← 研踪 PaperTrailarXiv:2611.11535 · v1
Addressing Bias Early in the AI Lifecycle: Social Determinants of Health in Functional and Cognitive Assessment Labels of Nursing Home Residents
首次提交 2026-11-09 02:20
版本更新 2026-11-09 02:20
雷达观测 2026-11-10 13:19
摘要
Fairness in clinical artificial intelligence (AI) is usually evaluated after model training, yet bias can enter earlier in the AI lifecycle, during data collection and labelling. When routine clinical assessments serve as target variables, systematic differences in these labels across sociodemographic groups are carried into model development, validation and updating. This study addresses this early lifecycle stage by auditing labels from three standardised instruments used in residential care: the Barthel Index (BI), the Mini-Mental State Examination (MMSE) and the Global Deterioration Scale (GDS). Using electronic health records of 2,407 residents from 12 nursing homes in the Basque Country, Spain (2011-2021), we assessed four social determinants of health (SDoH) - sex, educational attainment, lifetime work activity and marital status - with two group fairness metrics, Disparate Impact (DI) and Statistical Parity Difference (SPD), computed for each outcome category with bootstrap confidence intervals. Disparities were found for all four attributes and across the three instruments: men, residents with intermediate education and never-partnered residents were more frequently classified in categories indicating preserved function or cognition. These disparities may reflect genuine differences in health status, measurement properties of the instruments, assessment practices or selective admission to residential care, and cannot be attributed to a single cause with the present design. Regardless of their origin, any model trained on these labels would inherit them, and they could persist through later lifecycle stages unless explicitly examined. These findings support pre-training label auditing as the first step of a continuous fairness assessment spanning model development, validation, deployment and updating.
作者备注：14 pages, 24 tables
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v1 · 2026-11-09 02:20 · 最新观测版本
Addressing Bias Early in the AI Lifecycle: Social Determinants of Health in Functional and Cognitive Assessment Labels of Nursing Home Residents
Fairness in clinical artificial intelligence (AI) is usually evaluated after model training, yet bias can enter earlier in the AI lifecycle, during data collection and labelling. When routine clinical assessments serve as target variables, systematic differences in these labels across sociodemographic groups are carried into model development, validation and updating. This study addresses this early lifecycle stage by auditing labels from three standardised instruments used in residential care: the Barthel Index (BI), the Mini-Mental State Examination (MMSE) and the Global Deterioration Scale (GDS). Using electronic health records of 2,407 residents from 12 nursing homes in the Basque Country, Spain (2011-2021), we assessed four social determinants of health (SDoH) - sex, educational attainment, lifetime work activity and marital status - with two group fairness metrics, Disparate Impact (DI) and Statistical Parity Difference (SPD), computed for each outcome category with bootstrap confidence intervals. Disparities were found for all four attributes and across the three instruments: men, residents with intermediate education and never-partnered residents were more frequently classified in categories indicating preserved function or cognition. These disparities may reflect genuine differences in health status, measurement properties of the instruments, assessment practices or selective admission to residential care, and cannot be attributed to a single cause with the present design. Regardless of their origin, any model trained on these labels would inherit them, and they could persist through later lifecycle stages unless explicitly examined. These findings support pre-training label auditing as the first step of a continuous fairness assessment spanning model development, validation, deployment and updating.
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