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Position · Methodology

Yucen Li, Daohan Lu, Polina Kirichenko, Shikai Qiu, Tim G. J. Rudner, C. Bayan Bruss, Andrew Wilson

To detect distribution shifts and improve model safety, many out-of-distribution (OOD) detection methods rely on the predictive uncertainty or features of supervised models trained on in-distribution data. In this position paper, we critically re-examine this popular family of OOD detection procedures, and we argue that these methods are fundamentally answering the wrong questions for OOD detection. There is no simple fix to this misalignment, since a classifier trained only on in-distribution classes cannot be expected to identify OOD points; for instance, a cat-dog classifier may confidently misclassify an airplane if it contains features that distinguish cats from dogs, despite generally appearing nothing alike. We find that uncertainty-based methods incorrectly conflate high uncertainty with being OOD, while feature-based methods incorrectly conflate far feature-space distance with being OOD. We show how these pathologies manifest as irreducible errors in OOD detection and identify common settings where these methods are ineffective. Additionally, interventions to improve OOD detection such as feature-logit hybrid methods, scaling of model and data size, epistemic uncertainty representation, and outlier exposure also fail to address this fundamental misalignment in objectives.

Reinforcement Learning · Deep RL

Harry Mead, Clarissa Costen, Bruno Lacerda, Nick Hawes

When optimising for conditional value at risk (CVaR) using policy gradients (PG), current methods rely on discarding a large proportion of trajectories, resulting in poor sample efficiency. We propose a reformulation of the CVaR optimisation problem by capping the total return of trajectories used in training, rather than simply discarding them, and show that this is equivalent to the original problem if the cap is set appropriately. We show, with empirical results in an number of environments, that this reformulation of the problem results in consistently improved performance compared to baselines. We have made all our code available here: \url{https://github.com/HarryMJMead/cvar-return-capping}.

Optimization · Large Scale, Parallel and Distributed

Michael Crawshaw, Blake Woodworth, Mingrui Liu

Existing analysis of Local (Stochastic) Gradient Descent for heterogeneous objectives requires stepsizes $\eta \leq 1/K$ where $K$ is the communication interval, which ensures monotonic decrease of the objective. In contrast, we analyze Local Gradient Descent for logistic regression with separable, heterogeneous data using any stepsize $\eta > 0$. With $R$ communication rounds and $M$ clients, we show convergence at a rate $\mathcal{O}(1/\eta K R)$ after an initial unstable phase lasting for $\widetilde{\mathcal{O}}(\eta K M)$ rounds. This improves upon the existing $\mathcal{O}(1/R)$ rate for general smooth, convex objectives. Our analysis parallels the single machine analysis of Wu et al. (2024) in which instability is caused by extremely large stepsizes, but in our setting another source of instability is large local updates with heterogeneous objectives.

General Machine Learning · Unsupervised and Semi-supervised Learning

Abhijeet Mulgund, Chirag Pabbaraju

The paradigm of weak-to-strong generalization constitutes the training of a strong AI model on data labeled by a weak AI model, with the goal that the strong model nevertheless outperforms its weak supervisor on the target task of interest. For the setting of real-valued regression with the squared loss, recent work quantitatively characterizes the gain in performance of the strong model over the weak model in terms of the misfit between the strong and weak model. We generalize such a characterization to learning tasks whose loss functions correspond to arbitrary Bregman divergences when the strong class is convex. This extends the misfit-based characterization of performance gain in weak-to-strong generalization to classification tasks, as the cross-entropy loss can be expressed in terms of a Bregman divergence. In most practical scenarios, however, the strong model class may not be convex. We therefore weaken this assumption and study weak-to-strong generalization for convex combinations of $k$ strong models in the strong class, in the concrete setting of classification. This allows us to obtain a similar misfit-based characterization of performance gain, up to an additional error term that vanishes as $k$ gets large. Our theoretical findings are supported by thorough experiments on synthetic as well as real-world datasets.

