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Social Aspects · Fairness

Haoxuan Li, Zeyu Tang, Zhichao Jiang, Zhuangyan Fang, Yue Liu, zhi geng, Kun Zhang

Fairness in human and algorithmic decision-making is crucial in areas such as criminal justice, education, and social welfare. Recently, counterfactual fairness has drawn increasing research interest, suggesting that decision-making for individuals should remain the same when intervening with different values on protected attributes. Nevertheless, the question of "which attributes and individuals should be protected" is rarely discussed in the existing counterfactual fairness literature. For example, when considering leg disability as a protected attribute, the algorithms should not treat individuals with leg disabilities differently in college admissions, but one may naturally consider this factor when selecting runner athletes. In other words, when and how to enforce fairness is expected to depend on the causal relation between the protected attribute and the outcome of interest. Formally, this paper proposes principal counterfactual fairness using the concept of principal stratification from the causal inference literature, focusing on whether an algorithm is counterfactually fair for individuals whose protected attribute has no individual causal effect on the outcome of interest. To examine whether an algorithm satisfies principal counterfactual fairness, we derive the statistical bounds and propose a post-processing approach to achieving principal counterfactual fairness with minimal individual decision changes. Experiments are conducted using synthetic and real-world datasets to verify the effectiveness of our methods.

General Machine Learning · Transfer, Multitask and Meta-learning

Andong Wang, Yuning Qiu, Zhong Jin, Guoxu Zhou, Qibin Zhao

Tensor regression is a powerful tool for analyzing complex multi-dimensional data in fields such as neuroimaging and spatiotemporal analysis, but its effectiveness is often hindered by insufficient sample sizes. To overcome this limitation, we adopt a transfer learning strategy that leverages knowledge from related source tasks to improve performance in data-scarce target tasks. This approach, however, introduces additional challenges including model shifts, covariate shifts, and decentralized data management. We propose the Low-Rank Tensor Transitions (LoRT) framework, which incorporates a novel fusion regularizer and a two-step refinement to enable robust adaptation while preserving low-tubal-rank structure. To support decentralized scenarios, we extend LoRT to D-LoRT, a distributed variant that maintains statistical efficiency with minimal communication overhead. Theoretical analysis and experiments on tensor regression tasks, including compressed sensing and completion, validate the robustness and versatility of the proposed methods. These findings indicate the potential of LoRT as a robust method for tensor regression in settings with limited data and complex distributional structures.

Probabilistic Methods

Arik Reuter, Tim G. J. Rudner, Vincent Fortuin, David Rügamer

Transformers have emerged as the dominant architecture in the field of deep learning, with a broad range of applications and remarkable in-context learning (ICL) capabilities. While not yet fully understood, ICL has already proved to be an intriguing phenomenon, allowing transformers to learn in context—without requiring further training. In this paper, we further advance the understanding of ICL by demonstrating that transformers can perform full Bayesian inference for commonly used statistical models in context. More specifically, we introduce a general framework that builds on ideas from prior fitted networks and continuous normalizing flows and enables us to infer complex posterior distributions for models such as generalized linear models and latent factor models. Extensive experiments on real-world datasets demonstrate that our ICL approach yields posterior samples that are similar in quality to state-of-the-art MCMC or variational inference methods that do not operate in context. The source code for this paper is available at https://github.com/ArikReuter/ICL_for_Full_Bayesian_Inference

