Xiwei Xu

Qinghua Lu, Liming Zhu, Xiwei Xu et al.

Although AI is transforming the world, there are serious concerns about its ability to behave and make decisions responsibly. Many ethical regulations, principles, and frameworks for responsible AI have been issued recently. However, they are high level and difficult to put into practice. On the other hand, most AI researchers focus on algorithmic solutions, while the responsible AI challenges actually crosscut the entire engineering lifecycle and components of AI systems. To close the gap in operationalizing responsible AI, this paper aims to develop a roadmap on software engineering for responsible AI. The roadmap focuses on (i) establishing multi-level governance for responsible AI systems, (ii) setting up the development processes incorporating process-oriented practices for responsible AI systems, and (iii) building responsible-AI-by-design into AI systems through system-level architectural style, patterns and techniques.

Qinghua Lu, Liming Zhu, Xiwei Xu et al.

Responsible AI is widely considered as one of the greatest scientific challenges of our time and is key to increase the adoption of AI. Recently, a number of AI ethics principles frameworks have been published. However, without further guidance on best practices, practitioners are left with nothing much beyond truisms. Also, significant efforts have been placed at algorithm-level rather than system-level, mainly focusing on a subset of mathematics-amenable ethical principles, such as fairness. Nevertheless, ethical issues can arise at any step of the development lifecycle, cutting across many AI and non-AI components of systems beyond AI algorithms and models. To operationalize responsible AI from a system perspective, in this paper, we present a Responsible AI Pattern Catalogue based on the results of a Multivocal Literature Review (MLR). Rather than staying at the principle or algorithm level, we focus on patterns that AI system stakeholders can undertake in practice to ensure that the developed AI systems are responsible throughout the entire governance and engineering lifecycle. The Responsible AI Pattern Catalogue classifies the patterns into three groups: multi-level governance patterns, trustworthy process patterns, and responsible-AI-by-design product patterns. These patterns provide systematic and actionable guidance for stakeholders to implement responsible AI.

Guangsheng Yu, Xu Wang, Caijun Sun et al.

Federated learning (FL) provides an effective machine learning (ML) architecture to protect data privacy in a distributed manner. However, the inevitable network asynchrony, the over-dependence on a central coordinator, and the lack of an open and fair incentive mechanism collectively hinder its further development. We propose \textsc{IronForge}, a new generation of FL framework, that features a Directed Acyclic Graph (DAG)-based data structure and eliminates the need for central coordinators to achieve fully decentralized operations. \textsc{IronForge} runs in a public and open network, and launches a fair incentive mechanism by enabling state consistency in the DAG, so that the system fits in networks where training resources are unevenly distributed. In addition, dedicated defense strategies against prevalent FL attacks on incentive fairness and data privacy are presented to ensure the security of \textsc{IronForge}. Experimental results based on a newly developed testbed FLSim highlight the superiority of \textsc{IronForge} to the existing prevalent FL frameworks under various specifications in performance, fairness, and security. To the best of our knowledge, \textsc{IronForge} is the first secure and fully decentralized FL framework that can be applied in open networks with realistic network and training settings.

Dawen Zhang, Shidong Pan, Thong Hoang et al.

The right to be forgotten (RTBF) is motivated by the desire of people not to be perpetually disadvantaged by their past deeds. For this, data deletion needs to be deep and permanent, and should be removed from machine learning models. Researchers have proposed machine unlearning algorithms which aim to erase specific data from trained models more efficiently. However, these methods modify how data is fed into the model and how training is done, which may subsequently compromise AI ethics from the fairness perspective. To help software engineers make responsible decisions when adopting these unlearning methods, we present the first study on machine unlearning methods to reveal their fairness implications. We designed and conducted experiments on two typical machine unlearning methods (SISA and AmnesiacML) along with a retraining method (ORTR) as baseline using three fairness datasets under three different deletion strategies. Experimental results show that under non-uniform data deletion, SISA leads to better fairness compared with ORTR and AmnesiacML, while initial training and uniform data deletion do not necessarily affect the fairness of all three methods. These findings have exposed an important research problem in software engineering, and can help practitioners better understand the potential trade-offs on fairness when considering solutions for RTBF.

Qinghua Lu, Liming Zhu, Xiwei Xu et al.

Although AI has significant potential to transform society, there are serious concerns about its ability to behave and make decisions responsibly. Many ethical regulations, principles, and guidelines for responsible AI have been issued recently. However, these principles are high-level and difficult to put into practice. In the meantime much effort has been put into responsible AI from the algorithm perspective, but they are limited to a small subset of ethical principles amenable to mathematical analysis. Responsible AI issues go beyond data and algorithms and are often at the system-level crosscutting many system components and the entire software engineering lifecycle. Based on the result of a systematic literature review, this paper identifies one missing element as the system-level guidance - how to design the architecture of responsible AI systems. We present a summary of design patterns that can be embedded into the AI systems as product features to contribute to responsible-AI-by-design.

Guanglin Zhou, Shaoan Xie, Guang-Yuan Hao et al.

