Tian Xu

Ziniu Li, Tian Xu, Yushun Zhang et al.

Reinforcement Learning from Human Feedback (RLHF) is key to aligning Large Language Models (LLMs), typically paired with the Proximal Policy Optimization (PPO) algorithm. While PPO is a powerful method designed for general reinforcement learning tasks, it is overly sophisticated for LLMs, leading to laborious hyper-parameter tuning and significant computation burdens. To make RLHF efficient, we present ReMax, which leverages 3 properties of RLHF: fast simulation, deterministic transitions, and trajectory-level rewards. These properties are not exploited in PPO, making it less suitable for RLHF. Building on the renowned REINFORCE algorithm, ReMax does not require training an additional value model as in PPO and is further enhanced with a new variance reduction technique. ReMax offers several benefits over PPO: it is simpler to implement, eliminates more than 4 hyper-parameters in PPO, reduces GPU memory usage, and shortens training time. ReMax can save about 46% GPU memory than PPO when training a 7B model and enables training on A800-80GB GPUs without the memory-saving offloading technique needed by PPO. Applying ReMax to a Mistral-7B model resulted in a 94.78% win rate on the AlpacaEval leaderboard and a 7.739 score on MT-bench, setting a new SOTA for open-source 7B models. These results show the effectiveness of ReMax while addressing the limitations of PPO in LLMs.

Fan-Ming Luo, Tian Xu, Hang Lai et al.

Reinforcement learning (RL) solves sequential decision-making problems via a trial-and-error process interacting with the environment. While RL achieves outstanding success in playing complex video games that allow huge trial-and-error, making errors is always undesired in the real world. To improve the sample efficiency and thus reduce the errors, model-based reinforcement learning (MBRL) is believed to be a promising direction, which builds environment models in which the trial-and-errors can take place without real costs. In this survey, we take a review of MBRL with a focus on the recent progress in deep RL. For non-tabular environments, there is always a generalization error between the learned environment model and the real environment. As such, it is of great importance to analyze the discrepancy between policy training in the environment model and that in the real environment, which in turn guides the algorithm design for better model learning, model usage, and policy training. Besides, we also discuss the recent advances of model-based techniques in other forms of RL, including offline RL, goal-conditioned RL, multi-agent RL, and meta-RL. Moreover, we discuss the applicability and advantages of MBRL in real-world tasks. Finally, we end this survey by discussing the promising prospects for the future development of MBRL. We think that MBRL has great potential and advantages in real-world applications that were overlooked, and we hope this survey could attract more research on MBRL.

Tian Xu, Ziniu Li, Yang Yu et al.

Imitation learning learns a policy from expert trajectories. While the expert data is believed to be crucial for imitation quality, it was found that a kind of imitation learning approach, adversarial imitation learning (AIL), can have exceptional performance. With as little as only one expert trajectory, AIL can match the expert performance even in a long horizon, on tasks such as locomotion control. There are two mysterious points in this phenomenon. First, why can AIL perform well with only a few expert trajectories? Second, why does AIL maintain good performance despite the length of the planning horizon? In this paper, we theoretically explore these two questions. For a total-variation-distance-based AIL (called TV-AIL), our analysis shows a horizon-free imitation gap $\mathcal O(\{\min\{1, \sqrt{|\mathcal S|/N} \})$ on a class of instances abstracted from locomotion control tasks. Here $|\mathcal S|$ is the state space size for a tabular Markov decision process, and $N$ is the number of expert trajectories. We emphasize two important features of our bound. First, this bound is meaningful in both small and large sample regimes. Second, this bound suggests that the imitation gap of TV-AIL is at most 1 regardless of the planning horizon. Therefore, this bound can explain the empirical observation. Technically, we leverage the structure of multi-stage policy optimization in TV-AIL and present a new stage-coupled analysis via dynamic programming

