Zheng Cao

Zefeng Cai, Xiangyu Li, Binyuan Hui et al.

In this paper, we propose a novel SQL guided pre-training framework STAR for context-dependent text-to-SQL parsing, which leverages contextual information to enrich natural language (NL) utterance and table schema representations for text-to-SQL conversations. Concretely, we propose two novel pre-training objectives which respectively explore the context-dependent interactions of NL utterances and SQL queries within each text-to-SQL conversation: (i) schema state tracking (SST) objective that tracks and explores the schema states of context-dependent SQL queries in the form of schema-states by predicting and updating the value of each schema slot during interaction; (ii) utterance dependency tracking (UDT) objective that employs weighted contrastive learning to pull together two semantically similar NL utterances and push away the representations of semantically dissimilar NL utterances within each conversation. In addition, we construct a high-quality large-scale context-dependent text-to-SQL conversation corpus to pre-train STAR. Extensive experiments show that STAR achieves new state-of-the-art performance on two downstream benchmarks (SParC and CoSQL), significantly outperforming previous pre-training methods and ranking first on the leaderboard. We believe the release of the constructed corpus, codebase and pre-trained STAR checkpoints would push forward the research in this area. For reproducibility, we release our code and data at https://github.com/AlibabaResearch/DAMO-ConvAI/tree/main/star.

Wanwei He, Yinpei Dai, Binyuan Hui et al.

Pre-training methods with contrastive learning objectives have shown remarkable success in dialog understanding tasks. However, current contrastive learning solely considers the self-augmented dialog samples as positive samples and treats all other dialog samples as negative ones, which enforces dissimilar representations even for dialogs that are semantically related. In this paper, we propose SPACE-2, a tree-structured pre-trained conversation model, which learns dialog representations from limited labeled dialogs and large-scale unlabeled dialog corpora via semi-supervised contrastive pre-training. Concretely, we first define a general semantic tree structure (STS) to unify the inconsistent annotation schema across different dialog datasets, so that the rich structural information stored in all labeled data can be exploited. Then we propose a novel multi-view score function to increase the relevance of all possible dialogs that share similar STSs and only push away other completely different dialogs during supervised contrastive pre-training. To fully exploit unlabeled dialogs, a basic self-supervised contrastive loss is also added to refine the learned representations. Experiments show that our method can achieve new state-of-the-art results on the DialoGLUE benchmark consisting of seven datasets and four popular dialog understanding tasks. For reproducibility, we release the code and data at https://github.com/AlibabaResearch/DAMO-ConvAI/tree/main/space-2.

Chenliang Li, Haiyang Xu, Junfeng Tian et al.

Large-scale pretrained foundation models have been an emerging paradigm for building artificial intelligence (AI) systems, which can be quickly adapted to a wide range of downstream tasks. This paper presents mPLUG, a new vision-language foundation model for both cross-modal understanding and generation. Most existing pre-trained models suffer from the problems of low computational efficiency and information asymmetry brought by the long visual sequence in cross-modal alignment. To address these problems, mPLUG introduces an effective and efficient vision-language architecture with novel cross-modal skip-connections, which creates inter-layer shortcuts that skip a certain number of layers for time-consuming full self-attention on the vision side. mPLUG is pre-trained end-to-end on large-scale image-text pairs with both discriminative and generative objectives. It achieves state-of-the-art results on a wide range of vision-language downstream tasks, such as image captioning, image-text retrieval, visual grounding and visual question answering. mPLUG also demonstrates strong zero-shot transferability when directly transferred to multiple video-language tasks.

Yinpei Dai, Wanwei He, Bowen Li et al.

