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Theory · Learning Theory

Yi-Fan Zhang, Xiao Zhang, Min-Ling Zhang

Controllability has become a critical issue in trustworthy machine learning, as a controllable learner allows for dynamic model adaptation to task requirements during testing. However, existing research lacks a comprehensive understanding of how to effectively measure and analyze the generalization performance of controllable learning methods. In an attempt to move towards this goal from a generalization perspective, we first establish a unified framework for controllable learning. Then, we develop a novel vector-contraction inequality and derive a tight generalization bound for general controllable learning classes, which is independent of the number of task targets except for logarithmic factors and represents the current best-in-class theoretical result. Furthermore, we derive generalization bounds for two typical controllable learning methods: embedding-based and hypernetwork-based methods. We also upper bound the Rademacher complexities of commonly used control and prediction functions, which serve as modular theoretical components for deriving generalization bounds for specific controllable learning methods in practical applications such as recommender systems. Our theoretical results without strong assumptions provide general theoretical guarantees for controllable learning methods and offer new insights into understanding controllability in machine learning.

Deep Learning · Foundation Models

Qifang Zhao, Weidong Ren, Tianyu Li, Hong Liu, Xingsheng He, Xiaoxiao Xu

We introduce *GraphGPT*, a novel self-supervised *generative pre-trained* model for graph learning based on the *Graph Eulerian Transformer* (**GET**). First, we propose **GET**, which combines a standard transformer encoder or decoder architecture with an innovative graph-to-sequence transformation method. This method converts graphs or sampled subgraphs into sequences of tokens representing nodes, edges, and attributes in a reversible manner using Eulerian paths. We pre-train **GET** using either of the two self-supervised tasks: next-token prediction (NTP) and scheduled masked-token prediction (SMTP). The pre-trained model is then fine-tuned for downstream tasks such as graph-, edge-, and node-level prediction. Despite its simplicity, GraphGPT achieves performance comparable to or surpassing state-of-the-art methods on multiple large-scale Open Graph Benchmark (OGB) datasets. It demonstrates exceptional results on the molecular property prediction dataset PCQM4Mv2 and the protein-protein interaction dataset ogbl-ppa. Notably, generative pre-training enables scaling GraphGPT to 2 billion parameters while maintaining performance gains — a breakthrough that overcomes the scalability limitations of traditional Graph Neural Networks (GNNs) and prior graph transformers (GTs). To advance research in graph foundation models and facilitate scientific discovery in chemistry, materials science, and related fields, we have released thesource code (https://github.com/alibaba/graph-gpt) and model checkpoints (https://www.modelscope.cn/organization/Alibaba-DT).

Deep Learning · Large Language Models

Lang Feng, Weihao Tan, Zhiyi Lyu, Longtao Zheng, Haiyang Xu, Ming Yan, Fei Huang, Bo An

Online fine-tuning vision-language model (VLM) agents with reinforcement learning (RL) has shown promise for equipping agents with multi-step, goal-oriented capabilities in dynamic environments. However, their open-ended textual action space and non-end-to-end nature of action generation present significant challenges to effective online exploration in RL, e.g., explosion of the exploration space. We propose a novel online fine-tuning method, Counterfactual Soft Reinforcement Learning (CoSo), better suited to the textual output space of VLM agents. Compared to prior methods that assign uniform uncertainty to all tokens, CoSo leverages counterfactual reasoning to dynamically assess the causal influence of individual tokens on post-processed actions. By prioritizing the exploration of action-critical tokens while reducing the impact of semantically redundant or low-impact tokens, CoSo enables a more targeted and efficient online rollout process. We provide theoretical analysis proving CoSo's convergence and policy improvement guarantees, and extensive empirical evaluations supporting CoSo's effectiveness. Our results across a diverse set of agent tasks, including Android device control, card gaming, and embodied AI, highlight its remarkable ability to enhance exploration efficiency and deliver consistent performance gains. The code is available at https://github.com/langfengQ/CoSo.