Ziniu Li, Tian Xu, Yang Yu

Q-learning with function approximation could diverge in the off-policy setting and the target network is a powerful technique to address this issue. In this manuscript, we examine the sample complexity of the associated target Q-learning algorithm in the tabular case with a generative oracle. We point out a misleading claim in [Lee and He, 2020] and establish a tight analysis. In particular, we demonstrate that the sample complexity of the target Q-learning algorithm in [Lee and He, 2020] is $\widetilde{\mathcal O}(|\mathcal S|^2|\mathcal A|^2 (1-γ)^{-5}\varepsilon^{-2})$. Furthermore, we show that this sample complexity is improved to $\widetilde{\mathcal O}(|\mathcal S||\mathcal A| (1-γ)^{-5}\varepsilon^{-2})$ if we can sequentially update all state-action pairs and $\widetilde{\mathcal O}(|\mathcal S||\mathcal A| (1-γ)^{-4}\varepsilon^{-2})$ if $γ$ is further in $(1/2, 1)$. Compared with the vanilla Q-learning, our results conclude that the introduction of a periodically-frozen target Q-function does not sacrifice the sample complexity.

Ziniu Li, Congliang Chen, Tian Xu et al.

Large Language Models (LLMs) typically rely on Supervised Fine-Tuning (SFT) to specialize in downstream tasks, with the Cross Entropy (CE) loss being the de facto choice. However, CE maximizes the likelihood of observed data without accounting for alternative possibilities. As such, CE usually leads to reduced diversity in the model's outputs, which hinders further development that requires sampling to explore better responses. To address this limitation, this paper introduces a new game-theoretic formulation for SFT. In this framework, an auxiliary variable is introduced to regulate the learning process. We prove that the proposed game-theoretic approach connects to the problem of reverse KL minimization with entropy regularization. This regularization prevents over-memorization of training data and promotes output diversity. To implement this framework, we develop GEM, a new training algorithm that is computationally efficient as CE by leveraging some unique properties of LLMs. Empirical studies of pre-trained models from 3B to 70B parameters show that GEM achieves comparable downstream performance to CE while significantly enhancing output diversity. This increased diversity translates to performance gains in test-time compute scaling for chat and code generation tasks. Moreover, we observe that preserving output diversity has the added benefit of mitigating forgetting, as maintaining diverse outputs encourages models to retain pre-trained knowledge throughout the training process.

Tian Xu, Ziniu Li, Yang Yu et al.

Imitation learning (IL) has proven to be an effective method for learning good policies from expert demonstrations. Adversarial imitation learning (AIL), a subset of IL methods, is particularly promising, but its theoretical foundation in the presence of unknown transitions has yet to be fully developed. This paper explores the theoretical underpinnings of AIL in this context, where the stochastic and uncertain nature of environment transitions presents a challenge. We examine the expert sample complexity and interaction complexity required to recover good policies. To this end, we establish a framework connecting reward-free exploration and AIL, and propose an algorithm, MB-TAIL, that achieves the minimax optimal expert sample complexity of $\widetilde{O} (H^{3/2} |S|/\varepsilon)$ and interaction complexity of $\widetilde{O} (H^{3} |S|^2 |A|/\varepsilon^2)$. Here, $H$ represents the planning horizon, $|S|$ is the state space size, $|A|$ is the action space size, and $\varepsilon$ is the desired imitation gap. MB-TAIL is the first algorithm to achieve this level of expert sample complexity in the unknown transition setting and improves upon the interaction complexity of the best-known algorithm, OAL, by $O(H)$. Additionally, we demonstrate the generalization ability of MB-TAIL by extending it to the function approximation setting and proving that it can achieve expert sample and interaction complexity independent of $|S|$

Fan-Ming Luo, Tian Xu, Xingchen Cao et al.