In the field of artificial intelligence (AI), the quest to understand and model data-generating processes (DGPs) is of paramount importance. Deep generative models (DGMs) have proven adept in capturing complex data distributions but often fall short in generalization and interpretability. On the other hand, causality offers a structured lens to comprehend the mechanisms driving data generation and highlights the causal-effect dynamics inherent in these processes. While causality excels in interpretability and the ability to extrapolate, it grapples with intricacies of high-dimensional spaces. Recognizing the synergistic potential, we delve into the confluence of causality and DGMs. We elucidate the integration of causal principles within DGMs, investigate causal identification using DGMs, and navigate an emerging research frontier of causality in large-scale generative models, particularly generative large language models (LLMs). We offer insights into methodologies, highlight open challenges, and suggest future directions, positioning our comprehensive review as an essential guide in this swiftly emerging and evolving area.

Qinghua Lu, Liming Zhu, Xiwei Xu et al.

Foundation models, such as large language models (LLMs), have been widely recognised as transformative AI technologies due to their capabilities to understand and generate content, including plans with reasoning capabilities. Foundation model based agents derive their autonomy from the capabilities of foundation models, which enable them to autonomously break down a given goal into a set of manageable tasks and orchestrate task execution to meet the goal. Despite the huge efforts put into building foundation model based agents, the architecture design of the agents has not yet been systematically explored. Also, while there are significant benefits of using agents for planning and execution, there are serious considerations regarding responsible AI related software quality attributes, such as security and accountability. Therefore, this paper presents a pattern-oriented reference architecture that serves as guidance when designing foundation model based agents. We evaluate the completeness and utility of the proposed reference architecture by mapping it to the architecture of two real-world agents.

Qinghua Lu, Liming Zhu, Xiwei Xu et al.

The release of ChatGPT, Gemini, and other large language model has drawn huge interests on foundations models. There is a broad consensus that foundations models will be the fundamental building blocks for future AI systems. However, there is a lack of systematic guidance on the architecture design. Particularly, the the rapidly growing capabilities of foundations models can eventually absorb other components of AI systems, posing challenges of moving boundary and interface evolution in architecture design. Furthermore, incorporating foundations models into AI systems raises significant concerns about responsible and safe AI due to their opaque nature and rapidly advancing intelligence. To address these challenges, the paper first presents an architecture evolution of AI systems in the era of foundation models, transitioning from "foundation-model-as-a-connector" to "foundation-model-as-a-monolithic architecture". The paper then identifies key design decisions and proposes a pattern-oriented reference architecture for designing responsible foundation-model-based systems. The patterns can enable the potential of foundation models while ensuring associated risks.

Guanglin Zhou, Lina Yao, Xiwei Xu et al.

We regularly consider answering counterfactual questions in practice, such as "Would people with diabetes take a turn for the better had they choose another medication?". Observational studies are growing in significance in answering such questions due to their widespread accumulation and comparatively easier acquisition than Randomized Control Trials (RCTs). Recently, some works have introduced representation learning and domain adaptation into counterfactual inference. However, most current works focus on the setting of binary treatments. None of them considers that different treatments' sample sizes are imbalanced, especially data examples in some treatment groups are relatively limited due to inherent user preference. In this paper, we design a new algorithmic framework for counterfactual inference, which brings an idea from Meta-learning for Estimating Individual Treatment Effects (MetaITE) to fill the above research gaps, especially considering multiple imbalanced treatments. Specifically, we regard data episodes among treatment groups in counterfactual inference as meta-learning tasks. We train a meta-learner from a set of source treatment groups with sufficient samples and update the model by gradient descent with limited samples in target treatment. Moreover, we introduce two complementary losses. One is the supervised loss on multiple source treatments. The other loss which aligns latent distributions among various treatment groups is proposed to reduce the discrepancy. We perform experiments on two real-world datasets to evaluate inference accuracy and generalization ability. Experimental results demonstrate that the model MetaITE matches/outperforms state-of-the-art methods.

Qinghua Lu, Yuxiu Luo, Liming Zhu et al.

The recent release of ChatGPT has gained huge attention and discussion worldwide, with responsible AI being a key topic of discussion. How can we ensure that AI systems, including ChatGPT, are developed and adopted in a responsible way? To tackle the responsible AI challenges, various ethical principles have been released by governments, organisations, and companies. However, those principles are very abstract and not practical enough. Further, significant efforts have been put on algorithm-level solutions that only address a narrow set of principles, such as fairness and privacy. To fill the gap, we adopt a pattern-oriented responsible AI engineering approach and build a Responsible AI Pattern Catalogue to operationalise responsible AI from a system perspective. In this article, we first summarise the major challenges in operationalising responsible AI at scale and introduce how we use the Responsible AI Pattern Catalogue to address those challenges. We then examine the risks at each stage of the chatbot development process and recommend pattern-driven mitigations to evaluate the the usefulness of the Responsible AI Pattern Catalogue in a real-world setting.

Jingwen Zhou, Qinghua Lu, Jieshan Chen et al.