Deep Learning · Robustness

Nguyen Nhat Minh To, Paul Wilson, Viet Nguyen, Mohamed Harmanani, Michael Cooper, Fahimeh Fooladgar, Purang Abolmaesumi, Parvin Mousavi, Rahul G. Krishnan

Subpopulation shift, characterized by a disparity in subpopulation distribution between the training and target datasets, can significantly degrade the performance of machine learning models. Current solutions to subpopulation shift involve modifying empirical risk minimization with re-weighting strategies to improve generalization. This strategy relies on assumptions about the number and nature of subpopulations and annotations on group membership, which are unavailable for many real-world datasets. Instead, we propose using an ensemble of diverse classifiers to adaptively capture risk associated with subpopulations. Given a feature extractor network, we replace its standard linear classification layer with a mixture of prototypical classifiers, where each member is trained to classify the data while focusing on different features and samples from other members. In empirical evaluation on nine real-world datasets, covering diverse domains and kinds of subpopulation shift, our method of Diverse Prototypical Ensembles (DPEs) often outperforms the prior state-of-the-art in worst-group accuracy. The code is available at https://github.com/minhto2802/dpe4subpop.

Optimization · Everything Else

Luan Yang, Jingdong Zhang, Qunxi Zhu, Wei Lin

Learning-enabled controllers with stability certificate functions have demonstrated impressive empirical performance in addressing control problems in recent years. Nevertheless, directly deploying the neural controllers onto actual digital platforms requires impractically excessive communication resources due to a continuously updating demand from the closed-loop feedback controller. We introduce a framework aimed at learning the event-triggered controller (ETC) with optimal scheduling, i.e., minimal triggering times, to address this challenge in resource-constrained scenarios. Our proposed framework, denoted by Neural ETC, includes two practical algorithms: the path integral algorithm based on directly simulating the event-triggered dynamics, and the Monte Carlo algorithm derived from new theoretical results regarding lower bound of inter-event time. Furthermore, we propose a projection operation with an analytical expression that ensures theoretical stability and schedule optimality for Neural ETC. Compared to the conventional neural controllers, our empirical results show that the Neural ETC significantly reduces the required communication resources while enhancing the control performance in constrained communication resources scenarios.

Deep Learning · Large Language Models

Qi Zhou, Dongxia Wang, Tianlin Li, Yun Lin, Yang Liu, Jin Song Dong, Qing Guo

Recent studies have raised significant concerns regarding the vulnerability of Large Vision Language Models (LVLMs) to maliciously injected or perturbed input images, which can mislead their responses. Existing defense methods show that such vision attacks are sensitive to image modifications especially cropping, using majority voting across responses of modified images as corrected responses. However, these modifications often result in partial images and distort the semantics, which reduces response quality on clean images after voting. Instead of directly using responses from partial images for voting, we investigate using them to supervise (guide) the LVLM's responses to the original images at inference time. We propose a black-box, training-free method called **DPS (Defense through Partial-Perception Supervision)**. In this approach, the model is prompted using the responses generated by a model that perceives only a partial image.With DPS, the model can adjust its response based on partial image understanding when under attack, while confidently maintaining its original response for clean input. Empirical experiments show our method outperforms the baseline, cutting the average attack success rate by 76.3\% across six datasets on three popular models.

General Machine Learning · Scalable Algorithms

Maricela Best Mckay, Avleen Kaur, Chen Greif, Brian Wetton

Natural gradient methods for PINNs have achieved state-of-the-art performance with errors several orders of magnitude smaller than those achieved by standard optimizers such as ADAM or L-BFGS. However, computing natural gradients for PINNs is prohibitively computationally costly and memory-intensive for all but small neural network architectures. We develop a randomized algorithm for natural gradient descent for PINNs that uses sketching to approximate the natural gradient descent direction. We prove that the change of coordinate Gram matrix used in a natural gradient descent update has rapidly-decaying eigenvalues for a one-layer, one-dimensional neural network and empirically demonstrate that this structure holds for four different example problems. Under this structure, our sketching algorithm is guaranteed to provide a near-optimal low-rank approximation of the Gramian. Our algorithm dramatically speeds up computation time and reduces memory overhead. Additionally, in our experiments, the sketched natural gradient outperforms the original natural gradient in terms of accuracy, often achieving an error that is an order of magnitude smaller. Training time for a network with around 5,000 parameters is reduced from several hours to under two minutes. Training can be practically scaled to large network sizes; we optimize a PINN for a network with over a million parameters within a few minutes, a task for which the full Gram matrix does not fit in memory.

