论文检索

输入标题、作者或关键词,从 12,113 篇学术成果中精准定位

会议来源 已选 1 项

机器学习与综合 AI

自然语言处理

计算机视觉

数据挖掘与 Web

多媒体与图形学

已选择 1 个会议
支持跨会议组合检索,PDF 均跳转至官方来源
已筛选 ICLR
12,113篇论文
第 469 / 606 页

Deep Learning · Theory

Andrey Gromov, Kushal Tirumala, Hassan Shapourian, Paolo Glorioso, Daniel A. Roberts

How is knowledge stored in an LLM’s weights? We study this via layer pruning: if removing a certain layer does not affect model performance in common question-answering benchmarks, then the weights in that layer are not necessary for storing the knowledge needed to answer those questions. To find these unnecessary parameters, we identify the optimal block of layers to prune by considering similarity across layers; then, to “heal” the damage, we perform a small amount of finetuning. Surprisingly, with this method we find minimal degradation of performance until after a large fraction (up to half) of the layers are removed for some common open-weight models. From a scientific perspective, the robustness of these LLMs to the deletion of layers implies either that current pretraining methods are not properly leveraging the parameters in the deeper layers of the network or that the shallow layers play a critical role in storing knowledge. For our study, we use parameter-efficient finetuning (PEFT) methods, specifically quantization and Low Rank Adapters (QLoRA), such that each of our experiments can be performed on a single 40GB A100 GPU.

Deep Learning · Generative Models and Autoencoders

Lei Yang

We introduce a novel generative model, the Discrete Distribution Networks (DDN), that approximates data distribution using hierarchical discrete distributions. We posit that since the features within a network inherently capture distributional information, enabling the network to generate multiple samples simultaneously, rather than a single output, may offer an effective way to represent distributions. Therefore, DDN fits the target distribution, including continuous ones, by generating multiple discrete sample points. To capture finer details of the target data, DDN selects the output that is closest to the Ground Truth (GT) from the coarse results generated in the first layer. This selected output is then fed back into the network as a condition for the second layer, thereby generating new outputs more similar to the GT. As the number of DDN layers increases, the representational space of the outputs expands exponentially, and the generated samples become increasingly similar to the GT. This hierarchical output pattern of discrete distributions endows DDN with unique properties: more general zero-shot conditional generation and 1D latent representation. We demonstrate the efficacy of DDN and its intriguing properties through experiments on CIFAR-10 and FFHQ. The code is available at https://discrete-distribution-networks.github.io/

Deep Learning · Large Language Models

Qi Le, Enmao Diao, Ziyan Wang, Xinran Wang, Jie Ding, Li Yang, Ali Anwar

We introduce Probe Pruning (PP), a novel framework for online, dynamic, structured pruning of Large Language Models (LLMs) applied in a batch-wise manner. PP leverages the insight that not all samples and tokens contribute equally to the model's output, and probing a small portion of each batch effectively identifies crucial weights, enabling tailored dynamic pruning for different batches. It comprises three main stages: probing, history-informed pruning, and full inference. In the probing stage, PP selects a small yet crucial set of hidden states, based on residual importance, to run a few model layers ahead. During the history-informed pruning stage, PP strategically integrates the probing states with historical states. Subsequently, it structurally prunes weights based on the integrated states and the PP importance score, a metric developed specifically to assess the importance of each weight channel in maintaining performance. In the final stage, full inference is conducted on the remaining weights. A major advantage of PP is its compatibility with existing models, as it operates without requiring additional neural network modules or fine-tuning. Comprehensive evaluations of PP on LLaMA-2/3 and OPT models reveal that even minimal probing—using just 1.5% of FLOPs—can substantially enhance the efficiency of structured pruning of LLMs. For instance, when evaluated on LLaMA-2-7B with WikiText2, PP achieves a 2.56 times lower ratio of performance degradation per unit of latency reduction compared to the state-of-the-art method at a 40\% pruning ratio.

