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Towards better XAI: Improving Shapley Values and Federated LearningInterpretability
Halmstad University, School of Information Technology.ORCID iD: 0000-0001-7055-2706
2024 (English)Licentiate thesis, comprehensive summary (Other academic)
Abstract [en]

The use of Artificial Intelligence (AI) in various areas has resulted in significant progress. However, it has also raised concerns about how transparent, understandable, and reliable AI models are. Explainable Artificial Intelligence(XAI) has become an important area of study because it makes AI systems easier for people to understand. XAI also aims to create trust, accountability, and transparency in AI systems, especially in vital areas such as healthcare, finance, and autonomous systems. Furthermore, XAI helps detect biases, improve model debugging, and enable the discovery of new insights from data.

With the increasing focus on the XAI field, we have developed a framework called Field’s Evolution Graph (FEG) to track the evolution of research within the XAI field. This framework helps researchers identify key concepts and their interrelationships over time. Different approaches have been developed in XAI, and Shaply values are among the most well-known techniques. We further examine this method by evaluating its computational cost and analyzing various characteristic functions. We have introduced EcoShap, a computationally efficient method for calculating Shapley values to identify the most important features. By focusing calculations on a few of the most important features, EcoShap significantly reduces the computational cost, making it feasible to apply Shapley values to large datasets.

The thesis is extended by analyzing different characteristic functions used in Shapley value calculations theoretically and practically. We examine how feature importance rankings are reliable and how considering various characteristic functions, like accuracy and F1-score metrics, affects those rankings.

Additionally, Federated Learning (FL) is a machine learning paradigm that is able to train global models from different clients while keeping data decentralized. Similar to other machine learning paradigms, XAI is needed in this context. To address this need, we have proposed a method to use Incremental Decision Trees as an inherently interpretable model within the FL framework, offering an interpretable alternative to black-box models. The objective is to employ inherently explainable models instead of trying to explain black-box models. Three aggregation strategies have been presented to combine local models into a global model while maintaining interpretability and accuracy.

In summary, the research in this thesis contributes to the field of XAI by introducing new methods to improve efficiency, analyzing existing methods to assess the reliability of XAI techniques, and proposing a solution for utilizing more intrinsically explainable models in the Federated Learning framework.

Place, publisher, year, edition, pages
Halmstad: Halmstad University Press, 2024. , p. 28
Series
Halmstad University Dissertations ; 124
Keywords [en]
eXplainable AI, Shapley Values, Federated Learning
National Category
Computer Systems
Identifiers
URN: urn:nbn:se:hh:diva-54994ISBN: 978-91-89587-65-6 (print)ISBN: 978-91-89587-64-9 (electronic)OAI: oai:DiVA.org:hh-54994DiVA, id: diva2:1918099
Presentation
2025-01-08, S3030, Kristian IV:s väg 3, Halmstad, 13:00 (English)
Opponent
Supervisors
Funder
VinnovaKnowledge FoundationAvailable from: 2024-12-04 Created: 2024-12-04 Last updated: 2025-10-01Bibliographically approved
List of papers
1. A systematic approach for tracking the evolution of XAI as a field of research
Open this publication in new window or tab >>A systematic approach for tracking the evolution of XAI as a field of research
2023 (English)In: Machine Learning and Principles and Practice of Knowledge Discovery in Databases: International Workshops of ECML PKDD 2022, Grenoble, France, September 19-23, 2022, Proceedings, Part II / [ed] Irena Koprinska; Paolo Mignone; Riccardo Guidotti; Szymon Jaroszewicz; Holger Fröning; Francesco Gullo; Pedro M. Ferreira; Damian Roqueiro, Cham: Springer, 2023, Vol. 1753, p. 461-476Conference paper, Published paper (Refereed)
Abstract [en]

The increasing use of AI methods in various applications has raised concerns about their explainability and transparency. Many solutions have been developed within the last few years to either explain the model itself or the decisions provided by the model. However, the number of contributions in the field of eXplainable AI (XAI) is increasing at such a high pace that it is almost impossible for a newcomer to identify key ideas, track the field’s evolution, or find promising new research directions. 

Typically, survey papers serve as a starting point, providing a feasible entry point into a research area. However, this is not trivial for some fields with exponential growth in the literature, such as XAI. For instance, we analyzed 23 surveys in the XAI domain published within the last three years and surprisingly found no common conceptualization among them. This makes XAI one of the most challenging research areas to enter. To address this problem, we propose a systematic approach that enables newcomers to identify the principal ideas and track their evolution. The proposed method includes automating the retrieval of relevant papers, extracting their semantic relationship, and creating a temporal graph of ideas by post-analysis of citation graphs. 

