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In this paper, we show that counterfactual explanations of confidence scores help users better understand and better trust an AI model's prediction in human-subject studies. Showing confidence scores in human-agent interaction systems can help build trust between humans and AI systems. However, most existing research only used the confidence score as a form of communication, and we still lack ways to explain why the algorithm is confident. This paper also presents two methods for understanding model confidence using counterfactual explanation: (1) based on counterfactual examples; and (2) based on visualisation of the counterfactual space.

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The most prominent tasks in emotion analysis are to assign emotions to texts and to understand how emotions manifest in language. An observation for NLP is that emotions can be communicated implicitly by referring to events, appealing to an empathetic, intersubjective understanding of events, even without explicitly mentioning an emotion name. In psychology, the class of emotion theories known as appraisal theories aims at explaining the link between events and emotions. Appraisals can be formalized as variables that measure a cognitive evaluation by people living through an event that they consider relevant. They include the assessment if an event is novel, if the person considers themselves to be responsible, if it is in line with the own goals, and many others. Such appraisals explain which emotions are developed based on an event, e.g., that a novel situation can induce surprise or one with uncertain consequences could evoke fear. We analyze the suitability of appraisal theories for emotion analysis in text with the goal of understanding if appraisal concepts can reliably be reconstructed by annotators, if they can be predicted by text classifiers, and if appraisal concepts help to identify emotion categories. To achieve that, we compile a corpus by asking people to textually describe events that triggered particular emotions and to disclose their appraisals. Then, we ask readers to reconstruct emotions and appraisals from the text. This setup allows us to measure if emotions and appraisals can be recovered purely from text and provides a human baseline. Our comparison of text classification methods to human annotators shows that both can reliably detect emotions and appraisals with similar performance. Therefore, appraisals constitute an alternative computational emotion analysis paradigm and further improve the categorization of emotions in text with joint models.

Many internet platforms that collect behavioral big data use it to predict user behavior for internal purposes and for their business customers (e.g., advertisers, insurers, security forces, governments, political consulting firms) who utilize the predictions for personalization, targeting, and other decision-making. Improving predictive accuracy is therefore extremely valuable. Data science researchers design algorithms, models, and approaches to improve prediction. Prediction is also improved with larger and richer data. Beyond improving algorithms and data, platforms can stealthily achieve better prediction accuracy by pushing users' behaviors towards their predicted values, using behavior modification techniques, thereby demonstrating more certain predictions. Such apparent "improved" prediction can result from employing reinforcement learning algorithms that combine prediction and behavior modification. This strategy is absent from the machine learning and statistics literature. Investigating its properties requires integrating causal with predictive notation. To this end, we incorporate Pearl's causal do(.) operator into the predictive vocabulary. We then decompose the expected prediction error given behavior modification, and identify the components impacting predictive power. Our derivation elucidates implications of such behavior modification to data scientists, platforms, their customers, and the humans whose behavior is manipulated. Behavior modification can make users' behavior more predictable and even more homogeneous; yet this apparent predictability might not generalize when business customers use predictions in practice. Outcomes pushed towards their predictions can be at odds with customers' intentions, and harmful to manipulated users.

Vulnerability prediction refers to the problem of identifying system components that are most likely to be vulnerable. Typically, this problem is tackled by training binary classifiers on historical data. Unfortunately, recent research has shown that such approaches underperform due to the following two reasons: a) the imbalanced nature of the problem, and b) the inherently noisy historical data, i.e., most vulnerabilities are discovered much later than they are introduced. This misleads classifiers as they learn to recognize actual vulnerable components as non-vulnerable. To tackle these issues, we propose TROVON, a technique that learns from known vulnerable components rather than from vulnerable and non-vulnerable components, as typically performed. We perform this by contrasting the known vulnerable, and their respective fixed components. This way, TROVON manages to learn from the things we know, i.e., vulnerabilities, hence reducing the effects of noisy and unbalanced data. We evaluate TROVON by comparing it with existing techniques on three security-critical open source systems, i.e., Linux Kernel, OpenSSL, and Wireshark, with historical vulnerabilities that have been reported in the National Vulnerability Database (NVD). Our evaluation demonstrates that the prediction capability of TROVON significantly outperforms existing vulnerability prediction techniques such as Software Metrics, Imports, Function Calls, Text Mining, Devign, LSTM, and LSTM-RF with an improvement of 40.84% in Matthews Correlation Coefficient (MCC) score under Clean Training Data Settings, and an improvement of 35.52% under Realistic Training Data Settings.

