DeepNLP/ICML-2024-Accepted-Papers huggingface dataset:
On the Asymptotic Distribution of the Minimum Empirical Risk
Authors: Jacob Westerhout, Trungtin Nguyen, Xin Guo, Hien Duy Nguyen

Empirical risk minimization (ERM) is a foundational framework for the estimation of solutions to statistical and machine learning problems. Characterizing the distributional properties of the minimum empirical risk (MER) provides valuable tools for conducting inference and assessing the goodness of model fit. We provide a comprehensive account of the asymptotic distribution for the order-$\sqrt{n}$ blowup of the MER under generic and abstract assumptions, and present practical conditions under which our theorems hold. Our results improve upon and relax the assumptions made in previous works. Specifically, we provide asymptotic distributions for MERs for non-independent and identically distributed data, and when the loss functions may be discontinuous or indexed by non-Euclidean spaces. We further present results that enable the application of these asymptotics for statistical inference. Specifically, the construction of consistent confidence sets using the bootstrap and consistent hypothesis tests using penalized model selection. We illustrate the utility of our approach by applying our results to neural network problems.
Stability-Informed Initialization of Neural Ordinary Differential Equations
Authors: Theodor Westny, Arman Mohammadi, Daniel Jung, Erik Frisk

This paper addresses the training of Neural Ordinary Differential Equations (neural ODEs), and in particular explores the interplay between numerical integration techniques, stability regions, step size, and initialization techniques. It is shown how the choice of integration technique implicitly regularizes the learned model, and how the solver’s corresponding stability region affects training and prediction performance. From this analysis, a stability-informed parameter initialization technique is introduced. The effectiveness of the initialization method is displayed across several learning benchmarks and industrial applications.
QuRating: Selecting High-Quality Data for Training Language Models
Authors: Alexander Wettig, Aatmik Gupta, Saumya Malik, Danqi Chen

Selecting high-quality pre-training data is important for creating capable language models, but existing methods rely on simple heuristics. We introduce QuRating, a method for selecting pre-training data that can capture human intuitions about data quality. In this paper, we investigate four qualities - writing style, required expertise, facts & trivia, and educational value - and find that LLMs are able to discern these qualities, especially when making pairwise judgments of texts. We train a QuRater model to learn scalar ratings from pairwise judgments, and use it to annotate a 260B training corpus with quality ratings for each of the four criteria. In our experiments, we select 30B tokens according to the different quality ratings and train 1.3B-parameter language models on the selected data. We find that it is important to balance quality and diversity. When we sample using quality ratings as logits over documents, our models obtain lower perplexity and stronger in-context learning performance than baselines. Our best model is based on educational value and performs similarly to a model trained with uniform sampling for 50% more steps. Beyond data selection, we use the quality ratings to construct a training curriculum which improves performance without changing the training dataset. We extensively analyze the quality ratings and discuss their characteristics, biases, and wider implications.
Multiply Robust Estimation for Local Distribution Shifts with Multiple Domains
Authors: Steven Wilkins-Reeves, Xu Chen, Qi Ma, Christine Agarwal, Aude Hofleitner

Distribution shifts are ubiquitous in real-world machine learning applications, posing a challenge to the generalization of models trained on one data distribution to another. We focus on scenarios where data distributions vary across multiple segments of the entire population and only make local assumptions about the differences between training and test (deployment) distributions within each segment. We propose a two-stage multiply robust estimation method to improve model performance on each individual segment for tabular data analysis. The method involves fitting a linear combination of the based models, learned using clusters of training data from multiple segments, followed by a refinement step for each segment. Our method is designed to be implemented with commonly used off-the-shelf machine learning models. We establish theoretical guarantees on the generalization bound of the method on the test risk. With extensive experiments on synthetic and real datasets, we demonstrate that the proposed method substantially improves over existing alternatives in prediction accuracy and robustness on both regression and classification tasks. We also assess its effectiveness on a user city prediction dataset from Meta.
A Distributional Analogue to the Successor Representation
Authors: Harley Wiltzer, Jesse Farebrother, Arthur Gretton, Yunhao Tang, Andre Barreto, Will Dabney, Marc G Bellemare, Mark Rowland

