论文检索

Theory · Optimization

Haibo Yang, Peiwen Qiu, Prashant Khanduri, Minghong Fang, Jia (Kevin) Liu

Existing works in federated learning (FL) often assume either full client or uniformly distributed client participation. However, in reality, some clients may never participate in FL training (aka incomplete client participation) due to various system heterogeneity factors. A popular solution is the server-assisted federated learning (SA-FL) framework, where the server uses an auxiliary dataset. Despite empirical evidence of SA-FL's effectiveness in addressing incomplete client participation, theoretical understanding of SA-FL is lacking. Furthermore, the effects of incomplete client participation in conventional FL are poorly understood. This motivates us to rigorously investigate SA-FL. Toward this end, we first show that conventional FL is *not* PAC-learnable under incomplete client participation in the worst case. Then, we show that the PAC-learnability of FL with incomplete client participation can indeed be revived by SA-FL, which theoretically justifies the use of SA-FL for the first time. Lastly, to provide practical guidance for SA-FL training under *incomplete client participation*, we propose the SAFARI (server-assisted federated averaging) algorithm that enjoys the same linear convergence speedup guarantees as classic FL with ideal client participation assumptions, offering the first SA-FL algorithm with convergence guarantee. Extensive experiments on different datasets show SAFARI significantly improves the performance under incomplete client participation.

Deep Learning · Large Language Models

Rui Yang, Xiaoman Pan, Feng Luo, Shuang Qiu, Han Zhong, Dong Yu, Jianshu Chen

We consider the problem of multi-objective alignment of foundation models with human preferences, which is a critical step towards helpful and harmless AI systems. However, it is generally costly and unstable to fine-tune large foundation models using reinforcement learning (RL), and the multi-dimensionality, heterogeneity, and conflicting nature of human preferences further complicate the alignment process. In this paper, we introduce Rewards-in-Context (RiC), which conditions the response of a foundation model on multiple rewards in its prompt context and applies supervised fine-tuning for alignment. The salient features of RiC are simplicity and adaptivity, as it only requires supervised fine-tuning of a single foundation model and supports dynamic adjustment for user preferences during inference time. Inspired by the analytical solution of an abstracted convex optimization problem, our dynamic inference-time adjustment method approaches the Pareto-optimal solution for multiple objectives. Empirical evidence demonstrates the efficacy of our method in aligning both Large Language Models (LLMs) and diffusion models to accommodate diverse rewards with only around 10% GPU hours compared with multi-objective RL baseline.

Social Aspects · Fairness, Equity, Justice and Safety

Yue Yang, Yuqi Lin, Hong Liu, WENQI SHAO, Runjian Chen, Hailong Shang, Yu Wang, Yu Qiao, Kaipeng Zhang, Ping Luo

Recent text-to-image (T2I) models have had great success, and many benchmarks have been proposed to evaluate their performance and safety. However, they only consider explicit prompts while neglecting implicit prompts (hint at a target without explicitly mentioning it). These prompts may get rid of safety constraints and pose potential threats to the applications of these models. This position paper highlights the current state of T2I models toward implicit prompts. We present a benchmark named ImplicitBench and conduct an investigation on the performance and impacts of implicit prompts with popular T2I models. Specifically, we design and collect more than 2,000 implicit prompts of three aspects: General Symbols, Celebrity Privacy, and Not-Safe-For-Work (NSFW) Issues, and evaluate six well-known T2I models' capabilities under these implicit prompts. Experiment results show that (1) T2I models are able to accurately create various target symbols indicated by implicit prompts; (2) Implicit prompts bring potential risks of privacy leakage for T2I models. (3) Constraints of NSFW in most of the evaluated T2I models can be bypassed with implicit prompts. We call for increased attention to the potential and risks of implicit prompts in the T2I community and further investigation into the capabilities and impacts of implicit prompts, advocating for a balanced approach that harnesses their benefits while mitigating their risks.

