pwc-archive/papers-with-abstracts huggingface dataset:
Detection and Evaluation of bias-inducing Features in Machine learning
Authors: Moses Openja, Gabriel Laberge, Foutse khomh
Date: 2023-10-19 00:00:00

The cause-to-effect analysis can help us decompose all the likely causes of a problem, such as an undesirable business situation or unintended harm to the individual(s). This implies that we can identify how the problems are inherited, rank the causes to help prioritize fixes, simplify a complex problem and visualize them. In the context of machine learning (ML), one can use cause-to-effect analysis to understand the reason for the biased behavior of the system. For example, we can examine the root causes of biases by checking each feature for a potential cause of bias in the model. To approach this, one can apply small changes to a given feature or a pair of features in the data, following some guidelines and observing how it impacts the decision made by the model (i.e., model prediction). Therefore, we can use cause-to-effect analysis to identify the potential bias-inducing features, even when these features are originally are unknown. This is important since most current methods require a pre-identification of sensitive features for bias assessment and can actually miss other relevant bias-inducing features, which is why systematic identification of such features is necessary. Moreover, it often occurs that to achieve an equitable outcome, one has to take into account sensitive features in the model decision. Therefore, it should be up to the domain experts to decide based on their knowledge of the context of a decision whether bias induced by specific features is acceptable or not. In this study, we propose an approach for systematically identifying all bias-inducing features of a model to help support the decision-making of domain experts. We evaluated our technique using four well-known datasets to showcase how our contribution can help spearhead the standard procedure when developing, testing, maintaining, and deploying fair/equitable machine learning systems.
Differentiable Vertex Fitting for Jet Flavour Tagging
Authors: Rachel E. C. Smith, Inês Ochoa, Rúben Inácio, Jonathan Shoemaker, Michael Kagan
Date: 2023-10-19 00:00:00

We propose a differentiable vertex fitting algorithm that can be used for secondary vertex fitting, and that can be seamlessly integrated into neural networks for jet flavour tagging. Vertex fitting is formulated as an optimization problem where gradients of the optimized solution vertex are defined through implicit differentiation and can be passed to upstream or downstream neural network components for network training. More broadly, this is an application of differentiable programming to integrate physics knowledge into neural network models in high energy physics. We demonstrate how differentiable secondary vertex fitting can be integrated into larger transformer-based models for flavour tagging and improve heavy flavour jet classification.
Data Augmentations for Improved (Large) Language Model Generalization
Authors: Amir Feder, Yoav Wald, Claudia Shi, Suchi Saria, David Blei
Date: 2023-10-19 00:00:00
Proceeding: NeurIPS 2023 11
Tasks: Attribute, counterfactual, Data Augmentation, Language Modeling, Language Modelling, Large Language Model, model

The reliance of text classifiers on spurious correlations can lead to poor generalization at deployment, raising concerns about their use in safety-critical domains such as healthcare. In this work, we propose to use counterfactual data augmentation, guided by knowledge of the causal structure of the data, to simulate interventions on spurious features and to learn more robust text classifiers. We show that this strategy is appropriate in prediction problems where the label is spuriously correlated with an attribute. Under the assumptions of such problems, we discuss the favorable sample complexity of counterfactual data augmentation, compared to importance re-weighting. Pragmatically, we match examples using auxiliary data, based on diff-in-diff methodology, and use a large language model (LLM) to represent a conditional probability of text. Through extensive experimentation on learning caregiver-invariant predictors of clinical diagnoses from medical narratives and on semi-synthetic data, we demonstrate that our method for simulating interventions improves out-of-distribution (OOD) accuracy compared to baseline invariant learning algorithms.
A Theoretical Approach to Characterize the Accuracy-Fairness Trade-off Pareto Frontier
Authors: Hua Tang, Lu Cheng, Ninghao Liu, Mengnan Du
Date: 2023-10-19 00:00:00
Tasks: Fairness