Deep Learning · Large Language Models

Jiahuan Yan, Jintai Chen, Chaowen Hu, Bo Zheng, Yaojun Hu, Jimeng Sun, Jian Wu

Recent development in large language models (LLMs) has demonstrated impressive domain proficiency on unstructured textual or multi-modal tasks. However, despite with intrinsic world knowledge, their application on structured tabular data prediction still lags behind, primarily due to the numerical insensitivity and modality discrepancy that brings a gap between LLM reasoning and statistical tabular learning. Unlike textual or vision data (e.g., electronic clinical notes or medical imaging data), tabular data is often presented in heterogeneous numerical values (e.g., CBC reports). This ubiquitous data format requires intensive expert annotation, and its numerical nature limits LLMs' capability to effectively transfer untapped domain expertise. In this paper, we propose SERSAL, a general self-prompting method by synergy learning with small models to enhance LLM tabular prediction in an unsupervised manner. Specifically, SERSAL utilizes the LLM's prior outcomes as original soft noisy annotations, which are dynamically leveraged to teach a better small student model. Reversely, the outcomes from the trained small model are used to teach the LLM to further refine its real capability. This process can be repeatedly applied to gradually distill refined knowledge for continuous progress. Comprehensive experiments on widely used medical domain tabular datasets show that, without access to gold labels, applying SERSAL to OpenAI GPT reasoning process attains substantial improvement compared to linguistic prompting methods, which serves as an orthogonal direction for tabular LLM, and increasing prompting bonus is observed as more powerful LLMs appear. Codes are available at https://github.com/jyansir/sersal.

Social Aspects · Privacy-preserving Statistics and Machine Learning

XiaoHua Feng, Yuyuan Li, Chaochao Chen, Li Zhang, Li, JUN ZHOU, Xiaolin Zheng

While generative models have made significant advancements in recent years, they also raise concerns such as privacy breaches and biases. Machine unlearning has emerged as a viable solution, aiming to remove specific training data, e.g., containing private information and bias, from models. In this paper, we study the machine unlearning problem in Image-to-Image (I2I) generative models. Previous studies mainly treat it as a single objective optimization problem, offering a solitary solution, thereby neglecting the varied user expectations towards the trade-off between complete unlearning and model utility. To address this issue, we propose a controllable unlearning framework that uses a control coefficient $\epsilon$ to control the trade-off. We reformulate the I2I generative model unlearning problem into a $\epsilon$-constrained optimization problem and solve it with a gradient-based method to find optimal solutions for unlearning boundaries. These boundaries define the valid range for the control coefficient. Within this range, every yielded solution is theoretically guaranteed with Pareto optimality. We also analyze the convergence rate of our framework under various control functions. Extensive experiments on two benchmark datasets across three mainstream I2I models demonstrate the effectiveness of our controllable unlearning framework.

Miscellaneous Aspects of Machine Learning · Unsupervised and Semi-supervised Learning

Yuxuan Wu, Ziyu Wang, Bhiksha Raj, Gus Xia

We contribute an unsupervised method that effectively learns disentangled content and style representations from sequences of observations. Unlike most disentanglement algorithms that rely on domain-specific labels or knowledge, our method is based on the insight of domain-general statistical differences between content and style --- content varies more among different fragments within a sample but maintains an invariant vocabulary across data samples, whereas style remains relatively invariant within a sample but exhibits more significant variation across different samples. We integrate such inductive bias into an encoder-decoder architecture and name our method after V3 (variance-versus-invariance). Experimental results show that V3 generalizes across multiple domains and modalities, successfully learning disentangled content and style representations, such as pitch and timbre from music audio, digit and color from images of hand-written digits, and action and character appearance from simple animations. V3 demonstrates strong disentanglement performance compared to existing unsupervised methods, along with superior out-of-distribution generalization and few-shot learning capabilities compared to supervised counterparts. Lastly, symbolic-level interpretability emerges in the learned content codebook, forging a near one-to-one alignment between machine representation and human knowledge.

Social Aspects · Privacy-preserving Statistics and Machine Learning

Zirui Hu, Yingjie Wang, Zheng Zhang, Hong Chen, Dacheng Tao

Detecting training data for large language models (LLMs) is receiving growing attention, especially in applications requiring high reliability. While numerous efforts have been made to address this issue, they typically focus on accuracy without ensuring controllable results.To fill this gap, we propose **K**nockoff Inference-based **T**raining data **D**etector (KTD), a novel method that achieves rigorous false discovery rate (FDR) control in training data detection. Specifically, KTD generates synthetic knockoff samples that seamlessly replace original data points without compromising contextual integrity. A novel knockoff statistic, which incorporates multiple knockoff draws, is then calculated to ensure FDR control while maintaining high power. Our theoretical analysis demonstrates KTD's asymptotic optimality in terms of FDR control and power. Empirical experiments on real-world datasets such as WikiMIA, XSum and Real Time BBC News further validate KTD's superior performance compared to existing methods.

