Wataru Hashimoto

Akifumi Wachi, Wataru Hashimoto, Xun Shen et al.

Safe exploration is essential for the practical use of reinforcement learning (RL) in many real-world scenarios. In this paper, we present a generalized safe exploration (GSE) problem as a unified formulation of common safe exploration problems. We then propose a solution of the GSE problem in the form of a meta-algorithm for safe exploration, MASE, which combines an unconstrained RL algorithm with an uncertainty quantifier to guarantee safety in the current episode while properly penalizing unsafe explorations before actual safety violation to discourage them in future episodes. The advantage of MASE is that we can optimize a policy while guaranteeing with a high probability that no safety constraint will be violated under proper assumptions. Specifically, we present two variants of MASE with different constructions of the uncertainty quantifier: one based on generalized linear models with theoretical guarantees of safety and near-optimality, and another that combines a Gaussian process to ensure safety with a deep RL algorithm to maximize the reward. Finally, we demonstrate that our proposed algorithm achieves better performance than state-of-the-art algorithms on grid-world and Safety Gym benchmarks without violating any safety constraints, even during training.

Wataru Hashimoto, Hidetaka Kamigaito, Taro Watanabe

This work investigates the impact of data augmentation on confidence calibration and uncertainty estimation in Named Entity Recognition (NER) tasks. For the future advance of NER in safety-critical fields like healthcare and finance, it is essential to achieve accurate predictions with calibrated confidence when applying Deep Neural Networks (DNNs), including Pre-trained Language Models (PLMs), as a real-world application. However, DNNs are prone to miscalibration, which limits their applicability. Moreover, existing methods for calibration and uncertainty estimation are computational expensive. Our investigation in NER found that data augmentation improves calibration and uncertainty in cross-genre and cross-lingual setting, especially in-domain setting. Furthermore, we showed that the calibration for NER tends to be more effective when the perplexity of the sentences generated by data augmentation is lower, and that increasing the size of the augmentation further improves calibration and uncertainty.

Wataru Hashimoto, Kazumune Hashimoto, Masako Kishida et al.

In this paper, we propose a control synthesis method for signal temporal logic (STL) specifications with neural networks (NNs). Most of the previous works consider training a controller for only a given STL specification. These approaches, however, require retraining the NN controller if a new specification arises and needs to be satisfied, which results in large consumption of memory and inefficient training. To tackle this problem, we propose to construct NN controllers by introducing encoder-decoder structured NNs with an attention mechanism. The encoder takes an STL formula as input and encodes it into an appropriate vector, and the decoder outputs control signals that will meet the given specification. As the encoder, we consider three NN structures: sequential, tree-structured, and graph-structured NNs. All the model parameters are trained in an end-to-end manner to maximize the expected robustness that is known to be a quantitative semantics of STL formulae. We compare the control performances attained by the above NN structures through a numerical experiment of the path planning problem, showing the efficacy of the proposed approach.

Wataru Hashimoto, Hidetaka Kamigaito, Taro Watanabe

Trustworthiness in model predictions is crucial for safety-critical applications in the real world. However, deep neural networks often suffer from the issues of uncertainty estimation, such as miscalibration. In this study, we propose $k$-Nearest Neighbor Uncertainty Estimation ($k$NN-UE), which is a new uncertainty estimation method that uses not only the distances from the neighbors, but also the ratio of labels in the neighbors. Experiments on sentiment analysis, natural language inference, and named entity recognition show that our proposed method outperforms the baselines and recent density-based methods in several calibration and uncertainty metrics. Moreover, our analyses indicate that approximate nearest neighbor search techniques reduce the inference overhead without significantly degrading the uncertainty estimation performance when they are appropriately combined.

Shintaro Ozaki, Yuta Kato, Siyuan Feng et al.

Retrieval Augmented Generation (RAG) complements the knowledge of Large Language Models (LLMs) by leveraging external information to enhance response accuracy for queries. This approach is widely applied in several fields by taking its advantage of injecting the most up-to-date information, and researchers are focusing on understanding and improving this aspect to unlock the full potential of RAG in such high-stakes applications. However, despite the potential of RAG to address these needs, the mechanisms behind the confidence levels of its outputs remain underexplored. Our study focuses on the impact of RAG, specifically examining whether RAG improves the confidence of LLM outputs in the medical domain. We conduct this analysis across various configurations and models. We evaluate confidence by treating the model's predicted probability as its output and calculating several evaluation metrics which include calibration error method, entropy, the best probability, and accuracy. Experimental results across multiple datasets confirmed that certain models possess the capability to judge for themselves whether an inserted document relates to the correct answer. These results suggest that evaluating models based on their output probabilities determine whether they function as generators in the RAG framework. Our approach allows us to evaluate whether the models handle retrieved documents.

Akifumi Wachi, Wataru Hashimoto, Kazumune Hashimoto

Safety is an indispensable requirement for applying reinforcement learning (RL) to real problems. Although there has been a surge of safe RL algorithms proposed in recent years, most existing work typically 1) relies on receiving numeric safety feedback; 2) does not guarantee safety during the learning process; 3) limits the problem to a priori known, deterministic transition dynamics; and/or 4) assume the existence of a known safe policy for any states. Addressing the issues mentioned above, we thus propose Long-term Binaryfeedback Safe RL (LoBiSaRL), a safe RL algorithm for constrained Markov decision processes (CMDPs) with binary safety feedback and an unknown, stochastic state transition function. LoBiSaRL optimizes a policy to maximize rewards while guaranteeing a long-term safety that an agent executes only safe state-action pairs throughout each episode with high probability. Specifically, LoBiSaRL models the binary safety function via a generalized linear model (GLM) and conservatively takes only a safe action at every time step while inferring its effect on future safety under proper assumptions. Our theoretical results show that LoBiSaRL guarantees the long-term safety constraint, with high probability. Finally, our empirical results demonstrate that our algorithm is safer than existing methods without significantly compromising performance in terms of reward.

Shintaro Ozaki, Wataru Hashimoto, Hidetaka Kamigaito et al.

While large language models (LLMs) improve performance by explicit reasoning, their responses are often overconfident, even though they include linguistic expressions demonstrating uncertainty. In this work, we identify what linguistic expressions are related to confidence by applying the regression method. Specifically, we predict confidence of those linguistic expressions in the reasoning parts of LLMs as the dependent variables and analyze the relationship between a specific $n$-gram and confidence. Across multiple models and QA benchmarks, we show that LLMs remain overconfident when reasoning is involved and attribute this behavior to specific linguistic information. Interestingly, several of the extracted expressions coincide with cue phrases intentionally inserted on test-time scaling to improve reasoning performance. Through our test on causality and verification that the extracted linguistic information truly affects confidence, we reveal that confidence calibration is possible by simply suppressing those overconfident expressions without drops in performance.

Wataru Hashimoto, Hidetaka Kamigaito, Taro Watanabe

Decoding strategies manipulate the probability distribution underlying the output of a language model and can therefore affect both generation quality and its uncertainty. In this study, we investigate the impact of decoding strategies on uncertainty estimation in Large Language Models (LLMs). Our experiments show that Contrastive Search, which mitigates repetition, yields better uncertainty estimates on average across a range of preference-aligned LLMs. In contrast, the benefits of these strategies sometimes diverge when the model is only post-trained with supervised fine-tuning, i.e. without explicit alignment.