Theory · Online Learning and Bandits

Wenhao Yang, Wei Jiang, Yibo Wang, Ping Yang, Yao Hu, Lijun Zhang

To deal with changing environments, adaptive regret has been proposed to minimize the regret over every interval. Previous studies have established a small-loss adaptive regret bound for general convex functions under the smoothness condition, offering the advantage of being much tighter than minimax rates for benign problems. However, it remains unclear whether similar bounds are attainable for other types of convex functions, such as exp-concave and strongly convex functions. In this paper, we first propose a novel algorithm that achieves a small-loss adaptive regret bound for exp-concave and smooth function. Subsequently, to address the limitation that existing algorithms can only handle one type of convex functions, we further design a universal algorithm capable of delivering small-loss adaptive regret bounds for general convex, exp-concave, and strongly convex functions simultaneously. That is challenging because the universal algorithm follows the meta-expert framework, and we need to ensure that upper bounds for both meta-regret and expert-regret are of small-loss types. Moreover, we provide a novel analysis demonstrating that our algorithms are also equipped with minimax adaptive regret bounds when functions are non-smooth.

Danni Yang, Jiayi Ji, Yiwei Ma, Tianyu Guo, Haowei Wang, Xiaoshuai Sun, Rongrong Ji

In this paper, we introduce SemiRES, a semi-supervised framework that effectively leverages a combination of labeled and unlabeled data to perform RES. A significant hurdle in applying semi-supervised techniques to RES is the prevalence of noisy pseudo-labels, particularly at the boundaries of objects. SemiRES incorporates the Segment Anything Model (SAM), renowned for its precise boundary demarcation, to improve the accuracy of these pseudo-labels. Within SemiRES, we offer two alternative matching strategies: IoU-based Optimal Matching (IOM) and Composite Parts Integration (CPI). These strategies are designed to extract the most accurate masks from SAM's output, thus guiding the training of the student model with enhanced precision. In instances where a precise mask cannot be matched from the available candidates, we develop the Pixel-Wise Adjustment (PWA) strategy, guiding the student model's training directly by the pseudo-labels. Extensive experiments on three RES benchmarks—RefCOCO, RefCOCO+, and G-Ref reveal its superior performance compared to fully supervised methods, especially in low-data scenarios. Remarkably, with only 1% labeled data, our SemiRES outperforms the supervised baseline by a large margin, e.g. +18.64% gains on RefCOCO val set.

Deep Learning · Robustness

Wenhan Yang, Jingdong Gao, Baharan Mirzasoleiman

Contrastive Language-Image Pre-training (CLIP) on large image-caption datasets has achieved remarkable success in zero-shot classification and enabled transferability to new domains. However, CLIP is extremely more vulnerable to targeted data poisoning and backdoor attacks compared to supervised learning. Perhaps surprisingly, poisoning 0.0001% of CLIP pre-training data is enough to make targeted data poisoning attacks successful. This is four orders of magnitude smaller than what is required to poison supervised models. Despite this vulnerability, existing methods are very limited in defending CLIP models during pre-training. In this work, we propose a strong defense, SAFECLIP, to safely pre-train CLIP against targeted data poisoning and backdoor attacks. SAFECLIP warms up the model by applying unimodal contrastive learning (CL) on image and text modalities separately. Then, it divides the data into safe and risky sets by applying a Gaussian Mixture Model to the cosine similarity of image-caption pair representations. SAFECLIP pre-trains the model by applying the CLIP loss to the safe set and applying unimodal CL to image and text modalities of the risky set separately. By gradually increasing the size of the safe set during pre-training, SAFECLIP effectively breaks targeted data poisoning and backdoor attacks without harming the CLIP performance. Our extensive experiments on CC3M, Visual Genome, and MSCOCO demonstrate that SAFECLIP significantly reduces the success rate of targeted data poisoning attacks from 93.75% to 0% and that of various backdoor attacks from up to 100% to 0%, without harming CLIP’s performance.

