Aligning XAI with EU Regulations for Smart Biomedical Devices: A Methodology for Compliance Analysis

Significant investment and development have gone into integrating Artificial Intelligence (AI) in medical and healthcare applications, leading to advanced control systems in medical technology. However, the opacity of AI systems raises concerns about essential characteristics needed in such sensitive applications, like transparency and trustworthiness. Our study addresses these concerns by investigating a process for selecting the most adequate Explainable AI (XAI) methods to comply with the explanation requirements of key EU regulations in the context of smart bioelectronics for medical devices. The adopted methodology starts with categorising smart devices by their control mechanisms (open-loop, closed-loop, and semi-closed-loop systems) and delving into their technology. Then, we analyse these regulations to define their explainability requirements for the various devices and related goals. Simultaneously, we classify XAI methods by their explanatory objectives. This allows for matching legal explainability requirements with XAI explanatory goals and determining the suitable XAI algorithms for achieving them. Our findings provide a nuanced understanding of which XAI algorithms align better with EU regulations for different types of medical devices. We demonstrate this through practical case studies on different neural implants, from chronic disease management to advanced prosthetics. This study fills a crucial gap in aligning XAI applications in bioelectronics with stringent provisions of EU regulations. It provides a practical framework for developers and researchers, ensuring their AI innovations advance healthcare technology and adhere to legal and ethical standards.

An Empirical Study on Compliance with Ranking Transparency in the Software Documentation of EU Online Platforms

Compliance with the European Union's Platform-to-Business (P2B) Regulation is challenging for online platforms, and assessing their compliance can be difficult for public authorities. This is partly due to the lack of automated tools for assessing the information (e.g., software documentation) platforms provide concerning ranking transparency. Our study tackles this issue in two ways. First, we empirically evaluate the compliance of six major platforms (Amazon, Bing, Booking, Google, Tripadvisor, and Yahoo), revealing substantial differences in their documentation. Second, we introduce and test automated compliance assessment tools based on ChatGPT and information retrieval technology. These tools are evaluated against human judgments, showing promising results as reliable proxies for compliance assessments. Our findings could help enhance regulatory compliance and align with the United Nations Sustainable Development Goal 10.3, which seeks to reduce inequality, including business disparities, on these platforms.

A Survey on Methods and Metrics for the Assessment of Explainability under the Proposed AI Act

This study discusses the interplay between metrics used to measure the explainability of the AI systems and the proposed EU Artificial Intelligence Act. A standardisation process is ongoing: several entities (e.g. ISO) and scholars are discussing how to design systems that are compliant with the forthcoming Act and explainability metrics play a significant role. This study identifies the requirements that such a metric should possess to ease compliance with the AI Act. It does so according to an interdisciplinary approach, i.e. by departing from the philosophical concept of explainability and discussing some metrics proposed by scholars and standardisation entities through the lenses of the explainability obligations set by the proposed AI Act. Our analysis proposes that metrics to measure the kind of explainability endorsed by the proposed AI Act shall be risk-focused, model-agnostic, goal-aware, intelligible & accessible. This is why we discuss the extent to which these requirements are met by the metrics currently under discussion.

Generating User-Centred Explanations via Illocutionary Question Answering: From Philosophy to Interfaces

We propose a new method for generating explanations with Artificial Intelligence (AI) and a tool to test its expressive power within a user interface. In order to bridge the gap between philosophy and human-computer interfaces, we show a new approach for the generation of interactive explanations based on a sophisticated pipeline of AI algorithms for structuring natural language documents into knowledge graphs, answering questions effectively and satisfactorily. With this work we aim to prove that the philosophical theory of explanations presented by Achinstein can be actually adapted for being implemented into a concrete software application, as an interactive and illocutionary process of answering questions. Specifically, our contribution is an approach to frame illocution in a computer-friendly way, to achieve user-centrality with statistical question answering. In fact, we frame illocution, in an explanatory process, as that mechanism responsible for anticipating the needs of the explainee in the form of unposed, implicit, archetypal questions, hence improving the user-centrality of the underlying explanatory process. More precisely, we hypothesise that given an arbitrary explanatory process, increasing its goal-orientedness and degree of illocution results in the generation of more usable (as per ISO 9241-210) explanations. We tested our hypotheses with a user-study involving more than 60 participants, on two XAI-based systems, one for credit approval (finance) and one for heart disease prediction (healthcare). The results showed that our proposed solution produced a statistically significant improvement (hence with a p-value lower than 0.05) on effectiveness. This, combined with a visible alignment between the increments in effectiveness and satisfaction, suggests that our understanding of illocution can be correct, giving evidence in favour of our theory.

Making Things Explainable vs Explaining: Requirements and Challenges under the GDPR

The European Union (EU) through the High-Level Expert Group on Artificial Intelligence (AI-HLEG) and the General Data Protection Regulation (GDPR) has recently posed an interesting challenge to the eXplainable AI (XAI) community, by demanding a more user-centred approach to explain Automated Decision-Making systems (ADMs). Looking at the relevant literature, XAI is currently focused on producing explainable software and explanations that generally follow an approach we could term One-Size-Fits-All, that is unable to meet a requirement of centring on user needs. One of the causes of this limit is the belief that making things explainable alone is enough to have pragmatic explanations. Thus, insisting on a clear separation between explainabilty (something that can be explained) and explanations, we point to explanatorY AI (YAI) as an alternative and more powerful approach to win the AI-HLEG challenge. YAI builds over XAI with the goal to collect and organize explainable information, articulating it into something we called user-centred explanatory discourses. Through the use of explanatory discourses/narratives we represent the problem of generating explanations for Automated Decision-Making systems (ADMs) into the identification of an appropriate path over an explanatory space, allowing explainees to interactively explore it and produce the explanation best suited to their needs.