While the accuracy-fairness trade-off has been frequently observed in the literature of fair machine learning, rigorous theoretical analyses have been scarce. To demystify this long-standing challenge, this work seeks to develop a theoretical framework by characterizing the shape of the accuracy-fairness trade-off Pareto frontier (FairFrontier), determined by a set of all optimal Pareto classifiers that no other classifiers can dominate. Specifically, we first demonstrate the existence of the trade-off in real-world scenarios and then propose four potential categories to characterize the important properties of the accuracy-fairness Pareto frontier. For each category, we identify the necessary conditions that lead to corresponding trade-offs. Experimental results on synthetic data suggest insightful findings of the proposed framework: (1) When sensitive attributes can be fully interpreted by non-sensitive attributes, FairFrontier is mostly continuous. (2) Accuracy can suffer a \textit{sharp} decline when over-pursuing fairness. (3) Eliminate the trade-off via a two-step streamlined approach. The proposed research enables an in-depth understanding of the accuracy-fairness trade-off, pushing current fair machine-learning research to a new frontier.
Simulation-based Bayesian Inference from Privacy Protected Data
Authors: Yifei Xiong, Nianqiao Phyllis Ju, Sanguo Zhang
Date: 2023-10-19 00:00:00
Tasks: Bayesian Inference, Time Series, valid

Many modern statistical analysis and machine learning applications require training models on sensitive user data. Under a formal definition of privacy protection, differentially private algorithms inject calibrated noise into the confidential data or during the data analysis process to produce privacy-protected datasets or queries. However, restricting access to only privatized data during statistical analysis makes it computationally challenging to make valid statistical inferences. In this work, we propose simulation-based inference methods from privacy-protected datasets. In addition to sequential Monte Carlo approximate Bayesian computation, we adopt neural conditional density estimators as a flexible family of distributions to approximate the posterior distribution of model parameters given the observed private query results. We illustrate our methods on discrete time-series data under an infectious disease model and with ordinary linear regression models. Illustrating the privacy-utility trade-off, our experiments and analysis demonstrate the necessity and feasibility of designing valid statistical inference procedures to correct for biases introduced by the privacy-protection mechanisms.
Label-Aware Automatic Verbalizer for Few-Shot Text Classification
Authors: Thanakorn Thaminkaew, Piyawat Lertvittayakumjorn, Peerapon Vateekul
Date: 2023-10-19 00:00:00
Tasks: Few-Shot Text Classification, Language Modeling, Language Modelling, text-classification, Text Classification

Prompt-based learning has shown its effectiveness in few-shot text classification. One important factor in its success is a verbalizer, which translates output from a language model into a predicted class. Notably, the simplest and widely acknowledged verbalizer employs manual labels to represent the classes. However, manual selection does not guarantee the optimality of the selected words when conditioned on the chosen language model. Therefore, we propose Label-Aware Automatic Verbalizer (LAAV), effectively augmenting the manual labels to achieve better few-shot classification results. Specifically, we use the manual labels along with the conjunction "and" to induce the model to generate more effective words for the verbalizer. The experimental results on five datasets across five languages demonstrate that LAAV significantly outperforms existing verbalizers. Furthermore, our analysis reveals that LAAV suggests more relevant words compared to similar approaches, especially in mid-to-low resource languages.
Transformer-based Entity Legal Form Classification
Authors: Alexander Arimond, Mauro Molteni, Dominik Jany, Zornitsa Manolova, Damian Borth, Andreas G. F. Hoepner
Date: 2023-10-19 00:00:00
Tasks: Classification, Data Integration, Form, text-classification, Text Classification

We propose the application of Transformer-based language models for classifying entity legal forms from raw legal entity names. Specifically, we employ various BERT variants and compare their performance against multiple traditional baselines. Our evaluation encompasses a substantial subset of freely available Legal Entity Identifier (LEI) data, comprising over 1.1 million legal entities from 30 different legal jurisdictions. The ground truth labels for classification per jurisdiction are taken from the Entity Legal Form (ELF) code standard (ISO 20275). Our findings demonstrate that pre-trained BERT variants outperform traditional text classification approaches in terms of F1 score, while also performing comparably well in the Macro F1 Score. Moreover, the validity of our proposal is supported by the outcome of third-party expert reviews conducted in ten selected jurisdictions. This study highlights the significant potential of Transformer-based models in advancing data standardization and data integration. The presented approaches can greatly benefit financial institutions, corporations, governments and other organizations in assessing business relationships, understanding risk exposure, and promoting effective governance.
Energy-Based Models For Speech Synthesis
Authors: Wanli Sun, Zehai Tu, Anton Ragni
Date: 2023-10-19 00:00:00
Tasks: Speech Synthesis