Practical dialog systems need to deal with various knowledge sources, noisy user expressions, and the shortage of annotated data. To better solve the above problems, we propose CGoDial, new challenging and comprehensive Chinese benchmark for multi-domain Goal-oriented Dialog evaluation. It contains 96,763 dialog sessions and 574,949 dialog turns totally, covering three datasets with different knowledge sources: 1) a slot-based dialog (SBD) dataset with table-formed knowledge, 2) a flow-based dialog (FBD) dataset with tree-formed knowledge, and a retrieval-based dialog (RBD) dataset with candidate-formed knowledge. To bridge the gap between academic benchmarks and spoken dialog scenarios, we either collect data from real conversations or add spoken features to existing datasets via crowd-sourcing. The proposed experimental settings include the combinations of training with either the entire training set or a few-shot training set, and testing with either the standard test set or a hard test subset, which can assess model capabilities in terms of general prediction, fast adaptability and reliable robustness.

Zheng Cao, Wenyu Du, Kirill V. Golubnichiy

This paper presents a novel way to apply mathematical finance and machine learning (ML) to forecast stock options prices. Following results from the paper Quasi-Reversibility Method and Neural Network Machine Learning to Solution of Black-Scholes Equations (appeared on the AMS Contemporary Mathematics journal), we create and evaluate new empirical mathematical models for the Black-Scholes equation to analyze data for 92,846 companies. We solve the Black-Scholes (BS) equation forwards in time as an ill-posed inverse problem, using the Quasi-Reversibility Method (QRM), to predict option price for the future one day. For each company, we have 13 elements including stock and option daily prices, volatility, minimizer, etc. Because the market is so complicated that there exists no perfect model, we apply ML to train algorithms to make the best prediction. The current stage of research combines QRM with Convolutional Neural Networks (CNN), which learn information across a large number of data points simultaneously. We implement CNN to generate new results by validating and testing on sample market data. We test different ways of applying CNN and compare our CNN models with previous models to see if achieving a higher profit rate is possible.

Zheng Cao, Raymond Guo, Wenyu Du et al.

This paper introduced key aspects of applying Machine Learning (ML) models, improved trading strategies, and the Quasi-Reversibility Method (QRM) to optimize stock option forecasting and trading results. It presented the findings of the follow-up project of the research "Application of Convolutional Neural Networks with Quasi-Reversibility Method Results for Option Forecasting". First, the project included an application of Recurrent Neural Networks (RNN) and Long Short-Term Memory (LSTM) networks to provide a novel way of predicting stock option trends. Additionally, it examined the dependence of the ML models by evaluating the experimental method of combining multiple ML models to improve prediction results and decision-making. Lastly, two improved trading strategies and simulated investing results were presented. The Binomial Asset Pricing Model with discrete time stochastic process analysis and portfolio hedging was applied and suggested an optimized investment expectation. These results can be utilized in real-life trading strategies to optimize stock option investment results based on historical data.

Zheng Cao, Raymond Guo, Caesar M. Tuguinay et al.

This paper presents a methodology for combining programming and mathematics to optimize elevator wait times. Based on simulated user data generated according to the canonical three-peak model of elevator traffic, we first develop a naive model from an intuitive understanding of the logic behind elevators. We take into consideration a general array of features including capacity, acceleration, and maximum wait time thresholds to adequately model realistic circumstances. Using the same evaluation framework, we proceed to develop a Deep Q Learning model in an attempt to match the hard-coded naive approach for elevator control. Throughout the majority of the paper, we work under a Markov Decision Process (MDP) schema, but later explore how the assumption fails to characterize the highly stochastic overall Elevator Group Control System (EGCS).

Yunqi Zhao, Yuchen Guo, Zheng Cao et al.

Tracking in gigapixel scenarios holds numerous potential applications in video surveillance and pedestrian analysis. Existing algorithms attempt to perform tracking in crowded scenes by utilizing multiple cameras or group relationships. However, their performance significantly degrades when confronted with complex interaction and occlusion inherent in gigapixel images. In this paper, we introduce DynamicTrack, a dynamic tracking framework designed to address gigapixel tracking challenges in crowded scenes. In particular, we propose a dynamic detector that utilizes contrastive learning to jointly detect the head and body of pedestrians. Building upon this, we design a dynamic association algorithm that effectively utilizes head and body information for matching purposes. Extensive experiments show that our tracker achieves state-of-the-art performance on widely used tracking benchmarks specifically designed for gigapixel crowded scenes.