The rapid advancement of AI technology has led to widespread applications of agent systems across various domains. However, the need for detailed architecture design poses significant challenges in designing and operating these systems. This paper introduces a taxonomy focused on the architectures of foundation-model-based agents, addressing critical aspects such as functional capabilities and non-functional qualities. We also discuss the operations involved in both design-time and run-time phases, providing a comprehensive view of architectural design and operational characteristics. By unifying and detailing these classifications, our taxonomy aims to improve the design of foundation-model-based agents. Additionally, the paper establishes a decision model that guides critical design and runtime decisions, offering a structured approach to enhance the development of foundation-model-based agents. Our contributions include providing a structured architecture design option and guiding the development process of foundation-model-based agents, thereby addressing current fragmentation in the field.

Xingyu Tan, Xiaoyang Wang, Qing Liu et al.

Retrieval-augmented generation (RAG) enhances large language models (LLMs) by incorporating external knowledge. Current hybrid RAG system retrieves evidence from both knowledge graphs (KGs) and text documents to support LLM reasoning. However, it faces challenges like handling multi-hop reasoning, multi-entity questions, multi-source verification, and effective graph utilization. To address these limitations, we present HydraRAG, a training-free framework that unifies graph topology, document semantics, and source reliability to support deep, faithful reasoning in LLMs. HydraRAG handles multi-hop and multi-entity problems through agent-driven exploration that combines structured and unstructured retrieval, increasing both diversity and precision of evidence. To tackle multi-source verification, HydraRAG uses a tri-factor cross-source verification (source trustworthiness assessment, cross-source corroboration, and entity-path alignment), to balance topic relevance with cross-modal agreement. By leveraging graph structure, HydraRAG fuses heterogeneous sources, guides efficient exploration, and prunes noise early. Comprehensive experiments on seven benchmark datasets show that HydraRAG achieves overall state-of-the-art results on all benchmarks with GPT-3.5-Turbo, outperforming the strong hybrid baseline ToG-2 by an average of 20.3% and up to 30.1%. Furthermore, HydraRAG enables smaller models (e.g., Llama-3.1-8B) to achieve reasoning performance comparable to that of GPT-4-Turbo. The source code is available on https://stevetantan.github.io/HydraRAG/.

Yue Liu, Sin Kit Lo, Qinghua Lu et al.

Foundation model-enabled generative artificial intelligence facilitates the development and implementation of agents, which can leverage distinguished reasoning and language processing capabilities to takes a proactive, autonomous role to pursue users' goals. Nevertheless, there is a lack of systematic knowledge to guide practitioners in designing the agents considering challenges of goal-seeking (including generating instrumental goals and plans), such as hallucinations inherent in foundation models, explainability of reasoning process, complex accountability, etc. To address this issue, we have performed a systematic literature review to understand the state-of-the-art foundation model-based agents and the broader ecosystem. In this paper, we present a pattern catalogue consisting of 18 architectural patterns with analyses of the context, forces, and trade-offs as the outcomes from the previous literature review. We propose a decision model for selecting the patterns. The proposed catalogue can provide holistic guidance for the effective use of patterns, and support the architecture design of foundation model-based agents by facilitating goal-seeking and plan generation.

Jianwei Wang, Kai Wang, Ying Zhang et al.

Missing data imputation, which aims to impute the missing values in the raw datasets to achieve the completeness of datasets, is crucial for modern data-driven models like large language models (LLMs) and has attracted increasing interest over the past decades. Despite its importance, existing solutions for missing data imputation either 1) only support numerical and categorical data or 2) show an unsatisfactory performance due to their design prioritizing text data and the lack of key properties for tabular data imputation. In this paper, we propose UnIMP, a Unified IMPutation framework that leverages LLM and high-order message passing to enhance the imputation of mixed-type data including numerical, categorical, and text data. Specifically, we first introduce a cell-oriented hypergraph to model the table. We then propose BiHMP, an efficient Bidirectional High-order Message-Passing network to aggregate global-local information and high-order relationships on the constructed hypergraph while capturing the inter-column heterogeneity and intra-column homogeneity. To effectively and efficiently align the capacity of the LLM with the information aggregated by BiHMP, we introduce Xfusion, which, together with BiHMP, acts as adapters for the LLM. We follow a pre-training and fine-tuning pipeline to train UnIMP, integrating two optimizations: chunking technique, which divides tables into smaller chunks to enhance efficiency; and progressive masking technique, which gradually adapts the model to learn more complex data patterns. Both theoretical proofs and empirical experiments on 10 real world datasets highlight the superiority of UnIMP over existing techniques.

Dawen Zhang, Xiwei Xu, Chen Wang et al.

Significant efforts has been made to expand the use of Large Language Models (LLMs) beyond basic language tasks. While the generalizability and versatility of LLMs have enabled widespread adoption, evolving demands in application development often exceed their native capabilities. Meeting these demands may involve a diverse set of methods, such as enhancing creativity through either inference temperature adjustments or creativity-provoking prompts. Selecting the right approach is critical, as different methods lead to trade-offs in engineering complexity, scalability, and operational costs. This paper introduces a layered architecture that organizes LLM software system development into distinct layers, each characterized by specific attributes. By aligning capabilities with these layers, the framework encourages the systematic implementation of capabilities in effective and efficient ways that ultimately supports desired functionalities and qualities. Through practical case studies, we illustrate the utility of the framework. This work offers developers actionable insights for selecting suitable technologies in LLM-based software system development, promoting robustness and scalability.