Ziheng Chen, Yue Song, Xiaojun Wu, Nicu Sebe

Several Riemannian manifolds in machine learning, such as Symmetric Positive Definite (SPD), Grassmann, spherical, and hyperbolic manifolds, have been proven to admit gyro structures, thus enabling a principled and effective extension of Euclidean Deep Neural Networks (DNNs) to manifolds. Inspired by this, this study introduces a general Riemannian Batch Normalization (RBN) framework on gyrogroups, termed GyroBN. We identify the least requirements to guarantee GyroBN with theoretical control over sample statistics, referred to as \textit{pseudo-reduction} and \textit{gyroisometric gyrations}, which are satisfied by all the existing gyrogroups in machine learning. Besides, our GyroBN incorporates several existing normalization methods, including the one on general Lie groups and different types of RBN on the non-group SPD geometry. Lastly, we instantiate our GyroBN on the Grassmannian and hyperbolic spaces. Experiments on the Grassmannian and hyperbolic networks demonstrate the effectiveness of our GyroBN. The code is available at https://github.com/GitZH-Chen/GyroBN.git.

Deep Learning · Robustness

Shuang Liu, Yihan Wang, Yifan Zhu, Yibo Miao, XIAOSHAN GAO

Wasserstein distributionally robust optimization (WDRO) optimizes against worst-case distributional shifts within a specified uncertainty set, leading to enhanced generalization on unseen adversarial examples, compared to standard adversarial training which focuses on pointwise adversarial perturbations. However, WDRO still suffers fundamentally from the robust overfitting problem, as it does not consider statistical error. We address this gap by proposing a novel robust optimization framework under a new uncertainty set for adversarial noise via Wasserstein distance and statistical error via Kullback-Leibler divergence, called the Statistically Robust WDRO. We establish a robust generalization bound for the new optimization framework, implying that out-of-distribution adversarial performance is at least as good as the statistically robust training loss with high probability. Furthermore, we derive conditions under which Stackelberg and Nash equilibria exist between the learner and the adversary, giving an optimal robust model in certain sense.Finally, through extensive experiments, we demonstrate that our method significantly mitigates robust overfitting and enhances robustness within the framework of WDRO.

Social Aspects · Privacy-preserving Statistics and Machine Learning

Shurong Wang, Zhuoyang Shen, Xinbao Qiao, Tongning Zhang, Meng Zhang

Random Forests are widely recognized for establishing efficacy in classification and regression tasks, standing out in various domains such as medical diagnosis, finance, and personalized recommendations. These domains, however, are inherently sensitive to privacy concerns, as personal and confidential data are involved. With increasing demand for the right to be forgotten, particularly under regulations such as GDPR and CCPA, the ability to perform machine unlearning has become crucial for Random Forests. However, insufficient attention was paid to this topic, and existing approaches face difficulties in being applied to real-world scenarios. Addressing this gap, we propose the DynFrs framework designed to enable efficient machine unlearning in Random Forests while preserving predictive accuracy. Dynfrs leverages subsampling method Occ(q) and a lazy tag strategy Lzy, and is still adaptable to any Random Forest variant. In essence, Occ(q) ensures that each sample in the training set occurs only in a proportion of trees so that the impact of deleting samples is limited, and Lzy delays the reconstruction of a tree node until necessary, thereby avoiding unnecessary modifications on tree structures. In experiments, applying Dynfrs on Extremely Randomized Trees yields substantial improvements, achieving orders of magnitude faster unlearning performance and better predictive accuracy than existing machine unlearning methods for Random Forests.