Yang Wan, Zheng Cao, Zhenhao Zhang et al.

Large language models excel as few-shot learners when provided with appropriate demonstrations, yet this strength becomes problematic in multiturn agent scenarios, where LLMs erroneously mimic their own previous responses as few-shot examples. Through attention analysis, we identify conversational inertia, a phenomenon where models exhibit strong diagonal attention to previous responses, which is associated with imitation bias that constrains exploration. This reveals a tension when transforming few-shot LLMs into agents: longer context enriches environmental feedback for exploitation, yet also amplifies conversational inertia that undermines exploration. Our key insight is that for identical states, actions generated with longer contexts exhibit stronger inertia than those with shorter contexts, enabling construction of preference pairs without environment rewards. Based on this, we propose Context Preference Learning to calibrate model preferences to favor low-inertia responses over highinertia ones. We further provide context management strategies at inference time to balance exploration and exploitation. Experimental results across eight agentic environments and one deep research scenario validate that our framework reduces conversational inertia and achieves performance improvements.

Zheng Cao, Wanchaloem Wunkaew, Helyette Geman

This paper introduces the Hype Index as a novel metric to quantify media attention toward large-cap equities, leveraging advances in Natural Language Processing (NLP) for extracting predictive signals from financial news. Using the S&P 100 as the focus universe, we first construct a News Count-Based Hype Index, which measures relative media exposure by computing the share of news articles referencing each stock or sector. We then extend it to the Capitalization Adjusted Hype Index, adjusts for economic size by taking the ratio of a stock's or sector's media weight to its market capitalization weight within its industry or sector. We compute both versions of the Hype Index at the stock and sector levels, and evaluate them through multiple lenses: (1) their classification into different hype groups, (2) their associations with returns, volatility, and VIX index at various lags, (3) their signaling power for short-term market movements, and (4) their empirical properties including correlations, samplings, and trends. Our findings suggest that the Hype Index family provides a valuable set of tools for stock volatility analysis, market signaling, and NLP extensions in Finance.

Zheng Cao, Helyette Geman

This article introduces a Hype-Adjusted Probability Measure in the context of a new Natural Language Processing (NLP) approach for stock return and volatility forecasting. A novel sentiment score equation is proposed to represent the impact of intraday news on forecasting next-period stock return and volatility for selected U.S. semiconductor tickers, a very vibrant industry sector. This work improves the forecast accuracy by addressing news bias, memory, and weight, and incorporating shifts in sentiment direction. More importantly, it extends the use of the remarkable tool of change of Probability Measure developed in the finance of Asset Pricing to NLP forecasting by constructing a Hype-Adjusted Probability Measure, obtained from a redistribution of the weights in the probability space, meant to correct for excessive or insufficient news.

Xialie Zhuang, Zhikai Jia, Jianjin Li et al.

Large Language Models (LLMs) are discovered to suffer from accurately retrieving key information. To address this, we propose Mask-Enhanced Autoregressive Prediction (MEAP), a simple yet effective training paradigm that seamlessly integrates Masked Language Modeling (MLM) into Next-Token Prediction (NTP) to enhance the latter's in-context retrieval capabilities. Specifically, MEAP first randomly masks a small fraction of input tokens and then directly performs the standard next-token prediction autoregressive using a decoder-only Transformer. MEAP eliminates the need for bidirectional attention or encoder-decoder architectures for MLM, incurring no additional computational overhead during pre-training or inference. Intensive experiments demonstrate that MEAP substantially outperforms NTP on key information retrieval and long-context reasoning tasks, while performing on par or better on commonsense reasoning tasks. The benefits of MEAP also extend to supervised fine-tuning, where it shows remarkable advantages in lost-in-the-middle scenarios, outperforming NTP by 11.77 percentage points. Our analysis indicates that MEAP's effectiveness arises from its ability to promote more distinguishable attention scores by concentrating on a reduced set of non-masked tokens. This mechanism improves the model's focus on task-relevant signals while mitigating the influence of peripheral context. These findings position MEAP as a promising training paradigm for large language models.

