Zhishuai Guo

Zhishuai Guo, Rong Jin, Jiebo Luo et al.

In this paper, we tackle a novel federated learning (FL) problem for optimizing a family of X-risks, to which no existing FL algorithms are applicable. In particular, the objective has the form of $\mathbb E_{z\sim S_1} f(\mathbb E_{z'\sim S_2} \ell(w; z, z'))$, where two sets of data $S_1, S_2$ are distributed over multiple machines, $\ell(\cdot)$ is a pairwise loss that only depends on the prediction outputs of the input data pairs $(z, z')$, and $f(\cdot)$ is possibly a non-linear non-convex function. This problem has important applications in machine learning, e.g., AUROC maximization with a pairwise loss, and partial AUROC maximization with a compositional loss. The challenges for designing an FL algorithm for X-risks lie in the non-decomposability of the objective over multiple machines and the interdependency between different machines. To this end, we propose an active-passive decomposition framework that decouples the gradient's components with two types, namely active parts and passive parts, where the active parts depend on local data that are computed with the local model and the passive parts depend on other machines that are communicated/computed based on historical models and samples. Under this framework, we develop two provable FL algorithms (FeDXL) for handling linear and nonlinear $f$, respectively, based on federated averaging and merging. We develop a novel theoretical analysis to combat the latency of the passive parts and the interdependency between the local model parameters and the involved data for computing local gradient estimators. We establish both iteration and communication complexities and show that using the historical samples and models for computing the passive parts do not degrade the complexities. We conduct empirical studies of FeDXL for deep AUROC and partial AUROC maximization, and demonstrate their performance compared with several baselines.

Zhishuai Guo, Wenhan Wu, Chen Chen et al.

Graph neural networks (GNNs) achieve strong performance on relational data, but real-world graphs are often distributed across organizations that cannot share raw data due to privacy and policy constraints. Existing federated GNN methods either ignore cross-client links, leading to degraded accuracy, or require frequent embedding exchanges, incurring substantial communication and privacy costs. We propose CE-FedGNN, a communication-efficient and privacy-preserving federated GNN framework for learning over such coupled graphs. Our approach avoids sharing raw data or per-round embeddings by infrequently exchanging aggregated node representations. To handle cross-client dependency and staleness, we introduce a moving-average estimator that continuously tracks node representations and enables their stable reuse across rounds. To provide formal privacy guarantees for the released representations, we adopt the metric differential privacy (metric-DP) framework, which measures privacy with respect to distances in the learned embedding space rather than worst-case input perturbations. This yields meaningful guarantees at noise levels where standard differential privacy becomes overly conservative. We establish convergence to a stationary point at a rate of $O(1/\sqrt{T})$ with $O(T^{3/4})$ communication complexity. In addition, we derive $(\varepsilon,δ)$-metric-DP guarantees via Rényi differential privacy composition under a public-cohort threat model. Experiments on synthetic interbank anti-money laundering benchmarks and citation networks demonstrate that CE-FedGNN achieves strong performance while significantly reducing communication and maintaining robustness under privacy-preserving noise.

Ibrahim Al Azher, Zhishuai Guo, Hamed Alhoori

Identifying and articulating limitations is essential for transparent and rigorous scientific research. However, zero-shot large language models (LLMs) approach often produce superficial or general limitation statements (e.g., dataset bias or generalizability). They usually repeat limitations reported by authors without looking at deeper methodological issues and contextual gaps. This problem is made worse because many authors disclose only partial or trivial limitations. We propose LimAgents, a multi-agent LLM framework for generating substantive limitations. LimAgents integrates OpenReview comments and author-stated limitations to provide stronger ground truth. It also uses cited and citing papers to capture broader contextual weaknesses. In this setup, different agents have specific roles as sequential role: some extract explicit limitations, others analyze methodological gaps, some simulate the viewpoint of a peer reviewer, and a citation agent places the work within the larger body of literature. A Judge agent refines their outputs, and a Master agent consolidates them into a clear set. This structure allows for systematic identification of explicit, implicit, peer review-focused, and literature-informed limitations. Moreover, traditional NLP metrics like BLEU, ROUGE, and cosine similarity rely heavily on n-gram or embedding overlap. They often overlook semantically similar limitations. To address this, we introduce a pointwise evaluation protocol that uses an LLM-as-a-Judge to measure coverage more accurately. Experiments show that LimAgents substantially improve performance. The RAG + multi-agent GPT-4o mini configuration achieves a +15.51% coverage gain over zero-shot baselines, while the Llama 3 8B multi-agent setup yields a +4.41% improvement.

