论文标题
使用解释性方法审核多级模型的框架
A Framework for Auditing Multilevel Models using Explainability Methods
论文作者
论文摘要
多级模型的应用通常会根据一组输入功能在组或层次结构内部进行二进制分类。对于此类模型的透明和道德应用,需要开发合理的审计框架。在本文中,提出了用于回归MLMS技术评估的审计框架。重点是三个方面,模型,歧视,透明度和解释性。这些方面随后分为子方面。这些贡献者(例如MLM间的公平性,功能贡献顺序和汇总功能贡献)都针对这些子方面确定。为了衡量贡献者的绩效,该框架提出了KPI的入围名单。交通信号灯风险评估方法还与这些KPI相结合。为了评估透明度和解释性,使用了不同的解释性方法(SHAP和LIME),这些方法与使用定量方法和机器学习建模的模型固有方法进行了比较。使用开源数据集,对模型进行了训练和测试,并计算了KPI。可以证明,在解释这些模型时,流行的解释性方法(例如塑形和石灰)在准确性上表现不佳。他们无法预测特征重要性的顺序,幅度,偶尔甚至是功能贡献的性质。对于其他贡献者,例如群体公平及其相关的KPI,进行了类似的分析和计算,目的是为拟议的审计框架增加大多数。预计该框架将帮助监管机构使用企业的多级二项式分类模型对AI系统进行合格评估。它还将使部署MLMS的企业受益于将来的证明,并与欧洲委员会提出的有关人工智能的法规一致。
Applications of multilevel models usually result in binary classification within groups or hierarchies based on a set of input features. For transparent and ethical applications of such models, sound audit frameworks need to be developed. In this paper, an audit framework for technical assessment of regression MLMs is proposed. The focus is on three aspects, model, discrimination, and transparency and explainability. These aspects are subsequently divided into sub aspects. Contributors, such as inter MLM group fairness, feature contribution order, and aggregated feature contribution, are identified for each of these sub aspects. To measure the performance of the contributors, the framework proposes a shortlist of KPIs. A traffic light risk assessment method is furthermore coupled to these KPIs. For assessing transparency and explainability, different explainability methods (SHAP and LIME) are used, which are compared with a model intrinsic method using quantitative methods and machine learning modelling. Using an open source dataset, a model is trained and tested and the KPIs are computed. It is demonstrated that popular explainability methods, such as SHAP and LIME, underperform in accuracy when interpreting these models. They fail to predict the order of feature importance, the magnitudes, and occasionally even the nature of the feature contribution. For other contributors, such as group fairness and their associated KPIs, similar analysis and calculations have been performed with the aim of adding profundity to the proposed audit framework. The framework is expected to assist regulatory bodies in performing conformity assessments of AI systems using multilevel binomial classification models at businesses. It will also benefit businesses deploying MLMs to be future proof and aligned with the European Commission proposed Regulation on Artificial Intelligence.