Operationalizing fairness for responsible machine learning

As machine learning (ML) is increasingly used for decision making in scenarios that impact humans, there is a growing awareness of its potential for unfairness. A large body of recent work has focused on proposing formal notions of fairness in ML, as well as approaches to mitigate unfairness. However, there is a growing disconnect between the ML fairness literature and the needs to operationalize fairness in practice. This thesis addresses the need for responsible ML by developing new models and methods to address challenges in operationalizing fairness in practice. Specifically, it makes the following contributions. First, we tackle a key assumption in the group fairness literature that sensitive demographic attributes such as race and gender are known upfront, and can be readily used in model training to mitigate unfairness. In practice, factors like privacy and regulation often prohibit ML models from collecting or using protected attributes in decision making. To address this challenge we introduce the novel notion of computationally-identifiable errors and propose Adversarially Reweighted Learning (ARL), an optimization method that seeks to improve the worst-case performance over unobserved groups, without requiring access to the protected attributes in the dataset. Second, we argue that while group fairness notions are a desirable fairness criterion, they are fundamentally limited as they reduce fairness to an average statistic over pre-identified protected groups. In practice, automated decisions are made at an individual level, and can adversely impact individual people irrespective of the group statistic. We advance the paradigm of individual fairness by proposing iFair (individually fair representations), an optimization approach for learning a low dimensional latent representation of the data with two goals: to encode the data as well as possible, while removing any information about protected attributes in the transformed representation. Third, we advance the individual fairness paradigm, which requires that similar individuals receive similar outcomes. However, similarity metrics computed over observed feature space can be brittle, and inherently limited in their ability to accurately capture similarity between individuals. To address this, we introduce a novel notion of fairness graphs, wherein pairs of individuals can be identified as deemed similar with respect to the ML objective. We cast the problem of individual fairness into graph embedding, and propose PFR (pairwise fair representations), a method to learn a unified pairwise fair representation of the data. Fourth, we tackle the challenge that production data after model deployment is constantly evolving. As a consequence, in spite of the best efforts in training a fair model, ML systems can be prone to failure risks due to a variety of unforeseen reasons. To ensure responsible model deployment, potential failure risks need to be predicted, and mitigation actions need to be devised, for example, deferring to a human expert when uncertain or collecting additional data to address model’s blind-spots. We propose Risk Advisor, a model-agnostic meta-learner to predict potential failure risks and to give guidance on the sources of uncertainty inducing the risks, by leveraging information theoretic notions of aleatoric and epistemic uncertainty. This dissertation brings ML fairness closer to real-world applications by developing methods that address key practical challenges. Extensive experiments on a variety of real-world and synthetic datasets show that our proposed methods are viable in practice.Mit der zunehmenden Verwendung von Maschinellem Lernen (ML) in Situationen, die Auswirkungen auf Menschen haben, nimmt das Bewusstsein über das Potenzial für Unfair- ness zu. Ein großer Teil der jüngeren Forschung hat den Fokus auf das formale Verständnis von Fairness im Zusammenhang mit ML sowie auf Ansätze zur Überwindung von Unfairness gelegt. Jedoch driften die Literatur zu Fairness in ML und die Anforderungen zur Implementierung in der Praxis zunehmend auseinander. Diese Arbeit beschäftigt sich mit der Notwendigkeit für verantwortungsvolles ML, wofür neue Modelle und Methoden entwickelt werden, um die Herausforderungen im Fairness-Bereich in der Praxis zu bewältigen. Ihr wissenschaftlicher Beitrag ist im Folgenden dargestellt. In Kapitel 3 behandeln wir die Schlüsselprämisse in der Gruppenfairnessliteratur, dass sensible demografische Merkmale wie etwa die ethnische Zugehörigkeit oder das Geschlecht im Vorhinein bekannt sind und während des Trainings eines Modells zur Reduzierung der Unfairness genutzt werden können. In der Praxis hindern häufig Einschränkungen zum Schutz der Privatsphäre oder gesetzliche Regelungen ML-Modelle daran, geschützte Merkmale für die Entscheidungsfindung zu sammeln oder zu verwenden. Um diese Herausforderung zu überwinden, führen wir das Konzept der Komputational-identifizierbaren Fehler ein und stellen Adversarially Reweighted Learning (ARL) vor, ein Optimierungsverfahren, das die Worst-Case-Performance bei unbekannter Gruppenzugehörigkeit ohne Wissen über die geschützten Merkmale verbessert. In Kapitel 4 stellen wir dar, dass Konzepte für Gruppenfairness trotz ihrer Eignung als Fairnesskriterium grundsätzlich beschränkt sind, da Fairness auf eine gemittelte statistische Größe für zuvor identifizierte geschützte Gruppen reduziert wird. In der Praxis werden automatisierte Entscheidungen auf einer individuellen Ebene gefällt, und können unabhängig von der gruppenbezogenen Statistik Nachteile für Individuen haben. Wir erweitern das Konzept der individuellen Fairness um unsere Methode iFair (individually fair representations), ein Optimierungsverfahren zum Erlernen einer niedrigdimensionalen Darstellung der Daten mit zwei Zielen: die Daten so akkurat wie möglich zu enkodieren und gleichzeitig jegliche Information über die geschützten Merkmale in der transformierten Darstellung zu entfernen. In Kapitel 5 entwickeln wir das Paradigma der individuellen Fairness weiter, das ein ähnliches Ergebnis für ähnliche Individuen erfordert. Ähnlichkeitsmetriken im beobachteten Featureraum können jedoch unzuverlässig und inhärent beschränkt darin sein, Ähnlichkeit zwischen Individuen korrekt abzubilden. Um diese Herausforderung anzugehen, führen wir den neue Konzept der Fairnessgraphen ein, in denen Paare (oder Sets) von Individuen als ähnlich im Bezug auf die ML-Aufgabe identifiziert werden. Wir übersetzen das Problem der individuellen Fairness in eine Grapheinbindung und stellen PFR (pairwise fair representations) vor, eine Methode zum Erlernen einer vereinheitlichten paarweisen fairen Abbildung der Daten. In Kapitel 6 gehen wir die Herausforderung an, dass sich die Daten im Feld nach der Inbetriebnahme des Modells fortlaufend ändern. In der Konsequenz können ML-Systeme trotz größter Bemühungen, ein faires Modell zu trainieren, aufgrund einer Vielzahl an unvorhergesehenen Gründen scheitern. Um eine verantwortungsvolle Implementierung sicherzustellen, gilt es, Risiken für ein potenzielles Versagen vorherzusehen und Gegenmaßnahmen zu entwickeln,z.B. die Übertragung der Entscheidung an einen menschlichen Experten bei Unsicherheit oder das Sammeln weiterer Daten, um die blinden Flecken des Modells abzudecken. Wir stellen mit Risk Advisor einen modell-agnostischen Meta-Learner vor, der Risiken für potenzielles Versagen vorhersagt und Anhaltspunkte für die Ursache der zugrundeliegenden Unsicherheit basierend auf informationstheoretischen Konzepten der aleatorischen und epistemischen Unsicherheit liefert. Diese Dissertation bringt Fairness für verantwortungsvolles ML durch die Entwicklung von Ansätzen für die Lösung von praktischen Kernproblemen näher an die Anwendungen im Feld. Umfassende Experimente mit einer Vielzahl von synthetischen und realen Datensätzen zeigen, dass unsere Ansätze in der Praxis umsetzbar sind.The International Max Planck Research School for Computer Science (IMPRS-CS