Zhuoning Yuan, Zhishuai Guo, Yi Xu et al.

Deep AUC (area under the ROC curve) Maximization (DAM) has attracted much attention recently due to its great potential for imbalanced data classification. However, the research on Federated Deep AUC Maximization (FDAM) is still limited. Compared with standard federated learning (FL) approaches that focus on decomposable minimization objectives, FDAM is more complicated due to its minimization objective is non-decomposable over individual examples. In this paper, we propose improved FDAM algorithms for heterogeneous data by solving the popular non-convex strongly-concave min-max formulation of DAM in a distributed fashion, which can also be applied to a class of non-convex strongly-concave min-max problems. A striking result of this paper is that the communication complexity of the proposed algorithm is a constant independent of the number of machines and also independent of the accuracy level, which improves an existing result by orders of magnitude. The experiments have demonstrated the effectiveness of our FDAM algorithm on benchmark datasets, and on medical chest X-ray images from different organizations. Our experiment shows that the performance of FDAM using data from multiple hospitals can improve the AUC score on testing data from a single hospital for detecting life-threatening diseases based on chest radiographs. The proposed method is implemented in our open-sourced library LibAUC (www.libauc.org) whose github address is https://github.com/Optimization-AI/ICML2021_FedDeepAUC_CODASCA.

Wenhan Wu, Zhishuai Guo, Chen Chen et al.

Stochastic human motion prediction aims to generate diverse, plausible futures from observed sequences. Despite advances in generative modeling, existing methods often produce predictions corrupted by high-frequency jitter and temporal discontinuities. To address these challenges, we introduce KHMP, a novel framework featuring an adaptiveKalman filter applied in the DCT domain to generate high-fidelity human motion predictions. By treating high-frequency DCT coefficients as a frequency-indexed noisy signal, the Kalman filter recursively suppresses noise while preserving motion details. Notably, its noise parameters are dynamically adjusted based on estimated Signal-to-Noise Ratio (SNR), enabling aggressive denoising for jittery predictions and conservative filtering for clean motions. This refinement is complemented by training-time physical constraints (temporal smoothness and joint angle limits) that encode biomechanical principles into the generative model. Together, these innovations establish a new paradigm integrating adaptive signal processing with physics-informed learning. Experiments on the Human3.6M and HumanEva-I datasets demonstrate that KHMP achieves state-of-the-art accuracy, effectively mitigating jitter artifacts to produce smooth and physically plausible motions.

Guangyu Sun, Wenhan Wu, Zhishuai Guo et al.

Automated recognition of autistic behaviors in children is essential for early intervention and objective clinical assessment. However, the development of robust models is severely hindered by strict privacy regulations (e.g., HIPAA) and the sensitive nature of pediatric data, which prevents the centralized aggregation of clinical datasets. Furthermore, individual clinical sites often suffer from data scarcity, making it difficult to learn generalized behavior patterns or tailor models to site-specific patient distributions. To address these challenges, we observe that Federated Learning (FL) can decouple model training from raw data access, enabling multi-site collaboration while maintaining strict data residency. In this paper, we present the first study exploring Federated Learning for pose-based child autism behavior recognition. Our framework employs a two-layer privacy protection mechanism: utilizing human skeletal abstraction to remove identifiable visual information from the raw RGB videos and FL to ensure sensitive pose data remains within the clinic. This approach leverages distributed clinical data to learn generalized representations while providing the flexibility for site-specific personalization. Experimental results on the MMASD benchmark demonstrate that our framework achieves high recognition accuracy, outperforming traditional federated baselines and providing a robust, privacy-first solution for multi-site clinical analysis.