Applications · Chemistry, Physics, and Earth Sciences

Peiyan Hu, Xiaowei Qian, Wenhao Deng, Rui Wang, Haodong Feng, Ruiqi Feng, Tao Zhang, Long Wei, Yue Wang, Zhi-Ming Ma 等

The application of deep learning for partial differential equation (PDE)-constrained control is gaining increasing attention. However, existing methods rarely consider safety requirements crucial in real-world applications. To address this limitation, we propose Safe Diffusion Models for PDE Control (SafeDiffCon), which introduce the uncertainty quantile as model uncertainty quantification to achieve optimal control under safety constraints through both post-training and inference phases. Firstly, our approach post-trains a pre-trained diffusion model to generate control sequences that better satisfy safety constraints while achieving improved control objectives via a reweighted diffusion loss, which incorporates the uncertainty quantile estimated using conformal prediction. Secondly, during inference, the diffusion model dynamically adjusts both its generation process and parameters through iterative guidance and fine-tuning, conditioned on control targets while simultaneously integrating the estimated uncertainty quantile. We evaluate SafeDiffCon on three control tasks: 1D Burgers' equation, 2D incompressible fluid, and controlled nuclear fusion problem. Results demonstrate that SafeDiffCon is the only method that satisfies all safety constraints, whereas other classical and deep learning baselines fail. Furthermore, while adhering to safety constraints, SafeDiffCon achieves the best control performance. The code can be found at https://github.com/AI4Science-WestlakeU/safediffcon.

Applications · Chemistry, Physics, and Earth Sciences

Tao Zhang, Zhenhai Liu, Feipeng Qi, Yongjun Jiao, Tailin Wu

Multiphysics simulation, which models the interactions between multiple physical processes, and multi-component simulation of complex structures are critical in fields like nuclear and aerospace engineering. Previous studies use numerical solvers or ML-based surrogate models for these simulations. However, multiphysics simulations typically require integrating multiple specialized solvers-each for a specific physical process-into a coupled program, which introduces significant development challenges. Furthermore, existing numerical algorithms struggle with highly complex large-scale structures in multi-component simulations. Here we propose compositional Multiphysics and Multi-component PDE Simulation with Diffusion models (M2PDE) to overcome these challenges. During diffusion-based training, M2PDE learns energy functions modeling the conditional probability of one physical process/component conditioned on other processes/components. In inference, M2PDE generates coupled multiphysics and multi-component solutions by sampling from the joint probability distribution. We evaluate M2PDE on two multiphysics tasks-reaction-diffusion and nuclear thermal coupling--where it achieves more accurate predictions than surrogate models in challenging scenarios. We then apply it to a multi-component prismatic fuel element problem, demonstrating that M2PDE scales from single-component training to a 64-component structure and outperforms existing domain-decomposition and graph-based approaches. The code is available at github.com/AI4Science-WestlakeU/M2PDE.

Deep Learning · Generative Models and Autoencoders

Ruiqi Feng, Chenglei Yu, Wenhao Deng, Peiyan Hu, Tailin Wu

Flow matching has shown state-of-the-art performance in various generative tasks, ranging from image generation to decision-making, where generation under energy guidance (abbreviated as guidance in the following) is pivotal. However, the guidance of flow matching is more general than and thus substantially different from that of its predecessor, diffusion models. Therefore, the challenge in guidance for general flow matching remains largely underexplored. In this paper, we propose the first framework of general guidance for flow matching. From this framework, we derive a family of guidance techniques that can be applied to general flow matching. These include a new training-free asymptotically exact guidance, novel training losses for training-based guidance, and two classes of approximate guidance that cover classical gradient guidance methods as special cases. We theoretically investigate these different methods to give a practical guideline for choosing suitable methods in different scenarios. Experiments on synthetic datasets, image inverse problems, and offline reinforcement learning demonstrate the effectiveness of our proposed guidance methods and verify the correctness of our flow matching guidance framework. Code to reproduce the experiments can be found at https://github.com/AI4Science-WestlakeU/flow_guidance.

