Procedural Fairness in Machine Learning

Fairness in machine learning (ML) has received much attention. However, existing studies have mainly focused on the distributive fairness of ML models. The other dimension of fairness, i.e., procedural fairness, has been neglected. In this paper, we first define the procedural fairness of ML models, and then give formal definitions of individual and group procedural fairness. We propose a novel metric to evaluate the group procedural fairness of ML models, called $GPF_{FAE}$, which utilizes a widely used explainable artificial intelligence technique, namely feature attribution explanation (FAE), to capture the decision process of the ML models. We validate the effectiveness of $GPF_{FAE}$ on a synthetic dataset and eight real-world datasets. Our experiments reveal the relationship between procedural and distributive fairness of the ML model. Based on our analysis, we propose a method for identifying the features that lead to the procedural unfairness of the model and propose two methods to improve procedural fairness after identifying unfair features. Our experimental results demonstrate that we can accurately identify the features that lead to procedural unfairness in the ML model, and both of our proposed methods can significantly improve procedural fairness with a slight impact on model performance, while also improving distributive fairness.

Rethinking LLM Language Adaptation: A Case Study on Chinese Mixtral

Mixtral, a representative sparse mixture of experts (SMoE) language model, has received significant attention due to its unique model design and superior performance. Based on Mixtral-8x7B-v0.1, in this paper, we propose Chinese-Mixtral and Chinese-Mixtral-Instruct with improved Chinese language abilities by adopting further pre-training and instruction fine-tuning. Experimental results show that our Chinese-Mixtral and Chinese-Mixtral-Instruct successfully improve Chinese understanding and generation performance while retaining the original English abilities. Then, we discuss several key questions when performing language adaptation on large language models, including the necessity of extending the language-specific vocabulary and the choice of the initialization model (foundation model v.s. instruction model), by providing empirical results and analysis. We also present the visualizations of each expert to examine their importance on downstream tasks. Our resources are publicly available through \url{https://github.com/ymcui/Chinese-Mixtral}.

Clustering in Dynamic Environments: A Framework for Benchmark Dataset Generation With Heterogeneous Changes

Clustering in dynamic environments is of increasing importance, with broad applications ranging from real-time data analysis and online unsupervised learning to dynamic facility location problems. While meta-heuristics have shown promising effectiveness in static clustering tasks, their application for tracking optimal clustering solutions or robust clustering over time in dynamic environments remains largely underexplored. This is partly due to a lack of dynamic datasets with diverse, controllable, and realistic dynamic characteristics, hindering systematic performance evaluations of clustering algorithms in various dynamic scenarios. This deficiency leads to a gap in our understanding and capability to effectively design algorithms for clustering in dynamic environments. To bridge this gap, this paper introduces the Dynamic Dataset Generator (DDG). DDG features multiple dynamic Gaussian components integrated with a range of heterogeneous, local, and global changes. These changes vary in spatial and temporal severity, patterns, and domain of influence, providing a comprehensive tool for simulating a wide range of dynamic scenarios.

Fast Estimations of Hitting Time of Elitist Evolutionary Algorithms from Fitness Levels

The fitness level method is an easy-to-use tool for estimating the hitting time of elitist EAs. Recently, general linear lower and upper bounds from fitness levels have been constructed. However, the construction of these bounds requires recursive computation, which makes them difficult to use in practice. We address this shortcoming with a new directed graph (digraph) method that does not require recursive computation and significantly simplifies the calculation of coefficients in linear bounds. In this method, an EA is modeled as a Markov chain on a digraph. Lower and upper bounds are directly calculated using conditional transition probabilities on the digraph. This digraph method provides straightforward and explicit expressions of lower and upper time bound for elitist EAs. In particular, it can be used to derive tight lower bound on both fitness landscapes without and with shortcuts. This is demonstrated through four examples: the (1+1) EA on OneMax, FullyDeceptive, TwoMax1 and Deceptive. Our work extends the fitness level method from addressing simple fitness functions without shortcuts to more realistic functions with shortcuts.