Ibrahim Al Azher, Miftahul Jannat Mokarrama, Zhishuai Guo et al.

In scientific research, ``limitations'' refer to the shortcomings, constraints, or weaknesses of a study. A transparent reporting of such limitations can enhance the quality and reproducibility of research and improve public trust in science. However, authors often underreport limitations in their papers and rely on hedging strategies to meet editorial requirements at the expense of readers' clarity and confidence. This tendency, combined with the surge in scientific publications, has created a pressing need for automated approaches to extract and generate limitations from scholarly papers. To address this need, we present a full architecture for computational analysis of research limitations. Specifically, we (1) create a dataset of limitations from ACL, NeurIPS, and PeerJ papers by extracting them from the text and supplementing them with external reviews; (2) we propose methods to automatically generate limitations using a novel Retrieval Augmented Generation (RAG) technique; (3) we design a fine-grained evaluation framework for generated limitations, along with a meta-evaluation of these techniques.

Umesh Vangapally, Wenhan Wu, Chen Chen et al.

Federated AUC maximization is a powerful approach for learning from imbalanced data in federated learning (FL). However, existing methods typically assume full client availability, which is rarely practical. In real-world FL systems, clients often participate in a cyclic manner: joining training according to a fixed, repeating schedule. This setting poses unique optimization challenges for the non-decomposable AUC objective. This paper addresses these challenges by developing and analyzing communication-efficient algorithms for federated AUC maximization under cyclic client participation. We investigate two key settings: First, we study AUC maximization with a squared surrogate loss, which reformulates the problem as a nonconvex-strongly-concave minimax optimization. By leveraging the Polyak-Łojasiewicz (PL) condition, we establish a state-of-the-art communication complexity of $\widetilde{O}(1/ε^{1/2})$ and iteration complexity of $\widetilde{O}(1/ε)$. Second, we consider general pairwise AUC losses. We establish a communication complexity of $O(1/ε^3)$ and an iteration complexity of $O(1/ε^4)$. Further, under the PL condition, these bounds improve to communication complexity of $\widetilde{O}(1/ε^{1/2})$ and iteration complexity of $\widetilde{O}(1/ε)$. Extensive experiments on benchmark tasks in image classification, medical imaging, and fraud detection demonstrate the superior efficiency and effectiveness of our proposed methods.

Wenhan Wu, Zhishuai Guo, Chen Chen et al.

Skeleton-based action recognition (SAR) has achieved impressive progress with transformer architectures. However, existing methods often rely on complex module compositions and heavy designs, leading to increased parameter counts, high computational costs, and limited scalability. In this paper, we propose a unified spatio-temporal lightweight transformer framework that integrates spatial and temporal modeling within a single attention module, eliminating the need for separate temporal modeling blocks. This approach reduces redundant computations while preserving temporal awareness within the spatial modeling process. Furthermore, we introduce a simplified multi-scale pooling fusion module that combines local and global pooling pathways to enhance the model's ability to capture fine-grained local movements and overarching global motion patterns. Extensive experiments on benchmark datasets demonstrate that our lightweight model achieves a superior balance between accuracy and efficiency, reducing parameter complexity by over 58% and lowering computational cost by over 60% compared to state-of-the-art transformer-based baselines, while maintaining competitive recognition performance.

Wenhan Wu, Zhishuai Guo, Chen Chen et al.

