GenAI4ELab/papercli-papers huggingface dataset:
Maximize to Explore: One Objective Function Fusing Estimation, Planning, and Exploration
Authors: Zhihan Liu; Miao Lu; Wei Xiong; Han Zhong; Hao Hu; Shenao Zhang; Sirui Zheng; Zhuoran Yang; Zhaoran Wang
Venue: NeurIPS 2023 (NeurIPS 2023 spotlight)

Abstract: In reinforcement learning (RL), balancing exploration and exploitation is crucial for achieving an optimal policy in a sample-efficient way. To this end, existing sample- efficient algorithms typically consist of three components: estimation, planning, and exploration. However, to cope with general function approximators, most of them involve impractical algorithmic components to incentivize exploration, such as data-dependent level-set constraints or complicated sampling procedures. To address this challenge, we propose an easy-to-implement RL framework called Maximize to Explore (MEX), which only needs to optimize unconstrainedly a single objective that integrates the estimation and planning components while balancing exploration and exploitation automatically. Theoretically, we prove that the MEX achieves a sublinear regret with general function approximators and is extendable to the zero-sum Markov game setting. Meanwhile, we adapt deep RL baselines to design practical versions of MEX in both the model-based and model-free settings, which outperform baselines in various MuJoCo environments with sparse reward by a stable margin. Compared with existing sample-efficient algorithms with general function approximators, MEX achieves similar sample efficiency while also enjoying a lower computational cost and is more compatible with modern deep RL methods.
One Less Reason for Filter Pruning: Gaining Free Adversarial Robustness with Structured Grouped Kernel Pruning
Authors: Shaochen Zhong; Zaichuan You; Jiamu Zhang; Sebastian Zhao; Zachary LeClaire; Zirui Liu; Daochen Zha; Vipin Chaudhary; Shuai Xu; Xia Hu
Venue: NeurIPS 2023 (NeurIPS 2023 poster)

Abstract: Densely structured pruning methods utilizing simple pruning heuristics can deliver immediate compression and acceleration benefits with acceptable benign performances. However, empirical findings indicate such naively pruned networks are extremely fragile under simple adversarial attacks. Naturally, we would be interested in knowing if such a phenomenon also holds for carefully designed modern structured pruning methods. If so, then to what extent is the severity? And what kind of remedies are available? Unfortunately, both the questions and the solution remain largely unaddressed: no prior art is able to provide a thorough investigation on the adversarial performance of modern structured pruning methods (spoiler: it is not good), yet the few works that attempt to provide mitigation often do so at various extra costs with only to-be-desired performance.

In this work, we answer both questions by fairly and comprehensively investigating the adversarial performance of 10+ popular structured pruning methods. Solution-wise, we take advantage of *Grouped Kernel Pruning (GKP)*'s recent success in pushing densely structured pruning freedom to a more fine-grained level. By mixing up kernel smoothness — a classic robustness-related kernel-level metric — into a modified GKP procedure, we present a one-shot-post-train-weight-dependent GKP method capable of advancing SOTA performance on both the benign and adversarial scale, while requiring no extra (in fact, often less) cost than a standard pruning procedure. Please refer to our [GitHub repository](https://github.com/henryzhongsc/adv_robust_gkp) for code implementation, tool sharing, and model checkpoints.
Diffusion Probabilistic Models for Structured Node Classification
Authors: Hyosoon Jang; Seonghyun Park; Sangwoo Mo; Sungsoo Ahn
Venue: NeurIPS 2023 (NeurIPS 2023 poster)

