Matt Fredrikson

Kai Hu, Andy Zou, Zifan Wang et al. · cmu

Despite the promise of Lipschitz-based methods for provably-robust deep learning with deterministic guarantees, current state-of-the-art results are limited to feed-forward Convolutional Networks (ConvNets) on low-dimensional data, such as CIFAR-10. This paper investigates strategies for expanding certifiably robust training to larger, deeper models. A key challenge in certifying deep networks is efficient calculation of the Lipschitz bound for residual blocks found in ResNet and ViT architectures. We show that fast ways of bounding the Lipschitz constant for conventional ResNets are loose, and show how to address this by designing a new residual block, leading to the \emph{Linear ResNet} (LiResNet) architecture. We then introduce \emph{Efficient Margin MAximization} (EMMA), a loss function that stabilizes robust training by simultaneously penalizing worst-case adversarial examples from \emph{all} classes. Together, these contributions yield new \emph{state-of-the-art} robust accuracy on CIFAR-10/100 and Tiny-ImageNet under $\ell_2$ perturbations. Moreover, for the first time, we are able to scale up fast deterministic robustness guarantees to ImageNet, demonstrating that this approach to robust learning can be applied to real-world applications. We release our code on Github: \url{https://github.com/klasleino/gloro}.

Andy Zou, Long Phan, Sarah Chen et al. · berkeley, cmu

In this paper, we identify and characterize the emerging area of representation engineering (RepE), an approach to enhancing the transparency of AI systems that draws on insights from cognitive neuroscience. RepE places population-level representations, rather than neurons or circuits, at the center of analysis, equipping us with novel methods for monitoring and manipulating high-level cognitive phenomena in deep neural networks (DNNs). We provide baselines and an initial analysis of RepE techniques, showing that they offer simple yet effective solutions for improving our understanding and control of large language models. We showcase how these methods can provide traction on a wide range of safety-relevant problems, including honesty, harmlessness, power-seeking, and more, demonstrating the promise of top-down transparency research. We hope that this work catalyzes further exploration of RepE and fosters advancements in the transparency and safety of AI systems.

Ravi Mangal, Zifan Wang, Chi Zhang et al. · cmu

Ensembling certifiably robust neural networks is a promising approach for improving the \emph{certified robust accuracy} of neural models. Black-box ensembles that assume only query-access to the constituent models (and their robustness certifiers) during prediction are particularly attractive due to their modular structure. Cascading ensembles are a popular instance of black-box ensembles that appear to improve certified robust accuracies in practice. However, we show that the robustness certifier used by a cascading ensemble is unsound. That is, when a cascading ensemble is certified as locally robust at an input $x$ (with respect to $ε$), there can be inputs $x'$ in the $ε$-ball centered at $x$, such that the cascade's prediction at $x'$ is different from $x$ and thus the ensemble is not locally robust. Our theoretical findings are accompanied by empirical results that further demonstrate this unsoundness. We present \emph{cascade attack} (CasA), an adversarial attack against cascading ensembles, and show that: (1) there exists an adversarial input for up to 88\% of the samples where the ensemble claims to be certifiably robust and accurate; and (2) the accuracy of a cascading ensemble under our attack is as low as 11\% when it claims to be certifiably robust and accurate on 97\% of the test set. Our work reveals a critical pitfall of cascading certifiably robust models by showing that the seemingly beneficial strategy of cascading can actually hurt the robustness of the resulting ensemble. Our code is available at \url{https://github.com/TristaChi/ensembleKW}.

Kai Hu, Klas Leino, Zifan Wang et al.

Recent studies have highlighted the potential of Lipschitz-based methods for training certifiably robust neural networks against adversarial attacks. A key challenge, supported both theoretically and empirically, is that robustness demands greater network capacity and more data than standard training. However, effectively adding capacity under stringent Lipschitz constraints has proven more difficult than it may seem, evident by the fact that state-of-the-art approach tend more towards \emph{underfitting} than overfitting. Moreover, we posit that a lack of careful exploration of the design space for Lipshitz-based approaches has left potential performance gains on the table. In this work, we provide a more comprehensive evaluation to better uncover the potential of Lipschitz-based certification methods. Using a combination of novel techniques, design optimizations, and synthesis of prior work, we are able to significantly improve the state-of-the-art VRA for deterministic certification on a variety of benchmark datasets, and over a range of perturbation sizes. Of particular note, we discover that the addition of large ``Cholesky-orthogonalized residual dense'' layers to the end of existing state-of-the-art Lipschitz-controlled ResNet architectures is especially effective for increasing network capacity and performance. Combined with filtered generative data augmentation, our final results further the state of the art deterministic VRA by up to 8.5 percentage points\footnote{Code is available at \url{https://github.com/hukkai/liresnet}}.

Zifan Wang, Yuhang Yao, Chaoran Zhang et al. · cmu

This paper studies faithful explanations for Graph Neural Networks (GNNs). First, we provide a new and general method for formally characterizing the faithfulness of explanations for GNNs. It applies to existing explanation methods, including feature attributions and subgraph explanations. Second, our analytical and empirical results demonstrate that feature attribution methods cannot capture the nonlinear effect of edge features, while existing subgraph explanation methods are not faithful. Third, we introduce \emph{k-hop Explanation with a Convolutional Core} (KEC), a new explanation method that provably maximizes faithfulness to the original GNN by leveraging information about the graph structure in its adjacency matrix and its \emph{k-th} power. Lastly, our empirical results over both synthetic and real-world datasets for classification and anomaly detection tasks with GNNs demonstrate the effectiveness of our approach.