This paper contributes a new approach for distributional reinforcement learning which elucidates a clean separation of transition structure and reward in the learning process. Analogous to how the successor representation (SR) describes the expected consequences of behaving according to a given policy, our distributional successor measure (SM) describes the distributional consequences of this behaviour. We formulate the distributional SM as a distribution over distributions and provide theory connecting it with distributional and model-based reinforcement learning. Moreover, we propose an algorithm that learns the distributional SM from data by minimizing a two-level maximum mean discrepancy. Key to our method are a number of algorithmic techniques that are independently valuable for learning generative models of state. As an illustration of the usefulness of the distributional SM, we show that it enables zero-shot risk-sensitive policy evaluation in a way that was not previously possible.
Bridging discrete and continuous state spaces: Exploring the Ehrenfest process in time-continuous diffusion models
Authors: Ludwig Winkler, Lorenz Richter, Manfred Opper

Generative modeling via stochastic processes has led to remarkable empirical results as well as to recent advances in their theoretical understanding. In principle, both space and time of the processes can be discrete or continuous. In this work, we study time-continuous Markov jump processes on discrete state spaces and investigate their correspondence to state-continuous diffusion processes given by SDEs. In particular, we revisit the $\textit{Ehrenfest process}$, which converges to an Ornstein-Uhlenbeck process in the infinite state space limit. Likewise, we can show that the time-reversal of the Ehrenfest process converges to the time-reversed Ornstein-Uhlenbeck process. This observation bridges discrete and continuous state spaces and allows to carry over methods from one to the respective other setting, such as for instance loss functions that lead to improved convergence. Additionally, we suggest an algorithm for training the time-reversal of Markov jump processes which relies on conditional expectations and can thus be directly related to denoising score matching. We demonstrate our methods in multiple convincing numerical experiments.
Fine-tuning Reinforcement Learning Models is Secretly a Forgetting Mitigation Problem
Authors: Maciej Wolczyk, Bartłomiej Cupiał, Mateusz Ostaszewski, Michał Bortkiewicz, Michał Zając, Razvan Pascanu, Łukasz Kuciński, Piotr Miłoś

Fine-tuning is a widespread technique that allows practitioners to transfer pre-trained capabilities, as recently showcased by the successful applications of foundation models. However, fine-tuning reinforcement learning (RL) models remains a challenge. This work conceptualizes one specific cause of poor transfer, accentuated in the RL setting by the interplay between actions and observations: forgetting of pre-trained capabilities. Namely, a model deteriorates on the state subspace of the downstream task not visited in the initial phase of fine-tuning, on which the model behaved well due to pre-training. This way, we lose the anticipated transfer benefits. We identify conditions when this problem occurs, showing that it is common and, in many cases, catastrophic. Through a detailed empirical analysis of the challenging NetHack and Montezuma’s Revenge environments, we show that standard knowledge retention techniques mitigate the problem and thus allow us to take full advantage of the pre-trained capabilities. In particular, in NetHack, we achieve a new state-of-the-art for neural models, improving the previous best score from $5$K to over $10$K points in the Human Monk scenario.
Fundamental Limitations of Alignment in Large Language Models
Authors: Yotam Wolf, Noam Wies, Oshri Avnery, Yoav Levine, Amnon Shashua