Shiyi Yang, Lina Yao, Chen Wang et al.

Recent studies have shown that recommender systems (RSs) are highly vulnerable to data poisoning attacks. Understanding attack tactics helps improve the robustness of RSs. We intend to develop efficient attack methods that use limited resources to generate high-quality fake user profiles to achieve 1) transferability among black-box RSs 2) and imperceptibility among detectors. In order to achieve these goals, we introduce textual reviews of products to enhance the generation quality of the profiles. Specifically, we propose a novel attack framework named R-Trojan, which formulates the attack objectives as an optimization problem and adopts a tailored transformer-based generative adversarial network (GAN) to solve it so that high-quality attack profiles can be produced. Comprehensive experiments on real-world datasets demonstrate that R-Trojan greatly outperforms state-of-the-art attack methods on various victim RSs under black-box settings and show its good imperceptibility.

Yiheng Hu, Xiaoyang Wang, Qing Liu et al.

Multimodal Multi-hop question answering requires integrating information from diverse sources, such as images and texts, to derive answers. Existing methods typically rely on sequential retrieval and reasoning, where each step builds on the previous output. However, this single-path paradigm makes them vulnerable to errors due to misleading intermediate steps. Moreover, developing multimodal models can be computationally expensive, often requiring extensive training. To address these limitations, we propose a training-free framework guided by an Adaptive Planning Graph, which consists of planning, retrieval and reasoning modules. The planning module analyzes the current state of the Adaptive Planning Graph, determines the next action and where to expand the graph, which enables dynamic and flexible exploration of reasoning paths. To handle retrieval of text to unspecified target modalities, we devise modality-specific strategies that dynamically adapt to distinct data types. Our approach preserves the characteristics of multimodal information without costly task-specific training, enabling seamless integration with up-to-date models. Finally, the experiments on MultimodalQA and WebQA show that our approach matches or outperforms existing models that rely on training.

Shiyi Yang, Xinshu Li, Guanglin Zhou et al.

Recent studies have shown that recommender systems (RSs) are highly vulnerable to data poisoning attacks, where malicious actors inject fake user profiles, including a group of well-designed fake ratings, to manipulate recommendations. Due to security and privacy constraints in practice, attackers typically possess limited knowledge of the victim system and thus need to craft profiles that have transferability across black-box RSs. To maximize the attack impact, the profiles often remains imperceptible. However, generating such high-quality profiles with the restricted resources is challenging. Some works suggest incorporating fake textual reviews to strengthen the profiles; yet, the poor quality of the reviews largely undermines the attack effectiveness and imperceptibility under the practical setting. To tackle the above challenges, in this paper, we propose to enhance the quality of the review text by harnessing in-context learning (ICL) capabilities of multimodal foundation models. To this end, we introduce a demonstration retrieval algorithm and a text style transfer strategy to augment the navie ICL. Specifically, we propose a novel practical attack framework named RAGAN to generate high-quality fake user profiles, which can gain insights into the robustness of RSs. The profiles are generated by a jailbreaker and collaboratively optimized on an instructional agent and a guardian to improve the attack transferability and imperceptibility. Comprehensive experiments on various real-world datasets demonstrate that RAGAN achieves the state-of-the-art poisoning attack performance.

Yuanyuan Xu, Wenjie Zhang, Ying Zhang et al.

Dynamic Text-Attributed Graphs (DyTAGs) are a novel graph paradigm that captures evolving temporal events (edges) alongside rich textual attributes. Existing studies can be broadly categorized into TGNN-driven and LLM-driven approaches, both of which encode textual attributes and temporal structures for DyTAG representation. We observe that DyTAGs inherently comprise three distinct modalities: temporal, textual, and structural, often exhibiting completely disjoint distributions. However, the first two modalities are largely overlooked by existing studies, leading to suboptimal performance. To address this, we propose MoMent, a multi-modal model that explicitly models, integrates, and aligns each modality to learn node representations for link prediction. Given the disjoint nature of the original modality distributions, we first construct modality-specific features and encode them using individual encoders to capture correlations across temporal patterns, semantic context, and local structures. Each encoder generates modality-specific tokens, which are then fused into comprehensive node representations with a theoretical guarantee. To avoid disjoint subspaces of these heterogeneous modalities, we propose a dual-domain alignment loss that first aligns their distributions globally and then fine-tunes coherence at the instance level. This enhances coherent representations from temporal, textual, and structural views. Extensive experiments across seven datasets show that MoMent achieves up to 17.28% accuracy improvement and up to 31x speed-up against eight baselines.

Qinghua Lu, Dehai Zhao, Yue Liu et al.

