arXiv subjects

Sanghamitra Dutta

Publications and source records attributed to Sanghamitra Dutta.

At least 37 records · Page 2Linked to original sources

arXiv2024

Private Counterfactual Retrieval With Immutable Features

In a classification task, counterfactual explanations provide the minimum change needed for an input to be classified into a favorable class. We consider the problem of privately retrieving the exact closest counterfactual from a database of accepted samples while enforcing that certain features of the input sample cannot be changed, i.e., they are \emph{immutable}. An applicant (user) whose feature vector is rejected by a machine learning model wants to retrieve the sample closest to them in the database without altering a private subset of their features, which constitutes the immutable set. While doing this, the user should keep their feature vector, immutable set and the resulting counterfactual index information-theoretically private from the institution. We refer to this as immutable private counterfactual retrieval (I-PCR) problem which generalizes PCR to a more practical setting. In this paper, we propose two I-PCR schemes by leveraging techniques from private information retrieval (PIR) and characterize their communication costs. Further, we quantify the information that the user learns about the database and compare it for the proposed schemes.

cs.IT↗

arXiv2024

Model Reconstruction Using Counterfactual Explanations: A Perspective From Polytope Theory

Counterfactual explanations provide ways of achieving a favorable model outcome with minimum input perturbation. However, counterfactual explanations can also be leveraged to reconstruct the model by strategically training a surrogate model to give similar predictions as the original (target) model. In this work, we analyze how model reconstruction using counterfactuals can be improved by further leveraging the fact that the counterfactuals also lie quite close to the decision boundary. Our main contribution is to derive novel theoretical relationships between the error in model reconstruction and the number of counterfactual queries required using polytope theory. Our theoretical analysis leads us to propose a strategy for model reconstruction that we call Counterfactual Clamping Attack (CCA) which trains a surrogate model using a unique loss function that treats counterfactuals differently than ordinary instances. Our approach also alleviates the related problem of decision boundary shift that arises in existing model reconstruction approaches when counterfactuals are treated as ordinary instances. Experimental results demonstrate that our strategy improves fidelity between the target and surrogate model predictions on several datasets.

cs.LG↗

arXiv2024

A Unified View of Group Fairness Tradeoffs Using Partial Information Decomposition

This paper introduces a novel information-theoretic perspective on the relationship between prominent group fairness notions in machine learning, namely statistical parity, equalized odds, and predictive parity. It is well known that simultaneous satisfiability of these three fairness notions is usually impossible, motivating practitioners to resort to approximate fairness solutions rather than stringent satisfiability of these definitions. However, a comprehensive analysis of their interrelations, particularly when they are not exactly satisfied, remains largely unexplored. Our main contribution lies in elucidating an exact relationship between these three measures of (un)fairness by leveraging a body of work in information theory called partial information decomposition (PID). In this work, we leverage PID to identify the granular regions where these three measures of (un)fairness overlap and where they disagree with each other leading to potential tradeoffs. We also include numerical simulations to complement our results.

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arXiv2024

Hyper-parameter Tuning for Fair Classification without Sensitive Attribute Access

Fair machine learning methods seek to train models that balance model performance across demographic subgroups defined over sensitive attributes like race and gender. Although sensitive attributes are typically assumed to be known during training, they may not be available in practice due to privacy and other logistical concerns. Recent work has sought to train fair models without sensitive attributes on training data. However, these methods need extensive hyper-parameter tuning to achieve good results, and hence assume that sensitive attributes are known on validation data. However, this assumption too might not be practical. Here, we propose Antigone, a framework to train fair classifiers without access to sensitive attributes on either training or validation data. Instead, we generate pseudo sensitive attributes on the validation data by training a biased classifier and using the classifier's incorrectly (correctly) labeled examples as proxies for minority (majority) groups. Since fairness metrics like demographic parity, equal opportunity and subgroup accuracy can be estimated to within a proportionality constant even with noisy sensitive attribute information, we show theoretically and empirically that these proxy labels can be used to maximize fairness under average accuracy constraints. Key to our results is a principled approach to select the hyper-parameters of the biased classifier in a completely unsupervised fashion (meaning without access to ground truth sensitive attributes) that minimizes the gap between fairness estimated using noisy versus ground-truth sensitive labels.