Wanwei He, Yinpei Dai, Yinhe Zheng et al.

Pre-trained models have proved to be powerful in enhancing task-oriented dialog systems. However, current pre-training methods mainly focus on enhancing dialog understanding and generation tasks while neglecting the exploitation of dialog policy. In this paper, we propose GALAXY, a novel pre-trained dialog model that explicitly learns dialog policy from limited labeled dialogs and large-scale unlabeled dialog corpora via semi-supervised learning. Specifically, we introduce a dialog act prediction task for policy optimization during pre-training and employ a consistency regularization term to refine the learned representation with the help of unlabeled dialogs. We also implement a gating mechanism to weigh suitable unlabeled dialog samples. Empirical results show that GALAXY substantially improves the performance of task-oriented dialog systems, and achieves new state-of-the-art results on benchmark datasets: In-Car, MultiWOZ2.0 and MultiWOZ2.1, improving their end-to-end combined scores by 2.5, 5.3 and 5.5 points, respectively. We also show that GALAXY has a stronger few-shot ability than existing models under various low-resource settings.

Bowen Qin, Lihan Wang, Binyuan Hui et al.

Recently pre-training models have significantly improved the performance of various NLP tasks by leveraging large-scale text corpora to improve the contextual representation ability of the neural network. The large pre-training language model has also been applied in the area of table semantic parsing. However, existing pre-training approaches have not carefully explored explicit interaction relationships between a question and the corresponding database schema, which is a key ingredient for uncovering their semantic and structural correspondence. Furthermore, the question-aware representation learning in the schema grounding context has received less attention in pre-training objective.To alleviate these issues, this paper designs two novel pre-training objectives to impose the desired inductive bias into the learned representations for table pre-training. We further propose a schema-aware curriculum learning approach to mitigate the impact of noise and learn effectively from the pre-training data in an easy-to-hard manner. We evaluate our pre-trained framework by fine-tuning it on two benchmarks, Spider and SQUALL. The results demonstrate the effectiveness of our pre-training objective and curriculum compared to a variety of baselines.

Ming Yan, Haiyang Xu, Chenliang Li et al.

The Visual Question Answering (VQA) task utilizes both visual image and language analysis to answer a textual question with respect to an image. It has been a popular research topic with an increasing number of real-world applications in the last decade. This paper describes our recent research of AliceMind-MMU (ALIbaba's Collection of Encoder-decoders from Machine IntelligeNce lab of Damo academy - MultiMedia Understanding) that obtains similar or even slightly better results than human being does on VQA. This is achieved by systematically improving the VQA pipeline including: (1) pre-training with comprehensive visual and textual feature representation; (2) effective cross-modal interaction with learning to attend; and (3) A novel knowledge mining framework with specialized expert modules for the complex VQA task. Treating different types of visual questions with corresponding expertise needed plays an important role in boosting the performance of our VQA architecture up to the human level. An extensive set of experiments and analysis are conducted to demonstrate the effectiveness of the new research work.

Wanling Gao, Fei Tang, Jianfeng Zhan et al.