The emergence of foundation models (FMs) has enabled the development of highly capable and autonomous agents, unlocking new application opportunities across a wide range of domains. Evaluating the architecture of agents is particularly important as the architectural decisions significantly impact the quality attributes of agents given their unique characteristics, including compound architecture, autonomous and non-deterministic behaviour, and continuous evolution. However, these traditional methods fall short in addressing the evaluation needs of agent architecture due to the unique characteristics of these agents. Therefore, in this paper, we present AgentArcEval, a novel agent architecture evaluation method designed specially to address the complexities of FM-based agent architecture and its evaluation. Moreover, we present a catalogue of agent-specific general scenarios, which serves as a guide for generating concrete scenarios to design and evaluate the agent architecture. We demonstrate the usefulness of AgentArcEval and the catalogue through a case study on the architecture evaluation of a real-world tax copilot, named Luna.

Xingyu Tan, Xiaoyang Wang, Qing Liu et al.

Large Language Models (LLMs) have achieved impressive reasoning abilities, but struggle with temporal understanding, especially when questions involve multiple entities, compound operators, and evolving event sequences. Temporal Knowledge Graphs (TKGs), which capture vast amounts of temporal facts in a structured format, offer a reliable source for temporal reasoning. However, existing TKG-based LLM reasoning methods still struggle with four major challenges: maintaining temporal faithfulness in multi-hop reasoning, achieving multi-entity temporal synchronization, adapting retrieval to diverse temporal operators, and reusing prior reasoning experience for stability and efficiency. To address these issues, we propose MemoTime, a memory-augmented temporal knowledge graph framework that enhances LLM reasoning through structured grounding, recursive reasoning, and continual experience learning. MemoTime decomposes complex temporal questions into a hierarchical Tree of Time, enabling operator-aware reasoning that enforces monotonic timestamps and co-constrains multiple entities under unified temporal bounds. A dynamic evidence retrieval layer adaptively selects operator-specific retrieval strategies, while a self-evolving experience memory stores verified reasoning traces, toolkit decisions, and sub-question embeddings for cross-type reuse. Comprehensive experiments on multiple temporal QA benchmarks show that MemoTime achieves overall state-of-the-art results, outperforming the strong baseline by up to 24.0%. Furthermore, MemoTime enables smaller models (e.g., Qwen3-4B) to achieve reasoning performance comparable to that of GPT-4-Turbo.

Minh Duc Vu, Jieshan Chen, Zhenchang Xing et al.

With the proliferation of data across various domains, there is a critical demand for tools that enable non-experts to derive meaningful insights without deep data analysis skills. To address this need, existing automatic fact sheet generation tools offer heuristic-based solutions to extract facts and generate stories. However, they inadequately grasp the semantics of data and struggle to generate narratives that fully capture the semantics of the dataset or align the fact sheet with specific user needs. Addressing these shortcomings, this paper introduces \tool, a novel tool designed for the automatic generation and customisation of fact sheets. \tool applies the concept of collaborative AI workers to transform raw tabular dataset into comprehensive, visually compelling fact sheets. We define effective taxonomy to profile AI worker for specialised tasks. Furthermore, \tool empowers users to refine these fact sheets through intuitive natural language commands, ensuring the final outputs align closely with individual preferences and requirements. Our user evaluation with 18 participants confirms that \tool not only surpasses state-of-the-art baselines in automated fact sheet production but also provides a positive user experience during customization tasks.

Sin Kit Lo, Yue Liu, Guangsheng Yu et al.

Distributed trust is a nebulous concept that has evolved from different perspectives in recent years. While one can attribute its current prominence to blockchain and cryptocurrency, the distributed trust concept has been cultivating progress in federated learning, trustworthy and responsible AI in an ecosystem setting, data sharing, privacy issues across organizational boundaries, and zero trust cybersecurity. This paper will survey the concept of distributed trust in multiple disciplines. It will take a system/software architecture point of view to look at trust redistribution/shift and the associated tradeoffs in systems and applications enabled by distributed trust technologies.

Qinghua Lu, Liming Zhu, Xiwei Xu et al.

The recent release of large language model (LLM) based chatbots, such as ChatGPT, has attracted huge interest in foundation models. It is widely believed that foundation models will serve as the fundamental building blocks for future AI systems. As foundation models are in their early stages, the design of foundation model based systems has not yet been systematically explored. There is limited understanding about the impact of introducing foundation models in software architecture. Therefore, in this paper, we propose a taxonomy of foundation model based systems, which classifies and compares the characteristics of foundation models and design options of foundation model based systems. Our taxonomy comprises three categories: the pretraining and adaptation of foundation models, the architecture design of foundation model based systems, and responsible-AI-by-design. This taxonomy can serve as concrete guidance for making major architectural design decisions when designing foundation model based systems and highlights trade-offs arising from design decisions.

Guanglin Zhou, Lina Yao, Xiwei Xu et al.

