization algorithm and prove its convergence to the minimum group-level AUC. We conduct numerical experiments on both synthetic and real-world datasets to validate the effectiveness of the minimax framework and the proposed optimization algorithm.
Faster Fair Machine via Transferring Fairness Constraints to Virtual Samples
Authors: Zhou Zhai; Lei Luo; Heng Huang; Bin Gu
Venue: AAAI 2023 (main)

Abstract: Fair classification is an emerging and important research topic in machine learning community. Existing methods usually formulate the fairness metrics as additional inequality constraints, and then embed them into the original objective. This makes fair classification problems unable to be effectively tackled by some solvers specific to unconstrained optimization. Although many new tailored algorithms have been designed to attempt to overcome this limitation, they often increase additional computation burden and cannot cope with all types of fairness metrics. To address these challenging issues, in this paper, we propose a novel method for fair classification. 
Specifically, we theoretically
demonstrate that all types of fairness with linear and non-linear covariance functions can be transferred to two virtual samples, which makes the existing state-of-the-art classification solvers be applicable to these cases. Meanwhile, we  generalize the proposed method to multiple fairness constraints. We take SVM as an example to show the effectiveness of our new idea. 
Empirically, we test the proposed method on real-world datasets and all results confirm its excellent performance.
Learning Control Policies for Stochastic Systems with Reach-Avoid Guarantees
Authors: Đorđe Žikelić; Mathias Lechner; Thomas A. Henzinger; Krishnendu Chatterjee
Venue: AAAI 2023 (main)

Abstract: We study the problem of learning controllers for discrete-time non-linear stochastic dynamical systems with formal reach-avoid guarantees. This work presents the first method for providing formal reach-avoid guarantees, which combine and generalize stability and safety guarantees, with a tolerable probability threshold p in [0,1] over the infinite time horizon. Our method leverages advances in machine learning literature and it represents formal certificates as neural networks. In particular, we learn a certificate in the form of a reach-avoid supermartingale (RASM), a novel notion that we introduce in this work. Our RASMs provide reachability and avoidance guarantees by imposing constraints on what can be viewed as a stochastic extension of level sets of Lyapunov functions for deterministic systems. Our approach solves several important problems -- it can be used to learn a control policy from scratch, to verify a reach-avoid specification for a fixed control policy, or to fine-tune a pre-trained policy if it does not satisfy the reach-avoid specification. We validate our approach on 3 stochastic non-linear reinforcement learning tasks.
Robust Neuro-Symbolic Goal and Plan Recognition
Authors: Leonardo Amado; Ramon Fraga Pereira; Felipe Meneguzzi
Venue: AAAI 2023 (main)

Abstract: Goal Recognition is the task of discerning the intended goal of an agent given a sequence of observations, whereas Plan Recognition consists of identifying the plan to achieve such intended goal. Regardless of the underlying techniques, most recognition approaches are directly affected by the quality of the available observations. In this paper, we develop neuro-symbolic recognition approaches that can combine learning and planning techniques, compensating for noise and missing observations using prior data. We evaluate our approaches in standard human-designed planning domains as well as domain models automatically learned from real-world data. Empirical experimentation shows that our approaches reliably infer goals and compute correct plans in the experimental datasets. An ablation study shows that outperform approaches that rely exclusively on the domain model, or exclusively on machine learning in problems with both noisy observations and low observability.
Heuristic Search for Multi-Objective Probabilistic Planning
Authors: Dillon Z. Chen; Felipe Trevizan; Sylvie Thiébaux
Venue: AAAI 2023 (main)

Abstract: Heuristic search is a powerful approach that has successfully been applied to a broad class of planning problems, including classical planning, multi-objective planning, and probabilistic planning modelled as a stochastic shortest path (SSP) problem. Here, we extend the reach of heuristic search to a more expressive class of problems, namely multi-objective stochastic shortest paths (MOSSPs), which require computing a coverage set of non-dominated policies. We design new heuristic search algorithms MOLAO* and MOLRTDP, which extend well-known SSP algorithms to the multi-objective case. We further construct a spectrum of domain-independent heuristic functions differing in their ability to take into account the stochastic and multi-objective features of the problem to guide the search. Our experiments demonstrate the benefits of these algorithms and the relative merits of the heuristics.
Zero-Knowledge Proofs for Classical Planning Problems
Authors: Augusto B. Corrêa; Clemens Büchner; Remo Christen
Venue: AAAI 2023 (main)

