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Abstract Along with privacy, discrimination is a very important issue when considering the legal and ethical aspects of data mining. It is more than obvious that most people do not want to be discriminated because of their gender, religion, nationality, age and so on, especially when those attributes are used for making decisions about them like giving them a job, loan, insurance, etc. Discovering such potential biases and eliminating them from the training data without harming their decision-making utility is therefore highly desirable. For this reason, antidiscrimination techniques including discrimination discovery and prevention have been introduced in data mining. Discrimination prevention consists of inducing patterns that do not lead to discriminatory decisions even if the original training datasets are inherently biased. In this chapter, by focusing on the discrimination prevention, we present a taxonomy for classifying and examining discrimination prevention methods. Then, we introduce a group of pre-processing discrimination prevention methods and specify the different features of each approach and how these approaches deal with direct or indirect discrimination. A presentation of metrics used to evaluate the performance of those approaches is also given. Finally, we conclude our study by enumerating interesting future directions in this research body.
13.1
Introduction
Unfairly treating people on the basis of their belonging to a specific group, namely race, ideology, gender, etc., is known as discrimination. In law, economics and social sciences, discrimination has been studied over the last decades and antidiscrimination laws have been adopted by many democratic governments. Some examples are the US Employment Non-Discrimination Act (United States Congress 1994), the UK Sex Discrimination Act (Parliament of the United Kingdom 1975) and the UK Race Relations Act (Parliament of the United Kingdom 1976).
There are several decision-making tasks which lend themselves to discrimination, e.g. loan granting, education, health insurances and staff selection. In many scenarios, decision-making tasks are supported by information systems. Given a set of information items on a potential customer, an automated system decides whether the customer is to be recommended for a credit or a certain type of life insurance. Automating such decisions reduces the workload of the staff of banks and insurance companies, among other organizations. The use of information systems based on data mining technology for decision making has attracted the attention of many researchers in the field of computer science. In consequence, automated data collection and a plethora of data mining techniques such as association/classification rule mining have been designed and are currently widely used for making automated decisions. At first sight, automating decisions may give a sense of fairness: classification rules (decision rules) do not guide themselves by personal preferences. However, at a closer look, one realizes that classification rules are actually learned by the system based on training data. If the training data are inherently biased for or against a particular community (for example, foreigners), the learned model may show a discriminatory prejudiced behavior. For example, in a certain loan granting organization, foreign people might systematically have been denied access to loans throughout the years. If this biased historical dataset is used as training data to learn classification rules for an automated loan granting system, the learned rules will also show biased behavior toward foreign people. In other words, the system may infer that just being foreign is a legitimate reason for loan denial. A more detailed analysis of this fact is provided in Chapter 3. Figure 13.1 illustrates the process of discriminatory and non-discriminatory decision rule extraction. If the original biased dataset DB is used for data analysis without any anti-discrimination process (i.e. discrimination discovery and prevention), the discriminatory rules extracted could lead to automated unfair decisions. On the contrary, DB can go through an anti-discrimination process so that the learned rules are free of discrimination, given a list of discriminatory attributes (e.g. gender, race, age, etc.). As a result, fair and legitimate automated decisions are enabled.
Fig. 13.1. The process of extracting biased and unbiased decision rules.
Despite the wide deployment of information systems based on data mining technology in decision making, the issue of anti-discrimination in data mining did not receive much attention until 2008 (Pedreschi et al. 2008). After that, some proposals have addressed the discovery and measure of discrimination. Others deal with the prevention of discrimination. The discovery of discriminatory decisions was first proposed by Pedreschi et al. (2008) and Ruggieri et al. (2010). The approach is based on mining classification rules (the inductive part) and reasoning on them (the deductive part) on the basis of quantitative measures of discrimination that formalize legal definitions of discrimination. For instance, the U.S. Equal Pay Act (United States Congress 1963) states that: a selection rate for any race, sex, or ethnic group which is less than four-fifths of the rate for the group with the highest rate will generally be regarded as evidence of adverse impact. Discrimination can be either direct or indirect (also called systematic, see Pedreschi et al. (2008)). Direct discriminatory rules indicate biased rules that are directly inferred from discriminatory items (e.g. Foreign worker = Yes). Indirect discriminatory rules (redlining rules) indicate biased rules that are indirectly inferred from non-discriminatory items (e.g. Zip = 10451) because of their correlation with discriminatory ones. Indirect discrimination could happen because of the availability of some background knowledge (rules), for example, indicating that a certain zipcode corresponds to a deteriorating area or an area with a mostly black population. The background knowledge might be accessible from publicly available data (e.g. census data) or might be obtained from the original dataset itself because of the existence of non-discriminatory attributes that are highly correlated with the sensitive ones in the original dataset.