Social Aspects · Accountability, Transparency and Interpretability

Maximilian Muschalik, Fabian Fumagalli, Paolo Frazzetto, Janine Strotherm, Luca Hermes, Alessandro Sperduti, Eyke Hüllermeier, Barbara E Hammer

Albeit the ubiquitous use of Graph Neural Networks (GNNs) in machine learning (ML) prediction tasks involving graph-structured data, their interpretability remains challenging. In explainable artificial intelligence (XAI), the Shapley Value (SV) is the predominant method to quantify contributions of individual features to a ML model’s output. Addressing the limitations of SVs in complex prediction models, Shapley Interactions (SIs) extend the SV to groups of features. In this work, we explain single graph predictions of GNNs with SIs that quantify node contributions and interactions among multiple nodes. By exploiting the GNN architecture, we show that the structure of interactions in node embeddings are preserved for graph prediction. As a result, the exponential complexity of SIs depends only on the receptive fields, i.e. the message-passing ranges determined by the connectivity of the graph and the number of convolutional layers. Based on our theoretical results, we introduce GraphSHAP-IQ, an efficient approach to compute any-order SIs exactly. GraphSHAP-IQ is applicable to popular message passing techniques in conjunction with a linear global pooling and output layer. We showcase that GraphSHAP-IQ substantially reduces the exponential complexity of computing exact SIs on multiple benchmark datasets. Beyond exact computation, we evaluate GraphSHAP-IQ’s approximation of SIs on popular GNN architectures and compare with existing baselines. Lastly, we visualize SIs of real-world water distribution networks and molecule structures using a SI-Graph.

Applications · Computer Vision

Kennard Chan, Fayao Liu, Guosheng Lin, Chuan Sheng Foo, Weisi Lin

Existing methods for 3D clothed human digitalization perform well when the input image is captured in ideal conditions that assume the lack of any occlusion. However, in reality, images may often have occlusion problems such as incomplete observation of the human subject's full body, self-occlusion by the human subject, and non-frontal body pose. When given such input images, these existing methods fail to perform adequately. Thus, we propose Robust-PIFu, a pixel-aligned implicit model that capitalized on large-scale, pretrained latent diffusion models to address the challenge of digitalizing human subjects from non-ideal images that suffer from occlusions.Robust-PIfu offers four new contributions. Firstly, we propose a 'disentangling' latent diffusion model. This diffusion model, pretrained on billions of images, takes in any input image and removes external occlusions, such as inter-person occlusions, from that image. Secondly, Robust-PIFu addresses internal occlusions like self-occlusion by introducing a `penetrating' latent diffusion model. This diffusion model outputs multi-layered normal maps that by-pass occlusions caused by the human subject's own limbs or other body parts (i.e. self-occlusion). Thirdly, in order to incorporate such multi-layered normal maps into a pixel-aligned implicit model, we introduce our Layered-Normals Pixel-aligned Implicit Model, which improves the structural accuracy of predicted clothed human meshes. Lastly, Robust-PIFu proposes an optional super-resolution mechanism for the multi-layered normal maps. This addresses scenarios where the input image is of low or inadequate resolution. Though not strictly related to occlusion, this is still an important subproblem. Our experiments show that Robust-PIFu outperforms current SOTA methods both qualitatively and quantitatively. Our code will be released to the public.

