arXiv:2412.18138cs.CYcs.LG2024-12被引 10

提出可解释的公平算法定义,帮助企业和原告寻找更少歧视的替代方案。

What Constitutes a Less Discriminatory Algorithm?

  • 用合理性标准补充量化指标,定义更公平的算法替代方案。
  • 发现无保留数据时无法准确评估算法公平性,存在根本性挑战。
  • 虽搜索成本高,但计算上仍具可行性,适合法律与企业实践使用。

差别影响法为识别数据驱动算法决策中的歧视行为提供了重要法律框架。近期研究聚焦于该框架中的一个关键概念:较少歧视的替代方案(Less Discriminatory Alternative, LDA),即在满足原有业务需求的前提下降低差异化的替代策略。然而,在算法场景中实现这一概念面临诸多棘手挑战和模糊性。本文探讨了关于LDA的核心问题:如何形式化定义LDA,其与不同社会目标的关系,以及企业或原告在计算上是否可行地搜索候选LDA。研究发现,当缺乏保留数据时,纯量化的LDA定义面临根本性障碍。因此,我们主张LDA定义不能仅依赖量化指标,必须引入‘合理性’标准。此外,我们识别出企业在主动搜索LDA时面临的数学与计算限制,但这些限制在形式上属于‘弱’约束。通过正式定义LDA,本文构建了一个使企业和原告均可依据社会目标搜索合规替代模型的框架。

原文摘要 · Abstract (English)

Disparate impact doctrine offers an important legal apparatus for targeting discriminatory data-driven algorithmic decisions. A recent body of work has focused on conceptualizing one particular construct from this doctrine: the less discriminatory alternative, an alternative policy that reduces disparities while meeting the same business needs of a status quo or baseline policy. However, attempts to operationalize this construct in the algorithmic setting must grapple with some thorny challenges and ambiguities. In this paper, we attempt to raise and resolve important questions about less discriminatory algorithms (LDAs). How should we formally define LDAs, and how does this interact with different societal goals they might serve? And how feasible is it for firms or plaintiffs to computationally search for candidate LDAs? We find that formal LDA definitions face fundamental challenges when they attempt to evaluate and compare predictive models in the absence of held-out data. As a result, we argue that LDA definitions cannot be purely quantitative, and must rely on standards of "reasonableness." We then identify both mathematical and computational constraints on firms' ability to efficiently conduct a proactive search for LDAs, but we provide evidence that these limits are "weak" in a formal sense. By defining LDAs formally, we put forward a framework in which both firms and plaintiffs can search for alternative models that comport with societal goals.

算法公平法律科技歧视检测

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