Abstract: This paper studies structured node classification on graphs, where the predictions should consider dependencies between the node labels. In particular, we focus on solving the problem for partially labeled graphs where it is essential to incorporate the information in the known label for predicting the unknown labels. To address this issue, we propose a novel framework leveraging the diffusion probabilistic model for structured node classification (DPM-SNC). At the heart of our framework is the extraordinary capability of DPM-SNC to (a) learn a joint distribution over the labels with an expressive reverse diffusion process and (b) make predictions conditioned on the known labels utilizing manifold-constrained sampling. Since the DPMs lack training algorithms for partially labeled data, we design a novel training algorithm to apply DPMs, maximizing a new variational lower bound. We also theoretically analyze how DPMs benefit node classification by enhancing the expressive power of GNNs based on proposing AGG-WL, which is strictly more powerful than the classic 1-WL test. We extensively verify the superiority of our DPM-SNC in diverse scenarios, which include not only the transductive setting on partially labeled graphs but also the inductive setting and unlabeled graphs.
Overcoming Recency Bias of Normalization Statistics in Continual Learning: Balance and Adaptation
Authors: Yilin Lyu; Liyuan Wang; Xingxing Zhang; Zicheng Sun; Hang Su; Jun Zhu; Liping Jing
Venue: NeurIPS 2023 (NeurIPS 2023 poster)

Abstract: Continual learning entails learning a sequence of tasks and balancing their knowledge appropriately. With limited access to old training samples, much of the current work in deep neural networks has focused on overcoming catastrophic forgetting of old tasks in gradient-based optimization. However, the normalization layers provide an exception, as they are updated interdependently by the gradient and statistics of currently observed training samples, which require specialized strategies to mitigate recency bias. In this work, we focus on the most popular Batch Normalization (BN) and provide an in-depth theoretical analysis of its sub-optimality in continual learning. Our analysis demonstrates the dilemma between balance and adaptation of BN statistics for incremental tasks, which potentially affects training stability and generalization. Targeting on these particular challenges, we propose Adaptive Balance of BN (AdaB$^2$N), which incorporates appropriately a Bayesian-based strategy to adapt task-wise contributions and a modified momentum to balance BN statistics, corresponding to the training and testing stages. By implementing BN in a continual learning fashion, our approach achieves significant performance gains across a wide range of benchmarks, particularly for the challenging yet realistic online scenarios (e.g., up to 7.68\%, 6.86\% and 4.26\% on Split CIFAR-10, Split CIFAR-100 and Split Mini-ImageNet, respectively). Our code is available at https://github.com/lvyilin/AdaB2N.
Decompose Novel into Known: Part Concept Learning For 3D Novel Class Discovery
Authors: Tingyu Weng; Jun Xiao; Haiyong Jiang
Venue: NeurIPS 2023 (NeurIPS 2023 poster)

Abstract: In this work, we address 3D novel class discovery (NCD) that discovers novel classes from an unlabeled dataset by leveraging the knowledge of disjoint known classes. The key challenge of 3D NCD is that learned features by known class recognition are heavily biased and hinder generalization to novel classes. Since geometric parts are more generalizable across different classes, we propose to decompose novel into known parts, coined DNIK, to mitigate the above problems. DNIK learns a part concept bank encoding rich part geometric patterns from known classes so that novel 3D shapes can be represented as part concept compositions to facilitate cross-category generalization. Moreover, we formulate three constraints on part concepts to ensure diverse part concepts without collapsing. A part relation encoding module (PRE) is also developed to leverage part-wise spatial relations for better recognition. We construct three 3D NCD tasks for evaluation and extensive experiments show that our method achieves significantly superior results than SOTA baselines (+11.7%, +14.1%, and +16.3% improvements on average for three tasks, respectively). Code and data will be released.
A Single 2D Pose with Context is Worth Hundreds for 3D Human Pose Estimation
Authors: Qitao Zhao; Ce Zheng; Mengyuan Liu; Chen Chen
Venue: NeurIPS 2023 (NeurIPS 2023 poster)

