← 研踪 PaperTrailarXiv:2611.05222 · v1
Fairness Metrics based on the AUC in Clinical Predictive AI
首次提交 2026-11-04 01:07
版本更新 2026-11-04 01:07
雷达观测 2026-11-04 23:39
摘要
Fairness evaluation of clinical prediction models for binary outcomes often involves fairness metrics that compare the area under the receiver operating characteristic curve (AUC, or c-statistic) across subgroups. However, the AUC has been shown to be a non-collapsible metric, meaning that its subgroup specific and overall values are not directly comparable as often implicitly assumed. This raises important questions about how existing AUC-based fairness metrics should be used and interpreted. We examine eight AUC-based fairness metrics proposed in the literature, including: within-group AUC parity; cross-group AUC (xAUC) parity; gap-to-overall AUC; equity-scaled AUC; minimum-based metrics; $\mathrm{xAUC}^1$; $\mathrm{xAUC}^0$; and $\mathrm{xAUC}^1$ or $\mathrm{xAUC}^0$ parity. We characterise their estimands, relate them to the decomposition of overall AUC (into within- and cross-group components), and critically appraise them. We then illustrate their behaviour using simulations based on the EuroSCORE II, a clinical prediction model for in-hospital mortality. We recommend reporting an AUC matrix, containing the overall AUC and all within- and cross-group AUC components, alongside population characteristics. When fairness metrics are needed, we recommend reporting the within-group AUC parity, with cross-group AUC parity providing supplementary information but requiring caution due to its potential conflict with calibration. Metrics involving $\mathrm{xAUC}^1$ and $\mathrm{xAUC}^0$ have merit, summarising within- and cross-group AUCs into single values, but their interpretation is non-trivial, and they should be used with caution. Gap-to-overall AUC, equity-scaled AUC, and minimum-based metrics compare quantities that should not be compared and it is unclear how to operationalise them, making them not fit for purpose and generally not recommended.
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Fairness Metrics based on the AUC in Clinical Predictive AI
Fairness evaluation of clinical prediction models for binary outcomes often involves fairness metrics that compare the area under the receiver operating characteristic curve (AUC, or c-statistic) across subgroups. However, the AUC has been shown to be a non-collapsible metric, meaning that its subgroup specific and overall values are not directly comparable as often implicitly assumed. This raises important questions about how existing AUC-based fairness metrics should be used and interpreted. We examine eight AUC-based fairness metrics proposed in the literature, including: within-group AUC parity; cross-group AUC (xAUC) parity; gap-to-overall AUC; equity-scaled AUC; minimum-based metrics; $\mathrm{xAUC}^1$; $\mathrm{xAUC}^0$; and $\mathrm{xAUC}^1$ or $\mathrm{xAUC}^0$ parity. We characterise their estimands, relate them to the decomposition of overall AUC (into within- and cross-group components), and critically appraise them. We then illustrate their behaviour using simulations based on the EuroSCORE II, a clinical prediction model for in-hospital mortality. We recommend reporting an AUC matrix, containing the overall AUC and all within- and cross-group AUC components, alongside population characteristics. When fairness metrics are needed, we recommend reporting the within-group AUC parity, with cross-group AUC parity providing supplementary information but requiring caution due to its potential conflict with calibration. Metrics involving $\mathrm{xAUC}^1$ and $\mathrm{xAUC}^0$ have merit, summarising within- and cross-group AUCs into single values, but their interpretation is non-trivial, and they should be used with caution. Gap-to-overall AUC, equity-scaled AUC, and minimum-based metrics compare quantities that should not be compared and it is unclear how to operationalise them, making them not fit for purpose and generally not recommended.
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