Reinforcement Learning · Deep RL

Xiaoyi Dong, Jian Cheng, Xi Zhang

The Soft Actor-Critic (SAC) algorithm with a Gaussian policy has become a mainstream implementation for realizing the Maximum Entropy Reinforcement Learning (MaxEnt RL) objective, which incorporates entropy maximization to encourage exploration and enhance policy robustness. While the Gaussian policy performs well on simpler tasks, its exploration capacity and potential performance in complex multi-goal RL environments are limited by its inherent unimodality. In this paper, we employ the diffusion model, a powerful generative model capable of capturing complex multimodal distributions, as the policy representation to fulfill the MaxEnt RL objective, developing a method named MaxEnt RL with Diffusion Policy (MaxEntDP). Our method enables efficient exploration and brings the policy closer to the optimal MaxEnt policy. Experimental results on Mujoco benchmarks show that MaxEntDP outperforms the Gaussian policy and other generative models within the MaxEnt RL framework, and performs comparably to other state-of-the-art diffusion-based online RL algorithms. Our code is available at https://github.com/diffusionyes/MaxEntDP.

Deep Learning · Large Language Models

Ye Mao, Weixun Luo, Junpeng Jing, Anlan Qiu, Krystian Mikolajczyk

The rise of vision-language foundation models marks an advancement in bridging the gap between human and machine capabilities in 3D scene reasoning. Existing 3D reasoning benchmarks assume real-time scene accessibility, which is impractical due to the high cost of frequent scene updates. To this end, we introduce *Hypothetical 3D Reasoning*, namely Hypo3D, a benchmark designed to evaluate models' ability to reason without access to real-time scene data. Models need to imagine the scene state based on a provided change description before reasoning. Hypo3D is formulated as a 3D Visual Question Answering (VQA) benchmark, comprising 7,727 context changes across 700 indoor scenes, resulting in 14,885 question-answer pairs. An anchor-based world frame is established for all scenes, ensuring consistent reference to a global frame for directional terms in context changes and QAs. Extensive experiments show that state-of-the-art foundation models struggle to reason effectively in hypothetically changed scenes. This reveals a substantial performance gap compared to humans, particularly in scenarios involving movement changes and directional reasoning. Even when the change is irrelevant to the question, models often incorrectly adjust their answers. The code and dataset are publicly available at: https://matchlab-imperial.github.io/Hypo3D.

Applications · Robotics

Xupeng Zhu, Fan Wang, Robin Walters, Jane Shi

Diffusion Policies are effective at learning closed-loop manipulation policies from human demonstrations but generalize poorly to novel arrangements of objects in 3D space, hurting real-world performance. To address this issue, we propose Spherical Diffusion Policy (SDP), an SE(3) equivariant diffusion policy that adapts trajectories according to 3D transformations of the scene. Such equivariance is achieved by embedding the states, actions, and the denoising process in spherical Fourier space. Additionally, we employ novel spherical FiLM layers to condition the action denoising process equivariantly on the scene embeddings. Lastly, we propose a spherical denoising temporal U-net that achieves spatiotemporal equivariance with computational efficiency. In the end, SDP is end-to-end SE(3) equivariant, allowing robust generalization across transformed 3D scenes. SDP demonstrates a large performance improvement over strong baselines in 20 simulation tasks and 5 physical robot tasks including single-arm and bi-manual embodiments. Code is available at https://github.com/amazon-science/Spherical_Diffusion_Policy.

Social Aspects · Fairness

Firas Laakom, Haobo Chen, Jürgen Schmidhuber, Yuheng Bu

Despite substantial progress in promoting fairness in high-stake applications using machine learning models, existing methods often modify the training process, such as through regularizers or other interventions, but lack formal guarantees that fairness achieved during training will generalize to unseen data. Although overfitting with respect to prediction performance has been extensively studied, overfitting in terms of fairness loss has received far less attention. This paper proposes a theoretical framework for analyzing fairness generalization error through an information-theoretic lens. Our novel bounding technique is based on Efron–Stein inequality, which allows us to derive tight information-theoretic fairness generalization bounds with both Mutual Information (MI) and Conditional Mutual Information (CMI). Our empirical results validate the tightness and practical relevance of these bounds across diverse fairness-aware learning algorithms.Our framework offers valuable insights to guide the design of algorithms improving fairness generalization.

Deep Learning · Generative Models and Autoencoders

Tejas Jayashankar, Jongha (Jon) Ryu, Gregory Wornell

We propose *Score-of-Mixture Training* (SMT), a novel framework for training one-step generative models by minimizing a class of divergences called the$\alpha$-skew Jensen–Shannon divergence. At its core, SMT estimates the score of mixture distributions between real and fake samples across multiple noise levels.Similar to consistency models, our approach supports both training from scratch (SMT) and distillation using a pretrained diffusion model, which we call *Score-of-Mixture Distillation* (SMD).It is simple to implement, requires minimal hyperparameter tuning, and ensures stable training. Experiments on CIFAR-10 and ImageNet 64×64 show that SMT/SMD are competitive with and can even outperform existing methods.