Modern real-world application scenarios like Internet services consist of a diversity of AI and non-AI modules with huge code sizes and long and complicated execution paths, which raises serious benchmarking or evaluating challenges. Using AI components or micro benchmarks alone can lead to error-prone conclusions. This paper presents a methodology to attack the above challenge. We formalize a real-world application scenario as a Directed Acyclic Graph-based model and propose the rules to distill it into a permutation of essential AI and non-AI tasks, which we call a scenario benchmark. Together with seventeen industry partners, we extract nine typical scenario benchmarks. We design and implement an extensible, configurable, and flexible benchmark framework. We implement two Internet service AI scenario benchmarks based on the framework as proxies to two real-world application scenarios. We consider scenario, component, and micro benchmarks as three indispensable parts for evaluating. Our evaluation shows the advantage of our methodology against using component or micro AI benchmarks alone. The specifications, source code, testbed, and results are publicly available from \url{https://www.benchcouncil.org/aibench/scenario/}.

Fei Tang, Wanling Gao, Jianfeng Zhan et al.

Earlier-stage evaluations of a new AI architecture/system need affordable benchmarks. Only using a few AI component benchmarks like MLPerfalone in the other stages may lead to misleading conclusions. Moreover, the learning dynamics are not well understood, and the benchmarks' shelf-life is short. This paper proposes a balanced benchmarking methodology. We use real-world benchmarks to cover the factors space that impacts the learning dynamics to the most considerable extent. After performing an exhaustive survey on Internet service AI domains, we identify and implement nineteen representative AI tasks with state-of-the-art models. For repeatable performance ranking (RPR subset) and workload characterization (WC subset), we keep two subsets to a minimum for affordability. We contribute by far the most comprehensive AI training benchmark suite. The evaluations show: (1) AIBench Training (v1.1) outperforms MLPerfTraining (v0.7) in terms of diversity and representativeness of model complexity, computational cost, convergent rate, computation, and memory access patterns, and hotspot functions; (2) Against the AIBench full benchmarks, its RPR subset shortens the benchmarking cost by 64%, while maintaining the primary workload characteristics; (3) The performance ranking shows the single-purpose AI accelerator like TPU with the optimized TensorFlowframework performs better than that of GPUs while losing the latter's general support for various AI models. The specification, source code, and performance numbers are available from the AIBench homepage https://www.benchcouncil.org/aibench-training/index.html.

Wanling Gao, Fei Tang, Jianfeng Zhan et al.

Domain-specific software and hardware co-design is encouraging as it is much easier to achieve efficiency for fewer tasks. Agile domain-specific benchmarking speeds up the process as it provides not only relevant design inputs but also relevant metrics, and tools. Unfortunately, modern workloads like Big data, AI, and Internet services dwarf the traditional one in terms of code size, deployment scale, and execution path, and hence raise serious benchmarking challenges. This paper proposes an agile domain-specific benchmarking methodology. Together with seventeen industry partners, we identify ten important end-to-end application scenarios, among which sixteen representative AI tasks are distilled as the AI component benchmarks. We propose the permutations of essential AI and non-AI component benchmarks as end-to-end benchmarks. An end-to-end benchmark is a distillation of the essential attributes of an industry-scale application. We design and implement a highly extensible, configurable, and flexible benchmark framework, on the basis of which, we propose the guideline for building end-to-end benchmarks, and present the first end-to-end Internet service AI benchmark. The preliminary evaluation shows the value of our benchmark suite---AIBench against MLPerf and TailBench for hardware and software designers, micro-architectural researchers, and code developers. The specifications, source code, testbed, and results are publicly available from the web site \url{http://www.benchcouncil.org/AIBench/index.html}.

Chi Ding, Zheng Cao, Matthew S. Emigh et al.

To fully understand interactions between marine hydrokinetic (MHK) equipment and marine animals, a fast and effective monitoring system is required to capture relevant information whenever underwater animals appear. A new automated underwater imaging system composed of LiDAR (Light Detection and Ranging) imaging hardware and a scene understanding software module named Unobtrusive Multistatic Serial LiDAR Imager (UMSLI) to supervise the presence of animals near turbines. UMSLI integrates the front end LiDAR hardware and a series of software modules to achieve image preprocessing, detection, tracking, segmentation and classification in a hierarchical manner.