Adversarially Reweighted Sequence Anomaly Detection With Limited Log Data

In the realm of safeguarding digital systems, the ability to detect anomalies in log sequences is paramount, with applications spanning cybersecurity, network surveillance, and financial transaction monitoring. This thesis presents AdvSVDD, a sophisticated deep learning model designed for sequence anomaly detection. Built upon the foundation of Deep Support Vector Data Description (Deep SVDD), AdvSVDD stands out by incorporating Adversarial Reweighted Learning (ARL) to enhance its performance, particularly when confronted with limited training data. By leveraging the Deep SVDD technique to map normal log sequences into a hypersphere and harnessing the amplification effects of Adversarial Reweighted Learning, AdvSVDD demonstrates remarkable efficacy in anomaly detection. Empirical evaluations on the BlueGene/L (BG/L) and Thunderbird supercomputer datasets showcase AdvSVDD’s superiority over conventional machine learning and deep learning approaches, including the foundational Deep SVDD framework. Performance metrics such as Precision, Recall, F1-Score, ROC AUC, and PR AUC attest to its proficiency. Furthermore, the study emphasizes AdvSVDD’s effectiveness under constrained training data and offers valuable insights into the role of adversarial component has in the enhancement of anomaly detection

Towards Assumption-free Bias Mitigation

Despite the impressive prediction ability, machine learning models show discrimination towards certain demographics and suffer from unfair prediction behaviors. To alleviate the discrimination, extensive studies focus on eliminating the unequal distribution of sensitive attributes via multiple approaches. However, due to privacy concerns, sensitive attributes are often either unavailable or missing in real-world scenarios. Therefore, several existing works alleviate the bias without sensitive attributes. Those studies face challenges, either in inaccurate predictions of sensitive attributes or the need to mitigate unequal distribution of manually defined non-sensitive attributes related to bias. The latter requires strong assumptions about the correlation between sensitive and non-sensitive attributes. As data distribution and task goals vary, the strong assumption on non-sensitive attributes may not be valid and require domain expertise. In this work, we propose an assumption-free framework to detect the related attributes automatically by modeling feature interaction for bias mitigation. The proposed framework aims to mitigate the unfair impact of identified biased feature interactions. Experimental results on four real-world datasets demonstrate that our proposed framework can significantly alleviate unfair prediction behaviors by considering biased feature interactions

Multivariate Fairness for Paper Selection

Peer review is the process by which publishers select the best publications for inclusion in a journal or a conference. Bias in the peer review process can impact which papers are selected for inclusion in conferences and journals. Although often implicit, race, gender and other demographics can prevent members of underrepresented groups from presenting at major conferences. To try to avoid bias, many conferences use a double-blind review process to increase fairness during reviewing. However, recent studies argue that the bias has not been removed completely. Our research focuses on developing fair algorithms that correct for these biases and select papers from a more demographically diverse group of authors. To address this, we present fair algorithms that explicitly incorporate author diversity in paper recommendation using multidimensional author profiles that include five demographic features, i.e., gender, ethnicity, career stage, university rank, and geolocation. The Overall Diversity method ranks papers based on an overall diversity score whereas the Multifaceted Diversity method selects papers that fill the highest-priority demographic feature first. We evaluate these algorithms with Boolean and continuous-valued features by recommending papers for SIGCHI 2017 from a pool of SIGCHI 2017, DIS 2017 and IUI 2017 papers and compare the resulting set of papers with the papers accepted by the conference. Both methods increase diversity with small decreases in utility using profiles with either Boolean or continuous feature values. Our best method, Multifaceted Diversity, recommends a set of papers that match demographic parity, selecting authors who are 42.50% more diverse with a 2.45% gain in utility. This approach could be applied when selecting conference papers, journal papers, grant proposals, or other tasks within academia