An important aspect in developing language models that interact with humans is aligning their behavior to be useful and unharmful for their human users. This is usually achieved by tuning the model in a way that enhances desired behaviors and inhibits undesired ones, a process referred to as alignment. In this paper, we propose a theoretical approach called Behavior Expectation Bounds (BEB) which allows us to formally investigate several inherent characteristics and limitations of alignment in large language models. Importantly, we prove that within the limits of this framework, for any behavior that has a finite probability of being exhibited by the model, there exist prompts that can trigger the model into outputting this behavior, with probability that increases with the length of the prompt. This implies that any alignment process that attenuates an undesired behavior but does not remove it altogether, is not safe against adversarial prompting attacks. Furthermore, our framework hints at the mechanism by which leading alignment approaches such as reinforcement learning from human feedback make the LLM prone to being prompted into the undesired behaviors. This theoretical result is being experimentally demonstrated in large scale by the so called contemporary "chatGPT jailbreaks", where adversarial users trick the LLM into breaking its alignment guardrails by triggering it into acting as a malicious persona. Our results expose fundamental limitations in alignment of LLMs and bring to the forefront the need to devise reliable mechanisms for ensuring AI safety.
Expressivity and Generalization: Fragment-Biases for Molecular GNNs
Authors: Tom Wollschläger, Niklas Kemper, Leon Hetzel, Johanna Sommer, Stephan Günnemann

Although recent advances in higher-order Graph Neural Networks (GNNs) improve the theoretical expressiveness and molecular property predictive performance, they often fall short of the empirical performance of models that explicitly use fragment information as inductive bias. However, for these approaches, there exists no theoretic expressivity study. In this work, we propose the Fragment-WL test, an extension to the well-known Weisfeiler & Leman (WL) test, which enables the theoretic analysis of these fragment-biased GNNs. Building on the insights gained from the Fragment-WL test, we develop a new GNN architecture and a fragmentation with infinite vocabulary that significantly boosts expressiveness. We show the effectiveness of our model on synthetic and real-world data where we outperform all GNNs on Peptides and have $12$% lower error than all GNNs on ZINC and $34$% lower error than other fragment-biased models. Furthermore, we show that our model exhibits superior generalization capabilities compared to the latest transformer-based architectures, positioning it as a robust solution for a range of molecular modeling tasks.
Unified Training of Universal Time Series Forecasting Transformers
Authors: Gerald Woo, Chenghao Liu, Akshat Kumar, Caiming Xiong, Silvio Savarese, Doyen Sahoo

Deep learning for time series forecasting has traditionally operated within a one-model-per-dataset framework, limiting its potential to leverage the game-changing impact of large pre-trained models. The concept of universal forecasting, emerging from pre-training on a vast collection of time series datasets, envisions a single Large Time Series Model capable of addressing diverse downstream forecasting tasks. However, constructing such a model poses unique challenges specific to time series data: (i) cross-frequency learning, (ii) accommodating an arbitrary number of variates for multivariate time series, and (iii) addressing the varying distributional properties inherent in large-scale data. To address these challenges, we present novel enhancements to the conventional time series Transformer architecture, resulting in our proposed Masked Encoder-based Universal Time Series Forecasting Transformer (Moirai). Trained on our newly introduced Large-scale Open Time Series Archive (LOTSA) featuring over 27B observations across nine domains, Moirai achieves competitive or superior performance as a zero-shot forecaster when compared to full-shot models. Code, data, and model weights can be found at https://github.com/SalesforceAIResearch/uni2ts.
Federated Offline Reinforcement Learning: Collaborative Single-Policy Coverage Suffices
Authors: Jiin Woo, Laixi Shi, Gauri Joshi, Yuejie Chi

Offline reinforcement learning (RL), which seeks to learn an optimal policy using offline data, has garnered significant interest due to its potential in critical applications where online data collection is infeasible or expensive. This work explores the benefit of federated learning for offline RL, aiming at collaboratively leveraging offline datasets at multiple agents. Focusing on finite-horizon episodic tabular Markov decision processes (MDPs), we design FedLCB-Q, a variant of the popular model-free Q-learning algorithm tailored for federated offline RL. FedLCB-Q updates local Q-functions at agents with novel learning rate schedules and aggregates them at a central server using importance averaging and a carefully designed pessimistic penalty term. Our sample complexity analysis reveals that, with appropriately chosen parameters and synchronization schedules, FedLCB-Q achieves linear speedup in terms of the number of agents without requiring high-quality datasets at individual agents, as long as the local datasets collectively cover the state-action space visited by the optimal policy, highlighting the power of collaboration in the federated setting. In fact, the sample complexity almost matches that of the single-agent counterpart, as if all the data are stored at a central location, up to polynomial factors of the horizon length. Furthermore, FedLCB-Q is communication-efficient, where the number of communication rounds is only linear with respect to the horizon length up to logarithmic factors.
Reweighted Solutions for Weighted Low Rank Approximation
Authors: David Woodruff, Taisuke Yasuda