Social Aspects · Privacy-preserving Statistics and Machine Learning

Tianqu Zhuang, Hongyao Yu, Yixiang Qiu, Hao Fang, Bin Chen, Shu-Tao Xia

Model inversion attacks (MIAs) aim to reconstruct the private training data by accessing a public model, raising concerns about privacy leakage. Black-box MIAs, where attackers can only query the model and obtain outputs, are closer to real-world scenarios. The latest black-box attacks have outperformed the state-of-the-art white-box attacks, and existing defenses cannot resist them effectively. To fill this gap, we propose Stealthy Shield Defense (SSD), a post-processing algorithm against black-box MIAs. Our idea is to modify the model's outputs to minimize the conditional mutual information (CMI). We mathematically prove that CMI is a special case of information bottlenecks (IB), and thus inherits the advantages of IB---making predictions less dependent on inputs and more dependent on ground truths. This theoretically guarantees our effectiveness, both in resisting MIAs and preserving utility. For minimizing CMI, we formulate a convex optimization problem and solve it via the water-filling method. Adaptive rate-distortion is introduced to constrain the modification to the outputs, and the water-filling is implemented on GPUs to address computation cost. Without the need to retrain the model, our algorithm is plug-and-play and easy to deploy. Experimental results indicate that SSD outperforms existing defenses, in terms of MIA resistance and model's utility, across various attack algorithms, training datasets, and model architectures. Our code is available at https://github.com/ZhuangQu/Stealthy-Shield-Defense.

Deep Learning · Generative Models and Autoencoders

Yichong Xia, Yimin Zhou, Jinpeng Wang, Baoyi An, Haoqian Wang, Yaowei Wang, Bin Chen

Reconstructing high-quality images under low bitrates conditions presents a challenge, and previous methods have made this task feasible by leveraging the priors of diffusion models. However, the effective exploration of pre-trained latent diffusion models and semantic information integration in image compression tasks still needs further study. To address this issue, we introduce Diffusion-based High Perceptual Fidelity Image Compression with Semantic Refinement (DiffPC), a two-stage image compression framework based on stable diffusion. DiffPC efficiently encodes low-level image information, enabling the highly realistic reconstruction of the original image by leveraging high-level semantic features and the prior knowledge inherent in diffusion models. Specifically, DiffPC utilizes a multi-feature compressor to represent crucial low-level information with minimal bitrates and employs pre-embedding to acquire more robust hybrid semantics, thereby providing additional context for the decoding end. Furthermore, we have devised a control module tailored for image compression tasks, ensuring structural and textural consistency in reconstruction even at low bitrates and preventing decoding collapses induced by condition leakage. Extensive experiments demonstrate that our method achieves state-of-the-art perceptual fidelity and surpasses previous perceptual image compression methods by a significant margin in statistical fidelity.

Social Aspects · Fairness, Equity, Justice and Safety

Jesse Cresswell, Bhargava Kumar, Yi Sui, Mouloud Belbahri

Conformal prediction is a statistically rigorous method for quantifying uncertainty in models by having them output sets of predictions, with larger sets indicating more uncertainty. However, prediction sets are not inherently actionable; many applications require a single output to act on, not several. To overcome this limitation, prediction sets can be provided to a human who then makes an informed decision. In any such system it is crucial to ensure the fairness of outcomes across protected groups, and researchers have proposed that Equalized Coverage be used as the standard for fairness. By conducting experiments with human participants, we demonstrate that providing prediction sets can lead to disparate impact in decisions. Disquietingly, we find that providing sets that satisfy Equalized Coverage actually increases disparate impact compared to marginal coverage. Instead of equalizing coverage, we propose to equalize set sizes across groups which empirically leads to lower disparate impact.