Deep Learning · Large Language Models

Simran Kaur, Simon Park, Anirudh Goyal, Sanjeev Arora

We introduce INSTRUCT-SKILLMIX, an automated approach for creating diverse, high quality SFT data for instruction-following. The pipeline involves two stages, each leveraging an existing powerful LLM: (1) Skill extraction: uses the LLM to extract core “skills” for instruction-following by directly prompting the model. This is inspired by “LLM metacognition” of (Didolkar et al., 2024); (2) Data generation: uses the powerful LLM to generate (instruction, response) data thatexhibit a randomly chosen pair of these skills. Here, the use of random skill combinations promotes diversity and difficulty. The estimated cost of creating the dataset is under $600. Vanilla SFT (i.e., no PPO, DPO, or RL methods) on data generated from INSTRUCT-SKILLMIX leads to strong gains on instruction following benchmarks such as AlpacaEval 2.0, MT-Bench, and WildBench. With just 4K examples, LLaMA-3-8B-Base achieves 42.76% length-controlled win rate on AlpacaEval 2.0, a level similar to frontier models like Claude 3 Opus and LLaMA-3.1-405B-Instruct. Ablation studies also suggest plausible reasons for why creating open instruction-tuning datasets via naive crowd-sourcing has proved difficult. In our dataset,adding 20% low quality answers (“shirkers”) causes a noticeable degradation in performance.The INSTRUCT-SKILLMIX pipeline seems flexible and adaptable to other settings.

Applications · Robotics

Zun Wang, Jialu Li, Yicong Hong, Songze Li, Kunchang Li, Shoubin Yu, Yi Wang, Yu Qiao, Yali Wang, Mohit Bansal 等

Creating high-quality data for training robust language-instructed agents is a long-lasting challenge in embodied AI. In this paper, we introduce a Self-Refining Data Flywheel (SRDF) that generates high-quality and large-scale navigational instruction-trajectory pairs by iteratively refining the data pool through the collaboration between two models, the instruction generator and the navigator, without any human-in-the-loop annotation. Specifically, SRDF starts with using a base generator to create an initial data pool for training a base navigator, followed by applying the trained navigator to filter the data pool. This leads to higher-fidelity data to train a better generator, which can, in turn, produce higher-quality data for training the next-round navigator. Such a flywheel establishes a data self-refining process, yielding a continuously improved and highly effective dataset for large-scale language-guided navigation learning. Our experiments demonstrate that after several flywheel rounds, the navigator elevates the performance boundary from 70\% to 78\% SPL on the classic R2R test set, surpassing human performance (76\%) for the first time. Meanwhile, this process results in a superior generator, evidenced by a SPICE increase from 23.5 to 26.2, better than all previous VLN instruction generation methods. Finally, we demonstrate the scalability of our method through increasing environment and instruction diversity, andthe generalization ability of our pre-trained navigator across various downstream navigation tasks, surpassing state-of-the-art methods by a large margin in all cases.

Guo Chen, Yicheng Liu, Yifei Huang, Baoqi Pei, Jilan Xu, Yuping He, Tong Lu, Yali Wang, Limin Wang

The existing video understanding benchmarks for multimodal large language models (MLLMs) mainly focus on short videos. The few benchmarks for long video understanding often rely on multiple-choice questions (MCQs). Due to the limitations of MCQ evaluations and the advanced reasoning abilities of MLLMs, models can often answer correctly by combining short video insights with elimination, without truly understanding the content. To bridge this gap, we introduce CG-Bench, a benchmark for clue-grounded question answering in long videos. CG-Bench emphasizes the model's ability to retrieve relevant clues, enhancing evaluation credibility. It includes 1,219 manually curated videos organized into 14 primary, 171 secondary, and 638 tertiary categories, making it the largest benchmark for long video analysis. The dataset features 12,129 QA pairs in three question types: perception, reasoning, and hallucination. To address the limitations of MCQ-based evaluation, we develop two novel clue-based methods: clue-grounded white box and black box evaluations, assessing whether models generate answers based on accurate video understanding. We evaluated multiple closed-source and open-source MLLMs on CG-Bench. The results show that current models struggle significantly with long videos compared to short ones, and there is a notable gap between open-source and commercial models. We hope CG-Bench will drive the development of more reliable and capable MLLMs for long video comprehension.