Sanitized Clustering against Confounding Bias

Real-world datasets inevitably contain biases that arise from different sources or conditions during data collection. Consequently, such inconsistency itself acts as a confounding factor that disturbs the cluster analysis. Existing methods eliminate the biases by projecting data onto the orthogonal complement of the subspace expanded by the confounding factor before clustering. Therein, the interested clustering factor and the confounding factor are coarsely considered in the raw feature space, where the correlation between the data and the confounding factor is ideally assumed to be linear for convenient solutions. These approaches are thus limited in scope as the data in real applications is usually complex and non-linearly correlated with the confounding factor. This paper presents a new clustering framework named Sanitized Clustering Against confounding Bias (SCAB), which removes the confounding factor in the semantic latent space of complex data through a non-linear dependence measure. To be specific, we eliminate the bias information in the latent space by minimizing the mutual information between the confounding factor and the latent representation delivered by Variational Auto-Encoder (VAE). Meanwhile, a clustering module is introduced to cluster over the purified latent representations. Extensive experiments on complex datasets demonstrate that our SCAB achieves a significant gain in clustering performance by removing the confounding bias. The code is available at \url{https://github.com/EvaFlower/SCAB}.

EFFL: Egalitarian Fairness in Federated Learning for Mitigating Matthew Effect

Recent advances in federated learning (FL) enable collaborative training of machine learning (ML) models from large-scale and widely dispersed clients while protecting their privacy. However, when different clients' datasets are heterogeneous, traditional FL mechanisms produce a global model that does not adequately represent the poorer clients with limited data resources, resulting in lower accuracy and higher bias on their local data. According to the Matthew effect, which describes how the advantaged gain more advantage and the disadvantaged lose more over time, deploying such a global model in client applications may worsen the resource disparity among the clients and harm the principles of social welfare and fairness. To mitigate the Matthew effect, we propose Egalitarian Fairness Federated Learning (EFFL), where egalitarian fairness refers to the global model learned from FL has: (1) equal accuracy among clients; (2) equal decision bias among clients. Besides achieving egalitarian fairness among the clients, EFFL also aims for performance optimality, minimizing the empirical risk loss and the bias for each client; both are essential for any ML model training, whether centralized or decentralized. We formulate EFFL as a constrained multi-constrained multi-objectives optimization (MCMOO) problem, with the decision bias and egalitarian fairness as constraints and the minimization of the empirical risk losses on all clients as multiple objectives to be optimized. We propose a gradient-based three-stage algorithm to obtain the Pareto optimal solutions within the constraint space. Extensive experiments demonstrate that EFFL outperforms other state-of-the-art FL algorithms in achieving a high-performance global model with enhanced egalitarian fairness among all clients.

Evolutionary Dynamic Optimization Laboratory: A MATLAB Optimization Platform for Education and Experimentation in Dynamic Environments

Many real-world optimization problems possess dynamic characteristics. Evolutionary dynamic optimization algorithms (EDOAs) aim to tackle the challenges associated with dynamic optimization problems. Looking at the existing works, the results reported for a given EDOA can sometimes be considerably different. This issue occurs because the source codes of many EDOAs, which are usually very complex algorithms, have not been made publicly available. Indeed, the complexity of components and mechanisms used in many EDOAs makes their re-implementation error-prone. In this paper, to assist researchers in performing experiments and comparing their algorithms against several EDOAs, we develop an open-source MATLAB platform for EDOAs, called Evolutionary Dynamic Optimization LABoratory (EDOLAB). This platform also contains an education module that can be used for educational purposes. In the education module, the user can observe a) a 2-dimensional problem space and how its morphology changes after each environmental change, b) the behaviors of individuals over time, and c) how the EDOA reacts to environmental changes and tries to track the moving optimum. In addition to being useful for research and education purposes, EDOLAB can also be used by practitioners to solve their real-world problems. The current version of EDOLAB includes 25 EDOAs and three fully-parametric benchmark generators. The MATLAB source code for EDOLAB is publicly available and can be accessed from [https://github.com/EDOLAB-platform/EDOLAB-MATLAB].

