Participation in the age of foundation models

Growing interest and investment in the capabilities of foundation models has positioned such systems to impact a wide array of public services. Alongside these opportunities is the risk that these systems reify existing power imbalances and cause disproportionate harm to marginalized communities. Participatory approaches hold promise to instead lend agency and decision-making power to marginalized stakeholders. But existing approaches in participatory AI/ML are typically deeply grounded in context - how do we apply these approaches to foundation models, which are, by design, disconnected from context? Our paper interrogates this question. First, we examine existing attempts at incorporating participation into foundation models. We highlight the tension between participation and scale, demonstrating that it is intractable for impacted communities to meaningfully shape a foundation model that is intended to be universally applicable. In response, we develop a blueprint for participatory foundation models that identifies more local, application-oriented opportunities for meaningful participation. In addition to the "foundation" layer, our framework proposes the "subfloor'' layer, in which stakeholders develop shared technical infrastructure, norms and governance for a grounded domain, and the "surface'' layer, in which affected communities shape the use of a foundation model for a specific downstream task. The intermediate "subfloor'' layer scopes the range of potential harms to consider, and affords communities more concrete avenues for deliberation and intervention. At the same time, it avoids duplicative effort by scaling input across relevant use cases. Through three case studies in clinical care, financial services, and journalism, we illustrate how this multi-layer model can create more meaningful opportunities for participation than solely intervening at the foundation layer.

Improved Text Classification via Test-Time Augmentation

Test-time augmentation -- the aggregation of predictions across transformed examples of test inputs -- is an established technique to improve the performance of image classification models. Importantly, TTA can be used to improve model performance post-hoc, without additional training. Although test-time augmentation (TTA) can be applied to any data modality, it has seen limited adoption in NLP due in part to the difficulty of identifying label-preserving transformations. In this paper, we present augmentation policies that yield significant accuracy improvements with language models. A key finding is that augmentation policy design -- for instance, the number of samples generated from a single, non-deterministic augmentation -- has a considerable impact on the benefit of TTA. Experiments across a binary classification task and dataset show that test-time augmentation can deliver consistent improvements over current state-of-the-art approaches.

Beyond Faithfulness: A Framework to Characterize and Compare Saliency Methods

Saliency methods calculate how important each input feature is to a machine learning model's prediction, and are commonly used to understand model reasoning. "Faithfulness", or how fully and accurately the saliency output reflects the underlying model, is an oft-cited desideratum for these methods. However, explanation methods must necessarily sacrifice certain information in service of user-oriented goals such as simplicity. To that end, and akin to performance metrics, we frame saliency methods as abstractions: individual tools that provide insight into specific aspects of model behavior and entail tradeoffs. Using this framing, we describe a framework of nine dimensions to characterize and compare the properties of saliency methods. We group these dimensions into three categories that map to different phases of the interpretation process: methodology, or how the saliency is calculated; sensitivity, or relationships between the saliency result and the underlying model or input; and, perceptibility, or how a user interprets the result. As we show, these dimensions give us a granular vocabulary for describing and comparing saliency methods -- for instance, allowing us to develop "saliency cards" as a form of documentation, or helping downstream users understand tradeoffs and choose a method for a particular use case. Moreover, by situating existing saliency methods within this framework, we identify opportunities for future work, including filling gaps in the landscape and developing new evaluation metrics.

Intuitively Assessing ML Model Reliability through Example-Based Explanations and Editing Model Inputs

Interpretability methods aim to help users build trust in and understand the capabilities of machine learning models. However, existing approaches often rely on abstract, complex visualizations that poorly map to the task at hand or require non-trivial ML expertise to interpret. Here, we present two interface modules to facilitate a more intuitive assessment of model reliability. To help users better characterize and reason about a model's uncertainty, we visualize raw and aggregate information about a given input's nearest neighbors in the training dataset. Using an interactive editor, users can manipulate this input in semantically-meaningful ways, determine the effect on the output, and compare against their prior expectations. We evaluate our interface using an electrocardiogram beat classification case study. Compared to a baseline feature importance interface, we find that 9 physicians are better able to align the model's uncertainty with clinically relevant factors and build intuition about its capabilities and limitations.