Ravi Mangal, Klas Leino, Zifan Wang et al. · cmu

Over the years, researchers have developed myriad attacks that exploit the ubiquity of adversarial examples, as well as defenses that aim to guard against the security vulnerabilities posed by such attacks. Of particular interest to this paper are defenses that provide provable guarantees against the class of $\ell_p$-bounded attacks. Certified defenses have made significant progress, taking robustness certification from toy models and datasets to large-scale problems like ImageNet classification. While this is undoubtedly an interesting academic problem, as the field has matured, its impact in practice remains unclear, thus we find it useful to revisit the motivation for continuing this line of research. There are three layers to this inquiry, which we address in this paper: (1) why do we care about robustness research? (2) why do we care about the $\ell_p$-bounded threat model? And (3) why do we care about certification as opposed to empirical defenses? In brief, we take the position that local robustness certification indeed confers practical value to the field of machine learning. We focus especially on the latter two questions from above. With respect to the first of the two, we argue that the $\ell_p$-bounded threat model acts as a minimal requirement for safe application of models in security-critical domains, while at the same time, evidence has mounted suggesting that local robustness may lead to downstream external benefits not immediately related to robustness. As for the second, we argue that (i) certification provides a resolution to the cat-and-mouse game of adversarial attacks; and furthermore, that (ii) perhaps contrary to popular belief, there may not exist a fundamental trade-off between accuracy, robustness, and certifiability, while moreover, certified training techniques constitute a particularly promising way for learning robust models.

Matt Fredrikson, Kaiji Lu, Saranya Vijayakumar et al.

Recent techniques that integrate \emph{solver layers} into Deep Neural Networks (DNNs) have shown promise in bridging a long-standing gap between inductive learning and symbolic reasoning techniques. In this paper we present a set of techniques for integrating \emph{Satisfiability Modulo Theories} (SMT) solvers into the forward and backward passes of a deep network layer, called SMTLayer. Using this approach, one can encode rich domain knowledge into the network in the form of mathematical formulas. In the forward pass, the solver uses symbols produced by prior layers, along with these formulas, to construct inferences; in the backward pass, the solver informs updates to the network, driving it towards representations that are compatible with the solver's theory. Notably, the solver need not be differentiable. We implement \layername as a Pytorch module, and our empirical results show that it leads to models that \emph{1)} require fewer training samples than conventional models, \emph{2)} that are robust to certain types of covariate shift, and \emph{3)} that ultimately learn representations that are consistent with symbolic knowledge, and thus naturally interpretable.

Chi Zhang, Zifan Wang, Ravi Mangal et al.

Modern large language models (LLMs), such as ChatGPT, have demonstrated impressive capabilities for coding tasks including writing and reasoning about code. They improve upon previous neural network models of code, such as code2seq or seq2seq, that already demonstrated competitive results when performing tasks such as code summarization and identifying code vulnerabilities. However, these previous code models were shown vulnerable to adversarial examples, i.e. small syntactic perturbations that do not change the program's semantics, such as the inclusion of "dead code" through false conditions or the addition of inconsequential print statements, designed to "fool" the models. LLMs can also be vulnerable to the same adversarial perturbations but a detailed study on this concern has been lacking so far. In this paper we aim to investigate the effect of adversarial perturbations on coding tasks with LLMs. In particular, we study the transferability of adversarial examples, generated through white-box attacks on smaller code models, to LLMs. Furthermore, to make the LLMs more robust against such adversaries without incurring the cost of retraining, we propose prompt-based defenses that involve modifying the prompt to include additional information such as examples of adversarially perturbed code and explicit instructions for reversing adversarial perturbations. Our experiments show that adversarial examples obtained with a smaller code model are indeed transferable, weakening the LLMs' performance. The proposed defenses show promise in improving the model's resilience, paving the way to more robust defensive solutions for LLMs in code-related applications.

Marc Juarez, Samuel Yeom, Matt Fredrikson

When a model informs decisions about people, distribution shifts can create undue disparities. However, it is hard for external entities to check for distribution shift, as the model and its training set are often proprietary. In this paper, we introduce and study a black-box auditing method to detect cases of distribution shift that lead to a performance disparity of the model across demographic groups. By extending techniques used in membership and property inference attacks -- which are designed to expose private information from learned models -- we demonstrate that an external auditor can gain the information needed to identify these distribution shifts solely by querying the model. Our experimental results on real-world datasets show that this approach is effective, achieving 80--100% AUC-ROC in detecting shifts involving the underrepresentation of a demographic group in the training set. Researchers and investigative journalists can use our tools to perform non-collaborative audits of proprietary models and expose cases of underrepresentation in the training datasets.

Maksym Andriushchenko, Alexandra Souly, Mateusz Dziemian et al.

The robustness of LLMs to jailbreak attacks, where users design prompts to circumvent safety measures and misuse model capabilities, has been studied primarily for LLMs acting as simple chatbots. Meanwhile, LLM agents -- which use external tools and can execute multi-stage tasks -- may pose a greater risk if misused, but their robustness remains underexplored. To facilitate research on LLM agent misuse, we propose a new benchmark called AgentHarm. The benchmark includes a diverse set of 110 explicitly malicious agent tasks (440 with augmentations), covering 11 harm categories including fraud, cybercrime, and harassment. In addition to measuring whether models refuse harmful agentic requests, scoring well on AgentHarm requires jailbroken agents to maintain their capabilities following an attack to complete a multi-step task. We evaluate a range of leading LLMs, and find (1) leading LLMs are surprisingly compliant with malicious agent requests without jailbreaking, (2) simple universal jailbreak templates can be adapted to effectively jailbreak agents, and (3) these jailbreaks enable coherent and malicious multi-step agent behavior and retain model capabilities. To enable simple and reliable evaluation of attacks and defenses for LLM-based agents, we publicly release AgentHarm at https://huggingface.co/datasets/ai-safety-institute/AgentHarm.