Learning a precise dynamics model can be crucial for offline reinforcement learning, which, unfortunately, has been found to be quite challenging. Dynamics models that are learned by fitting historical transitions often struggle to generalize to unseen transitions. In this study, we identify a hidden but pivotal factor termed dynamics reward that remains consistent across transitions, offering a pathway to better generalization. Therefore, we propose the idea of reward-consistent dynamics models: any trajectory generated by the dynamics model should maximize the dynamics reward derived from the data. We implement this idea as the MOREC (Model-based Offline reinforcement learning with Reward Consistency) method, which can be seamlessly integrated into previous offline model-based reinforcement learning (MBRL) methods. MOREC learns a generalizable dynamics reward function from offline data, which is subsequently employed as a transition filter in any offline MBRL method: when generating transitions, the dynamics model generates a batch of transitions and selects the one with the highest dynamics reward value. On a synthetic task, we visualize that MOREC has a strong generalization ability and can surprisingly recover some distant unseen transitions. On 21 offline tasks in D4RL and NeoRL benchmarks, MOREC improves the previous state-of-the-art performance by a significant margin, i.e., 4.6% on D4RL tasks and 25.9% on NeoRL tasks. Notably, MOREC is the first method that can achieve above 95% online RL performance in 6 out of 12 D4RL tasks and 3 out of 9 NeoRL tasks.

Chengxing Jia, Hao Yin, Chenxiao Gao et al.

Model-based offline optimization with dynamics-aware policy provides a new perspective for policy learning and out-of-distribution generalization, where the learned policy could adapt to different dynamics enumerated at the training stage. But due to the limitation under the offline setting, the learned model could not mimic real dynamics well enough to support reliable out-of-distribution exploration, which still hinders policy to generalize well. To narrow the gap, previous works roughly ensemble randomly initialized models to better approximate the real dynamics. However, such practice is costly and inefficient, and provides no guarantee on how well the real dynamics could be approximated by the learned models, which we name coverability in this paper. We actively address this issue by generating models with provable ability to cover real dynamics in an efficient and controllable way. To that end, we design a distance metric for dynamic models based on the occupancy of policies under the dynamics, and propose an algorithm to generate models optimizing their coverage for the real dynamics. We give a theoretical analysis on the model generation process and proves that our algorithm could provide enhanced coverability. As a downstream task, we train a dynamics-aware policy with minor or no conservative penalty, and experiments demonstrate that our algorithm outperforms prior offline methods on existing offline RL benchmarks. We also discover that policies learned by our method have better zero-shot transfer performance, implying their better generalization.

Ziniu Li, Tian Xu, Yang Yu et al.

Behavioral cloning (BC) can recover a good policy from abundant expert data, but may fail when expert data is insufficient. This paper considers a situation where, besides the small amount of expert data, a supplementary dataset is available, which can be collected cheaply from sub-optimal policies. Imitation learning with a supplementary dataset is an emergent practical framework, but its theoretical foundation remains under-developed. To advance understanding, we first investigate a direct extension of BC, called NBCU, that learns from the union of all available data. Our analysis shows that, although NBCU suffers an imitation gap that is larger than BC in the worst case, there exist special cases where NBCU performs better than or equally well as BC. This discovery implies that noisy data can also be helpful if utilized elaborately. Therefore, we further introduce a discriminator-based importance sampling technique to re-weight the supplementary data, proposing the WBCU method. With our newly developed landscape-based analysis, we prove that WBCU can outperform BC in mild conditions. Empirical studies show that WBCU simultaneously achieves the best performance on two challenging tasks where prior state-of-the-art methods fail.

Ruo-Tong Chen, Ke Xue, Chengrui Gao et al.

Chip placement is a critical step in physical design. While reinforcement learning (RL)-based methods have recently emerged, their training primarily focuses on wirelength optimization, and therefore often fail to achieve expert-quality layouts. We identify the reward design as the primary cause for the performance gap with experts, and instead of formalizing intricate processes, we circumvent this by directly learning from expert layouts to derive a reward model. Our approach starts from the final expert layouts to infer step-by-step expert trajectories. Using these trajectories as demonstrations or preferences, we train a model that captures the latent implicit rewards in expert results. Experiments show that our framework can efficiently learn from even a single design and generalize well to unseen cases.