Deep Learning · Generative Models and Autoencoders

Lingxiao Yang, Shutong Ding, Yifan Cai, Jingyi Yu, Jingya Wang, Ye Shi

Recent advances in diffusion models attempt to handle conditional generative tasks by utilizing a differentiable loss function for guidance without the need for additional training. While these methods achieved certain success, they often compromise on sample quality and require small guidance step sizes, leading to longer sampling processes. This paper reveals that the fundamental issue lies in the manifold deviation during the sampling process when loss guidance is employed. We theoretically show the existence of manifold deviation by establishing a certain lower bound for the estimation error of the loss guidance. To mitigate this problem, we propose Diffusion with Spherical Gaussian constraint (DSG), drawing inspiration from the concentration phenomenon in high-dimensional Gaussian distributions. DSG effectively constrains the guidance step within the intermediate data manifold through optimization and enables the use of larger guidance steps. Furthermore, we present a closed-form solution for DSG denoising with the Spherical Gaussian constraint. Notably, DSG can seamlessly integrate as a plugin module within existing training-free conditional diffusion methods. Implementing DSG merely involves a few lines of additional code with almost no extra computational overhead, yet it leads to significant performance improvements. Comprehensive experimental results in various conditional generation tasks validate the superiority and adaptability of DSG in terms of both sample quality and time efficiency.

Reinforcement Learning · Multi-agent

Yaodong Yang, Guangyong Chen, Jianye Hao, Pheng Ann Heng

The popularity of multiagent reinforcement learning (MARL) is growing rapidly with the demand for real-world tasks that require swarm intelligence. However, a noticeable drawback of MARL is its low sample efficiency, which leads to a huge amount of interactions with the environment. Surprisingly, few MARL works focus on this practical problem especially in the parallel environment setting, which greatly hampers the application of MARL into the real world. In response to this gap, in this paper, we propose Multiagent Reinforcement Learning with Reset Replay (MARR) to greatly improve the sample efficiency of MARL by enabling MARL training at a high replay ratio in the parallel environment setting for the first time. To achieve this, first, a reset strategy is introduced for maintaining the network plasticity to ensure that MARL continually learns with a high replay ratio. Second, MARR incorporates a data augmentation technique to boost the sample efficiency further. Extensive experiments in SMAC and MPE show that MARR significantly improves the performance of various MARL approaches with much fewer environment interactions.

Miscellaneous Aspects of Machine Learning · Causality

Yuguang Yan, Hao Zhou, Zeqin Yang, Weilin Chen, Ruichu Cai, Zhifeng Hao

Most studies on causal inference tackle the issue of confounding bias by reducing the distribution shift between the control and treated groups. However, it remains an open question to adopt an appropriate metric for distribution shift in practice. In this paper, we define a generic balancing error on reweighted samples to characterize the confounding bias, and study the connection between the balancing error and the Wasserstein discrepancy derived from the theory of optimal transport. We not only regard the Wasserstein discrepancy as the metric of distribution shift, but also explore the association between the balancing error and the underlying cost function involved in the Wasserstein discrepancy. Motivated by this, we propose to reduce the balancing error under the framework of optimal transport with learnable marginal distributions and the cost function, which is implemented by jointly learning weights and representations associated with factual outcomes. The experiments on both synthetic and real-world datasets demonstrate the effectiveness of our proposed method.

Jiexi Yan, Zhihui Yin, Chenghao Xu, Cheng Deng, Heng Huang

In order to enhance the generalization ability towards unseen domains, universal cross-domain image retrieval methods require a training dataset encompassing diverse domains, which is costly to assemble. Given this constraint, we introduce a novel problem of data-free adaptive cross-domain retrieval, eliminating the need for real images during training. Towards this goal, we propose a novel Text-driven Knowledge Integration (TKI) method, which exclusively utilizes a pre-trained vision-language model to implement an ``aggregation after expansion" training strategy. Specifically, we extract diverse implicit domain-specific information through a set of learnable domain word vectors. Subsequently, a domain-agnostic universal projection, equipped with a non-Euclidean multi-layer perceptron, can be optimized using these assorted text descriptions through the text-proxied domain aggregation. Leveraging the cross-modal transferability phenomenon of the shared latent space, we can integrate the trained domain-agnostic universal projection with the pre-trained visual encoder to extract the features of the input image for the following retrieval during testing. Extensive experimental results on several benchmark datasets demonstrate the superiority of our method.