Reinforcement Learning · Inverse

Zhixian Xie, Haode Zhang, Yizhe Feng, Wanxin Jin

Reward design in reinforcement learning and optimal control is challenging. Preference-based alignment addresses this by enabling agents to learn rewards from ranked trajectory pairs provided by humans. However, existing methods often struggle from poor robustness to unknown false human preferences. In this work, we propose a robust and efficient reward alignment method based on a novel and geometrically interpretable perspective: hypothesis space batched cutting. Our method iteratively refines the reward hypothesis space through “cuts” based on batches of human preferences. Within each batch, human preferences, queried based on disagreement, are grouped using a voting function to determine the appropriate cut, ensuring a bounded human query complexity. To handle unknown erroneous preferences, we introduce a conservative cutting method within each batch, preventing erroneous human preferences from making overly aggressive cuts to the hypothesis space. This guarantees provable robustness against false preferences, while eliminating the need to explicitly identify them. We evaluate our method in a model predictive control setting across diverse tasks. The results demonstrate that our framework achieves comparable or superior performance to state-of-the-art methods in error-free settings while significantly outperforming existing methods when handling a high percentage of erroneous human preferences.

Reinforcement Learning · Batch/Offline

Jinmin He, Kai Li, Yifan Zang, Haobo Fu, Qiang Fu, Junliang Xing, Jian Cheng

Offline multi-task reinforcement learning aims to learn a unified policy capable of solving multiple tasks using only pre-collected task-mixed datasets, without requiring any online interaction with the environment. However, it faces significant challenges in effectively sharing knowledge across tasks. Inspired by the efficient knowledge abstraction observed in human learning, we propose Goal-Oriented Skill Abstraction (GO-Skill), a novel approach designed to extract and utilize reusable skills to enhance knowledge transfer and task performance. Our approach uncovers reusable skills through a goal-oriented skill extraction process and leverages vector quantization to construct a discrete skill library. To mitigate class imbalances between broadly applicable and task-specific skills, we introduce a skill enhancement phase to refine the extracted skills. Furthermore, we integrate these skills using hierarchical policy learning, enabling the construction of a high-level policy that dynamically orchestrates discrete skills to accomplish specific tasks. Extensive experiments on diverse robotic manipulation tasks within the MetaWorld benchmark demonstrate the effectiveness and versatility of GO-Skill.

Deep Learning · Graph Neural Networks

Juwei Yue, Haikuo Li, Jiawei Sheng, Xiaodong Li, Taoyu Su, Tingwen Liu, Li Guo

Graph neural networks (GNNs) leverage message passing mechanisms to learn the topological features of graph data. Traditional GNNs learns node features in a spatial domain unrelated to the topology, which can hardly ensure topological features. In this paper, we formulates message passing as a system of hyperbolic partial differential equations (hyperbolic PDEs), constituting a dynamical system that explicitly maps node representations into a particular solution space. This solution space is spanned by a set of eigenvectors describing the topological structure of graphs. Within this system, for any moment in time, a node features can be decomposed into a superposition of the basis of eigenvectors. This not only enhances the interpretability of message passing but also enables the explicit extraction of fundamental characteristics about the topological structure. Furthermore, by solving this system of hyperbolic partial differential equations, we establish a connection with spectral graph neural networks (spectral GNNs), serving as a message passing enhancement paradigm for spectral GNNs.We further introduce polynomials to approximate arbitrary filter functions. Extensive experiments demonstrate that the paradigm of hyperbolic PDEs not only exhibits strong flexibility but also significantly enhances the performance of various spectral GNNs across diverse graph tasks.

