Guanhua Chen

Zeguan Xiao, Yan Yang, Guanhua Chen et al.

Extensive efforts have been made before the public release of Large language models (LLMs) to align their behaviors with human values. However, even meticulously aligned LLMs remain vulnerable to malicious manipulations such as jailbreaking, leading to unintended behaviors. In this work, we propose a novel black-box jailbreak framework for automated red teaming of LLMs. We designed malicious content concealing and memory reframing with an iterative optimization algorithm to jailbreak LLMs, motivated by the research about the distractibility and over-confidence phenomenon of LLMs. Extensive experiments of jailbreaking both open-source and proprietary LLMs demonstrate the superiority of our framework in terms of effectiveness, scalability and transferability. We also evaluate the effectiveness of existing jailbreak defense methods against our attack and highlight the crucial need to develop more effective and practical defense strategies.

Jay Jojo Cheng, Jared D. Huling, Guanhua Chen

Medical treatments tailored to a patient's baseline characteristics hold the potential of improving patient outcomes while reducing negative side effects. Learning individualized treatment rules (ITRs) often requires aggregation of multiple datasets(sites); however, current ITR methodology does not take between-site heterogeneity into account, which can hurt model generalizability when deploying back to each site. To address this problem, we develop a method for individual-level meta-analysis of ITRs, which jointly learns site-specific ITRs while borrowing information about feature sign-coherency via a scientifically-motivated directionality principle. We also develop an adaptive procedure for model tuning, using information criteria tailored to the ITR learning problem. We study the proposed methods through numerical experiments to understand their performance under different levels of between-site heterogeneity and apply the methodology to estimate ITRs in a large multi-center database of electronic health records. This work extends several popular methodologies for estimating ITRs (A-learning, weighted learning) to the multiple-sites setting.

Zhiwen Ruan, Yixia Li, Yefeng Liu et al.

Large Language Models (LLMs) have demonstrated exceptional performance across diverse natural language processing tasks. However, these models exhibit a critical limitation in output diversity, often generating highly similar content across multiple attempts. This limitation significantly affects tasks requiring diverse outputs, from creative writing to reasoning. Existing solutions, like temperature scaling, enhance diversity by modifying probability distributions but compromise output quality. We propose Guide-to-Generation (G2), a training-free plug-and-play method that enhances output diversity while preserving generation quality. G2 employs a base generator alongside dual Guides, which guide the generation process through decoding-based interventions to encourage more diverse outputs conditioned on the original query. Comprehensive experiments demonstrate that G2 effectively improves output diversity while maintaining an optimal balance between diversity and quality.

Guanqi Chen, Lei Yang, Guanhua Chen et al.

The ability to navigate robots with natural language instructions in an unknown environment is a crucial step for achieving embodied artificial intelligence (AI). With the improving performance of deep neural models proposed in the field of vision-and-language navigation (VLN), it is equally interesting to know what information the models utilize for their decision-making in the navigation tasks. To understand the inner workings of deep neural models, various explanation methods have been developed for promoting explainable AI (XAI). But they are mostly applied to deep neural models for image or text classification tasks and little work has been done in explaining deep neural models for VLN tasks. In this paper, we address these problems by building quantitative benchmarks to evaluate explanation methods for VLN models in terms of faithfulness. We propose a new erasure-based evaluation pipeline to measure the step-wise textual explanation in the sequential decision-making setting. We evaluate several explanation methods for two representative VLN models on two popular VLN datasets and reveal valuable findings through our experiments.

Hongru Wang, Boyang Xue, Baohang Zhou et al.

Previous research has typically concentrated on leveraging the internal knowledge of Large Language Models (LLMs) to answer known questions (i.e., \textit{internal reasoning such as generate-then-read}). In contrast, for questions that fall outside their known scope, these models rely on external knowledge retrieval to provide accurate responses (i.e., \textit{external acting such as retrieve-then-read}). However, few previous works consider the \textit{compositional questions}, which consist of several known and unknown sub-questions, necessitating the dynamic combination of previous two methods (i.e., \textit{internal reasoning and external acting}) to achieve a better trade-off between effectiveness and efficiency. To this end, we introduce a \textbf{Self} \textbf{D}ivide-and-\textbf{C}onquer (\textit{\texttt{Self-DC}}) framework, accompanying with the first \textbf{C}ompositional \textbf{u}nknown \textbf{Q}uestion-\textbf{A}nswering dataset (CuQA). This framework enables LLMs to adaptively choose between using internal knowledge and retrieving external knowledge as needed, resulting in a better trade-off between effectiveness and efficiency. Experimental results on two datasets demonstrate that \textit{\texttt{Self-DC}} can achieve comparable or even better performance with much fewer external calls compared with several strong baselines.

Yanjun Gao, Skatje Myers, Shan Chen et al.

Large language models (LLMs) are being explored for diagnostic decision support, yet their ability to estimate pre-test probabilities, vital for clinical decision-making, remains limited. This study evaluates two LLMs, Mistral-7B and Llama3-70B, using structured electronic health record data on three diagnosis tasks. We examined three current methods of extracting LLM probability estimations and revealed their limitations. We aim to highlight the need for improved techniques in LLM confidence estimation.

Guanhua Chen, Yutong Yao, Derek F. Wong et al.