Miscellaneous Aspects of Machine Learning · Causality

Tom Yan, Ziyu Xu, Zachary Lipton

Discovery of causal relationships is a fundamental goal of science and vital for sound decision making. As such, there has been considerable interest in causal discovery methods with provable guarantees. Existing works have thus far largely focused on discovery under hard intervention and infinite-samples, in which intervening on a node readily reveals the orientation of every edge incident to the node. This setup however overlooks the stochasticity inherent in real-world, finite-sample settings. Our work takes a step towards studying finite-sample causal discovery, wherein multiple interventions on a node are now needed for edge orientation. In this work, we study the canonical setup in theoretical causal discovery literature, where one assumes causal sufficiency and access to the graph skeleton. Our key observation is that discovery may be viewed as structured, multiple testing, and we develop a novel testing framework to this end. Crucially, our framework allows for anytime valid testing as multiple tests are needed to conclude an edge orientation. It also allows for flexible combination of structured test-statistics (enabling one to use Meek rules to propagate edge orientation) as well as robust testing. Through empirical simulations, we confirm the usefulness of our framework. In closing, using this testing framework, we show how one may efficiently verify graph structure by drawing a connection to multi-constraint bandits and designing a novel algorithm to this end.

Theory · Online Learning and Bandits

Yu-Hu Yan, Jing Wang, Peng Zhao

We investigate online Linear Quadratic Regulator (LQR) with bandit feedback and semi-adversarial disturbances. Previous works assume costs with *homogeneous* curvatures (i.e., with a uniform strong convexity lower bound), which can be hard to satisfy in many real scenarios and prohibits adapting to true curvatures for better performance. In this paper, we initiate the study of bandit LQR control with *heterogeneous* cost curvatures, aiming to strengthen the algorithm's adaptivity. To achieve this, we reduce the problem to bandit convex optimization with memory via a ``with-history'' reduction to avoid hard-to-control truncation errors. Then we provide a novel analysis for an important *stability* term that appeared in both regret and memory, using *Newton decrement* developed in interior-point methods. The analysis enables us to guarantee memory-related terms introduced in the reduction and also provide a simplified analysis for handling heterogeneous curvatures in bandit convex optimization. Finally, we achieve interpolated guarantees that can not only recover existing bounds for convex and quadratic costs but also attain new implications for cases of corrupted and decaying quadraticity.

Reinforcement Learning

Kai Yan, Alex Schwing, Yu-Xiong Wang

In real-world scenarios, arbitrary interactions with the environment can often be costly, and actions of expert demonstrations are not always available. To reduce the need for both, offline Learning from Observations (LfO) is extensively studied: the agent learns to solve a task given only expert states and task-agnostic non-expert state-action pairs. The state-of-the-art DIstribution Correction Estimation (DICE) methods, as exemplified by SMODICE, minimize the state occupancy divergence between the learner's and empirical expert policies. However, such methods are limited to either $f$-divergences (KL and $\chi^2$) or Wasserstein distance with Rubinstein duality, the latter of which constrains the underlying distance metric crucial to the performance of Wasserstein-based solutions. To enable more flexible distance metrics, we propose Primal Wasserstein DICE (PW-DICE). It minimizes the primal Wasserstein distance between the learner and expert state occupancies and leverages a contrastively learned distance metric. Theoretically, our framework is a generalization of SMODICE, and is the first work that unifies $f$-divergence and Wasserstein minimization. Empirically, we find that PW-DICE improves upon several state-of-the-art methods. The code is available at https://github.com/KaiYan289/PW-DICE.