Kai Hu, Weichen Yu, Yining Li et al. · cmu

Recent research indicates that large language models (LLMs) are susceptible to jailbreaking attacks that can generate harmful content. This paper introduces a novel token-level attack method, Adaptive Dense-to-Sparse Constrained Optimization (ADC), which has been shown to successfully jailbreak multiple open-source LLMs. Drawing inspiration from the difficulties of discrete token optimization, our method relaxes the discrete jailbreak optimization into a continuous optimization process while gradually increasing the sparsity of the optimizing vectors. This technique effectively bridges the gap between discrete and continuous space optimization. Experimental results demonstrate that our method is more effective and efficient than state-of-the-art token-level methods. On Harmbench, our approach achieves the highest attack success rate on seven out of eight LLMs compared to the latest jailbreak methods. Trigger Warning: This paper contains model behavior that can be offensive in nature.

Eliot Krzysztof Jones, Alexander Robey, Andy Zou et al.

The emergence of vision-language-action models (VLAs) for end-to-end control is reshaping the field of robotics by enabling the fusion of multimodal sensory inputs at the billion-parameter scale. The capabilities of VLAs stem primarily from their architectures, which are often based on frontier large language models (LLMs). However, LLMs are known to be susceptible to adversarial misuse, and given the significant physical risks inherent to robotics, questions remain regarding the extent to which VLAs inherit these vulnerabilities. Motivated by these concerns, in this work we initiate the study of adversarial attacks on VLA-controlled robots. Our main algorithmic contribution is the adaptation and application of LLM jailbreaking attacks to obtain complete control authority over VLAs. We find that textual attacks, which are applied once at the beginning of a rollout, facilitate full reachability of the action space of commonly used VLAs and often persist over longer horizons. This differs significantly from LLM jailbreaking literature, as attacks in the real world do not have to be semantically linked to notions of harm. We make all code available at https://github.com/eliotjones1/robogcg .

Kai Hu, Weichen Yu, Li Zhang et al.

Vision Large Language Models (VLLMs) are increasingly deployed to offer advanced capabilities on inputs comprising both text and images. While prior research has shown that adversarial attacks can transfer from open-source to proprietary black-box models in text-only and vision-only contexts, the extent and effectiveness of such vulnerabilities remain underexplored for VLLMs. We present a comprehensive analysis demonstrating that targeted adversarial examples are highly transferable to widely-used proprietary VLLMs such as GPT-4o, Claude, and Gemini. We show that attackers can craft perturbations to induce specific attacker-chosen interpretations of visual information, such as misinterpreting hazardous content as safe, overlooking sensitive or restricted material, or generating detailed incorrect responses aligned with the attacker's intent. Furthermore, we discover that universal perturbations -- modifications applicable to a wide set of images -- can consistently induce these misinterpretations across multiple proprietary VLLMs. Our experimental results on object recognition, visual question answering, and image captioning show that this vulnerability is common across current state-of-the-art models, and underscore an urgent need for robust mitigations to ensure the safe and secure deployment of VLLMs.

Justin W. Lin, Eliot Krzysztof Jones, Donovan Julian Jasper et al.

We present the first comprehensive evaluation of AI agents against human cybersecurity professionals in a live enterprise environment. We evaluate ten cybersecurity professionals alongside six existing AI agents and ARTEMIS, our new agent scaffold, on a large university network consisting of ~8,000 hosts across 12 subnets. ARTEMIS is a multi-agent framework featuring dynamic prompt generation, arbitrary sub-agents, and automatic vulnerability triaging. In our comparative study, ARTEMIS placed second overall, discovering 9 valid vulnerabilities with an 82% valid submission rate and outperforming 9 of 10 human participants. While existing scaffolds such as Codex and CyAgent underperformed relative to most human participants, ARTEMIS demonstrated technical sophistication and submission quality comparable to the strongest participants. We observe that AI agents offer advantages in systematic enumeration, parallel exploitation, and cost -- certain ARTEMIS variants cost $18/hour versus $60/hour for professional penetration testers. We also identify key capability gaps: AI agents exhibit higher false-positive rates and struggle with GUI-based tasks.

Zifan Wang, Matt Fredrikson, Anupam Datta

Recent work has found that adversarially-robust deep networks used for image classification are more interpretable: their feature attributions tend to be sharper, and are more concentrated on the objects associated with the image's ground-truth class. We show that smooth decision boundaries play an important role in this enhanced interpretability, as the model's input gradients around data points will more closely align with boundaries' normal vectors when they are smooth. Thus, because robust models have smoother boundaries, the results of gradient-based attribution methods, like Integrated Gradients and DeepLift, will capture more accurate information about nearby decision boundaries. This understanding of robust interpretability leads to our second contribution: \emph{boundary attributions}, which aggregate information about the normal vectors of local decision boundaries to explain a classification outcome. We show that by leveraging the key factors underpinning robust interpretability, boundary attributions produce sharper, more concentrated visual explanations -- even on non-robust models. Any example implementation can be found at \url{https://github.com/zifanw/boundary}.

Priyanshu Kumar, Elaine Lau, Saranya Vijayakumar et al.

For safety reasons, large language models (LLMs) are trained to refuse harmful user instructions, such as assisting dangerous activities. We study an open question in this work: does the desired safety refusal, typically enforced in chat contexts, generalize to non-chat and agentic use cases? Unlike chatbots, LLM agents equipped with general-purpose tools, such as web browsers and mobile devices, can directly influence the real world, making it even more crucial to refuse harmful instructions. In this work, we primarily focus on red-teaming browser agents, LLMs that manipulate information via web browsers. To this end, we introduce Browser Agent Red teaming Toolkit (BrowserART), a comprehensive test suite designed specifically for red-teaming browser agents. BrowserART is consist of 100 diverse browser-related harmful behaviors (including original behaviors and ones sourced from HarmBench [Mazeika et al., 2024] and AirBench 2024 [Zeng et al., 2024b]) across both synthetic and real websites. Our empirical study on state-of-the-art browser agents reveals that, while the backbone LLM refuses harmful instructions as a chatbot, the corresponding agent does not. Moreover, attack methods designed to jailbreak refusal-trained LLMs in the chat settings transfer effectively to browser agents. With human rewrites, GPT-4o and o1-preview-based browser agents attempted 98 and 63 harmful behaviors (out of 100), respectively. We publicly release BrowserART and call on LLM developers, policymakers, and agent developers to collaborate on improving agent safety