One might conceive that, for direct discrimination prevention, removing discriminatory attributes from the dataset and, for indirect discrimination prevention, removing non-discriminatory attributes that are highly correlated with the sensitive ones could be a basic way to handle discrimination. However, in practice this is not advisable because in this process much useful information would be lost and the quality/utility of the resulting training datasets and data mining models would substantially decrease. The rest of this chapter is as follows. Section 13.2 contains notation and background on direct and indirect discriminatory rules. Section 13.3 gives a taxonomy of discrimination prevention methods. Section 13.4 describes several preprocessing discrimination prevention methods we have proposed in recent papers. Metrics to measure the success at removing discriminatory rules are given in Section 13.5. Data quality metrics are listed in Section 13.6. Section 13.7 contains experimental results for the direct discrimination prevention methods proposed. Conclusions and suggestions for future work are summarized in Section 13.8.
13.2
Preliminaries
In this section we briefly recall some basic concepts which are useful to better understand the study presented in this chapter.
Support and confidence range over [0,1] . A frequent classification rule is a classification rule with a support or confidence greater than a specified lower bound. Let FR be the database of frequent classification rules extracted from DB. Discriminatory attributes and itemsets (protected by law): Attributes are classified as discriminatory according to the applicable anti-discrimination acts (laws). For instance, U.S. federal laws prohibit discrimination on the basis of the following attributes: race, color, religion, nationality, sex, marital status, age and pregnancy (Pedreschi et al. 2008). Hence these attributes are regarded as discriminatory and the itemsets corresponding to them are called discriminatory itemsets. {Gender=Female, Race=Black} is just an example of a discriminatory itemset. Let DAs be the set of predetermined discriminatory attributes in DB and DIs be the set of predetermined discriminatory itemsets in DB. Non-discriminatory attributes and itemsets: If As is the set of all the attributes in DB and Is the set of all the itemsets in DB, then nDAs (i.e. set of nondiscriminatory attributes) is As - DAs and nDIs (i.e. set of non-discriminatory itemsets) is Is - DIs. An example of non-discriminatory itemset could be {Zip= 10451, City=NYC}. The negated itemset, i.e. ~X is an itemset with the same attributes as X, but such that the attributes in ~X take any value except those taken by attributes in X. In this chapter, we use the ~ notation for itemsets with binary or categorical attributes. For a binary attribute, e.g. {Foreign worker=Yes/No}, if X is {Foreign worker=Yes}, then ~X is {Foreign worker=No}. Then, if X is binary, it can be converted to ~X and vice versa. However, for a categorical (non-binary) attribute, e.g. {Race=Black/White/Indian}, if X is {Race=Black}, then ~X is {Race=White} or {Race=Indian}. In this case, ~X can be converted to X without ambiguity, but the conversion of X into ~X is not uniquely defined, which we denote by ~X X. In this chapter, we use only non-ambiguous negations.
The word ``potentially'' means that a PD rule could probably lead to discriminatory decisions, hence some measures are needed to quantify the direct discrimination potential. Also, a PND rule could lead to discriminatory decisions in combination with some background knowledge; e.g., if the premise of the PND rule contains the zipcode as attribute and one knows that zipcode 10451 is mostly inhabited by foreign people. Hence, measures are needed to quantify the indirect discrimination potential as well. As mentioned before, Pedreschi et al. (2008) and Pedreschi et al. (2009a) translated qualitative discrimination statements in existing laws, regulations and legal cases into quantitative formal counterparts over classification rules and they introduced a family of measures over PD rules (for example elift) for direct discrimination discovery and over PND rules (for example elb) for indirect discrimination discovery. Then, by thresholding elift it can be assessed whether the PD rule has direct discrimination potential. Based on this measure (elift), a PD rule (r: X C) is said to be discriminatory if elift(r) 1 or protective if elift(r) < . In addition, whether the PND rule has indirect discrimination potential can be assessed by thresholding elb. Based on this measure (elb), a PND rule (r: X C) is said to be redlining if elb(r) or non-redlining (legitimate) if elb(r) < . For more detailed information and definitions of these measures, see Chapter 5.