Social Aspects · Robustness

Haoran Zhang, Aparna Balagopalan, Nassim Oufattole, Hyewon Jeong, Yan Wu, Jiacheng Zhu, Marzyeh Ghassemi

Large repositories of image-caption pairs are essential for the development of vision-language models. However, these datasets are often extracted from noisy data scraped from the web, and contain many mislabeled instances. In order to improve the reliability of downstream models, it is important to identify and filter images with incorrect captions. However, beyond filtering based on image-caption embedding similarity, no prior works have proposed other methods to filter noisy multimodal data, or concretely assessed the impact of noisy captioning data on downstream training. In this work, we propose, theoretically justify, and empirically validate LEMoN, a method to identify label errors in image-caption datasets. Our method leverages the multimodal neighborhood of image-caption pairs in the latent space of contrastively pretrained multimodal models to automatically identify label errors. Through empirical evaluations across eight datasets and twelve baselines, we find that LEMoN outperforms the baselines by over 3% in label error detection, and that training on datasets filtered using our method improves downstream captioning performance by more than 2 BLEU points over noisy training.

Optimization · Large Scale, Parallel and Distributed

Xinyi Wan, Penghui Qi, Guangxing Huang, Min Lin, Jialin Li

Pipeline parallelism (PP) is widely used for training large language models (LLMs), yet its scalability is often constrained by high activation memory consumption as the number of in-flight microbatches grows with the degree of PP. In this paper, we focus on addressing this challenge by leveraging the under-explored memory offload strategy in PP. With empirical study, we discover that in the majority of standard configurations, at least half, and potentially all, of the activations can be offloaded with negligible overhead. In the cases where full overload is not possible, we introduce a novel selective offload strategy that decreases peak activation memory in a better-than-linear manner. Furthermore, we integrate memory offload with other techniques to jointly consider overall throughput and memory limitation. Our experiments proves that the per-device activation memory effectively reduces with the total number of stages, making PP a stronger alternative than TP, offering up to a 19\% acceleration with even lower memory consumption.

Social Aspects · Safety

Kejia Chen, Jiawen Zhang, Jiacong Hu, Yu Wang, Jian Lou, Zunlei Feng, Mingli Song

Quantized large language models (LLMs) have gained increasing attention and significance for enabling deployment in resource-constrained environments. However, emerging studies on a few calibration dataset-free quantization methods suggest that quantization may compromise the safety capabilities of LLMs, underscoring the urgent need for systematic safety evaluations and effective mitigation strategies. In this paper, we present comprehensive safety evaluations across various mainstream quantization techniques and diverse calibration datasets, utilizing widely accepted safety benchmarks. To address the identified safety vulnerabilities, we propose a quantization-aware safety patching framework, Q-resafe, to efficiently restore the safety capabilities of quantized LLMs while minimizing any adverse impact on utility. Extensive experiment results demonstrate that Q-resafe successfully re-aligns the safety of quantized LLMs with their pre-quantization counterparts, even under challenging evaluation scenarios. Project page: https://github.com/Thecommonirin/Qresafe.

Deep Learning · Generative Models and Autoencoders

Ruofeng Yang, Bo Jiang, Cheng Chen, Shuai Li

Consistency models, a new class of one-step generative models, have shown competitive performance with multi-step diffusion models. The most challenging part of consistency models is the training process, which discretizes the continuous diffusion process into $K$ steps and trains a one-step mapping function on these discretized timepoints. Despite the empirical success, only a few works focus on the discretization complexity $K$, and their setting is far from that of empirical works. More specifically, the current theoretical works analyze the variance preserving (VP) diffusion process with a uniform stepsize, while empirical works adopt a variance exploding (VE) process with a decay discretization stepsize. As a result, these works suffer from large discretization complexity and fail to explain the empirical success of consistency models. To close the gap between theory and application, we analyze consistency models with (1) VE process and (2) decay stepsize and prove the state-of-the-art discretization complexity for consistency models. This result is competitive with the results of diffusion models and shows the potential of consistency models. To balance the computation and performance, previous empirical work further proposes a $2$-step consistency algorithm. In this work, we also analyze the role of $2$-step sampling and show that it improves the discretization complexity compared with one-step generation.