Pratyush Maini, Sachin Goyal, Dylan Sam et al. · cmu, stanford

As large language models (LLMs) are increasingly deployed in high-stakes settings, the risk of generating harmful or toxic content remains a central challenge. Post-hoc alignment methods are brittle: once unsafe patterns are learned during pretraining, they are hard to remove. In this work, we present a data-centric pretraining framework that builds safety into the model from the start. Our framework consists of four key steps: (i) Safety Filtering: building a safety classifier to classify webdata into safe and unsafe categories; (ii) Safety Rephrasing: we recontextualize unsafe webdata into safer narratives; (iii) Native Refusal: we develop RefuseWeb and Moral Education pretraining datasets that actively teach model to refuse on unsafe content and the moral reasoning behind it, and (iv) Harmfulness-Tag annotated pretraining: we flag unsafe content during pretraining using a special token, and use it to steer model away from unsafe generations at inference. Our safety-pretrained models reduce attack success rates from 38.8\% to 8.4\% on standard LLM safety benchmarks with no performance degradation on general tasks.

Satyapriya Krishna, Andy Zou, Rahul Gupta et al.

The safety and alignment of Large Language Models (LLMs) are critical for their responsible deployment. Current evaluation methods predominantly focus on identifying and preventing overtly harmful outputs. However, they often fail to address a more insidious failure mode: models that produce benign-appearing outputs while operating on malicious or deceptive internal reasoning. This vulnerability, often triggered by sophisticated system prompt injections, allows models to bypass conventional safety filters, posing a significant, underexplored risk. To address this gap, we introduce the Deceptive Reasoning Exposure Suite (D-REX), a novel dataset designed to evaluate the discrepancy between a model's internal reasoning process and its final output. D-REX was constructed through a competitive red-teaming exercise where participants crafted adversarial system prompts to induce such deceptive behaviors. Each sample in D-REX contains the adversarial system prompt, an end-user's test query, the model's seemingly innocuous response, and, crucially, the model's internal chain-of-thought, which reveals the underlying malicious intent. Our benchmark facilitates a new, essential evaluation task: the detection of deceptive alignment. We demonstrate that D-REX presents a significant challenge for existing models and safety mechanisms, highlighting the urgent need for new techniques that scrutinize the internal processes of LLMs, not just their final outputs.

Weichen Yu, Ravi Mangal, Terry Zhuo et al.

Large language models (LLMs) have become proficient at sophisticated code-generation tasks, yet remain ineffective at reliably detecting or avoiding code vulnerabilities. Does this deficiency stem from insufficient learning about code vulnerabilities, or is it merely a result of ineffective prompting? Using representation engineering techniques, we investigate whether LLMs internally encode the concepts necessary to identify code vulnerabilities. We find that current LLMs encode precise internal representations that distinguish vulnerable from secure code--achieving greater accuracy than standard prompting approaches. Leveraging these vulnerability-sensitive representations, we develop an inference-time steering technique that subtly modulates the model's token-generation probabilities through a mixture of corrections (MoC). Our method effectively guides LLMs to produce less vulnerable code without compromising functionality, demonstrating a practical approach to controlled vulnerability management in generated code. Notably, MoC enhances the security ratio of Qwen2.5-Coder-7B by 8.9\%, while simultaneously improving functionality on HumanEval pass@1 by 2.1\%.

Weichen Yu, Ziyan Yang, Shanchuan Lin et al.

In text-to-image (T2I) generation, a prevalent training technique involves utilizing Vision Language Models (VLMs) for image re-captioning. Even though VLMs are known to exhibit hallucination, generating descriptive content that deviates from the visual reality, the ramifications of such caption hallucinations on T2I generation performance remain under-explored. Through our empirical investigation, we first establish a comprehensive dataset comprising VLM-generated captions, and then systematically analyze how caption hallucination influences generation outcomes. Our findings reveal that (1) the disparities in caption quality persistently impact model outputs during fine-tuning. (2) VLMs confidence scores serve as reliable indicators for detecting and characterizing noise-related patterns in the data distribution. (3) even subtle variations in caption fidelity have significant effects on the quality of learned representations. These findings collectively emphasize the profound impact of caption quality on model performance and highlight the need for more sophisticated robust training algorithm in T2I. In response to these observations, we propose a approach leveraging VLM confidence score to mitigate caption noise, thereby enhancing the robustness of T2I models against hallucination in caption.

Andy Zou, Long Phan, Justin Wang et al.

AI systems can take harmful actions and are highly vulnerable to adversarial attacks. We present an approach, inspired by recent advances in representation engineering, that interrupts the models as they respond with harmful outputs with "circuit breakers." Existing techniques aimed at improving alignment, such as refusal training, are often bypassed. Techniques such as adversarial training try to plug these holes by countering specific attacks. As an alternative to refusal training and adversarial training, circuit-breaking directly controls the representations that are responsible for harmful outputs in the first place. Our technique can be applied to both text-only and multimodal language models to prevent the generation of harmful outputs without sacrificing utility -- even in the presence of powerful unseen attacks. Notably, while adversarial robustness in standalone image recognition remains an open challenge, circuit breakers allow the larger multimodal system to reliably withstand image "hijacks" that aim to produce harmful content. Finally, we extend our approach to AI agents, demonstrating considerable reductions in the rate of harmful actions when they are under attack. Our approach represents a significant step forward in the development of reliable safeguards to harmful behavior and adversarial attacks.

Han Zhang, Zifan Wang, Mihir Dhamankar et al.