Deep Learning · Everything Else

Adriano Guastella, Lorenzo Sani, Alex Iacob, Alessio Mora, Paolo Bellavista, Nic Lane

Sparse training is often adopted in cross-device federated learning (FL) environments where constrained devices collaboratively train a machine learning model on private data by exchanging pseudo-gradients across heterogeneous networks. Although sparse training methods can reduce communication overhead and computational burden in FL, they are often not used in practice for the following key reasons: (1) data heterogeneity makes it harder for clients to reach consensus on sparse models compared to dense ones, requiring longer training; (2) methods for obtaining sparse masks lack adaptivity to accommodate very heterogeneous data distributions, crucial in cross-device FL; and (3) additional hyperparameters are required, which are notably challenging to tune in FL. This paper presents SparsyFed, a practical federated sparse training method that critically addresses the problems above. Previous works have only solved one or two of these challenges at the expense of introducing new trade-offs, such as clients’ consensus on masks versus sparsity pattern adaptivity. We show that SparsyFed simultaneously (1) can produce 95% sparse models, with negligible degradation in accuracy, while only needing a single hyperparameter, (2) achieves a per-round weight regrowth 200 times smaller than previous methods, and (3) allows the sparse masks to adapt to highly heterogeneous data distributions and outperform all baselines under such conditions.

Deep Learning · Large Language Models

Jiacheng Chen, Tianhao Liang, Sherman Siu, Zhengqing Wang, Kai Wang, Yubo Wang, Yuansheng Ni, Ziyan Jiang, Wang Zhu, Bohan Lyu 等

We present MEGA-Bench, an evaluation suite that scales multimodal evaluation to over 500 real-world tasks, to address the highly heterogeneous daily use cases of end users.Our objective is to optimize for a set of high-quality data samples that cover a highly diverse and rich set of multimodal tasks, while enabling cost-effective and accurate model evaluation.In particular, we collected 505 realistic tasks encompassing over 8,000 samples from 16 expert annotators to extensively cover the multimodal task space. Instead of unifying these problems into standard multi-choice questions (like MMMU, MM-Bench, and MMT-Bench), we embrace a wide range of output formats like numbers, phrases, code, \LaTeX, coordinates, JSON, free-form, etc. To accommodate these formats, we developed over 40 metrics to evaluate these tasks. Unlike existing benchmarks, MEGA-Bench offers a fine-grained capability report across multiple dimensions (e.g., application, input type, output format, skill), allowing users to interact with and visualize model capabilities in depth. We evaluate a wide variety of frontier vision-language models on MEGA-Bench to understand their capabilities across these dimensions.

Applications · Computer Vision

Zhengqing Wang, Jiacheng Chen, Yasutaka Furukawa

This paper proposes a novel “auto-agglomerative” 3D fracture assembly method, PuzzleFusion++, resembling how humans solve challenging spatial puzzles. Starting from individual fragments, the approach 1) aligns and merges fragments into larger groups akin to agglomerative clustering and 2) repeats the process iteratively in completing the assembly akin to auto-regressive methods. Concretely, a diffusion model denoises the 6-DoF alignment parameters of the fragments simultaneously,and a transformer model verifies and merges pairwise alignments into larger ones, whose process repeats iteratively. Extensive experiments on the Breaking Bad dataset show that PuzzleFusion++ outperforms all other state-of-the-art techniques by significant margins across all metrics In particular by over 10% in part accuracy and 50% in Chamfer distance. We will release code and model.

Optimization · Large Scale, Parallel and Distributed

Michael Crawshaw, Blake Woodworth, Mingrui Liu

We analyze two variants of Local Gradient Descent applied to distributed logistic regression with heterogeneous, separable data and show convergence at the rate $O(1/KR)$ for $K$ local steps and sufficiently large $R$ communication rounds. In contrast, all existing convergence guarantees for Local GD applied to any problem are at least $\Omega(1/R)$, meaning they fail to show the benefit of local updates. The key to our improved guarantee is showing progress on the logistic regression objective when using a large stepsize $\eta \gg 1/K$, whereas prior analysis depends on $\eta \leq 1/K$.