Keqiang Yan, Alexandra Saxton, Xiaofeng Qian, Xiaoning Qian, Shuiwang Ji

We consider the prediction of general tensor properties of crystalline materials, including dielectric, piezoelectric, and elastic tensors. A key challenge here is how to make the predictions satisfy the unique tensor equivariance to both O(3) and crystal space groups. To this end, we propose a General Materials Tensor Network (GMTNet), which is carefully designed to satisfy the required symmetries. To evaluate our method, we curate a dataset and establish evaluation metrics that are tailored to the intricacies of crystal tensor predictions. Experimental results show that our GMTNet not only achieves promising performance on crystal tensors of various orders but also generates predictions fully consistent with the intrinsic crystal symmetries. Our code is publicly available as part of the AIRS library (https://github.com/divelab/AIRS).

Deep Learning · Large Language Models

Yuzi Yan, Jialian Li, YipinZhang, Dong Yan

This paper presents an in-depth examination of the evolution and interplay of cognitive and expressive capabilities in large language models (LLMs), with a specific focus on Baichuan-7B and Baichuan-33B, an advanced bilingual (Chinese and English) LLM series. We define and explore the model's cognitive and expressive capabilities through linear representations across three critical phases: Pretraining, Supervised Fine-Tuning (SFT), and Reinforcement Learning from Human Feedback (RLHF). Cognitive capability is defined as the quantity and quality of information conveyed by the neuron output vectors within the network, similar to the neural signal processing in human cognition. Expressive capability is defined as the model’s capability to produce word-level output. Our findings unveil a sequential development pattern, where cognitive abilities are largely established during Pretraining, whereas expressive abilities predominantly advance during SFT and RLHF. Statistical analyses confirm a significant correlation between the two capabilities, suggesting that cognitive capacity may limit expressive potential. The paper also explores the theoretical underpinnings of these divergent developmental trajectories and their connection to the LLMs' architectural design. Moreover, we evaluate various optimization-independent strategies, such as few-shot learning and repeated sampling, which bridge the gap between cognitive and expressive capabilities. This research reveals the potential connection between the hidden space and the output space, contributing valuable insights into the interpretability and controllability of their training processes.

Applications · Time Series

Tijin Yan, Hengheng Gong, Yongping He, Yufeng Zhan, Yuanqing Xia

Probabilistic time series modeling based on generative models has attracted lots of attention because of its wide applications and excellent performance. However, existing state-of-the-art models, based on stochastic differential equation, not only struggle to determine the drift and diffusion coefficients during the design process but also have slow generation speed. To tackle this challenge, we firstly propose decomposable denoising diffusion model ($\text{D}^3\text{M}$) and prove it is a general framework unifying denoising diffusion models and continuous flow models. Based on the new framework, we propose some simple but efficient probability paths with high generation speed. Furthermore, we design a module that combines a special state space model with linear gated attention modules for sequence modeling. It preserves inductive bias and simultaneously models both local and global dependencies. Experimental results on 8 real-world datasets show that $\text{D}^3\text{M}$ reduces RMSE and CRPS by up to 4.6% and 4.3% compared with state-of-the-arts on imputation tasks, and achieves comparable results with state-of-the-arts on forecasting tasks with only 10 steps.