With the widespread accumulation of observational data, researchers obtain a new direction to learn counterfactual effects in many domains (e.g., health care and computational advertising) without Randomized Controlled Trials(RCTs). However, observational data suffer from inherent missing counterfactual outcomes, and distribution discrepancy between treatment and control groups due to behaviour preference. Motivated by recent advances of representation learning in the field of domain adaptation, we propose a novel framework based on Cycle-Balanced REpresentation learning for counterfactual inference (CBRE), to solve above problems. Specifically, we realize a robust balanced representation for different groups using adversarial training, and meanwhile construct an information loop, such that preserve original data properties cyclically, which reduces information loss when transforming data into latent representation space.Experimental results on three real-world datasets demonstrate that CBRE matches/outperforms the state-of-the-art methods, and it has a great potential to be applied to counterfactual inference.

Sin Kit Lo, Yue Liu, Qinghua Lu et al.

Federated learning is an emerging privacy-preserving AI technique where clients (i.e., organisations or devices) train models locally and formulate a global model based on the local model updates without transferring local data externally. However, federated learning systems struggle to achieve trustworthiness and embody responsible AI principles. In particular, federated learning systems face accountability and fairness challenges due to multi-stakeholder involvement and heterogeneity in client data distribution. To enhance the accountability and fairness of federated learning systems, we present a blockchain-based trustworthy federated learning architecture. We first design a smart contract-based data-model provenance registry to enable accountability. Additionally, we propose a weighted fair data sampler algorithm to enhance fairness in training data. We evaluate the proposed approach using a COVID-19 X-ray detection use case. The evaluation results show that the approach is feasible to enable accountability and improve fairness. The proposed algorithm can achieve better performance than the default federated learning setting in terms of the model's generalisation and accuracy.

Liming Zhu, Xiwei Xu, Qinghua Lu et al.

In the last few years, AI continues demonstrating its positive impact on society while sometimes with ethically questionable consequences. Building and maintaining public trust in AI has been identified as the key to successful and sustainable innovation. This chapter discusses the challenges related to operationalizing ethical AI principles and presents an integrated view that covers high-level ethical AI principles, the general notion of trust/trustworthiness, and product/process support in the context of responsible AI, which helps improve both trust and trustworthiness of AI for a wider set of stakeholders.

Qinghua Lu, Xiwei Xu, H. M. N. Dilum Bandara et al.

As the killer application of blockchain technology, blockchain-based payments have attracted extensive attention ranging from hobbyists to corporates to regulatory bodies. Blockchain facilitates fast, secure, and cross-border payments without the need for intermediaries such as banks. Because blockchain technology is still emerging, systematically organised knowledge providing a holistic and comprehensive view on designing payment applications that use blockchain is yet to be established. If such knowledge could be established in the form of a set of blockchain-specific patterns, architects could use those patterns in designing a payment application that leverages blockchain. Therefore, in this paper, we first identify a token's lifecycle and then present 12 patterns that cover critical aspects in enabling the state transitions of a token in blockchain-based payment applications. The lifecycle and the annotated patterns provide a payment-focused systematic view of system interactions and a guide to effective use of the patterns.

Sin Kit Lo, Qinghua Lu, Liming Zhu et al.

Federated learning has received fast-growing interests from academia and industry to tackle the challenges of data hungriness and privacy in machine learning. A federated learning system can be viewed as a large-scale distributed system with different components and stakeholders as numerous client devices participate in federated learning. Designing a federated learning system requires software system design thinking apart from machine learning knowledge. Although much effort has been put into federated learning from the machine learning technique aspects, the software architecture design concerns in building federated learning systems have been largely ignored. Therefore, in this paper, we present a collection of architectural patterns to deal with the design challenges of federated learning systems. Architectural patterns present reusable solutions to a commonly occurring problem within a given context during software architecture design. The presented patterns are based on the results of a systematic literature review and include three client management patterns, four model management patterns, three model training patterns, and four model aggregation patterns. The patterns are associated to the particular state transitions in a federated learning model lifecycle, serving as a guidance for effective use of the patterns in the design of federated learning systems.

Jiamou Sun, Zhenchang Xing, Hao Guo et al.

ExploitDB is one of the important public websites, which contributes a large number of vulnerabilities to official CVE database. Over 60\% of these vulnerabilities have high- or critical-security risks. Unfortunately, over 73\% of exploits appear publicly earlier than the corresponding CVEs, and about 40\% of exploits do not even have CVEs. To assist in documenting CVEs for the ExploitDB posts, we propose an open information method to extract 9 key vulnerability aspects (vulnerable product/version/component, vulnerability type, vendor, attacker type, root cause, attack vector and impact) from the verbose and noisy ExploitDB posts. The extracted aspects from an ExploitDB post are then composed into a CVE description according to the suggested CVE description templates, which is must-provided information for requesting new CVEs. Through the evaluation on 13,017 manually labeled sentences and the statistically sampling of 3,456 extracted aspects, we confirm the high accuracy of our extraction method. Compared with 27,230 reference CVE descriptions. Our composed CVE descriptions achieve high ROUGH-L (0.38), a longest common subsequence based metric for evaluating text summarization methods.

Xiaocong Chen, Lina Yao, Aixin Sun et al.