Knowledge Transfer for Dynamic Multi-objective Optimization with a Changing Number of Objectives

Different from most other dynamic multi-objective optimization problems (DMOPs), DMOPs with a changing number of objectives usually result in expansion or contraction of the Pareto front or Pareto set manifold. Knowledge transfer has been used for solving DMOPs, since it can transfer useful information from solving one problem instance to solve another related problem instance. However, we show that the state-of-the-art transfer algorithm for DMOPs with a changing number of objectives lacks sufficient diversity when the fitness landscape and Pareto front shape present nonseparability, deceptiveness or other challenging features. Therefore, we propose a knowledge transfer dynamic multi-objective evolutionary algorithm (KTDMOEA) to enhance population diversity after changes by expanding/contracting the Pareto set in response to an increase/decrease in the number of objectives. This enables a solution set with good convergence and diversity to be obtained after optimization. Comprehensive studies using 13 DMOP benchmarks with a changing number of objectives demonstrate that our proposed KTDMOEA is successful in enhancing population diversity compared to state-of-the-art algorithms, improving optimization especially in fast changing environments.

Constrained Reinforcement Learning for Dynamic Material Handling

As one of the core parts of flexible manufacturing systems, material handling involves storage and transportation of materials between workstations with automated vehicles. The improvement in material handling can impulse the overall efficiency of the manufacturing system. However, the occurrence of dynamic events during the optimisation of task arrangements poses a challenge that requires adaptability and effectiveness. In this paper, we aim at the scheduling of automated guided vehicles for dynamic material handling. Motivated by some real-world scenarios, unknown new tasks and unexpected vehicle breakdowns are regarded as dynamic events in our problem. We formulate the problem as a constrained Markov decision process which takes into account tardiness and available vehicles as cumulative and instantaneous constraints, respectively. An adaptive constrained reinforcement learning algorithm that combines Lagrangian relaxation and invalid action masking, named RCPOM, is proposed to address the problem with two hybrid constraints. Moreover, a gym-like dynamic material handling simulator, named DMH-GYM, is developed and equipped with diverse problem instances, which can be used as benchmarks for dynamic material handling. Experimental results on the problem instances demonstrate the outstanding performance of our proposed approach compared with eight state-of-the-art constrained and non-constrained reinforcement learning algorithms, and widely used dispatching rules for material handling.

Theoretical Analyses of Evolutionary Algorithms on Time-Linkage OneMax with General Weights

Evolutionary computation has shown its superiority in dynamic optimization, but for the (dynamic) time-linkage problems, some theoretical studies have revealed the possible weakness of evolutionary computation. Since the theoretically analyzed time-linkage problem only considers the influence of an extremely strong negative time-linkage effect, it remains unclear whether the weakness also appears in problems with more general time-linkage effects. Besides, understanding in depth the relationship between time-linkage effect and algorithmic features is important to build up our knowledge of what algorithmic features are good at what kinds of problems. In this paper, we analyze the general time-linkage effect and consider the time-linkage OneMax with general weights whose absolute values reflect the strength and whose sign reflects the positive or negative influence. We prove that except for some small and positive time-linkage effects (that is, for weights $0$ and $1$), randomized local search (RLS) and (1+1)EA cannot converge to the global optimum with a positive probability. More precisely, for the negative time-linkage effect (for negative weights), both algorithms cannot efficiently reach the global optimum and the probability of failing to converge to the global optimum is at least $1-o(1)$. For the not so small positive time-linkage effect (positive weights greater than $1$), such a probability is at most $c+o(1)$ where $c$ is a constant strictly less than $1$.