Recently there has been a lot of interest in non-autoregressive (non-AR) models for speech synthesis, such as FastSpeech 2 and diffusion models. Unlike AR models, these models do not have autoregressive dependencies among outputs which makes inference efficient. This paper expands the range of available non-AR models with another member called energy-based models (EBMs). The paper describes how noise contrastive estimation, which relies on the comparison between positive and negative samples, can be used to train EBMs. It proposes a number of strategies for generating effective negative samples, including using high-performing AR models. It also describes how sampling from EBMs can be performed using Langevin Markov Chain Monte-Carlo (MCMC). The use of Langevin MCMC enables to draw connections between EBMs and currently popular diffusion models. Experiments on LJSpeech dataset show that the proposed approach offers improvements over Tacotron 2.
Discretize Relaxed Solution of Spectral Clustering via a Non-Heuristic Algorithm
Authors: Hongyuan Zhang, Xuelong Li
Date: 2023-10-19 00:00:00
Tasks: Clustering

Spectral clustering and its extensions usually consist of two steps: (1) constructing a graph and computing the relaxed solution; (2) discretizing relaxed solutions. Although the former has been extensively investigated, the discretization techniques are mainly heuristic methods, e.g., k-means, spectral rotation. Unfortunately, the goal of the existing methods is not to find a discrete solution that minimizes the original objective. In other words, the primary drawback is the neglect of the original objective when computing the discrete solution. Inspired by the first-order optimization algorithms, we propose to develop a first-order term to bridge the original problem and discretization algorithm, which is the first non-heuristic to the best of our knowledge. Since the non-heuristic method is aware of the original graph cut problem, the final discrete solution is more reliable and achieves the preferable loss value. We also theoretically show that the continuous optimum is beneficial to discretization algorithms though simply finding its closest discrete solution is an existing heuristic algorithm which is also unreliable. Sufficient experiments significantly show the superiority of our method.
TabuLa: Harnessing Language Models for Tabular Data Synthesis
Authors: Zilong Zhao, Robert Birke, Lydia Chen
Date: 2023-10-19 00:00:00
Tasks: Language Modeling, Language Modelling, Tabular Data Generation

Tabular data synthesis is crucial for addressing privacy and security concerns in industries reliant on tabular data. While recent advancements adopt large language models (LLMs) for realistic tabular data generation, their long training times and limited reusability hinder practical applications. In this paper, we propose Tabula, a tabular data synthesizer that leverages the structure of LLM. Unlike state-of-the-art (SOTA) LLM-based tabular data synthesizers that rely on pre-trained LLMs, Tabula discards the pre-trained weights originally designed for natural language tasks, focusing instead on a tailored approach for tabular data. In addition, Tabula introduces a token sequence compression strategy that significantly reduces training time while maintaining data quality, alongside a novel token padding method that improves sequence alignment across training batches. Experiments on six datasets show that Tabula achieves superior synthetic data utility compared to current SOTA methods. Additionally, the results demonstrate that Tabula model trained on tabular datasets serves effectively as a foundational model for synthesizing new tabular datasets. Furthermore, the proposed padding method outperforms the conventional left and right padding strategies. Finally, the results highlight that Tabula averagely reduces training time per epoch by 46.2% compared to state-of-the-art LLM approaches while achieving higher data utility. Our code is available at https://github.com/zhao-zilong/Tabula
Learn from the Past: A Proxy Guided Adversarial Defense Framework with Self Distillation Regularization
Authors: Yaohua Liu, Jiaxin Gao, Xianghao Jiao, Zhu Liu, Xin Fan, Risheng Liu
Date: 2023-10-19 00:00:00
Tasks: Adversarial Defense