Tian Xu, Chenyang Wang, Xiaochen Zhai et al.

Adversarial imitation learning (AIL) achieves high-quality imitation by mitigating compounding errors in behavioral cloning (BC), but often exhibits training instability due to adversarial optimization. To avoid this issue, a class of non-adversarial Q-based imitation learning (IL) methods, represented by IQ-Learn, has emerged and is widely believed to outperform BC by leveraging online environment interactions. However, this paper revisits IQ-Learn and demonstrates that it provably reduces to BC and suffers from an imitation gap lower bound with quadratic dependence on horizon, therefore still suffering from compounding errors. Theoretical analysis reveals that, despite using online interactions, IQ-Learn uniformly suppresses the Q-values for all actions on states uncovered by demonstrations, thereby failing to generalize. To address this limitation, we introduce a primal-dual framework for distribution matching, yielding a new Q-based IL method, Dual Q-DM. The key mechanism in Dual Q-DM is incorporating Bellman constraints to propagate high Q-values from visited states to unvisited ones, thereby achieving generalization beyond demonstrations. We prove that Dual Q-DM is equivalent to AIL and can recover expert actions beyond demonstrations, thereby mitigating compounding errors. To the best of our knowledge, Dual Q-DM is the first non-adversarial IL method that is theoretically guaranteed to eliminate compounding errors. Experimental results further corroborate our theoretical results.

Peng-Yuan Wang, Ziniu Li, Tian Xu et al.

Improving data utilization efficiency is critical for scaling reinforcement learning (RL) for long-horizon tasks where generating trajectories is expensive. However, the dominant RL methods for LLMs are largely on-policy: they update each batch of data only once, discard it, and then collect fresh samples, resulting in poor sample efficiency. In this work, we explore an alternative value-based RL framework for LLMs that naturally enables off-policy learning. We propose ReVal, a Bellman-update-based method that combines stepwise signals capturing internal consistency with trajectory-level signals derived from outcome verification. ReVal naturally supports replay-buffer-based training, allowing efficient reuse of past trajectories. Experiments on standard mathematical reasoning benchmarks show that ReVal not only converges faster but also outperforms GRPO in final performance. On DeepSeek-R1-Distill-1.5B, ReVal improves training efficiency and achieves improvement of 2.7% in AIME24 and 4.5% in out-of-domain benchmark GPQA over GRPO. These results suggest that value-based RL is a practical alternative to policy-based methods for LLM training.

Ziniu Li, Tian Xu, Yang Yu

Aligning intelligent agents with human preferences and values is important. This paper examines two popular alignment methods: Direct Preference Optimization (DPO) and Reward-Model-Based Policy Optimization (RMB-PO). A variant of RMB-PO, referred to as RMB-PO+ is also considered. These methods, either explicitly or implicitly, learn a reward model from preference data and differ in the data used for policy optimization to unlock the generalization ability of the reward model. In particular, compared with DPO, RMB-PO additionally uses policy-generated data, and RMB-PO+ further leverages new, preference-free data. We examine the impact of such out-of-preference data. Our study, conducted through controlled and synthetic experiments, demonstrates that DPO performs poorly, whereas RMB-PO+ performs the best. In particular, even when providing the policy model with a good feature representation, we find that policy optimization with adequate out-of-preference data significantly improves performance by harnessing the reward model's generalization capabilities.

Tian Xu, Zhilong Zhang, Zexuan Chen et al.