Deep Learning · Large Language Models

Qingni Wang, Tiantian Geng, Zhiyuan Wang, Teng Wang, Bo Fu, Feng Zheng

Multimodal Large Language Models (MLLMs) exhibit promising advancements across various tasks, yet they still encounter significant trustworthiness issues. Prior studies apply Split Conformal Prediction (SCP) in language modeling to construct prediction sets with statistical guarantees. However, these methods typically rely on internal model logits or are restricted to multiple-choice settings, which hampers their generalizability and adaptability in dynamic, open-ended environments. In this paper, we introduce *TRON*, a **t**wo-step framework for **r**isk c**o**ntrol and assessme**n**t, applicable to any MLLM that supports sampling in both open-ended and closed-ended scenarios. *TRON* comprises two main components: (1) a novel conformal score to **sample** response sets of minimum size, and (2) a nonconformity score to **identify** high-quality responses based on self-consistency theory, controlling the error rates by two specific risk levels. Furthermore, we investigate semantic redundancy in prediction sets within open-ended contexts for the first time, leading to a promising evaluation metric for MLLMs based on average set size. Our comprehensive experiments across four Video Question-Answering (VideoQA) datasets utilizing eight MLLMs show that *TRON* achieves desired error rates bounded by two user-specified risk levels. Additionally, deduplicated prediction sets maintain adaptiveness while being more efficient and stable for risk assessment under different risk levels.

Social Aspects · Trustworthy Machine Learning

Santiago Cortes-Gomez, Carlos Patiño, Yewon Byun, Steven Wu, Eric Horvitz, Bryan Wilder

There is increasing interest in ``decision-focused" machine learning methods which train models to account for how their predictions are used in downstream optimization problems. Doing so can often improve performance on subsequent decision problems. However, current methods for uncertainty quantification do not incorporate any information at all about downstream decisions. We develop a framework based on conformal prediction to produce prediction sets that account for a downstream decision loss function, making them more appropriate to inform high-stakes decision-making. Our approach harnesses the strengths of conformal methods—modularity, model-agnosticism, and statistical coverage guarantees—while incorporating downstream decisions and user-specified utility functions. We prove that our methods retain standard coverage guarantees. Empirical evaluation across a range of datasets and utility metrics demonstrates that our methods achieve significantly lower decision loss compared to standard conformal methods. Additionally, we present a real-world use case in healthcare diagnosis, where our method effectively incorporates the hierarchical structure of dermatological diseases. It successfully generates sets with coherent diagnostic meaning, aiding the triage process during dermatology diagnosis and illustrating how our method can ground high-stakes decision-making on external domain knowledge.

Deep Learning · Robustness

Zhichao Hou, MohamadAli Torkamani, Hamid Krim, Xiaorui Liu

This work tackles an intriguing and fundamental open challenge in representation learning: Given a well-trained deep learning model, can it be reprogrammed to enhance its robustness against adversarial or noisy input perturbations without altering its parameters?To explore this, we revisit the core feature transformation mechanism in representation learning and propose a novel non-linear robust pattern matching technique as a robust alternative. Furthermore, we introduce three model reprogramming paradigms to offer flexible control of robustness under different efficiency requirements. Comprehensive experiments and ablation studies across diverse learning models ranging from basic linear model and MLPs to shallow and modern deep ConvNets demonstrate the effectiveness of our approaches.This work not only opens a promising and orthogonal direction for improving adversarial defenses in deep learning beyond existing methods but also provides new insights into designing more resilient AI systems with robust statistics. Our implementation is available at https://github.com/chris-hzc/Robustness-Reprogramming.

Deep Learning · Large Language Models

Jiachen Jiang, Jinxin Zhou, Zhihui Zhu

Analyzing the similarity of internal representations within and across different models has been an important technique for understanding the behavior of deep neural networks. Most existing methods for analyzing the similarity between representations of high dimensions, such as those based on Centered Kernel Alignment (CKA), rely on statistical properties of the representations for a set of data points. In this paper, we focus on transformer models and study the similarity of representations between the hidden layers of individual transformers. In this context, we show that a simple sample-wise cosine similarity metric is capable of capturing the similarity and aligns with the complicated CKA. Our experimental results on common transformers reveal that representations across layers are positively correlated, with similarity increasing when layers get closer. We provide a theoretical justification for this phenomenon under the geodesic curve assumption for the learned transformer, a property that may approximately hold for residual networks. We then show that an increase in representation similarity implies an increase in predicted probability when directly applying the last-layer classifier to any hidden layer representation. This offers a justification for {\it saturation events}, where the model's top prediction remains unchanged across subsequent layers, indicating that the shallow layer has already learned the necessary knowledge. We then propose an aligned training method to improve the effectiveness of shallow layer by enhancing the similarity between internal representations, with trained models that enjoy the following properties: (1) more early saturation events, (2) layer-wise accuracies monotonically increase and reveal the minimal depth needed for the given task, (3) when served as multi-exit models, they achieve on-par performance with standard multi-exit architectures which consist of additional classifiers designed for early exiting in shallow layers. To our knowledge, our work is the first to show that one common classifier is sufficient for multi-exit models. We conduct experiments on both vision and NLP tasks to demonstrate the performance of the proposed aligned training.