Deep reinforcement learning enables an agent to capture user's interest through interactions with the environment dynamically. It has attracted great interest in the recommendation research. Deep reinforcement learning uses a reward function to learn user's interest and to control the learning process. However, most reward functions are manually designed; they are either unrealistic or imprecise to reflect the high variety, dimensionality, and non-linearity properties of the recommendation problem. That makes it difficult for the agent to learn an optimal policy to generate the most satisfactory recommendations. To address the above issue, we propose a novel generative inverse reinforcement learning approach, namely InvRec, which extracts the reward function from user's behaviors automatically, for online recommendation. We conduct experiments on an online platform, VirtualTB, and compare with several state-of-the-art methods to demonstrate the feasibility and effectiveness of our proposed approach.

Weishan Zhang, Qinghua Lu, Qiuyu Yu et al.

Device failure detection is one of most essential problems in industrial internet of things (IIoT). However, in conventional IIoT device failure detection, client devices need to upload raw data to the central server for model training, which might lead to disclosure of sensitive business data. Therefore, in this paper, to ensure client data privacy, we propose a blockchain-based federated learning approach for device failure detection in IIoT. First, we present a platform architecture of blockchain-based federated learning systems for failure detection in IIoT, which enables verifiable integrity of client data. In the architecture, each client periodically creates a Merkle tree in which each leaf node represents a client data record, and stores the tree root on a blockchain. Further, to address the data heterogeneity issue in IIoT failure detection, we propose a novel centroid distance weighted federated averaging (CDW\_FedAvg) algorithm taking into account the distance between positive class and negative class of each client dataset. In addition, to motivate clients to participate in federated learning, a smart contact based incentive mechanism is designed depending on the size and the centroid distance of client data used in local model training. A prototype of the proposed architecture is implemented with our industry partner, and evaluated in terms of feasibility, accuracy and performance. The results show that the approach is feasible, and has satisfactory accuracy and performance.

Jieshan Chen, Mulong Xie, Zhenchang Xing et al.

Detecting Graphical User Interface (GUI) elements in GUI images is a domain-specific object detection task. It supports many software engineering tasks, such as GUI animation and testing, GUI search and code generation. Existing studies for GUI element detection directly borrow the mature methods from computer vision (CV) domain, including old fashioned ones that rely on traditional image processing features (e.g., canny edge, contours), and deep learning models that learn to detect from large-scale GUI data. Unfortunately, these CV methods are not originally designed with the awareness of the unique characteristics of GUIs and GUI elements and the high localization accuracy of the GUI element detection task. We conduct the first large-scale empirical study of seven representative GUI element detection methods on over 50k GUI images to understand the capabilities, limitations and effective designs of these methods. This study not only sheds the light on the technical challenges to be addressed but also informs the design of new GUI element detection methods. We accordingly design a new GUI-specific old-fashioned method for non-text GUI element detection which adopts a novel top-down coarse-to-fine strategy, and incorporate it with the mature deep learning model for GUI text detection.Our evaluation on 25,000 GUI images shows that our method significantly advances the start-of-the-art performance in GUI element detection.

Manqing Dong, Feng Yuan, Lina Yao et al.

A common challenge for most current recommender systems is the cold-start problem. Due to the lack of user-item interactions, the fine-tuned recommender systems are unable to handle situations with new users or new items. Recently, some works introduce the meta-optimization idea into the recommendation scenarios, i.e. predicting the user preference by only a few of past interacted items. The core idea is learning a global sharing initialization parameter for all users and then learning the local parameters for each user separately. However, most meta-learning based recommendation approaches adopt model-agnostic meta-learning for parameter initialization, where the global sharing parameter may lead the model into local optima for some users. In this paper, we design two memory matrices that can store task-specific memories and feature-specific memories. Specifically, the feature-specific memories are used to guide the model with personalized parameter initialization, while the task-specific memories are used to guide the model fast predicting the user preference. And we adopt a meta-optimization approach for optimizing the proposed method. We test the model on two widely used recommendation datasets and consider four cold-start situations. The experimental results show the effectiveness of the proposed methods.

Yue Liu, Qinghua Lu, Hye-Young Paik et al.

Self-sovereign identity is a new identity management paradigm that allows entities to really have the ownership of their identity data and control their use without involving any intermediary. Blockchain is an enabling technology for building self-sovereign identity systems by providing a neutral and trustable storage and computing infrastructure and can be viewed as a component of the systems. Both blockchain and self-sovereign identity are emerging technologies which could present a steep learning curve for architects. We collect and propose 12 design patterns for blockchain-based self-sovereign identity systems to help the architects understand and easily apply the concepts in system design. Based on the lifecycles of three main objects involved in self-sovereign identity, we categorise the patterns into three groups: key management patterns, decentralised identifier management patterns, and credential design patterns. The proposed patterns provide a systematic and holistic guide for architects to design the architecture of blockchain-based self-sovereign identity systems.

Jieshan Chen, Chunyang Chen, Zhenchang Xing et al.