Wanling Gao, Fei Tang, Lei Wang et al.

Today's Internet Services are undergoing fundamental changes and shifting to an intelligent computing era where AI is widely employed to augment services. In this context, many innovative AI algorithms, systems, and architectures are proposed, and thus the importance of benchmarking and evaluating them rises. However, modern Internet services adopt a microservice-based architecture and consist of various modules. The diversity of these modules and complexity of execution paths, the massive scale and complex hierarchy of datacenter infrastructure, the confidential issues of data sets and workloads pose great challenges to benchmarking. In this paper, we present the first industry-standard Internet service AI benchmark suite---AIBench with seventeen industry partners, including several top Internet service providers. AIBench provides a highly extensible, configurable, and flexible benchmark framework that contains loosely coupled modules. We identify sixteen prominent AI problem domains like learning to rank, each of which forms an AI component benchmark, from three most important Internet service domains: search engine, social network, and e-commerce, which is by far the most comprehensive AI benchmarking effort. On the basis of the AIBench framework, abstracting the real-world data sets and workloads from one of the top e-commerce providers, we design and implement the first end-to-end Internet service AI benchmark, which contains the primary modules in the critical paths of an industry scale application and is scalable to deploy on different cluster scales. The specifications, source code, and performance numbers are publicly available from the benchmark council web site http://www.benchcouncil.org/AIBench/index.html.

Wanling Gao, Jianfeng Zhan, Lei Wang et al.

Several fundamental changes in technology indicate domain-specific hardware and software co-design is the only path left. In this context, architecture, system, data management, and machine learning communities pay greater attention to innovative big data and AI algorithms, architecture, and systems. Unfortunately, complexity, diversity, frequently-changed workloads, and rapid evolution of big data and AI systems raise great challenges. First, the traditional benchmarking methodology that creates a new benchmark or proxy for every possible workload is not scalable, or even impossible for Big Data and AI benchmarking. Second, it is prohibitively expensive to tailor the architecture to characteristics of one or more application or even a domain of applications. We consider each big data and AI workload as a pipeline of one or more classes of units of computation performed on different initial or intermediate data inputs, each class of which we call a data motif. On the basis of our previous work that identifies eight data motifs taking up most of the run time of a wide variety of big data and AI workloads, we propose a scalable benchmarking methodology that uses the combination of one or more data motifs---to represent diversity of big data and AI workloads. Following this methodology, we present a unified big data and AI benchmark suite---BigDataBench 4.0, publicly available from~\url{http://prof.ict.ac.cn/BigDataBench}. This unified benchmark suite sheds new light on domain-specific hardware and software co-design: tailoring the system and architecture to characteristics of the unified eight data motifs other than one or more application case by case. Also, for the first time, we comprehensively characterize the CPU pipeline efficiency using the benchmarks of seven workload types in BigDataBench 4.0.

Zheng Cao, Shujian Yu, Bing Ouyang et al.

To analyze marine animals behavior, seasonal distribution and abundance, digital imagery can be acquired by visual or Lidar camera. Depending on the quantity and properties of acquired imagery, the animals are characterized as either features (shape, color, texture, etc.), or dissimilarity matrices derived from different shape analysis methods (shape context, internal distance shape context, etc.). For both cases, multi-view learning is critical in integrating more than one set of feature or dissimilarity matrix for higher classification accuracy. This paper adopts correntropy loss as cost function in multi-view learning, which has favorable statistical properties for rejecting noise. For the case of features, the correntropy loss-based multi-view learning and its entrywise variation are developed based on the multi-view intact space learning algorithm. For the case of dissimilarity matrices, the robust Euclidean embedding algorithm is extended to its multi-view form with the correntropy loss function. Results from simulated data and real-world marine animal imagery show that the proposed algorithms can effectively enhance classification rate, as well as suppress noise under different noise conditions.