We present a sampling-based control approach that can generate smooth actions for general nonlinear systems without external smoothing algorithms. Model Predictive Path Integral (MPPI) control has been utilized in numerous robotic applications due to its appealing characteristics to solve non-convex optimization problems. However, the stochastic nature of sampling-based methods can cause significant chattering in the resulting commands. Chattering becomes more prominent in cases where the environment changes rapidly, possibly even causing the MPPI to diverge. To address this issue, we propose a method that seamlessly combines MPPI with an input-lifting strategy. In addition, we introduce a new action cost to smooth control sequence during trajectory rollouts while preserving the information theoretic interpretation of MPPI, which was derived from non-affine dynamics. We validate our method in two nonlinear control tasks with neural network dynamics: a pendulum swing-up task and a challenging autonomous driving task. The experimental results demonstrate that our method outperforms the MPPI baselines with additionally applied smoothing algorithms.

Detecting and mitigating harmful biases in modern language models are widely recognized as crucial, open problems. In this paper, we take a step back and investigate how language models come to be biased in the first place. We use a relatively small language model, using the LSTM architecture trained on an English Wikipedia corpus. With full access to the data and to the model parameters as they change during every step while training, we can map in detail how the representation of gender develops, what patterns in the dataset drive this, and how the model's internal state relates to the bias in a downstream task (semantic textual similarity). We find that the representation of gender is dynamic and identify different phases during training. Furthermore, we show that gender information is represented increasingly locally in the input embeddings of the model and that, as a consequence, debiasing these can be effective in reducing the downstream bias. Monitoring the training dynamics, allows us to detect an asymmetry in how the female and male gender are represented in the input embeddings. This is important, as it may cause naive mitigation strategies to introduce new undesirable biases. We discuss the relevance of the findings for mitigation strategies more generally and the prospects of generalizing our methods to larger language models, the Transformer architecture, other languages and other undesirable biases.

Interpretability methods are developed to understand the working mechanisms of black-box models, which is crucial to their responsible deployment. Fulfilling this goal requires both that the explanations generated by these methods are correct and that people can easily and reliably understand them. While the former has been addressed in prior work, the latter is often overlooked, resulting in informal model understanding derived from a handful of local explanations. In this paper, we introduce explanation summary (ExSum), a mathematical framework for quantifying model understanding, and propose metrics for its quality assessment. On two domains, ExSum highlights various limitations in the current practice, helps develop accurate model understanding, and reveals easily overlooked properties of the model. We also connect understandability to other properties of explanations such as human alignment, robustness, and counterfactual minimality and plausibility.

Structural data well exists in Web applications, such as social networks in social media, citation networks in academic websites, and threads data in online forums. Due to the complex topology, it is difficult to process and make use of the rich information within such data. Graph Neural Networks (GNNs) have shown great advantages on learning representations for structural data. However, the non-transparency of the deep learning models makes it non-trivial to explain and interpret the predictions made by GNNs. Meanwhile, it is also a big challenge to evaluate the GNN explanations, since in many cases, the ground-truth explanations are unavailable. In this paper, we take insights of Counterfactual and Factual (CF^2) reasoning from causal inference theory, to solve both the learning and evaluation problems in explainable GNNs. For generating explanations, we propose a model-agnostic framework by formulating an optimization problem based on both of the two casual perspectives. This distinguishes CF^2 from previous explainable GNNs that only consider one of them. Another contribution of the work is the evaluation of GNN explanations. For quantitatively evaluating the generated explanations without the requirement of ground-truth, we design metrics based on Counterfactual and Factual reasoning to evaluate the necessity and sufficiency of the explanations. Experiments show that no matter ground-truth explanations are available or not, CF^2 generates better explanations than previous state-of-the-art methods on real-world datasets. Moreover, the statistic analysis justifies the correlation between the performance on ground-truth evaluation and our proposed metrics.