Theory · Deep Learning

Shuhai Zhang, Zeng You, Yaofo Chen, Zhiquan Wen, Qianyue Wang, Zhijie Qiu, Yuanqing Li, Mingkui Tan

Transformer-based large language models (LLMs) excel in natural language processing tasks by capturing long-range dependencies through self-attention mechanisms. However, long-context modeling faces significant computational inefficiencies due to redundant attention computations: while attention weights are often sparse, all tokens consume equal computational resources. In this paper, we reformulate traditional probabilistic sequence modeling as a supervised learning task, enabling the separation of relevant and irrelevant tokens and providing a clearer understanding of redundancy. Based on this reformulation, we theoretically analyze attention sparsity, revealing that only a few tokens significantly contribute to predictions. Building on this, we formulate attention optimization as a linear coding problem and propose a group coding strategy, theoretically showing its ability to improve robustness against random noise and enhance learning efficiency. Motivated by this, we propose Dynamic Group Attention (DGA), which leverages the group coding to explicitly reduce redundancy by aggregating less important tokens during attention computation. Empirical results show that our DGA significantly reduces computational costs while maintaining competitive performance.

Applications · Time Series

Peer Nagy, Sascha Frey, Kang Li, Bidipta Sarkar, Svitlana Vyetrenko, Stefan Zohren, Anisoara Calinescu, Jakob Foerster

While financial data presents one of the most challenging and interesting sequence modelling tasks due to high noise, heavy tails, and strategic interactions, progress in this area has been hindered by the lack of consensus on quantitative evaluation paradigms. To address this, we present **LOB-Bench**, a benchmark, implemented in python, designed to evaluate the quality and realism of generative message-by-order data for limit order books (LOB) in the LOBSTER format. Our framework measures distributional differences in conditional and unconditional statistics between generated and real LOB data, supporting flexible multivariate statistical evaluation. The benchmark also includes features commonly used LOB statistics such as spread, order book volumes, order imbalance, and message inter-arrival times, along with scores from a trained discriminator network. Lastly, LOB-Bench contains "market impact metrics", i.e. the cross-correlations and price response functions for specific events in the data. We benchmark generative autoregressive state-space models, a (C)GAN, as well as a parametric LOB model and find that the autoregressive GenAI approach beats traditional model classes.

Social Aspects · Accountability, Transparency, and Interpretability

Nicholas Goldowsky-Dill, Bilal Chughtai, Stefan Heimersheim, Marius Hobbhahn

AI models might use deceptive strategies as part of scheming or misaligned behaviour. Monitoring outputs alone is insufficient, since the AI might produce seemingly benign outputs while its internal reasoning is misaligned. We thus evaluate if linear probes can robustly detect deception by monitoring model activations. We test two probe-training datasets, one with contrasting instructions to be honest or deceptive (following Zou et al. (2023)) and one of responses to simple roleplaying scenarios. We test whether these probes generalize to realistic settings where Llama-3.3-70B-Instruct behaves deceptively, such as concealing insider trading Scheurer et al. (2023) and purposely underperforming on safety evaluations Benton et al. (2024). We find that our probe distinguishes honest and deceptive responses with AUROCs between 0.96 and 0.999 on our evaluation datasets. If we set the decision threshold to have a 1\% false positive rate on chat data not related to deception, our probe catches 95-99\% of the deceptive responses. Overall we think white-box probes are promising for future monitoring systems, but current performance is insufficient as a robust defence against deception. Our probes' outputs can be viewed at https://data.apolloresearch.ai/dd/ and our code at https://github.com/ApolloResearch/deception-detection.

Applications · Health / Medicine

Kaicheng Fu, Changde Du, Jie Peng, Kunpeng Wang, Shuangchen Zhao, Xiaoyu Chen, Huiguang He

Emotion recognition systems face significant challenges in real-world applications, where novel emotion categories continually emerge and multiple emotions often co-occur. This paper introduces multi-label fine-grained class incremental emotion decoding, which aims to develop models capable of incrementally learning new emotion categories while maintaining the ability to recognize multiple concurrent emotions. We propose an Augmented Emotional Semantics Learning (AESL) framework to address two critical challenges: past- and future-missing partial label problems. AESL incorporates an augmented Emotional Relation Graph (ERG) for reliable soft label generation and affective dimension-based knowledge distillation for future-aware feature learning. We evaluate our approach on three datasets spanning brain activity and multimedia domains, demonstrating its effectiveness in decoding up to 28 fine-grained emotion categories. Results show that AESL significantly outperforms existing methods while effectively mitigating catastrophic forgetting. Our code is available at https://github.com/ChangdeDu/EmoGrowth.