Weighted low rank approximation (WLRA) is an important yet computationally challenging primitive with applications ranging from statistical analysis, model compression, and signal processing. To cope with the NP-hardness of this problem, prior work considers heuristics, bicriteria, or parameterized tractable algorithms to solve this problem. In this work, we introduce a new relaxed solution to WLRA which outputs a matrix that is not necessarily low rank, but can be stored using very few parameters and gives provable approximation guarantees when the weight matrix has low rank. Our central idea is to use the weight matrix itself to reweight a low rank solution, which gives an extremely simple algorithm with remarkable empirical performance in applications to model compression and on synthetic datasets. Our algorithm also gives nearly optimal communication complexity bounds for a natural distributed problem associated with this problem, for which we show matching communication lower bounds. Together, our communication complexity bounds show that the rank of the weight matrix provably parameterizes the communication complexity of WLRA. We also obtain the first relative error guarantees for feature selection with a weighted objective.
Optimizing Watermarks for Large Language Models
Authors: Bram Wouters

With the rise of large language models (LLMs) and concerns about potential misuse, watermarks for generative LLMs have recently attracted much attention. An important aspect of such watermarks is the trade-off between their identifiability and their impact on the quality of the generated text. This paper introduces a systematic approach to this trade-off in terms of a multi-objective optimization problem. For a large class of robust, efficient watermarks, the associated Pareto optimal solutions are identified and shown to outperform existing robust, efficient watermarks.
Repoformer: Selective Retrieval for Repository-Level Code Completion
Authors: Di Wu, Wasi Uddin Ahmad, Dejiao Zhang, Murali Krishna Ramanathan, Xiaofei Ma

Recent advances in retrieval-augmented generation (RAG) have initiated a new era in repository-level code completion. However, the invariable use of retrieval in existing methods exposes issues in both efficiency and robustness, with a large proportion of the retrieved contexts proving unhelpful or harmful to code language models (code LMs). In this paper, we propose a selective RAG framework to avoid retrieval when unnecessary. To power this framework, we design a self-supervised learning approach to enable a code LM to accurately self-evaluate whether retrieval can improve its output quality and robustly leverage the potentially noisy retrieved contexts. Using this LM as both the selective RAG policy and the generation model, our framework achieves state-of-the-art repository-level code completion performance on diverse benchmarks including RepoEval, CrossCodeEval, and CrossCodeLongEval, a new long-form code completion benchmark. Meanwhile, our analyses show that selectively retrieving brings as much as 70% inference speedup in the online serving setting without harming the performance. We further demonstrate that our framework is able to accommodate different generation models, retrievers, and programming languages. These advancements position our framework as an important step towards more accurate and efficient repository-level code completion.
Theoretical insights for diffusion guidance: A case study for Gaussian mixture models
Authors: Yuchen Wu, Minshuo Chen, Zihao Li, Mengdi Wang, Yuting Wei

Diffusion models benefit from instillation of task-specific information into the score function to steer the sample generation towards desired properties. Such information is coined as guidance. For example, in text-to-image synthesis, text input is encoded as guidance to generate semantically aligned images. Proper guidance inputs are closely tied with the performance of diffusion models. A common observation is that strong guidance promotes a tight alignment to the task-specific information, while reduces the diversity of the generated samples. In this paper, we provide the first theoretical study towards the influence of guidance on diffusion models in the context of Gaussian mixture models. Under mild conditions, we prove that incorporating diffusion guidance not only boosts prediction confidence but also diminishes distribution diversity, leading to a reduction in the differential entropy of the output distribution. Our analysis covers the widely used DDPM and DDIM sampling schemes, and leverages comparison inequalities in differential equations as well as the Fokker-Planck equation that characterizes the evolution of probability density function, which may be of independent theoretical interest.
Adaptive Accompaniment with ReaLchords
Authors: Yusong Wu, Tim Cooijmans, Kyle Kastner, Adam Roberts, Ian Simon, Alexander Scarlatos, Chris Donahue, Cassie Tarakajian, Shayegan Omidshafiei, Aaron Courville, Pablo Samuel Castro, Natasha Jaques, Cheng-Zhi Anna Huang