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arXiv2024

Robust Counterfactual Explanations for Neural Networks With Probabilistic Guarantees

There is an emerging interest in generating robust counterfactual explanations that would remain valid if the model is updated or changed even slightly. Towards finding robust counterfactuals, existing literature often assumes that the original model $m$ and the new model $M$ are bounded in the parameter space, i.e., $\|\text{Params}(M){-}\text{Params}(m)\|{<}Δ$. However, models can often change significantly in the parameter space with little to no change in their predictions or accuracy on the given dataset. In this work, we introduce a mathematical abstraction termed $\textit{naturally-occurring}$ model change, which allows for arbitrary changes in the parameter space such that the change in predictions on points that lie on the data manifold is limited. Next, we propose a measure -- that we call $\textit{Stability}$ -- to quantify the robustness of counterfactuals to potential model changes for differentiable models, e.g., neural networks. Our main contribution is to show that counterfactuals with sufficiently high value of $\textit{Stability}$ as defined by our measure will remain valid after potential $\textit{naturally-occurring}$ model changes with high probability (leveraging concentration bounds for Lipschitz function of independent Gaussians). Since our quantification depends on the local Lipschitz constant around a data point which is not always available, we also examine practical relaxations of our proposed measure and demonstrate experimentally how they can be incorporated to find robust counterfactuals for neural networks that are close, realistic, and remain valid after potential model changes. This work also has interesting connections with model multiplicity, also known as, the Rashomon effect.

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arXiv2024

REFRESH: Responsible and Efficient Feature Reselection Guided by SHAP Values

Feature selection is a crucial step in building machine learning models. This process is often achieved with accuracy as an objective, and can be cumbersome and computationally expensive for large-scale datasets. Several additional model performance characteristics such as fairness and robustness are of importance for model development. As regulations are driving the need for more trustworthy models, deployed models need to be corrected for model characteristics associated with responsible artificial intelligence. When feature selection is done with respect to one model performance characteristic (eg. accuracy), feature selection with secondary model performance characteristics (eg. fairness and robustness) as objectives would require going through the computationally expensive selection process from scratch. In this paper, we introduce the problem of feature \emph{reselection}, so that features can be selected with respect to secondary model performance characteristics efficiently even after a feature selection process has been done with respect to a primary objective. To address this problem, we propose REFRESH, a method to reselect features so that additional constraints that are desirable towards model performance can be achieved without having to train several new models. REFRESH's underlying algorithm is a novel technique using SHAP values and correlation analysis that can approximate for the predictions of a model without having to train these models. Empirical evaluations on three datasets, including a large-scale loan defaulting dataset show that REFRESH can help find alternate models with better model characteristics efficiently. We also discuss the need for reselection and REFRESH based on regulation desiderata.

cs.LG↗

arXiv2024

Demystifying Local and Global Fairness Trade-offs in Federated Learning Using Partial Information Decomposition

This work presents an information-theoretic perspective to group fairness trade-offs in federated learning (FL) with respect to sensitive attributes, such as gender, race, etc. Existing works often focus on either $\textit{global fairness}$ (overall disparity of the model across all clients) or $\textit{local fairness}$ (disparity of the model at each client), without always considering their trade-offs. There is a lack of understanding regarding the interplay between global and local fairness in FL, particularly under data heterogeneity, and if and when one implies the other. To address this gap, we leverage a body of work in information theory called partial information decomposition (PID), which first identifies three sources of unfairness in FL, namely, $\textit{Unique Disparity}$, $\textit{Redundant Disparity}$, and $\textit{Masked Disparity}$. We demonstrate how these three disparities contribute to global and local fairness using canonical examples. This decomposition helps us derive fundamental limits on the trade-off between global and local fairness, highlighting where they agree or disagree. We introduce the $\textit{Accuracy and Global-Local Fairness Optimality Problem (AGLFOP)}$, a convex optimization that defines the theoretical limits of accuracy and fairness trade-offs, identifying the best possible performance any FL strategy can attain given a dataset and client distribution. We also present experimental results on synthetic datasets and the ADULT dataset to support our theoretical findings.