Social Aspects · Privacy-preserving Statistics and Machine Learning

Kunda Yan, Sen Cui, Abudukelimu Wuerkaixi, Jingfeng ZHANG, Bo Han, Gang Niu, Masashi Sugiyama, Changshui Zhang

In mobile and IoT systems, Federated Learning (FL) is increasingly important for effectively using data while maintaining user privacy. One key challenge in FL is managing statistical heterogeneity, such as non-i.i.d. data, arising from numerous clients and diverse data sources. This requires strategic cooperation, often with clients having similar characteristics. However, we are interested in a fundamental question: does achieving optimal cooperation necessarily entail cooperating with the most similar clients? Typically, significant model performance improvements are often realized not by partnering with the most similar models, but through leveraging complementary data. Our theoretical and empirical analyses suggest that optimal cooperation is achieved by enhancing complementarity in feature distribution while restricting the disparity in the correlation between features and targets. Accordingly, we introduce a novel framework, FedSaC, which balances similarity and complementarity in FL cooperation. Our framework aims to approximate an optimal cooperation network for each client by optimizing a weighted sum of model similarity and feature complementarity. The strength of FedSaC lies in its adaptability to various levels of data heterogeneity and multimodal scenarios. Our comprehensive unimodal and multimodal experiments demonstrate that FedSaC markedly surpasses other state-of-the-art FL methods.

Social Aspects · Trustworthy Machine Learning

Chhavi Yadav, Amrita Roy Chowdhury, Dan Boneh, Kamalika Chaudhuri

Machine learning models are increasingly used in societal applications, yet legal and privacy concerns demand that they very often be kept confidential. Consequently, there is a growing distrust about the fairness properties of these models in the minds of consumers, who are often at the receiving end of model predictions. To this end, we propose *Fairproof* -- a system that uses Zero-Knowledge Proofs (a cryptographic primitive) to publicly verify the fairness of a model, while maintaining confidentiality. We also propose a fairness certification algorithm for fully-connected neural networks which is befitting to ZKPs and is used in this system. We implement *Fairproof* in Gnark and demonstrate empirically that our system is practically feasible. Code is available at https://github.com/infinite-pursuits/FairProof.

Optimization · Zero-order and Black-box Optimization

Ke Xue, Rong-Xi Tan, Xiaobin Huang, Chao Qian

Offline optimization aims to maximize a black-box objective function with a static dataset and has wide applications. In addition to the objective function being black-box and expensive to evaluate, numerous complex real-world problems entail optimizing multiple conflicting objectives, i.e., multi-objective optimization (MOO). Nevertheless, offline MOO has not progressed as much as offline single-objective optimization (SOO), mainly due to the lack of benchmarks like Design-Bench for SOO. To bridge this gap, we propose a first benchmark for offline MOO, covering a range of problems from synthetic to real-world tasks. This benchmark provides tasks, datasets, and open-source examples, which can serve as a foundation for method comparisons and advancements in offline MOO. Furthermore, we analyze how the current related methods can be adapted to offline MOO from four fundamental perspectives, including data, model architecture, learning algorithm, and search algorithm. Empirical results show improvements over the best value of the training set, demonstrating the effectiveness of offline MOO methods. As no particular method stands out significantly, there is still an open challenge in further enhancing the effectiveness of offline MOO. We finally discuss future challenges for offline MOO, with the hope of shedding some light on this emerging field. Our code is available at https://github.com/lamda-bbo/offline-moo.

Deep Learning · Robustness

Yihao Xue, Ali Payani, Yu Yang, Baharan Mirzasoleiman

Pretrained machine learning models need to be adapted to distribution shifts when deployed in new target environments. When obtaining labeled data from the target distribution is expensive, few-shot adaptation with only a few examples from the target distribution becomes essential. In this work, we propose MixPro, a lightweight and highly data-efficient approach for few-shot adaptation. MixPro first generates a relatively large dataset by mixing (linearly combining) pre-trained embeddings of large source data with those of the few target examples. This process preserves important features of both source and target distributions, while mitigating the specific noise in the small target data. Then, it trains a linear classifier on the mixed embeddings to effectively adapts the model to the target distribution without overfitting the small target data. Theoretically, we demonstrate the advantages of MixPro over previous methods. Our experiments, conducted across various model architectures on 8 datasets featuring different types of distribution shifts, reveal that MixPro can outperform baselines by as much as 7%, with only 2-4 target examples.