Note that is a fixed threshold stating an acceptable level of discrimination according to laws and regulations. For example, the four-fifths rule of U.S. Federal Legislation sets =1.25.
Fig. 13.2. The taxonomy of discrimination prevention methods first dimension, we consider whether the approach deals with direct discrimination, indirect discrimination, or both at the same time. In this way, we separate the discrimination prevention approaches into three groups: direct discrimination prevention methods, indirect discrimination prevention methods, and direct and indirect discrimination prevention methods. The second dimension in the classification relates to the phase of the data mining process in which discrimination prevention is done. Based on this second dimension, discrimination prevention methods fall into three groups (Ruggieri et al. 2010): pre-processing, inprocessing and post-processing approaches. We next describe these groups: Pre-processing. Methods in this group transform the source data in such a way that the discriminatory biases contained in the original data are removed so that no unfair decision rule can be mined from the transformed data; any of the standard data mining algorithms can then be applied. The pre-processing approaches of data transformation and hierarchy-based generalization can be adapted from the privacy preservation literature. Along this line, Kamiran and Calders (2009), Kamiran and Calders (2010), Hajian et al. (2011a and 2011b) and Hajian and Domingo-Ferrer (2012) perform a controlled distortion of the training data from which a classifier is learned by making minimally intrusive modifications leading to an unbiased dataset. In-processing. Methods in this group change the data mining algorithms in such a way that the resulting models do not contain unfair decision rules (Calders and Verwer 2010, Kamiran et al. 2010). For example, an alternative ap-
proach to cleaning the discrimination from the original dataset is proposed in Calders and Verwer (2010) whereby the non-discriminatory constraint is embedded into a decision tree learner by changing its splitting criterion and pruning strategy through a novel leaf re-labeling approach. However, it is obvious that in-processing discrimination prevention methods must rely on new specialpurpose data mining algorithms; standard data mining algorithms cannot be used because they ought to be adapted to satisfy the non-discrimination requirement. Post-processing. These methods modify the resulting data mining models, instead of cleaning the original dataset or changing the data mining algorithms. For example, in Pedreschi et al. (2009a), a confidence-altering approach is proposed for classification rules inferred by the rule-based classifier: CPAR (classification based on predictive association rules) algorithm (Yin et al. 2003).
13.4.1.1 Direct Rule Protection (DRP) In order to convert each discriminatory rule r: A, B C, where A is a discriminatory itemset (A DIs) and B is non-discriminatory itemset (B nDIs)), into a protective rule, two data transformation methods (DTM) could be applied. One method (DTM 1) changes the discriminatory itemset in some records (e.g. gender changed from male to female in the records with granted credits) and the other method (DTM 2) changes the class item in some records (e.g. from grant credit to deny credit in the records with male gender). Table 13.1 shows the operation of these two methods.
Table 13.1. Data transformation methods for direct rule protection Direct Rule Protection DTM 1 DTM 2 ~, ~ , ~ ~, ~ ~ ,
Table 13.1 shows that in DTM 1 some records that support the rule ~,
~ will be changed by modifying the value of the discriminatory itemset from ~A (Sex=Male) to A (Sex=Female) until discriminatory rule r: A, B C becomes protective (i.e. elift(r) < ). In order to score better in terms of the utility measures presented in Section 13.5 and 13.6, the changed records should be those among the ones supporting the above rule that have the lowest impact on the other (protective) rules. Similar records are also chosen in DTM 2 with the difference that, instead of changing discriminatory itemsets, the class item is changed from ~C (grant credit) into C (deny credit) to make r protective.