Optimization · Non-Convex

Michael Crawshaw, Mingrui Liu

Recent results in non-convex stochastic optimization demonstrate the convergence of popular adaptive algorithms (e.g., AdaGrad) under the $(L_0, L_1)$-smoothness condition, but the rate of convergence is a higher-order polynomial in terms of problem parameters like the smoothness constants. The complexity guaranteed by such algorithms to find an $\epsilon$-stationary point may be significantly larger than the optimal complexity of $\Theta \left( \Delta L \sigma^2 \epsilon^{-4} \right)$ achieved by SGD in the $L$-smooth setting, where $\Delta$ is the initial optimality gap, $\sigma^2$ is the variance of stochastic gradient. However, it is currently not known whether these higher-order dependencies can be tightened. To answer this question, we investigate complexity lower bounds for several adaptive optimization algorithms in the $(L_0, L_1)$-smooth setting, with a focus on the dependence in terms of problem parameters $\Delta, L_0, L_1$. We provide complexity bounds for three variations of AdaGrad, which show at least a quadratic dependence on problem parameters $\Delta, L_0, L_1$. Notably, we show that the decorrelated variant of AdaGrad-Norm requires at least $\Omega \left( \Delta^2 L_1^2 \sigma^2 \epsilon^{-4} \right)$ stochastic gradient queries to find an $\epsilon$-stationary point. We also provide a lower bound for SGD with a broad class of adaptive stepsizes. Our results show that, for certain adaptive algorithms, the $(L_0, L_1)$-smooth setting is fundamentally more difficult than the standard smooth setting, in terms of the initial optimality gap and the smoothness constants.

Applications · Health

Yiwei Li, Sekeun Kim, Zihao Wu, Hanqi Jiang, Yi Pan, Pengfei Jin, Sifan Song, Yucheng Shi, Xiaowei Yu, Tianze Yang 等

Echocardiography (ECHO) is essential for cardiac assessments, but its video quality and interpretation heavily relies on manual expertise, leading to inconsistent results from clinical and portable devices. ECHO video generation offers a solution by improving automated monitoring through synthetic data and generating high-quality videos from routine health data. However, existing models often face high computational costs, slow inference, and rely on complex conditional prompts that require experts' annotations. To address these challenges, we propose ECHOPulse, an ECG-conditioned ECHO video generation model. ECHOPulse introduces two key advancements: (1) it accelerates ECHO video generation by leveraging VQ-VAE tokenization and masked visual token modeling for fast decoding, and (2) it conditions on readily accessible ECG signals, which are highly coherent with ECHO videos, bypassing complex conditional prompts. To the best of our knowledge, this is the first work to use time-series prompts like ECG signals for ECHO video generation. ECHOPulse not only enables controllable synthetic ECHO data generation but also provides updated cardiac function information for disease monitoring and prediction beyond ECG alone. Evaluations on three public and private datasets demonstrate state-of-the-art performance in ECHO video generation across both qualitative and quantitative measures. Additionally, ECHOPulse can be easily generalized to other modality generation tasks, such as cardiac MRI, fMRI, and 3D CT generation. We will make the synthetic ECHO dataset, along with the code and model, publicly available upon acceptance.