Many Internet-of-Things (IoT) devices rely on cloud computation resources to perform machine learning inferences. This is expensive and may raise privacy concerns for users. Consumers of these devices often have hardware such as gaming consoles and PCs with graphics accelerators that are capable of performing these computations, which may be left idle for significant periods of time. While this presents a compelling potential alternative to cloud offloading, concerns about the integrity of inferences, the confidentiality of model parameters, and the privacy of users' data mean that device vendors may be hesitant to offload their inferences to a platform managed by another manufacturer. We propose VeriSplit, a framework for offloading machine learning inferences to locally-available devices that address these concerns. We introduce masking techniques to protect data privacy and model confidentiality, and a commitment-based verification protocol to address integrity. Unlike much prior work aimed at addressing these issues, our approach does not rely on computation over finite field elements, which may interfere with floating-point computation supports on hardware accelerators and require modification to existing models. We implemented a prototype of VeriSplit and our evaluation results show that, compared to performing computation locally, our secure and private offloading solution can reduce inference latency by 28%--83%.

Daniel Gibert, Matt Fredrikson, Carles Mateu et al.

Current state-of-the-art research for tackling the problem of malware detection and classification is centered on the design, implementation and deployment of systems powered by machine learning because of its ability to generalize to never-before-seen malware families and polymorphic mutations. However, it has been shown that machine learning models, in particular deep neural networks, lack robustness against crafted inputs (adversarial examples). In this work, we have investigated the vulnerability of a state-of-the-art shallow convolutional neural network malware classifier against the dead code insertion technique. We propose a general framework powered by a Double Q-network to induce misclassification over malware families. The framework trains an agent through a convolutional neural network to select the optimal positions in a code sequence to insert dead code instructions so that the machine learning classifier mislabels the resulting executable. The experiments show that the proposed method significantly drops the classification accuracy of the classifier to 56.53% while having an evasion rate of 100% for the samples belonging to the Kelihos_ver3, Simda, and Kelihos_ver1 families. In addition, the average number of instructions needed to mislabel malware in comparison to a random agent decreased by 33%.

Emily Black, Klas Leino, Matt Fredrikson

Recent work has shown that models trained to the same objective, and which achieve similar measures of accuracy on consistent test data, may nonetheless behave very differently on individual predictions. This inconsistency is undesirable in high-stakes contexts, such as medical diagnosis and finance. We show that this inconsistent behavior extends beyond predictions to feature attributions, which may likewise have negative implications for the intelligibility of a model, and one's ability to find recourse for subjects. We then introduce selective ensembles to mitigate such inconsistencies by applying hypothesis testing to the predictions of a set of models trained using randomly-selected starting conditions; importantly, selective ensembles can abstain in cases where a consistent outcome cannot be achieved up to a specified confidence level. We prove that that prediction disagreement between selective ensembles is bounded, and empirically demonstrate that selective ensembles achieve consistent predictions and feature attributions while maintaining low abstention rates. On several benchmark datasets, selective ensembles reach zero inconsistently predicted points, with abstention rates as low 1.5%.

Emily Black, Zifan Wang, Matt Fredrikson et al.

Counterfactual examples are one of the most commonly-cited methods for explaining the predictions of machine learning models in key areas such as finance and medical diagnosis. Counterfactuals are often discussed under the assumption that the model on which they will be used is static, but in deployment models may be periodically retrained or fine-tuned. This paper studies the consistency of model prediction on counterfactual examples in deep networks under small changes to initial training conditions, such as weight initialization and leave-one-out variations in data, as often occurs during model deployment. We demonstrate experimentally that counterfactual examples for deep models are often inconsistent across such small changes, and that increasing the cost of the counterfactual, a stability-enhancing mitigation suggested by prior work in the context of simpler models, is not a reliable heuristic in deep networks. Rather, our analysis shows that a model's local Lipschitz continuity around the counterfactual is key to its consistency across related models. To this end, we propose Stable Neighbor Search as a way to generate more consistent counterfactual explanations, and illustrate the effectiveness of this approach on several benchmark datasets.

Klas Leino, Aymeric Fromherz, Ravi Mangal et al.

Classifiers learnt from data are increasingly being used as components in systems where safety is a critical concern. In this work, we present a formal notion of safety for classifiers via constraints called safe-ordering constraints. These constraints relate requirements on the order of the classes output by a classifier to conditions on its input, and are expressive enough to encode various interesting examples of classifier safety specifications from the literature. For classifiers implemented using neural networks, we also present a run-time mechanism for the enforcement of safe-ordering constraints. Our approach is based on a self-correcting layer, which provably yields safe outputs regardless of the characteristics of the classifier input. We compose this layer with an existing neural network classifier to construct a self-correcting network (SC-Net), and show that in addition to providing safe outputs, the SC-Net is guaranteed to preserve the classification accuracy of the original network whenever possible. Our approach is independent of the size and architecture of the neural network used for classification, depending only on the specified property and the dimension of the network's output; thus it is scalable to large state-of-the-art networks. We show that our approach can be optimized for a GPU, introducing run-time overhead of less than 1ms on current hardware -- even on large, widely-used networks containing hundreds of thousands of neurons and millions of parameters.

Emily Black, Matt Fredrikson

We introduce leave-one-out unfairness, which characterizes how likely a model's prediction for an individual will change due to the inclusion or removal of a single other person in the model's training data. Leave-one-out unfairness appeals to the idea that fair decisions are not arbitrary: they should not be based on the chance event of any one person's inclusion in the training data. Leave-one-out unfairness is closely related to algorithmic stability, but it focuses on the consistency of an individual point's prediction outcome over unit changes to the training data, rather than the error of the model in aggregate. Beyond formalizing leave-one-out unfairness, we characterize the extent to which deep models behave leave-one-out unfairly on real data, including in cases where the generalization error is small. Further, we demonstrate that adversarial training and randomized smoothing techniques have opposite effects on leave-one-out fairness, which sheds light on the relationships between robustness, memorization, individual fairness, and leave-one-out fairness in deep models. Finally, we discuss salient practical applications that may be negatively affected by leave-one-out unfairness.