According to the World Health Organization(WHO), it is estimated that approximately 1.3 billion people live with some forms of vision impairment globally, of whom 36 million are blind. Due to their disability, engaging these minority into the society is a challenging problem. The recent rise of smart mobile phones provides a new solution by enabling blind users' convenient access to the information and service for understanding the world. Users with vision impairment can adopt the screen reader embedded in the mobile operating systems to read the content of each screen within the app, and use gestures to interact with the phone. However, the prerequisite of using screen readers is that developers have to add natural-language labels to the image-based components when they are developing the app. Unfortunately, more than 77% apps have issues of missing labels, according to our analysis of 10,408 Android apps. Most of these issues are caused by developers' lack of awareness and knowledge in considering the minority. And even if developers want to add the labels to UI components, they may not come up with concise and clear description as most of them are of no visual issues. To overcome these challenges, we develop a deep-learning based model, called LabelDroid, to automatically predict the labels of image-based buttons by learning from large-scale commercial apps in Google Play. The experimental results show that our model can make accurate predictions and the generated labels are of higher quality than that from real Android developers.

Qinghua Lu, Xiwei Xu, Yue Liu et al.

Blockchain is an innovative distributed ledger technology which has attracted a wide range of interests for building the next generation of applications to address lack-of-trust issues in business. Blockchain as a service (BaaS) is a promising solution to improve the productivity of blockchain application development. However, existing BaaS deployment solutions are mostly vendor-locked: they are either bound to a cloud provider or a blockchain platform. In addition to deployment, design and implementation of blockchain-based applications is a hard task requiring deep expertise. Therefore, this paper presents a unified blockchain as a service platform (uBaaS) to support both design and deployment of blockchain-based applications. The services in uBaaS include deployment as a service, design pattern as a service and auxiliary services. In uBaaS, deployment as a service is platform agnostic, which can avoid lock-in to specific cloud platforms, while design pattern as a service applies design patterns for data management and smart contract design to address the scalability and security issues of blockchain. The proposed solutions are evaluated using a real-world quality tracing use case in terms of feasibility and scalability.

HMN Dilum Bandara, Xiwei Xu, Ingo Weber

With the rapid evolution of technological, economic, and regulatory landscapes, contemporary blockchain platforms are all but certain to undergo major changes. Therefore, the applications that rely on them will eventually need to migrate from one blockchain instance to another to remain competitive and secure, as well as to enhance the business process, performance, cost efficiency, privacy, and regulatory compliance. However, the differences in data and smart contract representations, modes of hosting, transaction fees, as well as the need to preserve consistency, immutability, and data provenance introduce unique challenges over database migration. We first present a set of blockchain migration scenarios and data fidelity levels using an illustrative example. We then present a set of migration patterns to address those scenarios and the above data management challenges. Finally, we demonstrate how the effort, cost, and risk of migration could be minimized by choosing a suitable set of data migration patterns, data fidelity level, and proactive system design. Practical considerations and research challenges are also highlighted.

Shuai Zhang, Lina Yao, Yi Tay et al.

In the past decade, matrix factorization has been extensively researched and has become one of the most popular techniques for personalized recommendations. Nevertheless, the dot product adopted in matrix factorization based recommender models does not satisfy the inequality property, which may limit their expressiveness and lead to sub-optimal solutions. To overcome this problem, we propose a novel recommender technique dubbed as {\em Metric Factorization}. We assume that users and items can be placed in a low dimensional space and their explicit closeness can be measured using Euclidean distance which satisfies the inequality property. To demonstrate its effectiveness, we further designed two variants of metric factorization with one for rating estimation and the other for personalized item ranking. Extensive experiments on a number of real-world datasets show that our approach outperforms existing state-of-the-art by a large margin on both rating prediction and item ranking tasks.

Shuai Zhang, Lina Yao, Xiwei Xu et al.

In this paper, we present a novel structure, Semi-AutoEncoder, based on AutoEncoder. We generalize it into a hybrid collaborative filtering model for rating prediction as well as personalized top-n recommendations. Experimental results on two real-world datasets demonstrate its state-of-the-art performances.

Jan Mendling, Ingo Weber, Wil van der Aalst et al.

Blockchain technology promises a sizable potential for executing inter-organizational business processes without requiring a central party serving as a single point of trust (and failure). This paper analyzes its impact on business process management (BPM). We structure the discussion using two BPM frameworks, namely the six BPM core capabilities and the BPM lifecycle. This paper provides research directions for investigating the application of blockchain technology to BPM.

Zheng Li, Liam O'Brien, Jacky Keung et al.

Within the service-oriented computing domain, Web service composition is an effective realization to satisfy the rapidly changing requirements of business. Therefore, the research into Web service composition has unfolded broadly. Since examining all of the related work in this area becomes a mission next to impossible, the classification of composition approaches can be used to facilitate multiple research tasks. However, the current attempts to classify Web service composition do not have clear objectives. Furthermore, the contexts and technologies of composition approaches are confused in the existing classifications. This paper proposes an effort-oriented classification matrix for Web service composition, which distinguishes between the context and technology dimension. The context dimension is aimed at analyzing the environment influence on the effort of Web service composition, while the technology dimension focuses on the technique influence on the effort. Consequently, besides the traditional classification benefits, this matrix can be used to build the basis of cost estimation for Web service composition in future research.