Zero-shot skeleton-based action recognition aims to develop models capable of identifying actions beyond the categories encountered during training. Previous approaches have primarily focused on aligning visual and semantic representations but often overlooked the importance of fine-grained action patterns in the semantic space (e.g., the hand movements in drinking water and brushing teeth). To address these limitations, we propose a Frequency-Semantic Enhanced Variational Autoencoder (FS-VAE) to explore the skeleton semantic representation learning with frequency decomposition. FS-VAE consists of three key components: 1) a frequency-based enhancement module with high- and low-frequency adjustments to enrich the skeletal semantics learning and improve the robustness of zero-shot action recognition; 2) a semantic-based action description with multilevel alignment to capture both local details and global correspondence, effectively bridging the semantic gap and compensating for the inherent loss of information in skeleton sequences; 3) a calibrated cross-alignment loss that enables valid skeleton-text pairs to counterbalance ambiguous ones, mitigating discrepancies and ambiguities in skeleton and text features, thereby ensuring robust alignment. Evaluations on the benchmarks demonstrate the effectiveness of our approach, validating that frequency-enhanced semantic features enable robust differentiation of visually and semantically similar action clusters, improving zero-shot action recognition.

Ibrahim Al Azher, Miftahul Jannat Mokarrama, Zhishuai Guo et al.

The Future Work section of a scientific article outlines potential research directions by identifying gaps and limitations of a current study. This section serves as a valuable resource for early-career researchers seeking unexplored areas and experienced researchers looking for new projects or collaborations. In this study, we generate future work suggestions from a scientific article. To enrich the generation process with broader insights and reduce the chance of missing important research directions, we use context from related papers using RAG. We experimented with various Large Language Models (LLMs) integrated into Retrieval-Augmented Generation (RAG). We incorporate an LLM feedback mechanism to enhance the quality of the generated content and introduce an LLM-as-a-judge framework for robust evaluation, assessing key aspects such as novelty, hallucination, and feasibility. Our results demonstrate that the RAG-based approach using GPT-4o mini, combined with an LLM feedback mechanism, outperforms other methods based on both qualitative and quantitative evaluations. Moreover, we conduct a human evaluation to assess the LLM as an extractor, generator, and feedback provider.

Quanqi Hu, Zi-Hao Qiu, Zhishuai Guo et al.

In this paper, we consider non-convex multi-block bilevel optimization (MBBO) problems, which involve $m\gg 1$ lower level problems and have important applications in machine learning. Designing a stochastic gradient and controlling its variance is more intricate due to the hierarchical sampling of blocks and data and the unique challenge of estimating hyper-gradient. We aim to achieve three nice properties for our algorithm: (a) matching the state-of-the-art complexity of standard BO problems with a single block; (b) achieving parallel speedup by sampling $I$ blocks and sampling $B$ samples for each sampled block per-iteration; (c) avoiding the computation of the inverse of a high-dimensional Hessian matrix estimator. However, it is non-trivial to achieve all of these by observing that existing works only achieve one or two of these properties. To address the involved challenges for achieving (a, b, c), we propose two stochastic algorithms by using advanced blockwise variance-reduction techniques for tracking the Hessian matrices (for low-dimensional problems) or the Hessian-vector products (for high-dimensional problems), and prove an iteration complexity of $O(\frac{mε^{-3}\mathbb{I}(I<m)}{I\sqrt{I}} + \frac{mε^{-3}}{I\sqrt{B}})$ for finding an $ε$-stationary point under appropriate conditions. We also conduct experiments to verify the effectiveness of the proposed algorithms comparing with existing MBBO algorithms.

Zhishuai Guo, Yi Xu, Wotao Yin et al.