Abstract: The dominant paradigm in 3D human pose estimation that lifts a 2D pose sequence to 3D heavily relies on long-term temporal clues (i.e., using a daunting number of video frames) for improved accuracy, which incurs performance saturation, intractable computation and the non-causal problem. This can be attributed to their inherent inability to perceive spatial context as plain 2D joint coordinates carry no visual cues. To address this issue, we propose a straightforward yet powerful solution: leveraging the $\textit{readily available}$ intermediate visual representations produced by off-the-shelf (pre-trained) 2D pose detectors -- no finetuning on the 3D task is even needed. The key observation is that, while the pose detector learns to localize 2D joints, such representations (e.g., feature maps) implicitly encode the joint-centric spatial context thanks to the regional operations in backbone networks. We design a simple baseline named $\textbf{Context-Aware PoseFormer}$ to showcase its effectiveness. $\textit{Without access to any temporal information}$, the proposed method significantly outperforms its context-agnostic counterpart, PoseFormer, and other state-of-the-art methods using up to $\textit{hundreds of}$ video frames regarding both speed and precision. $\textit{Project page:}$ https://qitaozhao.github.io/ContextAware-PoseFormer
Efficient Robust Bayesian Optimization for Arbitrary Uncertain inputs
Authors: Lin Yang; Junlong Lyu; Wenlong Lyu; Zhitang Chen
Venue: NeurIPS 2023 (NeurIPS 2023 poster)

Abstract: Bayesian Optimization (BO) is a sample-efficient optimization algorithm widely employed across various applications. In some challenging BO tasks, input uncertainty arises due to the inevitable randomness in the optimization process, such as machining errors, execution noise, or contextual variability. This uncertainty deviates the input from the intended value before evaluation, resulting in significant performance fluctuations in the final result. In this paper, we introduce a novel robust Bayesian Optimization algorithm, AIRBO, which can effectively identify a robust optimum that performs consistently well under arbitrary input uncertainty. Our method directly models the uncertain inputs of arbitrary distributions by empowering the Gaussian Process with the Maximum Mean Discrepancy (MMD) and further accelerates the posterior inference via Nystrom approximation. Rigorous theoretical regret bound is established under MMD estimation error and extensive experiments on synthetic functions and real problems demonstrate that our approach can handle various input uncertainties and achieve a state-of-the-art performance.
Markovian Sliced Wasserstein Distances: Beyond Independent Projections
Authors: Khai Nguyen; Tongzheng Ren; Nhat Ho
Venue: NeurIPS 2023 (NeurIPS 2023 poster)

Abstract: Sliced Wasserstein (SW) distance suffers from redundant projections due to independent uniform random projecting directions. To partially overcome the issue, max K sliced Wasserstein  (Max-K-SW) distance ($K\geq 1$), seeks the best discriminative orthogonal projecting directions. Despite being able to reduce the number of projections, the metricity of the Max-K-SW cannot be guaranteed in practice due to the non-optimality of the optimization. Moreover,  the orthogonality constraint is also computationally expensive and might not be effective. To address the problem, we introduce a new family of SW distances, named Markovian sliced Wasserstein (MSW) distance, which imposes a first-order Markov structure on projecting directions. We discuss various members of the MSW by specifying the Markov structure including the prior distribution, the transition distribution, and the burning and thinning technique. Moreover, we investigate the theoretical properties of  MSW including topological properties (metricity, weak convergence, and connection to other distances), statistical properties (sample complexity, and Monte Carlo estimation error), and computational properties (computational complexity and memory complexity). Finally, we compare MSW distances with previous SW variants in various applications such as gradient flows, color transfer, and deep generative modeling to demonstrate the favorable performance of the MSW.
White-Box Transformers via Sparse Rate Reduction
Authors: Yaodong Yu; Sam Buchanan; Druv Pai; Tianzhe Chu; Ziyang Wu; Shengbang Tong; Benjamin David Haeffele; Yi Ma
Venue: NeurIPS 2023 (NeurIPS 2023 poster)