Jamming requires coordination, anticipation, and collaborative creativity between musicians. Current generative models of music produce expressive output but are not able to generate in an online manner, meaning simultaneously with other musicians (human or otherwise). We propose ReaLchords, an online generative model for improvising chord accompaniment to user melody. We start with an online model pretrained by maximum likelihood, and use reinforcement learning to finetune the model for online use. The finetuning objective leverages both a novel reward model that provides feedback on both harmonic and temporal coherency between melody and chord, and a divergence term that implements a novel type of distillation from a teacher model that can see the future melody. Through quantitative experiments and listening tests, we demonstrate that the resulting model adapts well to unfamiliar input and produce fitting accompaniment. ReaLchords opens the door to live jamming, as well as simultaneous co-creation in other modalities.
Ditto: Quantization-aware Secure Inference of Transformers upon MPC
Authors: Haoqi Wu, Wenjing Fang, Yancheng Zheng, Junming Ma, Jin Tan, Lei Wang

Due to the rising privacy concerns on sensitive client data and trained models like Transformers, secure multi-party computation (MPC) techniques are employed to enable secure inference despite attendant overhead. Existing works attempt to reduce the overhead using more MPC-friendly non-linear function approximations. However, the integration of quantization widely used in plaintext inference into the MPC domain remains unclear. To bridge this gap, we propose the framework named Ditto to enable more efficient quantization-aware secure Transformer inference. Concretely, we first incorporate an MPC-friendly quantization into Transformer inference and employ a quantization-aware distillation procedure to maintain the model utility. Then, we propose novel MPC primitives to support the type conversions that are essential in quantization and implement the quantization-aware MPC execution of secure quantized inference. This approach significantly decreases both computation and communication overhead, leading to improvements in overall efficiency. We conduct extensive experiments on Bert and GPT2 models to evaluate the performance of Ditto. The results demonstrate that Ditto is about $3.14\sim 4.40\times$ faster than MPCFormer (ICLR 2023) and $1.44\sim 2.35\times$ faster than the state-of-the-art work PUMA with negligible utility degradation.
NExT-GPT: Any-to-Any Multimodal LLM
Authors: Shengqiong Wu, Hao Fei, Leigang Qu, Wei Ji, Tat-Seng Chua

While recently Multimodal Large Language Models (MM-LLMs) have made exciting strides, they mostly fall prey to the limitation of only input-side multimodal understanding, without the ability to produce content in multiple modalities. As we humans always perceive the world and communicate with people through various modalities, developing any-to-any MM-LLMs capable of accepting and delivering content in any modality becomes essential to human-level AI. To fill the gap, we present an end-to-end general-purpose any-to-any MM-LLM system, NExT-GPT. We connect an LLM with multimodal adaptors and different diffusion decoders, enabling NExT-GPT to perceive inputs and generate outputs in arbitrary combinations of text, image, video, and audio. By leveraging the existing well-trained high-performing encoders and decoders, NExT-GPT is tuned with only a small amount of parameter (1%) of certain projection layers, which not only benefits low-cost training but also facilitates convenient expansion to more potential modalities. Moreover, we introduce a modality-switching instruction tuning (MosIT) and manually curate a high-quality dataset for MosIT, based on which NExT-GPT is empowered with complex cross-modal semantic understanding and content generation. Overall, our research showcases the promising possibility of building a unified AI agent capable of modeling universal modalities, paving the way for more human-like AI research in the community.