Klas Leino, Matt Fredrikson

Certifiable local robustness, which rigorously precludes small-norm adversarial examples, has received significant attention as a means of addressing security concerns in deep learning. However, for some classification problems, local robustness is not a natural objective, even in the presence of adversaries; for example, if an image contains two classes of subjects, the correct label for the image may be considered arbitrary between the two, and thus enforcing strict separation between them is unnecessary. In this work, we introduce two relaxed safety properties for classifiers that address this observation: (1) relaxed top-k robustness, which serves as the analogue of top-k accuracy; and (2) affinity robustness, which specifies which sets of labels must be separated by a robustness margin, and which can be $ε$-close in $\ell_p$ space. We show how to construct models that can be efficiently certified against each relaxed robustness property, and trained with very little overhead relative to standard gradient descent. Finally, we demonstrate experimentally that these relaxed variants of robustness are well-suited to several significant classification problems, leading to lower rejection rates and higher certified accuracies than can be obtained when certifying "standard" local robustness.

Jason I. Hong, Yuvraj Agarwal, Matt Fredrikson et al.

We present the design and design rationale for the user interfaces for Privacy Enhancements for Android (PE for Android). These UIs are built around two core ideas, namely that developers should explicitly declare the purpose of why sensitive data is being used, and these permission-purpose pairs should be split by first party and third party uses. We also present a taxonomy of purposes and ways of how these ideas can be deployed in the existing Android ecosystem.

Klas Leino, Zifan Wang, Matt Fredrikson

The threat of adversarial examples has motivated work on training certifiably robust neural networks to facilitate efficient verification of local robustness at inference time. We formalize a notion of global robustness, which captures the operational properties of on-line local robustness certification while yielding a natural learning objective for robust training. We show that widely-used architectures can be easily adapted to this objective by incorporating efficient global Lipschitz bounds into the network, yielding certifiably-robust models by construction that achieve state-of-the-art verifiable accuracy. Notably, this approach requires significantly less time and memory than recent certifiable training methods, and leads to negligible costs when certifying points on-line; for example, our evaluation shows that it is possible to train a large robust Tiny-Imagenet model in a matter of hours. Our models effectively leverage inexpensive global Lipschitz bounds for real-time certification, despite prior suggestions that tighter local bounds are needed for good performance; we posit this is possible because our models are specifically trained to achieve tighter global bounds. Namely, we prove that the maximum achievable verifiable accuracy for a given dataset is not improved by using a local bound.

Zifan Wang, Haofan Wang, Shakul Ramkumar et al.

Feature attributions are a popular tool for explaining the behavior of Deep Neural Networks (DNNs), but have recently been shown to be vulnerable to attacks that produce divergent explanations for nearby inputs. This lack of robustness is especially problematic in high-stakes applications where adversarially-manipulated explanations could impair safety and trustworthiness. Building on a geometric understanding of these attacks presented in recent work, we identify Lipschitz continuity conditions on models' gradient that lead to robust gradient-based attributions, and observe that smoothness may also be related to the ability of an attack to transfer across multiple attribution methods. To mitigate these attacks in practice, we propose an inexpensive regularization method that promotes these conditions in DNNs, as well as a stochastic smoothing technique that does not require re-training. Our experiments on a range of image models demonstrate that both of these mitigations consistently improve attribution robustness, and confirm the role that smooth geometry plays in these attacks on real, large-scale models.

Zifan Wang, Piotr Mardziel, Anupam Datta et al.

Motivated by distinct, though related, criteria, a growing number of attribution methods have been developed tointerprete deep learning. While each relies on the interpretability of the concept of "importance" and our ability to visualize patterns, explanations produced by the methods often differ. As a result, input attribution for vision models fail to provide any level of human understanding of model behaviour. In this work we expand the foundationsof human-understandable concepts with which attributionscan be interpreted beyond "importance" and its visualization; we incorporate the logical concepts of necessity andsufficiency, and the concept of proportionality. We definemetrics to represent these concepts as quantitative aspectsof an attribution. This allows us to compare attributionsproduced by different methods and interpret them in novelways: to what extent does this attribution (or this method)represent the necessity or sufficiency of the highlighted inputs, and to what extent is it proportional? We evaluate our measures on a collection of methods explaining convolutional neural networks (CNN) for image classification. We conclude that some attribution methods are more appropriate for interpretation in terms of necessity while others are in terms of sufficiency, while no method is always the most appropriate in terms of both.

Samuel Yeom, Matt Fredrikson

We turn the definition of individual fairness on its head---rather than ascertaining the fairness of a model given a predetermined metric, we find a metric for a given model that satisfies individual fairness. This can facilitate the discussion on the fairness of a model, addressing the issue that it may be difficult to specify a priori a suitable metric. Our contributions are twofold: First, we introduce the definition of a minimal metric and characterize the behavior of models in terms of minimal metrics. Second, for more complicated models, we apply the mechanism of randomized smoothing from adversarial robustness to make them individually fair under a given weighted $L^p$ metric. Our experiments show that adapting the minimal metrics of linear models to more complicated neural networks can lead to meaningful and interpretable fairness guarantees at little cost to utility.

Aymeric Fromherz, Klas Leino, Matt Fredrikson et al.

Local robustness ensures that a model classifies all inputs within an $\ell_2$-ball consistently, which precludes various forms of adversarial inputs. In this paper, we present a fast procedure for checking local robustness in feed-forward neural networks with piecewise-linear activation functions. Such networks partition the input space into a set of convex polyhedral regions in which the network's behavior is linear; hence, a systematic search for decision boundaries within the regions around a given input is sufficient for assessing robustness. Crucially, we show how the regions around a point can be analyzed using simple geometric projections, thus admitting an efficient, highly-parallel GPU implementation that excels particularly for the $\ell_2$ norm, where previous work has been less effective. Empirically we find this approach to be far more precise than many approximate verification approaches, while at the same time performing multiple orders of magnitude faster than complete verifiers, and scaling to much deeper networks.

Zilong Tan, Samuel Yeom, Matt Fredrikson et al.