Adversarial imitation learning (AIL), a prominent approach in imitation learning, has achieved significant practical success powered by neural network approximation. However, existing theoretical analyses of AIL are primarily confined to simplified settings, such as tabular and linear function approximation, and involve complex algorithmic designs that impede practical implementation. This creates a substantial gap between theory and practice. This paper bridges this gap by exploring the theoretical underpinnings of online AIL with general function approximation. We introduce a novel framework called optimization-based AIL (OPT-AIL), which performs online optimization for reward learning coupled with optimism-regularized optimization for policy learning. Within this framework, we develop two concrete methods: model-free OPT-AIL and model-based OPT-AIL. Our theoretical analysis demonstrates that both variants achieve polynomial expert sample complexity and interaction complexity for learning near-expert policies. To the best of our knowledge, they represent the first provably efficient AIL methods under general function approximation. From a practical standpoint, OPT-AIL requires only the approximate optimization of two objectives, thereby facilitating practical implementation. Empirical studies demonstrate that OPT-AIL outperforms previous state-of-the-art deep AIL methods across several challenging tasks.

Yi-Chen Li, Tian Xu, Yang Yu et al.

The alignment of Large Language Models (LLMs) is critically dependent on reward models trained on costly human preference data. While recent work explores bypassing this cost with AI feedback, these methods often lack a rigorous theoretical foundation. In this paper, we discover that a powerful generalist reward model is already latently present within any LLM trained via standard next-token prediction. We prove that this endogenous reward is not a heuristic, but is theoretically equivalent to a reward function learned through offline inverse reinforcement learning. This connection allows us to directly elicit a high-quality reward signal from a base (pre-trained or supervised fine-tuned) model without any further training. Critically, we also prove that subsequent reinforcement learning using this endogenous reward leads to a policy with a provably superior error bound compared to the base model. To our best knowledge, this is the first theoretical proof of the effectiveness of reinforcement learning for LLMs. Our experiments validate this theory, demonstrating that our method not only outperforms existing LLM-as-a-judge approaches but can also surpass explicitly trained reward models. These findings suggest that the reward modeling stage can be replaced by a principled method of eliciting the knowledge already captured during pre-training, heralding a more efficient, powerful, and scalable paradigm for LLMs alignment as well as multi-modal models.

Zijie Yang, Yongjing Yin, Chaojun Kong et al.

Natural Medicinal Materials (NMMs) have a long history of global clinical applications and a wealth of records and knowledge. Although NMMs are a major source for drug discovery and clinical application, the utilization and sharing of NMM knowledge face crucial challenges, including the standardized description of critical information, efficient curation and acquisition, and language barriers. To address these, we developed ShennongAlpha, an AI-driven sharing and collaboration platform for intelligent knowledge curation, acquisition, and translation. For standardized knowledge curation, the platform introduced a Systematic Nomenclature to enable accurate differentiation and identification of NMMs. More than fourteen thousand Chinese NMMs have been curated into the platform along with their knowledge. Furthermore, the platform pioneered chat-based knowledge acquisition, standardized machine translation, and collaborative knowledge updating. Together, our study represents the first major advance in leveraging AI to empower NMM knowledge sharing, which not only marks a novel application of AI for Science, but also will significantly benefit the global biomedical, pharmaceutical, physician, and patient communities.

Tian Xu, Zhilong Zhang, Ruishuo Chen et al.

As a prominent category of imitation learning methods, adversarial imitation learning (AIL) has garnered significant practical success powered by neural network approximation. However, existing theoretical studies on AIL are primarily limited to simplified scenarios such as tabular and linear function approximation and involve complex algorithmic designs that hinder practical implementation, highlighting a gap between theory and practice. In this paper, we explore the theoretical underpinnings of online AIL with general function approximation. We introduce a new method called optimization-based AIL (OPT-AIL), which centers on performing online optimization for reward functions and optimism-regularized Bellman error minimization for Q-value functions. Theoretically, we prove that OPT-AIL achieves polynomial expert sample complexity and interaction complexity for learning near-expert policies. To our best knowledge, OPT-AIL is the first provably efficient AIL method with general function approximation. Practically, OPT-AIL only requires the approximate optimization of two objectives, thereby facilitating practical implementation. Empirical studies demonstrate that OPT-AIL outperforms previous state-of-the-art deep AIL methods in several challenging tasks.

Zijie Yang, Qiji Zhou, Fang Guo et al.