The main outcome of our method is Field’s Evolution Graph (FEG), which can be used to find the core idea of each approach in this field, see how a given concept has developed and evolved over time, observe how different notions interact with each other, and perceive how a new paradigm emerges through combining multiple ideas. As for demonstration, we show that FEG successfully identifies the field’s key articles, such as LIME or Grad-CAM, and maps out their evolution and relationships.

© 2023 The Author(s), under exclusive license to Springer Nature Switzerland AG.

Place, publisher, year, edition, pages
Cham: Springer, 2023
Series
Communications in Computer and Information Science, ISSN 978-3-031-23632-7, E-ISSN 978-3-031-23633-4 ; 2
Keywords
Field's Evolution, XAI, Explainable AI
National Category
Computer Sciences
Identifiers
urn:nbn:se:hh:diva-49831 (URN)10.1007/978-3-031-23633-4_31 (DOI)000967761200031 ()2-s2.0-85149954978 (Scopus ID)
Conference
Machine Learning and Principles and Practice of Knowledge Discovery in Databases: International Workshops of ECML PKDD 2022, Workshop on IoT Streams for Predictive Maintenance, Grenoble, France, September 19-23, 2022
Funder
Swedish Research Council, CHIST-ERA-19-XAI-012
Available from: 2023-01-16 Created: 2023-01-16 Last updated: 2025-10-01Bibliographically approved
2. EcoShap: Save Computations by only Calculating Shapley Values for Relevant Features
Open this publication in new window or tab >>EcoShap: Save Computations by only Calculating Shapley Values for Relevant Features
2024 (English)In: Artificial Intelligence. ECAI 2023 International Workshops: XAI^3, TACTIFUL, XI-ML, SEDAMI, RAAIT, AI4S, HYDRA, AI4AI, Kraków, Poland, September 30 – October 4, 2023, Proceedings, Part I / [ed] Nowaczyk, Sławomir et al., Cham: Springer, 2024, Vol. 1947, p. 24-42Conference paper, Published paper (Refereed)
Abstract [en]

One of the most widely adopted approaches for eXplainable Artificial Intelligence (XAI) involves employing of Shapley values (SVs) to determine the relative importance of input features. While based on a solid mathematical foundation derived from cooperative game theory, SVs have a significant drawback: high computational cost. Calculating the exact SV is an NP-hard problem, necessitating the use of approximations, particularly when dealing with more than twenty features. On the other hand, determining SVs for all features is seldom necessary in practice; users are primarily interested in the most important ones only. This paper introduces the Economic Hierarchical Shapley values (ecoShap) method for calculating SVs for the most crucial features only, with reduced computational cost. EcoShap iteratively expands disjoint groups of features in a tree-like manner, avoiding the expensive computations for the majority of less important features. Our experimental results across eight datasets demonstrate that the proposed technique efficiently identifies top features; at a 50% reduction in computational costs, it can determine between three and seven of the most important features. © The Author(s) 2024.

Place, publisher, year, edition, pages
Cham: Springer, 2024
Series
Communications in Computer and Information Science, ISSN 1865-0929, E-ISSN 1865-0937 ; 1947
Keywords
Explainable Artificial Intelligence (XAI), Feature Importance, Shapley Value
National Category
Computer Sciences
Identifiers
urn:nbn:se:hh:diva-52744 (URN)10.1007/978-3-031-50396-2_2 (DOI)2-s2.0-85184111581 (Scopus ID)978-3-031-50395-5 (ISBN)978-3-031-50396-2 (ISBN)
Conference
International Workshops of the 26th European Conference on Artificial Intelligence (ECAI 2023), Kraków, Poland, 30 September-4 October, 2023
Funder
Swedish Research Council, CHIST-ERA-19-XAI-012
Available from: 2024-02-23 Created: 2024-02-23 Last updated: 2025-10-01Bibliographically approved
3. Analysis of characteristic functions on Shapley values in Machine Learning
Open this publication in new window or tab >>Analysis of characteristic functions on Shapley values in Machine Learning
2024 (English)In: 2024 International Conference on Intelligent Environments (IE), Piscataway, NJ: IEEE, 2024, p. 70-77Conference paper, Published paper (Refereed)
Abstract [en]

