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 external validity


RetiringAdult: NewDatasetsforFairMachineLearning

Neural Information Processing Systems

Although the fairness community has recognized the importance of data, re-searchers inthe area primarily rely on UCIAdult when itcomes totabular data.


Off-Policy Evaluation and Learning for External Validity under a Covariate Shift

Neural Information Processing Systems

We consider the evaluation and training of a new policy for the evaluation data by using the historical data obtained from a different policy. The goal of off-policy evaluation (OPE) is to estimate the expected reward of a new policy over the evaluation data, and that of off-policy learning (OPL) is to find a new policy that maximizes the expected reward over the evaluation data. Although the standard OPE and OPL assume the same distribution of covariate between the historical and evaluation data, there often exists a problem of a covariate shift,i.e., the distribution of the covariate of the historical data is different from that of the evaluation data. In this paper, we derive the efficiency bound of OPE under a covariate shift. Then, we propose doubly robust and efficient estimators for OPE and OPL under a covariate shift by using an estimator of the density ratio between the distributions of the historical and evaluation data. We also discuss other possible estimators and compare their theoretical properties. Finally, we confirm the effectiveness of the proposed estimators through experiments.


Establishing Validity for Distance Functions and Internal Clustering Validity Indices in Correlation Space

Degen, Isabella, Abdallah, Zahraa S, Brown, Kate Robson, Reeve, Henry W J

arXiv.org Artificial Intelligence

Internal clustering validity indices (ICVIs) assess clustering quality without ground truth labels. Comparative studies consistently find that no single ICVI outperforms others across datasets, leaving practitioners without principled ICVI selection. We argue that inconsistent ICVI performance arises because studies evaluate them based on matching human labels rather than measuring the quality of the discovered structure in the data, using datasets without formally quantifying the structure type and quality. Structure type refers to the mathematical organisation in data that clustering aims to discover. Validity theory requires a theoretical definition of clustering quality, which depends on structure type. We demonstrate this through the first validity assessment of clustering quality measures for correlation patterns, a structure type that arises from clustering time series by correlation relationships. We formalise 23 canonical correlation patterns as the theoretical optimal clustering and use synthetic data modelling this structure with controlled perturbations to evaluate validity across content, criterion, construct, and external validity. Our findings show that Silhouette Width Criterion (SWC) and Davies-Bouldin Index (DBI) are valid for correlation patterns, whilst Calinski-Harabasz (VRC) and Pakhira-Bandyopadhyay-Maulik (PBM) indices fail. Simple Lp norm distances achieve validity, whilst correlation-specific functions fail structural, criterion, and external validity. These results differ from previous studies where VRC and PBM performed well, demonstrating that validity depends on structure type. Our structure-type-specific validation method provides both practical guidance (quality thresholds SWC>0.9, DBI<0.15) and a methodological template for establishing validity for other structure types.


Beyond Agreement: Rethinking Ground Truth in Educational AI Annotation

Thomas, Danielle R., Borchers, Conrad, Koedinger, Kenneth R.

arXiv.org Artificial Intelligence

Humans can be notoriously imperfect evaluators. They are often biased, unreliable, and unfit to define "ground truth." Yet, given the surging need to produce large amounts of training data in educational applications using AI, traditional inter-rater reliability (IRR) metrics like Cohen's kappa remain central to validating labeled data. IRR remains a cornerstone of many machine learning pipelines for educational data. Take, for example, the classification of tutors' moves in dialogues or labeling open responses in machine-graded assessments. This position paper argues that overreliance on human IRR as a gatekeeper for annotation quality hampers progress in classifying data in ways that are valid and predictive in relation to improving learning. To address this issue, we highlight five examples of complementary evaluation methods, such as multi-label annotation schemes, expert-based approaches, and close-the-loop validity. We argue that these approaches are in a better position to produce training data and subsequent models that produce improved student learning and more actionable insights than IRR approaches alone. We also emphasize the importance of external validity, for example, by establishing a procedure of validating tutor moves and demonstrating that it works across many categories of tutor actions (e.g., providing hints). We call on the field to rethink annotation quality and ground truth--prioritizing validity and educational impact over consensus alone.


PCA for Enhanced Cross-Dataset Generalizability in Breast Ultrasound Tumor Segmentation

Schmidt, Christian, Overhoff, Heinrich Martin

arXiv.org Artificial Intelligence

In medical image segmentation, limited external validity remains a critical obstacle when models are deployed across unseen datasets, an issue particularly pronounced in the ultrasound image domain. Existing solutions-such as domain adaptation and GAN-based style transfer-while promising, often fall short in the medical domain where datasets are typically small and diverse. This paper presents a novel application of principal component analysis (PCA) to address this limitation. PCA preprocessing reduces noise and emphasizes essential features by retaining approximately 90\% of the dataset variance. We evaluate our approach across six diverse breast tumor ultrasound datasets comprising 3,983 B-mode images and corresponding expert tumor segmentation masks. For each dataset, a corresponding dimensionality reduced PCA-dataset is created and U-Net-based segmentation models are trained on each of the twelve datasets. Each model trained on an original dataset was inferenced on the remaining five out-of-domain original datasets (baseline results), while each model trained on a PCA dataset was inferenced on five out-of-domain PCA datasets. Our experimental results indicate that using PCA reconstructed datasets, instead of original images, improves the model's recall and Dice scores, particularly for model-dataset pairs where baseline performance was lowest, achieving statistically significant gains in recall (0.57 $\pm$ 0.07 vs. 0.70 $\pm$ 0.05, $p = 0.0004$) and Dice scores (0.50 $\pm$ 0.06 vs. 0.58 $\pm$ 0.06, $p = 0.03$). Our method reduced the decline in recall values due to external validation by $33\%$. These findings underscore the potential of PCA reconstruction as a safeguard to mitigate declines in segmentation performance, especially in challenging cases, with implications for enhancing external validity in real-world medical applications.