Fair representations are a powerful tool for establishing criteria like statistical parity, proxy non-discrimination, and equality of opportunity in learned models. Existing techniques for learning these representations are typically model-agnostic, as they preprocess the original data such that the output satisfies some fairness criterion, and can be used with arbitrary learning methods. In contrast, we demonstrate the promise of learning a model-aware fair representation, focusing on kernel-based models. We leverage the classical Sufficient Dimension Reduction (SDR) framework to construct representations as subspaces of the reproducing kernel Hilbert space (RKHS), whose member functions are guaranteed to satisfy fairness. Our method supports several fairness criteria, continuous and discrete data, and multiple protected attributes. We further show how to calibrate the accuracy tradeoff by characterizing it in terms of the principal angles between subspaces of the RKHS. Finally, we apply our approach to obtain the first Fair Gaussian Process (FGP) prior for fair Bayesian learning, and show that it is competitive with, and in some cases outperforms, state-of-the-art methods on real data.

Klas Leino, Matt Fredrikson

Membership inference (MI) attacks exploit the fact that machine learning algorithms sometimes leak information about their training data through the learned model. In this work, we study membership inference in the white-box setting in order to exploit the internals of a model, which have not been effectively utilized by previous work. Leveraging new insights about how overfitting occurs in deep neural networks, we show how a model's idiosyncratic use of features can provide evidence for membership to white-box attackers---even when the model's black-box behavior appears to generalize well---and demonstrate that this attack outperforms prior black-box methods. Taking the position that an effective attack should have the ability to provide confident positive inferences, we find that previous attacks do not often provide a meaningful basis for confidently inferring membership, whereas our attack can be effectively calibrated for high precision. Finally, we examine popular defenses against MI attacks, finding that (1) smaller generalization error is not sufficient to prevent attacks on real models, and (2) while small-$ε$-differential privacy reduces the attack's effectiveness, this often comes at a significant cost to the model's accuracy; and for larger $ε$ that are sometimes used in practice (e.g., $ε=16$), the attack can achieve nearly the same accuracy as on the unprotected model.

Klas Leino, Emily Black, Matt Fredrikson et al.

We study the phenomenon of bias amplification in classifiers, wherein a machine learning model learns to predict classes with a greater disparity than the underlying ground truth. We demonstrate that bias amplification can arise via an inductive bias in gradient descent methods that results in the overestimation of the importance of moderately-predictive "weak" features if insufficient training data is available. This overestimation gives rise to feature-wise bias amplification -- a previously unreported form of bias that can be traced back to the features of a trained model. Through analysis and experiments, we show that while some bias cannot be mitigated without sacrificing accuracy, feature-wise bias amplification can be mitigated through targeted feature selection. We present two new feature selection algorithms for mitigating bias amplification in linear models, and show how they can be adapted to convolutional neural networks efficiently. Our experiments on synthetic and real data demonstrate that these algorithms consistently lead to reduced bias without harming accuracy, in some cases eliminating predictive bias altogether while providing modest gains in accuracy.

Samuel Yeom, Anupam Datta, Matt Fredrikson

A machine learning model may exhibit discrimination when used to make decisions involving people. One potential cause for such outcomes is that the model uses a statistical proxy for a protected demographic attribute. In this paper we formulate a definition of proxy use for the setting of linear regression and present algorithms for detecting proxies. Our definition follows recent work on proxies in classification models, and characterizes a model's constituent behavior that: 1) correlates closely with a protected random variable, and 2) is causally influential in the overall behavior of the model. We show that proxies in linear regression models can be efficiently identified by solving a second-order cone program, and further extend this result to account for situations where the use of a certain input variable is justified as a `business necessity'. Finally, we present empirical results on two law enforcement datasets that exhibit varying degrees of racial disparity in prediction outcomes, demonstrating that proxies shed useful light on the causes of discriminatory behavior in models.

Shayak Sen, Piotr Mardziel, Anupam Datta et al.

Causal influence measures for machine learnt classifiers shed light on the reasons behind classification, and aid in identifying influential input features and revealing their biases. However, such analyses involve evaluating the classifier using datapoints that may be atypical of its training distribution. Standard methods for training classifiers that minimize empirical risk do not constrain the behavior of the classifier on such datapoints. As a result, training to minimize empirical risk does not distinguish among classifiers that agree on predictions in the training distribution but have wildly different causal influences. We term this problem covariate shift in causal testing and formally characterize conditions under which it arises. As a solution to this problem, we propose a novel active learning algorithm that constrains the influence measures of the trained model. We prove that any two predictors whose errors are close on both the original training distribution and the distribution of atypical points are guaranteed to have causal influences that are also close. Further, we empirically demonstrate with synthetic labelers that our algorithm trains models that (i) have similar causal influences as the labeler's model, and (ii) generalize better to out-of-distribution points while (iii) retaining their accuracy on in-distribution points.

Klas Leino, Shayak Sen, Anupam Datta et al.

We study the problem of explaining a rich class of behavioral properties of deep neural networks. Distinctively, our influence-directed explanations approach this problem by peering inside the network to identify neurons with high influence on a quantity and distribution of interest, using an axiomatically-justified influence measure, and then providing an interpretation for the concepts these neurons represent. We evaluate our approach by demonstrating a number of its unique capabilities on convolutional neural networks trained on ImageNet. Our evaluation demonstrates that influence-directed explanations (1) identify influential concepts that generalize across instances, (2) can be used to extract the "essence" of what the network learned about a class, and (3) isolate individual features the network uses to make decisions and distinguish related classes.

Linyi Li, Matt Fredrikson, Shayak Sen et al.

In this report, we applied integrated gradients to explaining a neural network for diabetic retinopathy detection. The integrated gradient is an attribution method which measures the contributions of input to the quantity of interest. We explored some new ways for applying this method such as explaining intermediate layers, filtering out unimportant units by their attribution value and generating contrary samples. Moreover, the visualization results extend the use of diabetic retinopathy detection model from merely predicting to assisting finding potential lesions.