Since its invention in 2014, the Adam optimizer has received tremendous attention. On one hand, it has been widely used in deep learning and many variants have been proposed, while on the other hand their theoretical convergence property remains to be a mystery. It is far from satisfactory in the sense that some studies require strong assumptions about the updates, which are not necessarily applicable in practice, while other studies still follow the original problematic convergence analysis of Adam, which was shown to be not sufficient to ensure convergence. Although rigorous convergence analysis exists for Adam, they impose specific requirements on the update of the adaptive step size, which are not generic enough to cover many other variants of Adam. To address theses issues, in this extended abstract, we present a simple and generic proof of convergence for a family of Adam-style methods (including Adam, AMSGrad, Adabound, etc.). Our analysis only requires an increasing or large "momentum" parameter for the first-order moment, which is indeed the case used in practice, and a boundness condition on the adaptive factor of the step size, which applies to all variants of Adam under mild conditions of stochastic gradients. We also establish a variance diminishing result for the used stochastic gradient estimators. Indeed, our analysis of Adam is so simple and generic that it can be leveraged to establish the convergence for solving a broader family of non-convex optimization problems, including min-max, compositional, and bilevel optimization problems. For the full (earlier) version of this extended abstract, please refer to arXiv:2104.14840.

Zhishuai Guo, Quanqi Hu, Lijun Zhang et al.

In this paper, we consider non-convex stochastic bilevel optimization (SBO) problems that have many applications in machine learning. Although numerous studies have proposed stochastic algorithms for solving these problems, they are limited in two perspectives: (i) their sample complexities are high, which do not match the state-of-the-art result for non-convex stochastic optimization; (ii) their algorithms are tailored to problems with only one lower-level problem. When there are many lower-level problems, it could be prohibitive to process all these lower-level problems at each iteration. To address these limitations, this paper proposes fast randomized stochastic algorithms for non-convex SBO problems. First, we present a stochastic method for non-convex SBO with only one lower problem and establish its sample complexity of $O(1/ε^3)$ for finding an $ε$-stationary point under Lipschitz continuous conditions of stochastic oracles, matching the lower bound for stochastic smooth non-convex optimization. Second, we present a randomized stochastic method for non-convex SBO with $m>1$ lower level problems (multi-task SBO) by processing a constant number of lower problems at each iteration, and establish its sample complexity no worse than $O(m/ε^3)$, which could be a better complexity than that of simply processing all $m$ lower problems at each iteration. Lastly, we establish even faster convergence results for gradient-dominant functions. To the best of our knowledge, this is the first work considering multi-task SBO and developing state-of-the-art sample complexity results.

Zhishuai Guo, Yi Xu, Wotao Yin et al.

Although adaptive optimization algorithms have been successful in many applications, there are still some mysteries in terms of convergence analysis that have not been unraveled. This paper provides a novel non-convex analysis of adaptive optimization to uncover some of these mysteries. Our contributions are three-fold. First, we show that an increasing or large enough momentum parameter for the first-order moment used in practice is sufficient to ensure the convergence of adaptive algorithms whose adaptive scaling factors of the step size are bounded. Second, our analysis gives insights for practical implementations, e.g., increasing the momentum parameter in a stage-wise manner in accordance with stagewise decreasing step size would help improve the convergence. Third, the modular nature of our analysis allows its extension to solving other optimization problems, e.g., compositional, min-max and bilevel problems. As an interesting yet non-trivial use case, we present algorithms for solving non-convex min-max optimization and bilevel optimization that do not require using large batches of data to estimate gradients or double loops as the literature do. Our empirical studies corroborate our theoretical results.

Qi Qi, Zhishuai Guo, Yi Xu et al.

In this paper, we propose a practical online method for solving a class of distributionally robust optimization (DRO) with non-convex objectives, which has important applications in machine learning for improving the robustness of neural networks. In the literature, most methods for solving DRO are based on stochastic primal-dual methods. However, primal-dual methods for DRO suffer from several drawbacks: (1) manipulating a high-dimensional dual variable corresponding to the size of data is time expensive; (2) they are not friendly to online learning where data is coming sequentially. To address these issues, we consider a class of DRO with an KL divergence regularization on the dual variables, transform the min-max problem into a compositional minimization problem, and propose practical duality-free online stochastic methods without requiring a large mini-batch size. We establish the state-of-the-art complexities of the proposed methods with and without a Polyak-Łojasiewicz (PL) condition of the objective. Empirical studies on large-scale deep learning tasks (i) demonstrate that our method can speed up the training by more than 2 times than baseline methods and save days of training time on a large-scale dataset with $\sim$ 265K images, and (ii) verify the supreme performance of DRO over Empirical Risk Minimization (ERM) on imbalanced datasets. Of independent interest, the proposed method can be also used for solving a family of stochastic compositional problems with state-of-the-art complexities.