Theory · Learning Theory

Charlotte Peale, Vinod Raman, Omer Reingold

We introduce "representative generation," extending the theoretical framework for generation proposed by Kleinberg et al. (2024) and formalized by Li et al. (2024), to additionally address diversity and bias concerns in generative models. Our notion requires outputs of a generative model to proportionally represent groups of interest from the training data. We characterize representative uniform and non-uniform generation, introducing the ``group closure dimension'' as a key combinatorial quantity. For representative generation in the limit, we analyze both information-theoretic and computational aspects, demonstrating feasibility for countably infinite hypothesis classes and collections of groups under certain conditions, but proving a negative result for computability using only membership queries. This contrasts with Kleinberg et al.'s (2024) positive results for standard generation in the limit. Our findings provide a rigorous foundation for developing more diverse and representative generative models.

Social Aspects · Accountability, Transparency, and Interpretability

Aaron Mueller, Atticus Geiger, Sarah Wiegreffe, Dana Arad, Iván Arcuschin, Adam Belfki, Yik Siu Chan, Jaden Fiotto-Kaufman, Tal Haklay, Michael Hanna 等

How can we know whether new mechanistic interpretability methods achieve real improvements?In pursuit of lasting evaluation standards, we propose MIB, a Mechanistic Interpretability Benchmark, with two tracks spanning four tasks and five models. MIB favors methods that precisely and concisely recover relevant causal pathways or causal variables in neural language models. The circuit localization track compares methods that locate the model components---and connections between them---most important for performing a task (e.g., attribution patching or information flow routes). The causal variable track compares methods that featurize a hidden vector, e.g., sparse autoencoders (SAE) or distributed alignment search (DAS), and align those features to a task-relevant causal variable. Using MIB, we find that attribution and mask optimization methods perform best on circuit localization. For causal variable localization, we find that the supervised DAS method performs best, while SAEs features are not better than neurons, i.e., non-featurized hidden vectors. These findings illustrate that MIB enables meaningful comparisons, and increases our confidence that there has been real progress in the field.

Applications · Neuroscience, Cognitive Science

M Ganesh Kumar, Blake Bordelon, Jacob A Zavatone-Veth, Cengiz Pehlevan

When rodents learn to navigate in a novel environment, a high density of place fields emerges at reward locations, fields elongate against the trajectory, and individual fields change spatial selectivity while demonstrating stable behavior. Why place fields demonstrate these characteristic phenomena during learning remains elusive. We develop a normative framework using a reward maximization objective, whereby the temporal difference (TD) error drives place field reorganization to improve policy learning. Place fields are modeled using Gaussian radial basis functions to represent states in an environment, and directly synapse to an actor-critic for policy learning. Each field's amplitude, center, and width, as well as downstream weights, are updated online at each time step to maximize rewards. We demonstrate that this framework unifies three disparate phenomena observed in navigation experiments. Furthermore, we show that these place field phenomena improve policy convergence when learning to navigate to a single target and relearning multiple new targets. To conclude, we develop a simple normative model that recapitulates several aspects of hippocampal place field learning dynamics and unifies mechanisms to offer testable predictions for future experiments.

Social Aspects · Fairness

Beepul Bharti, Mary Clemens-Sewall, Paul H. Yi, Jeremias Sulam

As the use of predictive machine learning algorithms increases in high-stakes decision-making, it is imperative that these algorithms are fair across sensitive groups. However, measuring and enforcing fairness in real-world applications can be challenging due to missing or incomplete sensitive group information. Proxy-sensitive attributes have been proposed as a practical and effective solution in these settings, but only for parity-based fairness notions. Knowing how to evaluate and control for fairness with missing sensitive group data for newer, different, and more flexible frameworks, such as multiaccuracy and multicalibration, remains unexplored. In this work, we address this gap by demonstrating that in the absence of sensitive group data, proxy-sensitive attributes can provably be used to derive actionable upper bounds on the true multiaccuracy and multicalibration violations, providing insights into a predictive model’s potential worst-case fairness violations. Additionally, we show that adjusting models to satisfy multiaccuracy and multicalibration across proxy-sensitive attributes can significantly mitigate these violations for the true, but unknown, sensitive groups. Through several experiments on real-world datasets, we illustrate that approximate multiaccuracy and multicalibration can be achieved even when sensitive group data is incomplete or unavailable.