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Rule generalization is another data transformation method for direct discrimination prevention. It is based on the fact that if each discriminatory rule r: A, B C in the database of decision rules was an instance of at least one nonredlining (legitimate) PND rule r: D, B C where D is a non-discriminatory itemset (D nDIs), the dataset would be free of direct discrimination. To formalize this dependency among rules (i.e. r' is an instance of r), Pedreschi et al. in (Pedreschi et al. 2009b) say that a PD classification rule r' is an instance of a PND rule r if rule r holds with the same or higher confidence, namely conf(r: D,B C) conf(r': A,BC), and a case (record) satisfying discriminatory itemset A in context B satisfies legitimate itemset D as well, namely conf(A, B D) = 1. Based on this concept, a data transformation method (i.e. rule generalization) could be applied to transform each discriminatory rule r: A, B C into an instance of a legitimate rule. Then, rule generalization can be achieved for discriminatory rules r for which there is at least one non-redlining PND rule r by changing the class item in some records (e.g. from Hire no to Hire yes in the records of foreign and low-experienced people in NYC city). Table 13.2 shows the function of this method.
Table 13.2. Data transformation method for rule generalization Rule Generalization DTM , , ~ , , ~~
Table 13.2 shows that in DTM some records that support the rule A, B, ~D C will change by modifying the value of class item from C (e.g. deny credit) into ~ (e.g. grant credit) until discriminatory rule r: A, B C becomes an instance of a non-redlining (legitimate) PND rule r: D, B C . Similar to DRP methods, in order to score better in terms of the utility measures presented in Section 13.5 and 13.6, the changed records should the ones among those supporting the above rule that have the lowest impact on the other (protective) rules.
13.4.1.3 Direct Rule Protection and Rule Generalization Since rule generalization might not be applicable to all discriminatory rules, rule generalization cannot be used alone for direct discrimination prevention and must be combined with direct rule protection. When applying both rule generalization and direct rule protection, discriminatory rules are divided into two groups: Discriminatory rules r for which there is at least one non-redlining PND rule r such that r could be an instance of r. For these rules, rule generalization is performed unless direct rule protection requires less data transformation (in which case direct rule protection is used).
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Discriminatory rules r such that there is no such PND rule. For these rules, direct rule protection (DTM 1 or DTM 2) is used.
Table 13.3 shows that in DTM 1 some records in the original data that support the rule ~A, B, ~D ~C will be changed by modifying the value of the discriminatory itemset from ~A (Sex=Male) into A (Sex=Female) in these records until the redlining rule r: D, B C becomes non-redlining (i.e. elb(r) < ). With the aim of scoring better in terms of the utility measures presented in Section 13.5 and 13.6, among the records supporting the above rule, one should change those with lowest impact on the other (non-redlining) rules. Similar records are also chosen in DTM 2 with the difference that, instead of changing discriminatory itemsets, the class item is changed from ~C (e.g. grant credit) into C (e.g. deny credit) in these records to make r non-redlining. The difference between the DRP and IRP methods shown in Tables 1 and 3 is about the set of records chosen for transformation. As shown in Table 3, in IRP
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the chosen records should not satisfy the D itemset (chosen records are those with ~, ~ D ~) , whereas DRP does not care about D at all (chosen records are those with ~, ) ~ .
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Ghost Cost (GC). This measure quantifies the percentage of the rules among those extractable from the transformed dataset that were not extractable from the original dataset (side-effect of the transformation process). MC and GC should ideally be 0%. However, MC and GC may not be 0% as a side-effect of the transformation process.
Fig.13.3. Left: Information loss, Right: Discrimination removal degree for direct discrimination prevention methods for in [1.2, 1.7]. DRP(DTM i): Data transformation method i for DRP; RG: Rule Generalization.
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As shown in Figure 3, the degree of discrimination removal provided by all methods for different values of is also 100%. However, the degree of information loss decreases substantially as increases; the reason is that, as increases, the number of discriminatory rules to be dealt with decreases. In addition, as shown in Figure 2, the lowest information loss for most values of is obtained by DTM 2 for DRP. Empirical results on indirect discrimination prevention methods can be found in Hajian et al. (2011b).
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The authors are with the UNESCO Chair in Data Privacy, but the views expressed in this article do not necessarily reflect the position of UNESCO nor commit that organization. This work was partly supported by the Spanish Government through projects TSI2007-65406-C03-01 E-AEGIS, TIN2011-27076-C03-01 COPRIVACY and CONSOLIDER INGENIO 2010 CSD2007-00004 ARES, by the Government of Catalonia under grant 2009 SGR 1135 and by the European Commission under FP7 project DwB. The second author is partly supported as an ICREA Acadmia Researcher by the Government of Catalonia.
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