Deep Learning · Theory

Arthur Jacot, Peter Súkeník, Zihan Wang, Marco Mondelli

Deep neural networks (DNNs) at convergence consistently represent the training data in the last layer via a geometric structure referred to as neural collapse. This empirical evidence has spurred a line of theoretical research aimed at proving the emergence of neural collapse, mostly focusing on the unconstrained features model. Here, the features of the penultimate layer are free variables, which makes the model data-agnostic and puts into question its ability to capture DNN training. Our work addresses the issue, moving away from unconstrained features and studying DNNs that end with at least two linear layers. We first prove generic guarantees on neural collapse that assume \emph{(i)} low training error and balancedness of linear layers (for within-class variability collapse), and \emph{(ii)} bounded conditioning of the features before the linear part (for orthogonality of class-means, and their alignment with weight matrices). The balancedness refers to the fact that $W_{\ell+1}^\top W_{\ell+1}\approx W_\ell W_\ell ^\top$ for any pair ofconsecutive weight matricesof the linear part, and the bounded conditioning requires a well-behaved ratio between largest and smallest non-zero singular values of the features. We then show that such assumptions hold for gradient descent training with weight decay: \emph{(i)} for networks with a wide first layer, we prove low training error and balancedness, and \emph{(ii)} for solutions that are either nearly optimal or stable under large learning rates, we additionally prove the bounded conditioning. Taken together, our results are the first to show neural collapse in the end-to-end training of DNNs.

Miscellaneous Aspects of Machine Learning · Representation Learning

Baoqi Pei, Yifei Huang, Jilan Xu, Guo Chen, Yuping He, Lijin Yang, Yali Wang, Weidi Xie, Yu Qiao, Fei Wu 等

In egocentric video understanding, the motion of hands and objects as well as their interactions play a significant role by nature.However, existing egocentric video representation learning methods mainly focus on aligning video representation with high-level narrations, overlooking the intricate dynamics between hands and objects.In this work, we aim to integrate the modeling of fine-grained hand-object dynamics into the video representation learning process.Since no suitable data is available, we introduce HOD, a novel pipeline employing a hand-object detector and a large language model to generate high-quality narrations with detailed descriptions of hand-object dynamics. To learn these fine-grained dynamics, we propose EgoVideo, a model with a new lightweight motion adapter to capture fine-grained hand-object motion information. Through our co-training strategy, EgoVideo effectively and efficiently leverages the fine-grained hand-object dynamics in the HOD data. Extensive experiments demonstrate that our method achieves state-of-the-art performance across multiple egocentric downstream tasks, including improvements of 6.3% in EK-100 multi-instance retrieval, 5.7% in EK-100 classification, and 16.3% in EGTEA classification in zero-shot settings. Furthermore, our model exhibits robust generalization capabilities in hand-object interaction and robot manipulation tasks.

Deep Learning · Theory

Arthur Jacot, Peter Súkeník, Zihan Wang, Marco Mondelli

Deep neural networks (DNNs) at convergence consistently represent the training data in the last layer via a geometric structure referred to as neural collapse. This empirical evidence has spurred a line of theoretical research aimed at proving the emergence of neural collapse, mostly focusing on the unconstrained features model. Here, the features of the penultimate layer are free variables, which makes the model data-agnostic and puts into question its ability to capture DNN training. Our work addresses the issue, moving away from unconstrained features and studying DNNs that end with at least two linear layers. We first prove generic guarantees on neural collapse that assume \emph{(i)} low training error and balancedness of linear layers (for within-class variability collapse), and \emph{(ii)} bounded conditioning of the features before the linear part (for orthogonality of class-means, and their alignment with weight matrices). The balancedness refers to the fact that $W_{\ell+1}^\top W_{\ell+1}\approx W_\ell W_\ell ^\top$ for any pair ofconsecutive weight matricesof the linear part, and the bounded conditioning requires a well-behaved ratio between largest and smallest non-zero singular values of the features. We then show that such assumptions hold for gradient descent training with weight decay: \emph{(i)} for networks with a wide first layer, we prove low training error and balancedness, and \emph{(ii)} for solutions that are either nearly optimal or stable under large learning rates, we additionally prove the bounded conditioning. Taken together, our results are the first to show neural collapse in the end-to-end training of DNNs.