Research data are the foundation of Artificial Intelligence (AI)-driven science, yet current AI applications remain limited to a few fields with readily available, well-structured, digitized datasets. Achieving comprehensive AI empowerment across multiple disciplines is still out of reach. Present-day research data collection is often fragmented, lacking unified standards, inefficiently managed, and difficult to share. Creating a single platform for standardized data digitization needs to overcome the inherent challenge of balancing between universality (supporting the diverse, ever-evolving needs of various disciplines) and standardization (enforcing consistent formats to fully enable AI). No existing platform accommodates both facets. Building a truly multidisciplinary platform requires integrating scientific domain knowledge with sophisticated computing skills. Researchers often lack the computational expertise to design customized and standardized data recording methods, whereas platform developers rarely grasp the intricate needs of multiple scientific domains. These gaps impede research data standardization and hamper AI-driven progress. In this study, we address these challenges by developing Airalogy (https://airalogy.com), the world's first AI- and community-driven platform that balances universality and standardization for digitizing research data across multiple disciplines. Airalogy represents entire research workflows using customizable, standardized data records and offers an advanced AI research copilot for intelligent Q&A, automated data entry, analysis, and research automation. Already deployed in laboratories across all four schools of Westlake University, Airalogy has the potential to accelerate and automate scientific innovation in universities, industry, and the global research community-ultimately benefiting humanity as a whole.

Ziniu Li, Tian Xu, Yang Yu et al.

Since the introduction of GAIL, adversarial imitation learning (AIL) methods attract lots of research interests. Among these methods, ValueDice has achieved significant improvements: it beats the classical approach Behavioral Cloning (BC) under the offline setting, and it requires fewer interactions than GAIL under the online setting. Are these improvements benefited from more advanced algorithm designs? We answer this question by the following conclusions. First, we show that ValueDice could reduce to BC under the offline setting. Second, we verify that overfitting exists and regularization matters in the low-data regime. Specifically, we demonstrate that with weight decay, BC also nearly matches the expert performance as ValueDice does. The first two claims explain the superior offline performance of ValueDice. Third, we establish that ValueDice does not work when the expert trajectory is subsampled. Instead, the mentioned success of ValueDice holds when the expert trajectory is complete, in which ValueDice is closely related to BC that performs well as mentioned. Finally, we discuss the implications of our research for imitation learning studies beyond ValueDice.

Tian Xu, Ziniu Li, Yang Yu et al.

Despite massive empirical evaluations, one of the fundamental questions in imitation learning is still not fully settled: does AIL (adversarial imitation learning) provably generalize better than BC (behavioral cloning)? We study this open problem with tabular and episodic MDPs. For vanilla AIL that uses the direct maximum likelihood estimation, we provide both negative and positive answers under the known transition setting. For some MDPs, we show that vanilla AIL has a worse sample complexity than BC. The key insight is that the state-action distribution matching principle is weak so that AIL may generalize poorly even on visited states from the expert demonstrations. For another class of MDPs, vanilla AIL is proved to generalize well even on non-visited states. Interestingly, its sample complexity is horizon-free, which provably beats BC by a wide margin. Finally, we establish a framework in the unknown transition scenario, which allows AIL to explore via reward-free exploration strategies. Compared with the best-known online apprenticeship learning algorithm, the resulting algorithm improves the sample complexity and interaction complexity.

Jing-Cheng Pang, Tian Xu, Shengyi Jiang et al.