Samuel Yeom, Irene Giacomelli, Matt Fredrikson et al.

Machine learning algorithms, when applied to sensitive data, pose a distinct threat to privacy. A growing body of prior work demonstrates that models produced by these algorithms may leak specific private information in the training data to an attacker, either through the models' structure or their observable behavior. However, the underlying cause of this privacy risk is not well understood beyond a handful of anecdotal accounts that suggest overfitting and influence might play a role. This paper examines the effect that overfitting and influence have on the ability of an attacker to learn information about the training data from machine learning models, either through training set membership inference or attribute inference attacks. Using both formal and empirical analyses, we illustrate a clear relationship between these factors and the privacy risk that arises in several popular machine learning algorithms. We find that overfitting is sufficient to allow an attacker to perform membership inference and, when the target attribute meets certain conditions about its influence, attribute inference attacks. Interestingly, our formal analysis also shows that overfitting is not necessary for these attacks and begins to shed light on what other factors may be in play. Finally, we explore the connection between membership inference and attribute inference, showing that there are deep connections between the two that lead to effective new attacks.

Gaurav Srivastava, Kunal Bhuwalka, Swarup Kumar Sahoo et al.

Many smartphone apps transmit personally identifiable information (PII), often without the users knowledge. To address this issue, we present PrivacyProxy, a system that monitors outbound network traffic and generates app-specific signatures to represent sensitive data being shared. PrivacyProxy uses a crowd-based approach to detect likely PII in an adaptive and scalable manner by anonymously combining signatures from different users of the same app. Furthermore, we do not observe users network traffic and instead rely on hashed signatures. We present the design and implementation of PrivacyProxy and evaluate it with a lab study, a field deployment, a user survey, and a comparison against prior work. Our field study shows PrivacyProxy can automatically detect PII with an F1 score of 0.885. PrivacyProxy also achieves an F1 score of 0.759 in our controlled experiment for the 500 most popular apps. The F1 score also improves to 0.866 with additional training data for 40 apps that initially had the most false positives. We also show performance overhead of using PrivacyProxy is between 8.6% to 14.2%, slightly more than using a standard unmodified VPN, and most users report no perceptible impact on battery life or the network.

Anupam Datta, Matt Fredrikson, Gihyuk Ko et al.

Machine learnt systems inherit biases against protected classes, historically disparaged groups, from training data. Usually, these biases are not explicit, they rely on subtle correlations discovered by training algorithms, and are therefore difficult to detect. We formalize proxy discrimination in data-driven systems, a class of properties indicative of bias, as the presence of protected class correlates that have causal influence on the system's output. We evaluate an implementation on a corpus of social datasets, demonstrating how to validate systems against these properties and to repair violations where they occur.

Anupam Datta, Matthew Fredrikson, Gihyuk Ko et al.

This paper presents an approach to formalizing and enforcing a class of use privacy properties in data-driven systems. In contrast to prior work, we focus on use restrictions on proxies (i.e. strong predictors) of protected information types. Our definition relates proxy use to intermediate computations that occur in a program, and identify two essential properties that characterize this behavior: 1) its result is strongly associated with the protected information type in question, and 2) it is likely to causally affect the final output of the program. For a specific instantiation of this definition, we present a program analysis technique that detects instances of proxy use in a model, and provides a witness that identifies which parts of the corresponding program exhibit the behavior. Recognizing that not all instances of proxy use of a protected information type are inappropriate, we make use of a normative judgment oracle that makes this inappropriateness determination for a given witness. Our repair algorithm uses the witness of an inappropriate proxy use to transform the model into one that provably does not exhibit proxy use, while avoiding changes that unduly affect classification accuracy. Using a corpus of social datasets, our evaluation shows that these algorithms are able to detect proxy use instances that would be difficult to find using existing techniques, and subsequently remove them while maintaining acceptable classification performance.

Xi Wu, Matthew Fredrikson, Wentao Wu et al.

Private regression has received attention from both database and security communities. Recent work by Fredrikson et al. (USENIX Security 2014) analyzed the functional mechanism (Zhang et al. VLDB 2012) for training linear regression models over medical data. Unfortunately, they found that model accuracy is already unacceptable with differential privacy when $\varepsilon = 5$. We address this issue, presenting an explicit connection between differential privacy and stable learning theory through which a substantially better privacy/utility tradeoff can be obtained. Perhaps more importantly, our theory reveals that the most basic mechanism in differential privacy, output perturbation, can be used to obtain a better tradeoff for all convex-Lipschitz-bounded learning tasks. Since output perturbation is simple to implement, it means that our approach is potentially widely applicable in practice. We go on to apply it on the same medical data as used by Fredrikson et al. Encouragingly, we achieve accurate models even for $\varepsilon = 0.1$. In the last part of this paper, we study the impact of our improved differentially private mechanisms on model inversion attacks, a privacy attack introduced by Fredrikson et al. We observe that the improved tradeoff makes the resulting differentially private model more susceptible to inversion attacks. We analyze this phenomenon formally.

Nicolas Papernot, Patrick McDaniel, Somesh Jha et al.

Deep learning takes advantage of large datasets and computationally efficient training algorithms to outperform other approaches at various machine learning tasks. However, imperfections in the training phase of deep neural networks make them vulnerable to adversarial samples: inputs crafted by adversaries with the intent of causing deep neural networks to misclassify. In this work, we formalize the space of adversaries against deep neural networks (DNNs) and introduce a novel class of algorithms to craft adversarial samples based on a precise understanding of the mapping between inputs and outputs of DNNs. In an application to computer vision, we show that our algorithms can reliably produce samples correctly classified by human subjects but misclassified in specific targets by a DNN with a 97% adversarial success rate while only modifying on average 4.02% of the input features per sample. We then evaluate the vulnerability of different sample classes to adversarial perturbations by defining a hardness measure. Finally, we describe preliminary work outlining defenses against adversarial samples by defining a predictive measure of distance between a benign input and a target classification.