Deep Learning · Generative Models and Autoencoders

Hongkun Dou, Zeyu Li, Jinyang Du, Lijun Yang, Wen Yao, Yue Deng

Diffusion models, recognized for their effectiveness as generative priors, have become essential tools for addressing a wide range of visual challenges. Recently, there has been a surge of interest in leveraging Denoising processes for Regularization (DR) to solve inverse problems. However, existing methods often face issues such as mode collapse, which results in excessive smoothing and diminished diversity. In this study, we perform a comprehensive analysis to pinpoint the root causes of gradient inaccuracies inherent in DR. Drawing on insights from diffusion model distillation, we propose a novel approach called Consistency Regularization (CR), which provides stabilized gradients without the need for ODE simulations. Building on this, we introduce Hybrid Regularization (HR), a unified framework that combines the strengths of both DR and CR, harnessing their synergistic potential. Our approach proves to be effective across a broad spectrum of inverse problems, encompassing both linear and nonlinear scenarios, as well as various measurement noise statistics. Experimental evaluations on benchmark datasets, including FFHQ and ImageNet, demonstrate that our proposed framework not only achieves highly competitive results compared to state-of-the-art methods but also offers significant reductions in wall-clock time and memory consumption.

Miscellaneous Aspects of Machine Learning · Supervised Learning

Yuan Bian, Grace Yi, Wenqing He

Boosting has garnered significant interest across both machine learning and statistical communities. Traditional boosting algorithms, designed for fully observed random samples, often struggle with real-world problems, particularly with interval-censored data. This type of data is common in survival analysis and time-to-event studies where exact event times are unobserved but fall within known intervals. Effective handling of such data is crucial in fields like medical research, reliability engineering, and social sciences. In this work, we introduce novel nonparametric boosting methods for regression and classification tasks with interval-censored data. Our approaches leverage censoring unbiased transformations to adjust loss functions and impute transformed responses while maintaining model accuracy. Implemented via functional gradient descent, these methods ensure scalability and adaptability. We rigorously establish their theoretical properties, including optimality and mean squared error trade-offs. Our proposed methods not only offer a robust framework for enhancing predictive accuracy in domains where interval-censored data are common but also complement existing work, expanding the applicability of existing boosting techniques. Empirical studies demonstrate robust performance across various finite-sample scenarios, highlighting the practical utility of our approaches.

Social Aspects · Trustworthy Machine Learning

Jun-Yu Ma, Hong Wang, Hao-Xiang Xu, Zhen-Hua Ling, Jia-Chen Gu

Model editing is an emerging field that focuses on updating the knowledge embedded within large language models (LLMs) without extensive retraining. However, current model editing methods significantly compromise the general abilities of LLMs as the number of edits increases, and this trade-off poses a substantial challenge to the continual learning of LLMs. In this paper, we first theoretically analyze that the factor affecting the general abilities in sequential model editing lies in the condition number of the edited matrix. The condition number of a matrix represents its numerical sensitivity, and therefore can be used to indicate the extent to which the original knowledge associations stored in LLMs are perturbed after editing. Subsequently, statistical findings demonstrate that the value of this factor becomes larger as the number of edits increases, thereby exacerbating the deterioration of general abilities. To this end, a framework termed Perturbation Restraint on Upper bouNd for Editing (PRUNE) is proposed, which applies the condition number restraints in sequential editing. These restraints can lower the upper bound on perturbation to edited models, thus preserving the general abilities.Systematically, we conduct experiments employing three editing methods on three LLMs across four downstream tasks.The results show that PRUNE can preserve general abilities while maintaining the editing performance effectively in sequential model editing. The code are available at https://github.com/mjy1111/PRUNE.