Abstract: In this paper, we contend that the objective of representation learning is  to compress and transform the distribution of the data, say sets of tokens, towards a mixture of low-dimensional Gaussian distributions supported on incoherent subspaces. The quality of the final representation can be measured by a unified objective function called sparse rate reduction. From this perspective, popular deep networks such as transformers can be naturally viewed as realizing iterative schemes to optimize this objective incrementally. Particularly, we show that the standard transformer block can be derived from alternating optimization on complementary parts of this objective: the multi-head self-attention operator can be viewed as a gradient descent step to compress the token sets by minimizing their lossy coding rate, and the subsequent multi-layer perceptron can be viewed as attempting to sparsify the representation of the tokens. This leads to a family of white-box transformer-like deep network architectures which are mathematically fully interpretable. Despite their simplicity, experiments show that these networks indeed learn to optimize the designed objective: they compress and sparsify representations of large-scale real-world vision datasets such as ImageNet, and achieve performance very close to thoroughly engineered transformers such as ViT. 
Code is at https://github.com/Ma-Lab-Berkeley/CRATE.
Controlling Text-to-Image Diffusion by Orthogonal Finetuning
Authors: Zeju Qiu; Weiyang Liu; Haiwen Feng; Yuxuan Xue; Yao Feng; Zhen Liu; Dan Zhang; Adrian Weller; Bernhard Schölkopf
Venue: NeurIPS 2023 (NeurIPS 2023 poster)

Abstract: Large text-to-image diffusion models have impressive capabilities in generating photorealistic images from text prompts. How to effectively guide or control these powerful models to perform different downstream tasks becomes an important open problem. To tackle this challenge, we introduce a principled finetuning method -- Orthogonal Finetuning (OFT), for adapting text-to-image diffusion models to downstream tasks. Unlike existing methods, OFT can provably preserve hyperspherical energy which characterizes the pairwise neuron relationship on the unit hypersphere. We find that this property is crucial for preserving the semantic generation ability of text-to-image diffusion models. To improve finetuning stability, we further propose Constrained Orthogonal Finetuning (COFT) which imposes an additional radius constraint to the hypersphere. Specifically, we consider two important finetuning text-to-image tasks: subject-driven generation where the goal is to generate subject-specific images given a few images of a subject and a text prompt, and controllable generation where the goal is to enable the model to take in additional control signals. We empirically show that our OFT framework outperforms existing methods in generation quality and convergence speed.
Hierarchical Decomposition of Prompt-Based Continual Learning: Rethinking Obscured Sub-optimality
Authors: Liyuan Wang; Jingyi Xie; Xingxing Zhang; Mingyi Huang; Hang Su; Jun Zhu
Venue: NeurIPS 2023 (NeurIPS 2023 spotlight)

Abstract: Prompt-based continual learning is an emerging direction in leveraging pre-trained knowledge for downstream continual learning, and has almost reached the performance pinnacle under supervised pre-training. However, our empirical research reveals that the current strategies fall short of their full potential under the more realistic self-supervised pre-training, which is essential for handling vast quantities of unlabeled data in practice. This is largely due to the difficulty of task-specific knowledge being incorporated into instructed representations via prompt parameters and predicted by uninstructed representations at test time. To overcome the exposed sub-optimality, we conduct a theoretical analysis of the continual learning objective in the context of pre-training, and decompose it into hierarchical components: within-task prediction, task-identity inference, and task-adaptive prediction. Following these empirical and theoretical insights, we propose Hierarchical Decomposition (HiDe-)Prompt, an innovative approach that explicitly optimizes the hierarchical components with an ensemble of task-specific prompts and statistics of both uninstructed and instructed representations, further with the coordination of a contrastive regularization strategy. Our extensive experiments demonstrate the superior performance of HiDe-Prompt and its robustness to pre-training paradigms in continual learning (e.g., up to 15.01% and 9.61% lead on Split CIFAR-100 and Split ImageNet-R, respectively).
Interpretability at Scale: Identifying Causal Mechanisms in Alpaca
Authors: Zhengxuan Wu; Atticus Geiger; Thomas Icard; Christopher Potts; Noah Goodman
Venue: NeurIPS 2023 (NeurIPS 2023 poster)