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arXiv2023

Can Querying for Bias Leak Protected Attributes? Achieving Privacy With Smooth Sensitivity

Existing regulations prohibit model developers from accessing protected attributes (gender, race, etc.), often resulting in fairness assessments on populations without knowing their protected groups. In such scenarios, institutions often adopt a separation between the model developers (who train models with no access to the protected attributes) and a compliance team (who may have access to the entire dataset for auditing purposes). However, the model developers might be allowed to test their models for bias by querying the compliance team for group fairness metrics. In this paper, we first demonstrate that simply querying for fairness metrics, such as statistical parity and equalized odds can leak the protected attributes of individuals to the model developers. We demonstrate that there always exist strategies by which the model developers can identify the protected attribute of a targeted individual in the test dataset from just a single query. In particular, we show that one can reconstruct the protected attributes of all the individuals from O(Nk \log( n /Nk)) queries when Nk<<n using techniques from compressed sensing (n: size of the test dataset, Nk: size of smallest group). Our results pose an interesting debate in algorithmic fairness: should querying for fairness metrics be viewed as a neutral-valued solution to ensure compliance with regulations? Or, does it constitute a violation of regulations and privacy if the number of queries answered is enough for the model developers to identify the protected attributes of specific individuals? To address this supposed violation, we also propose Attribute-Conceal, a novel technique that achieves differential privacy by calibrating noise to the smooth sensitivity of our bias query, outperforming naive techniques such as the Laplace mechanism. We also include experimental results on the Adult dataset and synthetic data.

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arXiv2023

A Survey on the Robustness of Feature Importance and Counterfactual Explanations

There exist several methods that aim to address the crucial task of understanding the behaviour of AI/ML models. Arguably, the most popular among them are local explanations that focus on investigating model behaviour for individual instances. Several methods have been proposed for local analysis, but relatively lesser effort has gone into understanding if the explanations are robust and accurately reflect the behaviour of underlying models. In this work, we present a survey of the works that analysed the robustness of two classes of local explanations (feature importance and counterfactual explanations) that are popularly used in analysing AI/ML models in finance. The survey aims to unify existing definitions of robustness, introduces a taxonomy to classify different robustness approaches, and discusses some interesting results. Finally, the survey introduces some pointers about extending current robustness analysis approaches so as to identify reliable explainability methods.

cs.LG↗

arXiv2022

Robust Counterfactual Explanations for Tree-Based Ensembles

Counterfactual explanations inform ways to achieve a desired outcome from a machine learning model. However, such explanations are not robust to certain real-world changes in the underlying model (e.g., retraining the model, changing hyperparameters, etc.), questioning their reliability in several applications, e.g., credit lending. In this work, we propose a novel strategy -- that we call RobX -- to generate robust counterfactuals for tree-based ensembles, e.g., XGBoost. Tree-based ensembles pose additional challenges in robust counterfactual generation, e.g., they have a non-smooth and non-differentiable objective function, and they can change a lot in the parameter space under retraining on very similar data. We first introduce a novel metric -- that we call Counterfactual Stability -- that attempts to quantify how robust a counterfactual is going to be to model changes under retraining, and comes with desirable theoretical properties. Our proposed strategy RobX works with any counterfactual generation method (base method) and searches for robust counterfactuals by iteratively refining the counterfactual generated by the base method using our metric Counterfactual Stability. We compare the performance of RobX with popular counterfactual generation methods (for tree-based ensembles) across benchmark datasets. The results demonstrate that our strategy generates counterfactuals that are significantly more robust (nearly 100% validity after actual model changes) and also realistic (in terms of local outlier factor) over existing state-of-the-art methods.