In the rapidly evolving field of AI, Explainable Artificial Intelligence (XAI) has become paramount, particularly in Intelligent Environments applications. It offers clarity and understanding in complex decision-making processes, fostering trust and enabling rigorous scrutiny. The Shapley value, renowned for its accurate quantification of feature importance, has emerged as a prevalent standard in both academic research and practical application. Nevertheless, the Shapley value's reliance on the calculation of all possible coalitions poses a significant computational challenge, as it falls within the class of NP-hard problems. Consequently, approximation techniques are employed in most practical scenarios as a substitute for precise computations. The most common of those is the SHAP (SHapley Additive exPlanations) technique, which quantifies the influence exerted by a specific feature on decision outcomes of a specific Machine Learning model. However, the Shapley value's theoretical underpinnings focus on assessing and understanding feature impact on model evaluation metrics, rather than just alterations in the responses. This paper conducts a comparative analysis using controlled synthetic data with established ground truths. It juxtaposes the practical implementation of the SHAP approach with the theoretical model in two distinct scenarios: one using the F1-score and the other, the accuracy metric. These are two representative characteristic functions, capturing different aspects and whose appropriateness depends on the specific requirements and context of the task to be solved. We analyze how the three alternatives exhibit similarity and disparity in their manifestation of feature effects. We explore the parallels and differences between these approaches in reflecting feature effects. Ultimately, our research seeks to determine the conditions under which SHAP outcomes are more aligned with either the F1-score or the accuracy metric, thereby providing valuable insights for their application in various Intelligent Environment contexts. © 2024 IEEE.

Place, publisher, year, edition, pages
Piscataway, NJ: IEEE, 2024
Series
International Conference on Intelligent Environments, ISSN 2469-8792, E-ISSN 2472-7571
Keywords
accuracy, F1-score, imbalanced data, Shapley values, XAI
National Category
Computer Sciences
Identifiers
urn:nbn:se:hh:diva-54471 (URN)10.1109/IE61493.2024.10599897 (DOI)2-s2.0-85200723106 (Scopus ID)979-8-3503-8679-0 (ISBN)
Conference
20th International Conference on Intelligent Environments, IE 2024, Ljubljana, Slovenia, 17-20 June, 2024
Funder
Swedish Research Council, CHIST-ERA-19-XAI-012
Available from: 2024-08-21 Created: 2024-08-21 Last updated: 2025-10-01Bibliographically approved
4. Explainable Federated Learning by Incremental Decision Trees
Open this publication in new window or tab >>Explainable Federated Learning by Incremental Decision Trees
2024 (English)In: Explainable AI for Time Series and Data Streams 2024: Proceedings of the Workshop on Explainable AI for Time Series and Data Streams / [ed] Zahraa Abdallah; Fabian Fumagalli; Barbara Hammer; Eyke Hüllermeier; Matthias Jakobs; Emmanuel Müller; Maximilian Muschalik; Panagiotis Papapetrou; Amal Saadallah; George Tzagkarakis, Aachen: Rheinisch-Westfaelische Technische Hochschule Aachen , 2024, Vol. 3761, p. 58-69Conference paper, Published paper (Refereed)
Abstract [en]

Explainable Artificial Intelligence (XAI) is crucial in ensuring transparency, accountability, and trust in machine learning models, especially in applications involving high-stakes decision-making. This paper focuses on addressing the research gap in federated learning (FL), specifically emphasizing the use of inherently interpretable underlying models. While most FL frameworks rely on complex, black-box models such as Artificial Neural Networks (ANNs), we propose using Decision Tree (DT) classifiers to maintain explainability. More specifically, we introduce a novel framework for horizontal federated learning using Extremely Fast Decision Trees (EFDTs) with streaming data on the client side. Our approach involves aggregating clients' EFDTs on the server side without centralizing raw data, and the training process occurs on the clients' sides. We outline three aggregation strategies and demonstrate that our methods outperform local models and achieve performance levels close to centralized models while retaining inherent explainability. © 2024 CEUR-WS. All rights reserved.

Place, publisher, year, edition, pages
Aachen: Rheinisch-Westfaelische Technische Hochschule Aachen, 2024
Series
CEUR Workshop Proceedings, ISSN 1613-0073 ; 3761
Keywords
Data Stream, eXplainable AI (XAI), Extremely Fast Decision Tree, Federated Learning, Incremental Decision Tree
National Category
Computer Sciences
Identifiers
urn:nbn:se:hh:diva-54760 (URN)2-s2.0-85204974127 (Scopus ID)
Conference
2024 Workshop on Explainable AI for Time Series and Data Streams, TempXAI 2024, Vilnius, Lithuania, 9 September, 2024
Available from: 2024-10-29 Created: 2024-10-29 Last updated: 2025-10-01Bibliographically approved

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Citation style
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  • ieee
  • modern-language-association-8th-edition
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  • en-GB
  • en-US
  • fi-FI
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