Reinforcement learning (RL) has demonstrated impressive performance in decision-making tasks like embodied control, autonomous driving and financial trading. In many decision-making tasks, the agents often encounter the problem of executing actions under limited budgets. However, classic RL methods typically overlook the challenges posed by such sparse-executing actions. They operate under the assumption that all actions can be taken for a unlimited number of times, both in the formulation of the problem and in the development of effective algorithms. To tackle the issue of limited action execution in RL, this paper first formalizes the problem as a Sparse Action Markov Decision Process (SA-MDP), in which specific actions in the action space can only be executed for a limited time. Then, we propose a policy optimization algorithm, Action Sparsity REgularization (ASRE), which adaptively handles each action with a distinct preference. ASRE operates through two steps: First, ASRE evaluates action sparsity by constrained action sampling. Following this, ASRE incorporates the sparsity evaluation into policy learning by way of an action distribution regularization. We provide theoretical identification that validates the convergence of ASRE to a regularized optimal value function. Experiments on tasks with known sparse-executing actions, where classical RL algorithms struggle to train policy efficiently, ASRE effectively constrains the action sampling and outperforms baselines. Moreover, we present that ASRE can generally improve the performance in Atari games, demonstrating its broad applicability.

Xu Chen, Bangguo Yin, Songqiang Chen et al.

Considering the success of generative adversarial networks (GANs) for image-to-image translation, researchers have attempted to translate remote sensing images (RSIs) to maps (rs2map) through GAN for cartography. However, these studies involved limited scales, which hinders multi-scale map creation. By extending their method, multi-scale RSIs can be trivially translated to multi-scale maps (multi-scale rs2map translation) through scale-wise rs2map models trained for certain scales (parallel strategy). However, this strategy has two theoretical limitations. First, inconsistency between various spatial resolutions of multi-scale RSIs and object generalization on multi-scale maps (RS-m inconsistency) increasingly complicate the extraction of geographical information from RSIs for rs2map models with decreasing scale. Second, as rs2map translation is cross-domain, generators incur high computation costs to transform the RSI pixel distribution to that on maps. Thus, we designed a series strategy of generators for multi-scale rs2map translation to address these limitations. In this strategy, high-resolution RSIs are inputted to an rs2map model to output large-scale maps, which are translated to multi-scale maps through series multi-scale map translation models. The series strategy avoids RS-m inconsistency as inputs are high-resolution large-scale RSIs, and reduces the distribution gap in multi-scale map generation through similar pixel distributions among multi-scale maps. Our experimental results showed better quality multi-scale map generation with the series strategy, as shown by average increases of 11.69%, 53.78%, 55.42%, and 72.34% in the structural similarity index, edge structural similarity index, intersection over union (road), and intersection over union (water) for data from Mexico City and Tokyo at zoom level 17-13.

Lingxiao Wang, Tian Xu, Till Hannes Stoecker et al.

As the COVID-19 pandemic continues to ravage the world, it is of critical significance to provide a timely risk prediction of the COVID-19 in multi-level. To implement it and evaluate the public health policies, we develop a framework with machine learning assisted to extract epidemic dynamics from the infection data, in which contains a county-level spatiotemporal epidemiological model that combines a spatial Cellular Automaton (CA) with a temporal Susceptible-Undiagnosed-Infected-Removed (SUIR) model. Compared with the existing time risk prediction models, the proposed CA-SUIR model shows the multi-level risk of the county to the government and coronavirus transmission patterns under different policies. This new toolbox is first utilized to the projection of the multi-level COVID-19 prevalence over 412 Landkreis (counties) in Germany, including t-day-ahead risk forecast and the risk assessment to the travel restriction policy. As a practical illustration, we predict the situation at Christmas where the worst fatalities are 34.5 thousand, effective policies could contain it to below 21 thousand. Such intervenable evaluation system could help decide on economic restarting and public health policies making in pandemic.

Tian Xu, Ziniu Li, Yang Yu

Imitation learning trains a policy by mimicking expert demonstrations. Various imitation methods were proposed and empirically evaluated, meanwhile, their theoretical understanding needs further studies. In this paper, we firstly analyze the value gap between the expert policy and imitated policies by two imitation methods, behavioral cloning and generative adversarial imitation. The results support that generative adversarial imitation can reduce the compounding errors compared to behavioral cloning, and thus has a better sample complexity. Noticed that by considering the environment transition model as a dual agent, imitation learning can also be used to learn the environment model. Therefore, based on the bounds of imitating policies, we further analyze the performance of imitating environments. The results show that environment models can be more effectively imitated by generative adversarial imitation than behavioral cloning, suggesting a novel application of adversarial imitation for model-based reinforcement learning. We hope these results could inspire future advances in imitation learning and model-based reinforcement learning.