Abstract: Obtaining human-interpretable explanations of large, general-purpose language models is an urgent goal for AI safety. However, it is just as important that our interpretability methods are faithful to the causal dynamics underlying model behavior and able to robustly generalize to unseen inputs. Distributed Alignment Search (DAS) is a powerful gradient descent method grounded in a theory of causal abstraction that uncovered perfect alignments between interpretable symbolic algorithms and small deep learning models fine-tuned for specific tasks. In the present paper, we scale DAS significantly by replacing the remaining brute-force search steps with learned parameters -- an approach we call Boundless DAS. This enables us to efficiently search for interpretable causal structure in large language models while they follow instructions. We apply Boundless DAS to the Alpaca model (7B parameters), which, off the shelf, solves a simple numerical reasoning problem. With Boundless DAS, we discover that Alpaca does this by implementing a causal model with two interpretable boolean variables. Furthermore, we find that the alignment of neural representations with these variables is robust to changes in inputs and instructions. These findings mark a first step toward deeply understanding the inner-workings of our largest and most widely deployed language models.
Robust Lipschitz Bandits to Adversarial Corruptions
Authors: Yue Kang; Cho-Jui Hsieh; Thomas Chun Man Lee
Venue: NeurIPS 2023 (NeurIPS 2023 poster)

Abstract: Lipschitz bandit is a variant of stochastic bandits that deals with a continuous arm set defined on a metric space, where the reward function is subject to a Lipschitz constraint. In this paper, we introduce a new problem of Lipschitz bandits in the presence of adversarial corruptions where an adaptive adversary corrupts the stochastic rewards up to a total budget $C$. The budget is measured by the sum of corruption levels across the time horizon $T$. We consider both weak and strong adversaries, where the weak adversary is unaware of the current action before the attack, while the strong one can observe it. Our work presents the first line of robust Lipschitz bandit algorithms that can achieve sub-linear regret under both types of adversary, even when the total budget of corruption $C$ is unrevealed to the agent. We provide a lower bound under each type of adversary, and show that our algorithm is optimal under the strong case. Finally, we conduct experiments to illustrate the effectiveness of our algorithms against two classic kinds of attacks.
Connected Superlevel Set in (Deep) Reinforcement Learning and its Application to Minimax Theorems
Authors: Sihan Zeng; Thinh T. Doan; Justin Romberg
Venue: NeurIPS 2023 (NeurIPS 2023 poster)

Abstract: The aim of this paper is to improve the understanding of the optimization landscape for policy optimization problems in reinforcement learning. Specifically, we show that the superlevel set of the objective function with respect to the policy parameter is always a connected set both in the tabular setting and under policies represented by a class of neural networks. In addition, we show that the optimization objective as a function of the policy parameter and reward satisfies a stronger “equiconnectedness” property. To our best knowledge, these are novel and previously unknown discoveries.

We present an application of the connectedness of these superlevel sets to the derivation of minimax theorems for robust reinforcement learning. We show that any minimax optimization program which is convex on one side and is equiconnected on the other side observes the minimax equality (i.e. has a Nash equilibrium). We find that this exact structure is exhibited by an interesting class of robust reinforcement learning problems under an adversarial reward attack, and the validity of its minimax equality immediately follows. This is the first time such a result is established in the literature.
Energy-Based Sliced Wasserstein Distance
Authors: Khai Nguyen; Nhat Ho
Venue: NeurIPS 2023 (NeurIPS 2023 poster)

Abstract: The sliced Wasserstein (SW) distance has been widely recognized as a statistically effective and computationally efficient metric between two probability measures. A key component of the SW distance is the slicing distribution. There are two existing approaches for choosing this distribution. The first approach is using a fixed prior distribution. The second approach is optimizing for the best distribution which belongs to a parametric family of distributions and can maximize the expected distance. However, both approaches have their limitations. A fixed prior distribution is non-informative in terms of highlighting projecting directions that can discriminate two general probability measures. Doing optimization for the best distribution is often expensive and unstable. Moreover, designing the parametric family of the candidate distribution could be easily misspecified. To address the issues, we propose to design the slicing distribution as an energy-based distribution that is parameter-free and has the density proportional to an energy function of the projected one-dimensional Wasserstein distance. We then derive a novel sliced Wasserstein variant, energy-based sliced Waserstein (EBSW) distance, and investigate its topological, statistical, and computational properties via importance sampling, sampling importance resampling, and Markov Chain methods. Finally, we conduct experiments on point-cloud gradient flow, color transfer, and point-cloud reconstruction to show the favorable performance of the EBSW.