Abstract: In classical planning, the aim is to find a sequence of deterministic actions leading from the initial to a goal state. In this work, we consider the scenario where a party who knows the solution to a planning task, called the prover, wants to convince a second party, the verifier, that it has the solution without revealing any information about the solution itself. This is relevant in domains where privacy is important, for example when plans contain sensitive information or when the solution should not be revealed upfront.  We achieve this by introducing a zero-knowledge protocol for plan existence. By restricting ourselves to tasks with polynomially-bounded plan length, we are able to construct a protocol that can be run efficiently by both the prover and verifier. The resulting protocol does not rely on any reduction, has a constant number of rounds, and runs in time polynomial in the size of the task.
Planning with Hidden Parameter Polynomial MDPs
Authors: Clarissa Costen; Marc Rigter; Bruno Lacerda; Nick Hawes
Venue: AAAI 2023 (main)

Abstract: For many applications of Markov Decision Processes (MDPs), the transition function cannot be specified exactly. Bayes-Adaptive MDPs (BAMDPs) extend MDPs to consider transition probabilities governed by latent parameters. To act optimally in BAMDPs, one must maintain a belief distribution over the latent parameters. Typically, this distribution is described by a set of sample (particle) MDPs, and associated weights which represent the likelihood of a sample MDP being the true underlying MDP. However, as the number of dimensions of the latent parameter space increases, the number of sample MDPs required to sufficiently represent the belief distribution grows exponentially. Thus, maintaining an accurate belief in the form of a set of sample MDPs over complex latent spaces is computationally intensive, which in turn affects the performance of planning for these models. In this paper, we propose an alternative approach for maintaining the belief over the latent parameters. We consider a class of BAMDPs where the transition probabilities can be expressed in closed form as a polynomial of the latent parameters, and outline a method to maintain a closed-form belief distribution for the latent parameters which results in an accurate belief representation. Furthermore, the closed-form representation does away with the need to tune the number of sample MDPs required to represent the belief. We evaluate two domains and empirically show that the polynomial, closed-form, belief representation results in better plans than a sampling-based belief representation.
Privacy Attacks on Schedule-Driven Data
Authors: Stephan A. Fahrenkrog-Petersen; Arik Senderovich; Alexandra Tichauer; Ali Kaan Tutak; J. Christopher Beck; Matthias Weidlich
Venue: AAAI 2023 (main)

Abstract: Schedules define how resources process jobs in diverse domains, reaching from healthcare to transportation, and, therefore, denote a valuable starting point for analysis of the underlying system. However, publishing a schedule may disclose private information on the considered jobs. In this paper, we provide a first threat model for published schedules, thereby defining a completely new class of data privacy problems. We then propose distance-based measures to assess the privacy loss incurred by a published schedule, and show their theoretical properties for an uninformed adversary, which can be used as a benchmark for informed attacks. We show how an informed attack on a published schedule can be phrased as an inverse scheduling problem. We instantiate this idea by formulating the inverse of a well-studied single-machine scheduling problem, namely minimizing the total weighted completion times. An empirical evaluation for synthetic scheduling problems shows the effectiveness of informed privacy attacks and compares the results to theoretical bounds on uninformed attacks.
Markov Decision Processes with Time-Varying Geometric Discounting
Authors: Jiarui Gan; Annika Hennes; Rupak Majumdar; Debmalya Mandal; Goran Radanovic
Venue: AAAI 2023 (main)

Abstract: Canonical models of Markov decision processes (MDPs) usually consider geometric discounting based on a constant discount factor. While this standard modeling approach has led to many elegant results, some recent studies indicate the necessity of modeling time-varying discounting in certain applications. This paper studies a model of infinite-horizon MDPs with time-varying discount factors. We take a game-theoretic perspective – whereby each time step is treated as an independent decision maker with their own (fixed) discount factor – and we study the subgame perfect equilibrium (SPE) of the resulting game as well as the related algorithmic problems. We present a constructive proof of the existence of an SPE and demonstrate the EXPTIME-hardness of computing an SPE. We also turn to the approximate notion of epsilon-SPE and show that an epsilon-SPE exists under milder assumptions. An algorithm is presented to compute an epsilon-SPE, of which an upper bound of the time complexity, as a function of the convergence property of the time-varying discount factor, is provided.