Off-Policy Evaluation and Learning for External Validity under a Covariate Shift

Neural Information Processing Systems

We consider the evaluation and training of a new policy for the evaluation data by using the historical data obtained from a different policy. The goal of off-policy evaluation (OPE) is to estimate the expected reward of a new policy over the evaluation data, and that of off-policy learning (OPL) is to find a new policy that maximizes the expected reward over the evaluation data. Although the standard OPE and OPL assume the same distribution of covariate between the historical and evaluation data, there often exists a problem of a covariate shift,i.e., the distribution of the covariate of the historical data is different from that of the evaluation data. In this paper, we derive the efficiency bound of OPE under a covariate shift. Then, we propose doubly robust and efficient estimators for OPE and OPL under a covariate shift by using an estimator of the density ratio between the distributions of the historical and evaluation data.


Leveraging Machine Learning for Official Statistics: A Statistical Manifesto

Puts, Marco, Salgado, David, Daas, Piet

arXiv.org Machine Learning

It is important for official statistics production to apply ML with statistical rigor, as it presents both opportunities and challenges. Although machine learning has enjoyed rapid technological advances in recent years, its application does not possess the methodological robustness necessary to produce high quality statistical results. In order to account for all sources of error in machine learning models, the Total Machine Learning Error (TMLE) is presented as a framework analogous to the Total Survey Error Model used in survey methodology. As a means of ensuring that ML models are both internally valid as well as externally valid, the TMLE model addresses issues such as representativeness and measurement errors. There are several case studies presented, illustrating the importance of applying more rigor to the application of machine learning in official statistics.


AExGym: Benchmarks and Environments for Adaptive Experimentation

Wang, Jimmy, Che, Ethan, Jiang, Daniel R., Namkoong, Hongseok

arXiv.org Artificial Intelligence

Innovations across science and industry are evaluated using randomized trials (i.e., A/B tests). While simple and robust, such static designs are inefficient or infeasible for testing many hypotheses. Adaptive designs can greatly improve statistical power in theory, but they have seen limited adoption due to their fragility in practice. We present a benchmark for adaptive experimentation based on realworld datasets, highlighting prominent practical challenges to operationalizing adaptivity: non-stationarity, batched/delayed feedback, multiple outcomes and objectives, and external validity. Our benchmark aims to spur methodological development that puts practical performance (e.g., robustness) as a central concern, rather than mathematical guarantees on contrived instances. We release an opensource library, AExGym, which is designed with modularity and extensibility in mind to allow experimentation practitioners to develop and benchmark custom environments and algorithms.


Evaluating AI Evaluation: Perils and Prospects

Burden, John

arXiv.org Artificial Intelligence

As AI systems appear to exhibit ever-increasing capability and generality, assessing their true potential and safety becomes paramount. This paper contends that the prevalent evaluation methods for these systems are fundamentally inadequate, heightening the risks and potential hazards associated with AI. I argue that a reformation is required in the way we evaluate AI systems and that we should look towards cognitive sciences for inspiration in our approaches, which have a longstanding tradition of assessing general intelligence across diverse species. We will identify some of the difficulties that need to be overcome when applying cognitively-inspired approaches to general-purpose AI systems and also analyse the emerging area of "Evals". The paper concludes by identifying promising research pathways that could refine AI evaluation, advancing it towards a rigorous scientific domain that contributes to the development of safe AI systems.


Towards Generalizing Inferences from Trials to Target Populations

Huang, Melody Y, Parikh, Harsh

arXiv.org Artificial Intelligence

Randomized Controlled Trials (RCTs) are pivotal in generating internally valid estimates with minimal assumptions, serving as a cornerstone for researchers dedicated to advancing causal inference methods. However, extending these findings beyond the experimental cohort to achieve externally valid estimates is crucial for broader scientific inquiry. This paper delves into the forefront of addressing these external validity challenges, encapsulating the essence of a multidisciplinary workshop held at the Institute for Computational and Experimental Research in Mathematics (ICERM), Brown University, in Fall 2023. The workshop congregated experts from diverse fields including social science, medicine, public health, statistics, computer science, and education, to tackle the unique obstacles each discipline faces in extrapolating experimental findings. Our study presents three key contributions: we integrate ongoing efforts, highlighting methodological synergies across fields; provide an exhaustive review of generalizability and transportability based on the workshop's discourse; and identify persistent hurdles while suggesting avenues for future research. By doing so, this paper aims to enhance the collective understanding of the generalizability and transportability of causal effects, fostering cross-disciplinary collaboration and offering valuable insights for researchers working on refining and applying causal inference methods.