Zhishuai Guo, Yan Yan, Zhuoning Yuan et al.

This paper focuses on stochastic methods for solving smooth non-convex strongly-concave min-max problems, which have received increasing attention due to their potential applications in deep learning (e.g., deep AUC maximization, distributionally robust optimization). However, most of the existing algorithms are slow in practice, and their analysis revolves around the convergence to a nearly stationary point.We consider leveraging the Polyak-Lojasiewicz (PL) condition to design faster stochastic algorithms with stronger convergence guarantee. Although PL condition has been utilized for designing many stochastic minimization algorithms, their applications for non-convex min-max optimization remain rare. In this paper, we propose and analyze a generic framework of proximal stage-based method with many well-known stochastic updates embeddable. Fast convergence is established in terms of both the primal objective gap and the duality gap. Compared with existing studies, (i) our analysis is based on a novel Lyapunov function consisting of the primal objective gap and the duality gap of a regularized function, and (ii) the results are more comprehensive with improved rates that have better dependence on the condition number under different assumptions. We also conduct deep and non-deep learning experiments to verify the effectiveness of our methods.

Zhishuai Guo, Mingrui Liu, Zhuoning Yuan et al.

In this paper, we study distributed algorithms for large-scale AUC maximization with a deep neural network as a predictive model. Although distributed learning techniques have been investigated extensively in deep learning, they are not directly applicable to stochastic AUC maximization with deep neural networks due to its striking differences from standard loss minimization problems (e.g., cross-entropy). Towards addressing this challenge, we propose and analyze a communication-efficient distributed optimization algorithm based on a {\it non-convex concave} reformulation of the AUC maximization, in which the communication of both the primal variable and the dual variable between each worker and the parameter server only occurs after multiple steps of gradient-based updates in each worker. Compared with the naive parallel version of an existing algorithm that computes stochastic gradients at individual machines and averages them for updating the model parameters, our algorithm requires a much less number of communication rounds and still achieves a linear speedup in theory. To the best of our knowledge, this is the \textbf{first} work that solves the {\it non-convex concave min-max} problem for AUC maximization with deep neural networks in a communication-efficient distributed manner while still maintaining the linear speedup property in theory. Our experiments on several benchmark datasets show the effectiveness of our algorithm and also confirm our theory.

Zhishuai Guo, Yan Yan, Tianbao Yang

Stochastic gradient descent (SGD) has been widely studied in the literature from different angles, and is commonly employed for solving many big data machine learning problems. However, the averaging technique, which combines all iterative solutions into a single solution, is still under-explored. While some increasingly weighted averaging schemes have been considered in the literature, existing works are mostly restricted to strongly convex objective functions and the convergence of optimization error. It remains unclear how these averaging schemes affect the convergence of {\it both optimization error and generalization error} (two equally important components of testing error) for {\bf non-strongly convex objectives, including non-convex problems}. In this paper, we {\it fill the gap} by comprehensively analyzing the increasingly weighted averaging on convex, strongly convex and non-convex objective functions in terms of both optimization error and generalization error. In particular, we analyze a family of increasingly weighted averaging, where the weight for the solution at iteration $t$ is proportional to $t^α$ ($α> 0$). We show how $α$ affects the optimization error and the generalization error, and exhibit the trade-off caused by $α$. Experiments have demonstrated this trade-off and the effectiveness of polynomially increased weighted averaging compared with other averaging schemes for a wide range of problems including deep learning.