cs.LG↗

arXiv2022

Fairness via In-Processing in the Over-parameterized Regime: A Cautionary Tale

The success of DNNs is driven by the counter-intuitive ability of over-parameterized networks to generalize, even when they perfectly fit the training data. In practice, test error often continues to decrease with increasing over-parameterization, referred to as double descent. This allows practitioners to instantiate large models without having to worry about over-fitting. Despite its benefits, however, prior work has shown that over-parameterization can exacerbate bias against minority subgroups. Several fairness-constrained DNN training methods have been proposed to address this concern. Here, we critically examine MinDiff, a fairness-constrained training procedure implemented within TensorFlow's Responsible AI Toolkit, that aims to achieve Equality of Opportunity. We show that although MinDiff improves fairness for under-parameterized models, it is likely to be ineffective in the over-parameterized regime. This is because an overfit model with zero training loss is trivially group-wise fair on training data, creating an "illusion of fairness," thus turning off the MinDiff optimization (this will apply to any disparity-based measures which care about errors or accuracy. It won't apply to demographic parity). Within specified fairness constraints, under-parameterized MinDiff models can even have lower error compared to their over-parameterized counterparts (despite baseline over-parameterized models having lower error). We further show that MinDiff optimization is very sensitive to choice of batch size in the under-parameterized regime. Thus, fair model training using MinDiff requires time-consuming hyper-parameter searches. Finally, we suggest using previously proposed regularization techniques, viz. L2, early stopping and flooding in conjunction with MinDiff to train fair over-parameterized models.

cs.LG↗

arXiv2022

Quantifying Feature Contributions to Overall Disparity Using Information Theory

When a machine-learning algorithm makes biased decisions, it can be helpful to understand the sources of disparity to explain why the bias exists. Towards this, we examine the problem of quantifying the contribution of each individual feature to the observed disparity. If we have access to the decision-making model, one potential approach (inspired from intervention-based approaches in explainability literature) is to vary each individual feature (while keeping the others fixed) and use the resulting change in disparity to quantify its contribution. However, we may not have access to the model or be able to test/audit its outputs for individually varying features. Furthermore, the decision may not always be a deterministic function of the input features (e.g., with human-in-the-loop). For these situations, we might need to explain contributions using purely distributional (i.e., observational) techniques, rather than interventional. We ask the question: what is the "potential" contribution of each individual feature to the observed disparity in the decisions when the exact decision-making mechanism is not accessible? We first provide canonical examples (thought experiments) that help illustrate the difference between distributional and interventional approaches to explaining contributions, and when either is better suited. When unable to intervene on the inputs, we quantify the "redundant" statistical dependency about the protected attribute that is present in both the final decision and an individual feature, by leveraging a body of work in information theory called Partial Information Decomposition. We also perform a simple case study to show how this technique could be applied to quantify contributions.

cs.LG↗

arXiv2021

Can Information Flows Suggest Targets for Interventions in Neural Circuits?

Motivated by neuroscientific and clinical applications, we empirically examine whether observational measures of information flow can suggest interventions. We do so by performing experiments on artificial neural networks in the context of fairness in machine learning, where the goal is to induce fairness in the system through interventions. Using our recently developed $M$-information flow framework, we measure the flow of information about the true label (responsible for accuracy, and hence desirable), and separately, the flow of information about a protected attribute (responsible for bias, and hence undesirable) on the edges of a trained neural network. We then compare the flow magnitudes against the effect of intervening on those edges by pruning. We show that pruning edges that carry larger information flows about the protected attribute reduces bias at the output to a greater extent. This demonstrates that $M$-information flow can meaningfully suggest targets for interventions, answering the title's question in the affirmative. We also evaluate bias-accuracy tradeoffs for different intervention strategies, to analyze how one might use estimates of desirable and undesirable information flows (here, accuracy and bias flows) to inform interventions that preserve the former while reducing the latter.

cs.IT↗

arXiv2021

Fairness Under Feature Exemptions: Counterfactual and Observational Measures

With the growing use of ML in highly consequential domains, quantifying disparity with respect to protected attributes, e.g., gender, race, etc., is important. While quantifying disparity is essential, sometimes the needs of an occupation may require the use of certain features that are critical in a way that any disparity that can be explained by them might need to be exempted. E.g., in hiring a software engineer for a safety-critical application, coding-skills may be weighed strongly, whereas name, zip code, or reference letters may be used only to the extent that they do not add disparity. In this work, we propose an information-theoretic decomposition of the total disparity (a quantification inspired from counterfactual fairness) into two components: a non-exempt component which quantifies the part that cannot be accounted for by the critical features, and an exempt component that quantifies the remaining disparity. This decomposition allows one to check if the disparity arose purely due to the critical features (inspired from the business necessity defense of disparate impact law) and also enables selective removal of the non-exempt component if desired. We arrive at this decomposition through canonical examples that lead to a set of desirable properties (axioms) that a measure of non-exempt disparity should satisfy. Our proposed measure satisfies all of them. Our quantification bridges ideas of causality, Simpson's paradox, and a body of work from information theory called Partial Information Decomposition. We also obtain an impossibility result showing that no observational measure can satisfy all the desirable properties, leading us to relax our goals and examine observational measures that satisfy only some of them. We perform case studies to show how one can audit/train models while reducing non-exempt disparity.