Explanation-Aware Experience Replay in Rule-Dense Environments

Human environments are often regulated by explicit and complex rulesets. Integrating Reinforcement Learning (RL) agents into such environments motivates the development of learning mechanisms that perform well in rule-dense and exception-ridden environments such as autonomous driving on regulated roads. In this paper, we propose a method for organising experience by means of partitioning the experience buffer into clusters labelled on a per-explanation basis. We present discrete and continuous navigation environments compatible with modular rulesets and 9 learning tasks. For environments with explainable rulesets, we convert rule-based explanations into case-based explanations by allocating state-transitions into clusters labelled with explanations. This allows us to sample experiences in a curricular and task-oriented manner, focusing on the rarity, importance, and meaning of events. We label this concept Explanation-Awareness (XA). We perform XA experience replay (XAER) with intra and inter-cluster prioritisation, and introduce XA-compatible versions of DQN, TD3, and SAC. Performance is consistently superior with XA versions of those algorithms, compared to traditional Prioritised Experience Replay baselines, indicating that explanation engineering can be used in lieu of reward engineering for environments with explainable features.

An Objective Metric for Explainable AI: How and Why to Estimate the Degree of Explainability

Numerous government initiatives (e.g. the EU with GDPR) are coming to the conclusion that the increasing complexity of modern software systems must be contrasted with some Rights to Explanation and metrics for the Impact Assessment of these tools, that allow humans to understand and oversee the output of Automated Decision Making systems. Explainable AI was born as a pathway to allow humans to explore and understand the inner working of complex systems. But establishing what is an explanation and objectively evaluating explainability, are not trivial tasks. With this paper, we present a new model-agnostic metric to measure the Degree of eXplainability of correct information in an objective way, exploiting a specific model from Ordinary Language Philosophy called the Achinstein's Theory of Explanations. In order to understand whether this metric is actually behaving as explainability is expected to, we designed a few experiments and a user-study on two realistic AI-based systems for healthcare and finance, involving famous AI technology including Artificial Neural Networks and TreeSHAP. The results we obtained are very encouraging, suggesting that our proposed metric for measuring the Degree of eXplainability is robust on several scenarios and it can be eventually exploited for a lawful Impact Assessment of an Automated Decision Making system.

From Philosophy to Interfaces: an Explanatory Method and a Tool Inspired by Achinstein's Theory of Explanation

We propose a new method for explanations in Artificial Intelligence (AI) and a tool to test its expressive power within a user interface. In order to bridge the gap between philosophy and human-computer interfaces, we show a new approach for the generation of interactive explanations based on a sophisticated pipeline of AI algorithms for structuring natural language documents into knowledge graphs, answering questions effectively and satisfactorily. Among the mainstream philosophical theories of explanation we identified one that in our view is more easily applicable as a practical model for user-centric tools: Achinstein's Theory of Explanation. With this work we aim to prove that the theory proposed by Achinstein can be actually adapted for being implemented into a concrete software application, as an interactive process answering questions. To this end we found a way to handle the generic (archetypal) questions that implicitly characterise an explanatory processes as preliminary overviews rather than as answers to explicit questions, as commonly understood. To show the expressive power of this approach we designed and implemented a pipeline of AI algorithms for the generation of interactive explanations under the form of overviews, focusing on this aspect of explanations rather than on existing interfaces and presentation logic layers for question answering. We tested our hypothesis on a well-known XAI-powered credit approval system by IBM, comparing CEM, a static explanatory tool for post-hoc explanations, with an extension we developed adding interactive explanations based on our model. The results of the user study, involving more than 100 participants, showed that our proposed solution produced a statistically relevant improvement on effectiveness (U=931.0, p=0.036) over the baseline, thus giving evidence in favour of our theory.

Deep Learning Based Multi-Label Text Classification of UNGA Resolutions

The main goal of this research is to produce a useful software for United Nations (UN), that could help to speed up the process of qualifying the UN documents following the Sustainable Development Goals (SDGs) in order to monitor the progresses at the world level to fight poverty, discrimination, climate changes. In fact human labeling of UN documents would be a daunting task given the size of the impacted corpus. Thus, automatic labeling must be adopted at least as a first step of a multi-phase process to reduce the overall effort of cataloguing and classifying. Deep Learning (DL) is nowadays one of the most powerful tools for state-of-the-art (SOTA) AI for this task, but very often it comes with the cost of an expensive and error-prone preparation of a training-set. In the case of multi-label text classification of domain-specific text it seems that we cannot effectively adopt DL without a big-enough domain-specific training-set. In this paper, we show that this is not always true. In fact we propose a novel method that is able, through statistics like TF-IDF, to exploit pre-trained SOTA DL models (such as the Universal Sentence Encoder) without any need for traditional transfer learning or any other expensive training procedure. We show the effectiveness of our method in a legal context, by classifying UN Resolutions according to their most related SDGs.

Combining Experience Replay with Exploration by Random Network Distillation

Our work is a simple extension of the paper "Exploration by Random Network Distillation". More in detail, we show how to efficiently combine Intrinsic Rewards with Experience Replay in order to achieve more efficient and robust exploration (with respect to PPO/RND) and consequently better results in terms of agent performances and sample efficiency. We are able to do it by using a new technique named Prioritized Oversampled Experience Replay (POER), that has been built upon the definition of what is the important experience useful to replay. Finally, we evaluate our technique on the famous Atari game Montezuma's Revenge and some other hard exploration Atari games.