Zhihao Shi, Jie Wang, Zhiwei Zhuang, Xize Liang, Bin Li, Feng Wu

Message passing-based graph neural networks (GNNs) have achieved great success in many real-world applications. For a sampled mini-batch of target nodes, the message passing process is divided into two parts: message passing between nodes within the batch (MP-IB) and message passing from nodes outside the batch to those within it (MP-OB). However, MP-OB recursively relies on higher-order out-of-batch neighbors, leading to an exponentially growing computational cost with respect to the number of layers. Due to the neighbor explosion, the whole message passing stores most nodes and edges on the GPU such that many GNNs are infeasible to large-scale graphs. To address this challenge, we propose an accurate and fast mini-batch approach for large graph transductive learning, namely topological compensation (TOP), which obtains the outputs of the whole message passing solely through MP-IB, without the costly MP-OB. The major pillar of TOP is a novel concept of message invariance, which defines message-invariant transformations to convert costly MP-OB into fast MP-IB. This ensures that the modified MP-IB has the same output as the whole message passing. Experiments demonstrate that TOP is significantly faster than existing mini-batch methods by order of magnitude on vast graphs (millions of nodes and billions of edges) with limited accuracy degradation.

Applications · Robotics

Vaibhav Saxena, Matthew Bronars, Nadun Ranawaka Arachchige, Kuancheng Wang, Woo Shin, Soroush Nasiriany, Ajay Mandlekar, Danfei Xu

Imitation learning from large multi-task demonstration datasets has emerged as a promising path for building generally-capable robots. As a result, 1000s of hours have been spent on building such large-scale datasets around the globe. Despite the continuous growth of such efforts, we still lack a systematic understanding of what data should be collected to improve the utility of a robotics dataset and facilitate downstream policy learning. In this work, we conduct a large-scale dataset composition study to answer this question. We develop a data generation framework to procedurally emulate common sources of diversity in existing datasets (such as sensor placements and object types and arrangements), and use it to generate large-scale robot datasets with controlled compositions, enabling a suite of dataset composition studies that would be prohibitively expensive in the real world. We focus on two practical settings: (1) what types of diversity should be emphasized when future researchers collect large-scale datasets for robotics, and (2) how should current practitioners retrieve relevant demonstrations from existing datasets to maximize downstream policy performance on tasks of interest. Our study yields several critical insights -- for example, we find that camera poses and spatial arrangements are crucial dimensions for both diversity in collection and alignment in retrieval. In real-world robot learning settings, we find that not only do our insights from simulation carry over, but our retrieval strategies on existing datasets such as DROID allow us to consistently outperform existing training strategies by up to 70\%.

Reinforcement Learning · Online

Zhong Zheng, Haochen Zhang, Lingzhou Xue

We study the gap-dependent bounds of two important algorithms for on-policy $Q$-learning for finite-horizon episodic tabular Markov Decision Processes (MDPs): UCB-Advantage (Zhang et al. 2020) and Q-EarlySettled-Advantage (Li et al. 2021). UCB-Advantage and Q-EarlySettled-Advantage improve upon the results based on Hoeffding-type bonuses and achieve the {almost optimal} $\sqrt{T}$-type regret bound in the worst-case scenario, where $T$ is the total number of steps. However, the benign structures of the MDPs such as a strictly positive suboptimality gap can significantly improve the regret. While gap-dependent regret bounds have been obtained for $Q$-learning with Hoeffding-type bonuses, it remains an open question to establish gap-dependent regret bounds for $Q$-learning using variance estimators in their bonuses and reference-advantage decomposition for variance reduction. We develop a novel error decompositionframework to prove gap-dependent regret bounds of UCB-Advantage and Q-EarlySettled-Advantage that are logarithmic in $T$ and improve upon existing ones for $Q$-learning algorithms. Moreover, we establish the gap-dependent bound for the policy switching cost of UCB-Advantage and improve that under the worst-case MDPs. To our knowledge, this paper presents the first gap-dependent regret analysis for $Q$-learning using variance estimators and reference-advantage decomposition and also provides the first gap-dependent analysis on policy switching cost for $Q$-learning.