Adversarial Training (AT), pivotal in fortifying the robustness of deep learning models, is extensively adopted in practical applications. However, prevailing AT methods, relying on direct iterative updates for target model's defense, frequently encounter obstacles such as unstable training and catastrophic overfitting. In this context, our work illuminates the potential of leveraging the target model's historical states as a proxy to provide effective initialization and defense prior, which results in a general proxy guided defense framework, `LAST' ({\bf L}earn from the P{\bf ast}). Specifically, LAST derives response of the proxy model as dynamically learned fast weights, which continuously corrects the update direction of the target model. Besides, we introduce a self-distillation regularized defense objective, ingeniously designed to steer the proxy model's update trajectory without resorting to external teacher models, thereby ameliorating the impact of catastrophic overfitting on performance. Extensive experiments and ablation studies showcase the framework's efficacy in markedly improving model robustness (e.g., up to 9.2\% and 20.3\% enhancement in robust accuracy on CIFAR10 and CIFAR100 datasets, respectively) and training stability. These improvements are consistently observed across various model architectures, larger datasets, perturbation sizes, and attack modalities, affirming LAST's ability to consistently refine both single-step and multi-step AT strategies. The code will be available at~\url{https://github.com/callous-youth/LAST}.
On the Optimization and Generalization of Multi-head Attention
Authors: Puneesh Deora, Rouzbeh Ghaderi, Hossein Taheri, Christos Thrampoulidis
Date: 2023-10-19 00:00:00

The training and generalization dynamics of the Transformer's core mechanism, namely the Attention mechanism, remain under-explored. Besides, existing analyses primarily focus on single-head attention. Inspired by the demonstrated benefits of overparameterization when training fully-connected networks, we investigate the potential optimization and generalization advantages of using multiple attention heads. Towards this goal, we derive convergence and generalization guarantees for gradient-descent training of a single-layer multi-head self-attention model, under a suitable realizability condition on the data. We then establish primitive conditions on the initialization that ensure realizability holds. Finally, we demonstrate that these conditions are satisfied for a simple tokenized-mixture model. We expect the analysis can be extended to various data-model and architecture variations.
Neural networks for insurance pricing with frequency and severity data: a benchmark study from data preprocessing to technical tariff
Authors: Freek Holvoet, Katrien Antonio, Roel Henckaerts
Date: 2023-10-19 00:00:00

Insurers usually turn to generalized linear models for modeling claim frequency and severity data. Due to their success in other fields, machine learning techniques are gaining popularity within the actuarial toolbox. Our paper contributes to the literature on frequency-severity insurance pricing with machine learning via deep learning structures. We present a benchmark study on four insurance data sets with frequency and severity targets in the presence of multiple types of input features. We compare in detail the performance of: a generalized linear model on binned input data, a gradient-boosted tree model, a feed-forward neural network (FFNN), and the combined actuarial neural network (CANN). The CANNs combine a baseline prediction established with a GLM and GBM, respectively, with a neural network correction. We explain the data preprocessing steps with specific focus on the multiple types of input features typically present in tabular insurance data sets, such as postal codes, numeric and categorical covariates. Autoencoders are used to embed the categorical variables into the neural network, and we explore their potential advantages in a frequency-severity setting. Model performance is evaluated not only on out-of-sample deviance but also using statistical and calibration performance criteria and managerial tools to get more nuanced insights. Finally, we construct global surrogate models for the neural nets' frequency and severity models. These surrogates enable the translation of the essential insights captured by the FFNNs or CANNs to GLMs. As such, a technical tariff table results that can easily be deployed in practice.
STANLEY: Stochastic Gradient Anisotropic Langevin Dynamics for Learning Energy-Based Models
Authors: Belhal Karimi, Jianwen Xie, Ping Li
Date: 2023-10-19 00:00:00
Tasks: Image Generation