Tian Xu, Jennifer White, Sinan Kalkan et al.

Recognition of expressions of emotions and affect from facial images is a well-studied research problem in the fields of affective computing and computer vision with a large number of datasets available containing facial images and corresponding expression labels. However, virtually none of these datasets have been acquired with consideration of fair distribution across the human population. Therefore, in this work, we undertake a systematic investigation of bias and fairness in facial expression recognition by comparing three different approaches, namely a baseline, an attribute-aware and a disentangled approach, on two well-known datasets, RAF-DB and CelebA. Our results indicate that: (i) data augmentation improves the accuracy of the baseline model, but this alone is unable to mitigate the bias effect; (ii) both the attribute-aware and the disentangled approaches fortified with data augmentation perform better than the baseline approach in terms of accuracy and fairness; (iii) the disentangled approach is the best for mitigating demographic bias; and (iv) the bias mitigation strategies are more suitable in the existence of uneven attribute distribution or imbalanced number of subgroup data.

Tian Xu, Ziniu Li, Yang Yu

Imitation learning trains a policy from expert demonstrations. Imitation learning approaches have been designed from various principles, such as behavioral cloning via supervised learning, apprenticeship learning via inverse reinforcement learning, and GAIL via generative adversarial learning. In this paper, we propose a framework to analyze the theoretical property of imitation learning approaches based on discrepancy propagation analysis. Under the infinite-horizon setting, the framework leads to the value discrepancy of behavioral cloning in an order of O((1-γ)^{-2}). We also show that the framework leads to the value discrepancy of GAIL in an order of O((1-γ)^{-1}). It implies that GAIL has less compounding errors than behavioral cloning, which is also verified empirically in this paper. To the best of our knowledge, we are the first one to analyze GAIL's performance theoretically. The above results indicate that the proposed framework is a general tool to analyze imitation learning approaches. We hope our theoretical results can provide insights for future improvements in imitation learning algorithms.

Tian Xu, Jiayu Zhan, Oliver G. B. Garrod et al.

Deep Convolutional Neural Networks (CNNs) have been one of the most influential recent developments in computer vision, particularly for categorization. There is an increasing demand for explainable AI as these systems are deployed in the real world. However, understanding the information represented and processed in CNNs remains in most cases challenging. Within this paper, we explore the use of new information theoretic techniques developed in the field of neuroscience to enable novel understanding of how a CNN represents information. We trained a 10-layer ResNet architecture to identify 2,000 face identities from 26M images generated using a rigorously controlled 3D face rendering model that produced variations of intrinsic (i.e. face morphology, gender, age, expression and ethnicity) and extrinsic factors (i.e. 3D pose, illumination, scale and 2D translation). With our methodology, we demonstrate that unlike human's network overgeneralizes face identities even with extreme changes of face shape, but it is more sensitive to changes of texture. To understand the processing of information underlying these counterintuitive properties, we visualize the features of shape and texture that the network processes to identify faces. Then, we shed a light into the inner workings of the black box and reveal how hidden layers represent these features and whether the representations are invariant to pose. We hope that our methodology will provide an additional valuable tool for interpretability of CNNs.

Ryan Wen Liu, Tian Xu

In this work, a new constrained hybrid variational deblurring model is developed by combining the non-convex first- and second-order total variation regularizers. Moreover, a box constraint is imposed on the proposed model to guarantee high deblurring performance. The developed constrained hybrid variational model could achieve a good balance between preserving image details and alleviating ringing artifacts. In what follows, we present the corresponding numerical solution by employing an iteratively reweighted algorithm based on alternating direction method of multipliers. The experimental results demonstrate the superior performance of the proposed method in terms of quantitative and qualitative image quality assessments.