Deep Learning · Generative Models and Autoencoders

Shaobin Zhuang, Yiwei Guo, Yanbo Ding, Kunchang Li, Xinyuan Chen, Yaohui Wang, Fangyikang Wang, Ying Zhang, Chen Li, Yali Wang

Diffusion models have driven the advancement of vision generation over the past years. However, it is often difficult to apply these large models in downstream tasks, due to massive fine-tuning cost. Recently, Low-Rank Adaptation (LoRA) has been applied for efficient tuning of diffusion models. Unfortunately, the capabilities of LoRA-tuned diffusion models are limited, since the same LoRA is used for different timesteps of the diffusion process. To tackle this problem, we introduce a general and concise TimeStep Master (TSM) paradigm with two key fine-tuning stages. In the fostering stage (1-stage), we apply different LoRAs to fine-tune the diffusion model at different timestep intervals. This results in different TimeStep LoRA experts that can effectively capture different noise levels. In the assembling stage (2-stage), we design a novel asymmetrical mixture of TimeStep LoRA experts, via core-context collaboration of experts at multi-scale intervals. For each timestep, we leverage TimeStep LoRA expert within the smallest interval as the core expert without gating, and use experts within the bigger intervals as the context experts with time-dependent gating. Consequently, our TSM can effectively model the noise level via the expert in the finest interval, and adaptively integrate contexts from the experts of other scales, boosting the versatility of diffusion models. To show the effectiveness of our TSM paradigm, we conduct extensive experiments on three typical and popular LoRA-related tasks of diffusion models, including domain adaptation, post-pretraining, and model distillation. Our TSM achieves the state-of-the-art results on all these tasks, throughout various model structures (UNet, DiT and MM-DiT) and visual data modalities (Image, Video), showing its remarkable generalization capacity.

Social Aspects · Privacy

Yijiang Li, Genpei Zhang, Jiacheng Cheng, Yi Li, Xiaojun Shan, Dashan Gao, Jiancheng Lyu, Yuan Li, Ning Bi, Nuno Vasconcelos

While the rapid proliferation of wearable cameras has raised significant concerns about egocentric video privacy, prior work has largely overlooked the unique privacy threats posed to the camera wearer. This work investigates the core question: How much privacy information about the camera wearer can be inferred from their first-person view videos? We introduce EgoPrivacy, the first large-scale benchmark for the comprehensive evaluation of privacy risks in egocentric vision. EgoPrivacy covers three types of privacy (demographic, individual, and situational), defining seven tasks that aim to recover private information ranging from fine-grained (e.g., wearer's identity) to coarse-grained (e.g., age group). To further emphasize the privacy threats inherent to egocentric vision, we propose Retrieval-Augmented Attack, a novel attack strategy that leverages ego-to-exo retrieval from an external pool of exocentric videos to boost the effectiveness of demographic privacy attacks. An extensive comparison of the different attacks possible under all threat models is presented, showing that private information of the wearer is highly susceptible to leakage. For instance, our findings indicate that foundation models can effectively compromise wearer privacy even in zero-shot settings by recovering attributes such as identity, scene, gender, and race with 70–80% accuracy. Our code and data are available at https://github.com/williamium3000/ego-privacy.