We propose in this paper, STANLEY, a STochastic gradient ANisotropic LangEvin dYnamics, for sampling high dimensional data. With the growing efficacy and potential of Energy-Based modeling, also known as non-normalized probabilistic modeling, for modeling a generative process of different natures of high dimensional data observations, we present an end-to-end learning algorithm for Energy-Based models (EBM) with the purpose of improving the quality of the resulting sampled data points. While the unknown normalizing constant of EBMs makes the training procedure intractable, resorting to Markov Chain Monte Carlo (MCMC) is in general a viable option. Realizing what MCMC entails for the EBM training, we propose in this paper, a novel high dimensional sampling method, based on an anisotropic stepsize and a gradient-informed covariance matrix, embedded into a discretized Langevin diffusion. We motivate the necessity for an anisotropic update of the negative samples in the Markov Chain by the nonlinearity of the backbone of the EBM, here a Convolutional Neural Network. Our resulting method, namely STANLEY, is an optimization algorithm for training Energy-Based models via our newly introduced MCMC method. We provide a theoretical understanding of our sampling scheme by proving that the sampler leads to a geometrically uniformly ergodic Markov Chain. Several image generation experiments are provided in our paper to show the effectiveness of our method.
Knowledge from Uncertainty in Evidential Deep Learning
Authors: Cai Davies, Marc Roig Vilamala, Alun D. Preece, Federico Cerutti, Lance M. Kaplan, Supriyo Chakraborty
Date: 2023-10-19 00:00:00
Tasks: Deep Learning

This work reveals an evidential signal that emerges from the uncertainty value in Evidential Deep Learning (EDL). EDL is one example of a class of uncertainty-aware deep learning approaches designed to provide confidence (or epistemic uncertainty) about the current test sample. In particular for computer vision and bidirectional encoder large language models, the `evidential signal' arising from the Dirichlet strength in EDL can, in some cases, discriminate between classes, which is particularly strong when using large language models. We hypothesise that the KL regularisation term causes EDL to couple aleatoric and epistemic uncertainty. In this paper, we empirically investigate the correlations between misclassification and evaluated uncertainty, and show that EDL's `evidential signal' is due to misclassification bias. We critically evaluate EDL with other Dirichlet-based approaches, namely Generative Evidential Neural Networks (EDL-GEN) and Prior Networks, and show theoretically and empirically the differences between these loss functions. We conclude that EDL's coupling of uncertainty arises from these differences due to the use (or lack) of out-of-distribution samples during training.
Gradient Descent Fails to Learn High-frequency Functions and Modular Arithmetic
Authors: Rustem Takhanov, Maxat Tezekbayev, Artur Pak, Arman Bolatov, Zhenisbek Assylbekov
Date: 2023-10-19 00:00:00

Classes of target functions containing a large number of approximately orthogonal elements are known to be hard to learn by the Statistical Query algorithms. Recently this classical fact re-emerged in a theory of gradient-based optimization of neural networks. In the novel framework, the hardness of a class is usually quantified by the variance of the gradient with respect to a random choice of a target function. A set of functions of the form $x\to ax \bmod p$, where $a$ is taken from ${\mathbb Z}_p$, has attracted some attention from deep learning theorists and cryptographers recently. This class can be understood as a subset of $p$-periodic functions on ${\mathbb Z}$ and is tightly connected with a class of high-frequency periodic functions on the real line. We present a mathematical analysis of limitations and challenges associated with using gradient-based learning techniques to train a high-frequency periodic function or modular multiplication from examples. We highlight that the variance of the gradient is negligibly small in both cases when either a frequency or the prime base $p$ is large. This in turn prevents such a learning algorithm from being successful.
Inverse renormalization group of spin glasses
Authors: Dimitrios Bachtis
Date: 2023-10-19 00:00:00

We propose inverse renormalization group transformations to construct approximate configurations for lattice volumes that have not yet been accessed by supercomputers or large-scale simulations in the study of spin glasses. Specifically, starting from lattices of volume $V=8^{3}$ in the case of the three-dimensional Edwards-Anderson model we employ machine learning algorithms to construct rescaled lattices up to $V'=128^{3}$, which we utilize to extract two critical exponents. We conclude by discussing how to incorporate numerical exactness within inverse renormalization group methods of disordered systems, thus opening up the opportunity to explore a sustainable and energy-efficient generation of exact configurations for increasing lattice volumes without the use of dedicated supercomputers.