cs.IT↗

arXiv2021

GTN-ED: Event Detection Using Graph Transformer Networks

Recent works show that the graph structure of sentences, generated from dependency parsers, has potential for improving event detection. However, they often only leverage the edges (dependencies) between words, and discard the dependency labels (e.g., nominal-subject), treating the underlying graph edges as homogeneous. In this work, we propose a novel framework for incorporating both dependencies and their labels using a recently proposed technique called Graph Transformer Networks (GTN). We integrate GTNs to leverage dependency relations on two existing homogeneous-graph-based models, and demonstrate an improvement in the F1 score on the ACE dataset.

cs.CL↗

arXiv2020

Is There a Trade-Off Between Fairness and Accuracy? A Perspective Using Mismatched Hypothesis Testing

A trade-off between accuracy and fairness is almost taken as a given in the existing literature on fairness in machine learning. Yet, it is not preordained that accuracy should decrease with increased fairness. Novel to this work, we examine fair classification through the lens of mismatched hypothesis testing: trying to find a classifier that distinguishes between two ideal distributions when given two mismatched distributions that are biased. Using Chernoff information, a tool in information theory, we theoretically demonstrate that, contrary to popular belief, there always exist ideal distributions such that optimal fairness and accuracy (with respect to the ideal distributions) are achieved simultaneously: there is no trade-off. Moreover, the same classifier yields the lack of a trade-off with respect to ideal distributions while yielding a trade-off when accuracy is measured with respect to the given (possibly biased) dataset. To complement our main result, we formulate an optimization to find ideal distributions and derive fundamental limits to explain why a trade-off exists on the given biased dataset. We also derive conditions under which active data collection can alleviate the fairness-accuracy trade-off in the real world. Our results lead us to contend that it is problematic to measure accuracy with respect to data that reflects bias, and instead, we should be considering accuracy with respect to ideal, unbiased data.

stat.ML↗

arXiv2020

Slow and Stale Gradients Can Win the Race

Distributed Stochastic Gradient Descent (SGD) when run in a synchronous manner, suffers from delays in runtime as it waits for the slowest workers (stragglers). Asynchronous methods can alleviate stragglers, but cause gradient staleness that can adversely affect the convergence error. In this work, we present a novel theoretical characterization of the speedup offered by asynchronous methods by analyzing the trade-off between the error in the trained model and the actual training runtime(wallclock time). The main novelty in our work is that our runtime analysis considers random straggling delays, which helps us design and compare distributed SGD algorithms that strike a balance between straggling and staleness. We also provide a new error convergence analysis of asynchronous SGD variants without bounded or exponential delay assumptions. Finally, based on our theoretical characterization of the error-runtime trade-off, we propose a method of gradually varying synchronicity in distributed SGD and demonstrate its performance on CIFAR10 dataset.

stat.ML↗

arXiv2020

Information Flow in Computational Systems

We develop a theoretical framework for defining and identifying flows of information in computational systems. Here, a computational system is assumed to be a directed graph, with "clocked" nodes that send transmissions to each other along the edges of the graph at discrete points in time. We are interested in a definition that captures the dynamic flow of information about a specific message, and which guarantees an unbroken "information path" between appropriately defined inputs and outputs in the directed graph. Prior measures, including those based on Granger Causality and Directed Information, fail to provide clear assumptions and guarantees about when they correctly reflect information flow about a message. We take a systematic approach---iterating through candidate definitions and counterexamples---to arrive at a definition for information flow that is based on conditional mutual information, and which satisfies desirable properties, including the existence of information paths. Finally, we describe how information flow might be detected in a noiseless setting, and provide an algorithm to identify information paths on the time-unrolled graph of a computational system.

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