Theory · Deep Learning

Andi Han, Wei Huang, Zhanpeng Zhou, Gang Niu, Wuyang Chen, Junchi Yan, Akiko Takeda, Taiji Suzuki

Deep learning with noisy labels presents significant challenges. In this work, we theoretically characterize the role of label noise from a feature learning perspective. Specifically, we consider a signal-noise data distribution, where each sample comprises a label-dependent signal and label-independent noise, and rigorously analyze the training dynamics of a two-layer convolutional neural network under this data setup, along with the presence of label noise. Our analysis identifies two key stages. In Stage I, the model perfectly fits all the clean samples (i.e., samples without label noise) while ignoring the noisy ones (i.e., samples with noisy labels). During this stage, the model learns the signal from the clean samples, which generalizes well on unseen data. In Stage II, as the training loss converges, the gradient in the direction of noise surpasses that of the signal, leading to overfitting on noisy samples. Eventually, the model memorizes the noise present in the noisy samples and degrades its generalization ability. Furthermore, our analysis provides a theoretical basis for two widely used techniques for tackling label noise: early stopping and sample selection. Experiments on both synthetic and real-world setups validate our theory.

Theory · Deep Learning

Dake Bu, Wei Huang, Andi Han, Atsushi Nitanda, Qingfu Zhang, Hau-San Wong, Taiji Suzuki

In-context learning (ICL) has garnered significant attention for its ability to grasp functions/tasks from demonstrations. Recent studies suggest the presence of a latent **task/function vector** in LLMs during ICL. Merullo et al. (2024) showed that LLMs leverage this vector alongside the residual stream for Word2Vec-like vector arithmetic, solving factual-recall ICL tasks. Additionally, recent work empirically highlighted the key role of Question-Answer data in enhancing factual-recall capabilities. Despite these insights, a theoretical explanation remains elusive. To move one step forward, we propose a theoretical framework building on empirically grounded *hierarchical* concept modeling. We develop an optimization theory, showing how nonlinear residual transformers trained via gradient descent on cross-entropy loss perform factual-recall ICL tasks via vector arithmetic. We prove 0-1 loss convergence and show the strong generalization, including robustness to concept recombination and distribution shifts. These results elucidate the advantages of transformers over static embedding predecessors. Empirical simulations corroborate our theoretical insights.

Deep Learning · Sequential Models, Time series

Rom N. Parnichkun, Neehal Tumma, Armin Thomas, Alessandro Moro, Qi An, Taiji Suzuki, Atsushi Yamashita, Michael Poli, Stefano Massaroli

As the space of causal sequence modeling architectures continues to grow, the need to develop a general framework for their analysis becomes increasingly important. With this aim, we draw insights from classical signal processing and control theory, to develop a quantitative measure of *memory utilization*: the internal mechanisms through which a model stores past information to produce future outputs. This metric, which we call ***effective state-size*** (ESS), is tailored to the fundamental class of systems with *input-invariant* and *input-varying linear operators*, encompassing a variety of computational units such as variants of attention, convolutions, and recurrences. Unlike prior work on memory utilization, which either relies on raw operator visualizations (e.g. attention maps), or simply the total *memory capacity* (i.e. cache size) of a model, our metrics provide highly interpretable and actionable measurements. In particular, we show how ESS can be leveraged to improve initialization strategies, inform novel regularizers and advance the performance-efficiency frontier through model distillation. Furthermore, we demonstrate that the effect of context delimiters (such as end-of-speech tokens) on ESS highlights cross-architectural differences in how large language models utilize their available memory to recall information. Overall, we find that ESS provides valuable insights into the dynamics that dictate memory utilization, enabling the design of more efficient and effective sequence models.

Theory · Deep Learning

Atsushi Nitanda, Anzelle Lee, Damian Kai, Mizuki Sakaguchi, Taiji Suzuki

Mean-field Langevin dynamics (MFLD) is an optimization method derived by taking the mean-field limit of noisy gradient descent for two-layer neural networks in the mean-field regime. Recently, the propagation of chaos (PoC) for MFLD has gained attention as it provides a quantitative characterization of the optimization complexity in terms of the number of particles and iterations. A remarkable progress by Chen et al. (2022) showed that the approximation error due to finite particles remains uniform in time and diminishes as the number of particles increases. In this paper, by refining the defective log-Sobolev inequality---a key result from that earlier work---under the neural network training setting, we establish an improved PoC result for MFLD, which removes the exponential dependence on the regularization coefficient from the particle approximation term of the optimization complexity. As an application, we propose a PoC-based model ensemble strategy with theoretical guarantees.