Fast developing artificial intelligence (AI) technology has enabled various applied systems deployed in the real world, impacting people's everyday lives. However, many current AI systems were found vulnerable to imperceptible attacks, biased against underrepresented groups, lacking in user privacy protection, etc., which not only degrades user experience but erodes the society's trust in all AI systems. In this review, we strive to provide AI practitioners a comprehensive guide towards building trustworthy AI systems. We first introduce the theoretical framework of important aspects of AI trustworthiness, including robustness, generalization, explainability, transparency, reproducibility, fairness, privacy preservation, alignment with human values, and accountability. We then survey leading approaches in these aspects in the industry. To unify the current fragmented approaches towards trustworthy AI, we propose a systematic approach that considers the entire lifecycle of AI systems, ranging from data acquisition to model development, to development and deployment, finally to continuous monitoring and governance. In this framework, we offer concrete action items to practitioners and societal stakeholders (e.g., researchers and regulators) to improve AI trustworthiness. Finally, we identify key opportunities and challenges in the future development of trustworthy AI systems, where we identify the need for paradigm shift towards comprehensive trustworthy AI systems.

We present a novel counterfactual framework for both Zero-Shot Learning (ZSL) and Open-Set Recognition (OSR), whose common challenge is generalizing to the unseen-classes by only training on the seen-classes. Our idea stems from the observation that the generated samples for unseen-classes are often out of the true distribution, which causes severe recognition rate imbalance between the seen-class (high) and unseen-class (low). We show that the key reason is that the generation is not Counterfactual Faithful, and thus we propose a faithful one, whose generation is from the sample-specific counterfactual question: What would the sample look like, if we set its class attribute to a certain class, while keeping its sample attribute unchanged? Thanks to the faithfulness, we can apply the Consistency Rule to perform unseen/seen binary classification, by asking: Would its counterfactual still look like itself? If ``yes'', the sample is from a certain class, and ``no'' otherwise. Through extensive experiments on ZSL and OSR, we demonstrate that our framework effectively mitigates the seen/unseen imbalance and hence significantly improves the overall performance. Note that this framework is orthogonal to existing methods, thus, it can serve as a new baseline to evaluate how ZSL/OSR models generalize. Codes are available at //github.com/yue-zhongqi/gcm-cf.

Machine learning plays a role in many deployed decision systems, often in ways that are difficult or impossible to understand by human stakeholders. Explaining, in a human-understandable way, the relationship between the input and output of machine learning models is essential to the development of trustworthy machine-learning-based systems. A burgeoning body of research seeks to define the goals and methods of explainability in machine learning. In this paper, we seek to review and categorize research on counterfactual explanations, a specific class of explanation that provides a link between what could have happened had input to a model been changed in a particular way. Modern approaches to counterfactual explainability in machine learning draw connections to the established legal doctrine in many countries, making them appealing to fielded systems in high-impact areas such as finance and healthcare. Thus, we design a rubric with desirable properties of counterfactual explanation algorithms and comprehensively evaluate all currently-proposed algorithms against that rubric. Our rubric provides easy comparison and comprehension of the advantages and disadvantages of different approaches and serves as an introduction to major research themes in this field. We also identify gaps and discuss promising research directions in the space of counterfactual explainability.

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