Beyond Expertise and Roles: A Framework to Characterize the Stakeholders of Interpretable Machine Learning and their Needs

To ensure accountability and mitigate harm, it is critical that diverse stakeholders can interrogate black-box automated systems and find information that is understandable, relevant, and useful to them. In this paper, we eschew prior expertise- and role-based categorizations of interpretability stakeholders in favor of a more granular framework that decouples stakeholders' knowledge from their interpretability needs. We characterize stakeholders by their formal, instrumental, and personal knowledge and how it manifests in the contexts of machine learning, the data domain, and the general milieu. We additionally distill a hierarchical typology of stakeholder needs that distinguishes higher-level domain goals from lower-level interpretability tasks. In assessing the descriptive, evaluative, and generative powers of our framework, we find our more nuanced treatment of stakeholders reveals gaps and opportunities in the interpretability literature, adds precision to the design and comparison of user studies, and facilitates a more reflexive approach to conducting this research.

Underspecification Presents Challenges for Credibility in Modern Machine Learning

ML models often exhibit unexpectedly poor behavior when they are deployed in real-world domains. We identify underspecification as a key reason for these failures. An ML pipeline is underspecified when it can return many predictors with equivalently strong held-out performance in the training domain. Underspecification is common in modern ML pipelines, such as those based on deep learning. Predictors returned by underspecified pipelines are often treated as equivalent based on their training domain performance, but we show here that such predictors can behave very differently in deployment domains. This ambiguity can lead to instability and poor model behavior in practice, and is a distinct failure mode from previously identified issues arising from structural mismatch between training and deployment domains. We show that this problem appears in a wide variety of practical ML pipelines, using examples from computer vision, medical imaging, natural language processing, clinical risk prediction based on electronic health records, and medical genomics. Our results show the need to explicitly account for underspecification in modeling pipelines that are intended for real-world deployment in any domain.

Misplaced Trust: Measuring the Interference of Machine Learning in Human Decision-Making

ML decision-aid systems are increasingly common on the web, but their successful integration relies on people trusting them appropriately: they should use the system to fill in gaps in their ability, but recognize signals that the system might be incorrect. We measured how people's trust in ML recommendations differs by expertise and with more system information through a task-based study of 175 adults. We used two tasks that are difficult for humans: comparing large crowd sizes and identifying similar-looking animals. Our results provide three key insights: (1) People trust incorrect ML recommendations for tasks that they perform correctly the majority of the time, even if they have high prior knowledge about ML or are given information indicating the system is not confident in its prediction; (2) Four different types of system information all increased people's trust in recommendations; and (3) Math and logic skills may be as important as ML for decision-makers working with ML recommendations.

Image segmentation of liver stage malaria infection with spatial uncertainty sampling

Global eradication of malaria depends on the development of drugs effective against the silent, yet obligate liver stage of the disease. The gold standard in drug development remains microscopic imaging of liver stage parasites in in vitro cell culture models. Image analysis presents a major bottleneck in this pipeline since the parasite has significant variability in size, shape, and density in these models. As with other highly variable datasets, traditional segmentation models have poor generalizability as they rely on hand-crafted features; thus, manual annotation of liver stage malaria images remains standard. To address this need, we develop a convolutional neural network architecture that utilizes spatial dropout sampling for parasite segmentation and epistemic uncertainty estimation in images of liver stage malaria. Our pipeline produces high-precision segmentations nearly identical to expert annotations, generalizes well on a diverse dataset of liver stage malaria parasites, and promotes independence between learned feature maps to model the uncertainty of generated predictions.

A Framework for Understanding Unintended Consequences of Machine Learning

As machine learning increasingly affects people and society, it is important that we strive for a comprehensive and unified understanding of how and why unwanted consequences arise. For instance, downstream harms to particular groups are often blamed on "biased data," but this concept encompass too many issues to be useful in developing solutions. In this paper, we provide a framework that partitions sources of downstream harm in machine learning into five distinct categories spanning the data generation and machine learning pipeline. We describe how these issues arise, how they are relevant to particular applications, and how they motivate different solutions. In doing so, we aim to facilitate the development of solutions that stem from an understanding of application-specific populations and data generation processes, rather than relying on general claims about what may or may not be "fair."

Modeling Mistrust in End-of-Life Care

In this work, we characterize the doctor-patient relationship using a machine learning-derived trust score. We show that this score has statistically significant racial associations, and that by modeling trust directly we find stronger disparities in care than by stratifying on race. We further demonstrate that mistrust is indicative of worse outcomes, but is only weakly associated with physiologically-created severity scores. Finally, we describe sentiment analysis experiments indicating patients with higher levels of mistrust have worse experiences and interactions with their caregivers. This work is a step towards measuring fairer machine learning in the healthcare domain.