Multi-intent natural language understanding (NLU) presents a formidable challenge due to the model confusion arising from multiple intents within a single utterance. While previous works train the model contrastively to increase the margin between different multi-intent labels, they are less suited to the nuances of multi-intent NLU. They ignore the rich information between the shared intents, which is beneficial to constructing a better embedding space, especially in low-data scenarios. We introduce a two-stage Prediction-Aware Contrastive Learning (PACL) framework for multi-intent NLU to harness this valuable knowledge. Our approach capitalizes on shared intent information by integrating word-level pre-training and prediction-aware contrastive fine-tuning. We construct a pre-training dataset using a word-level data augmentation strategy. Subsequently, our framework dynamically assigns roles to instances during contrastive fine-tuning while introducing a prediction-aware contrastive loss to maximize the impact of contrastive learning. We present experimental results and empirical analysis conducted on three widely used datasets, demonstrating that our method surpasses the performance of three prominent baselines on both low-data and full-data scenarios.

Zhiwen Ruan, Yun Chen, Yutao Hou et al.

The pretrained large language models (LLMs) are finetuned with labeled data for better instruction following ability and alignment with human values. In this paper, we study the learning dynamics of LLM finetuning on reasoning tasks and reveal the uncovered over-memorization phenomenon during a specific stage of LLM finetuning. At this stage, the LLMs have excessively memorized training data and exhibit high test perplexity while maintaining good test accuracy. We explore the conditions that contribute to over-memorization and discover that this issue is prevalent across various tasks, models, and fine-tuning methods, with prolonged training and large learning rates exacerbating the problem. Although models with over-memorization demonstrate comparable test accuracy to normal models, they suffer from reduced robustness, poor out-of-distribution generalization, and decreased generation diversity. In light of our findings on over-memorization, we offer recommendations for checkpoint selection and propose techniques such as checkpoint merging and memorization-aware reweighting to mitigate this effect.

Guanhua Chen, Yutong Yao, Ci-Jun Gao et al.

Current research on LoRA primarily focuses on minimizing the number of fine-tuned parameters or optimizing its architecture. However, the necessity of all fine-tuned LoRA layers during inference remains underexplored. In this paper, we investigate the contribution of each LoRA layer to the model's ability to predict the ground truth and hypothesize that lower-layer LoRA modules play a more critical role in model reasoning and understanding. To address this, we propose a simple yet effective method to enhance the performance of large language models (LLMs) fine-tuned with LoRA. Specifically, we identify a ``boundary layer'' that distinguishes essential LoRA layers by analyzing a small set of validation samples. During inference, we drop all LoRA layers beyond this boundary. We evaluate our approach on three strong baselines across four widely-used text generation datasets. Our results demonstrate consistent and significant improvements, underscoring the effectiveness of selectively retaining critical LoRA layers during inference.

Zhiwen Ruan, Yixia Li, He Zhu et al.

Large language models (LLMs) primarily rely on supervised fine-tuning (SFT) as a key method to adapt pre-trained models to domain-specific tasks such as mathematical reasoning. However, standard SFT uniformly penalizes all tokens, neglecting that only a small subset of critical tokens determines reasoning correctness. This uniform supervision often causes reduced output diversity and limited generalization. We propose Critical Token Fine-tuning (CFT), a simple yet effective approach that updates only tokens identified as functionally indispensable via counterfactual perturbations. By focusing gradient signals on these decisive reasoning steps while preserving the diversity of non-critical tokens, CFT can enhance both generation and diversity. Extensive experiments on five models across three families (Qwen, OLMo, LLaMA) and eleven mathematical reasoning benchmarks show that CFT, despite fine-tuning on less than 12% of tokens, consistently outperforms standard SFT. Moreover, CFT enables test-time scaling through improved sampling diversity and provides a stronger initialization for reinforcement learning, sustaining performance gains in later training stages while maintaining higher entropy for better exploration. These results highlight CFT as a practical and general framework for efficient and robust LLM fine-tuning.

Jifan Gao, Guanhua Chen

Causal concept effect estimation is gaining increasing interest in the field of interpretable machine learning. This general approach explains the behaviors of machine learning models by estimating the causal effect of human-understandable concepts, which represent high-level knowledge more comprehensibly than raw inputs like tokens. However, existing causal concept effect explanation methods assume complete observation of all concepts involved within the dataset, which can fail in practice due to incomplete annotations or missing concept data. We theoretically demonstrate that unobserved concepts can bias the estimation of the causal effects of observed concepts. To address this limitation, we introduce the Missingness-aware Causal Concept Explainer (MCCE), a novel framework specifically designed to estimate causal concept effects when not all concepts are observable. Our framework learns to account for residual bias resulting from missing concepts and utilizes a linear predictor to model the relationships between these concepts and the outputs of black-box machine learning models. It can offer explanations on both local and global levels. We conduct validations using a real-world dataset, demonstrating that MCCE achieves promising performance compared to state-of-the-art explanation methods in causal concept effect estimation.

Guanhua Chen, Xiaomao Li, Menggang Yu

We study the problem of learning individualized dose intervals using observational data. There are very few previous works for policy learning with continuous treatment, and all of them focused on recommending an optimal dose rather than an optimal dose interval. In this paper, we propose a new method to estimate such an optimal dose interval, named probability dose interval (PDI). The potential outcomes for doses in the PDI are guaranteed better than a pre-specified threshold with a given probability (e.g., 50%). The associated nonconvex optimization problem can be efficiently solved by the Difference-of-Convex functions (DC) algorithm. We prove that our estimated policy is consistent, and its risk converges to that of the best-in-class policy at a root-n rate. Numerical simulations show the advantage of the proposed method over outcome modeling based benchmarks. We further demonstrate the performance of our method in determining individualized Hemoglobin A1c (HbA1c) control intervals for elderly patients with diabetes.

Rui Chen, Jared D. Huling, Guanhua Chen et al.

Learning individualized treatment rules (ITRs) is an important topic in precision medicine. Current literature mainly focuses on deriving ITRs from a single source population. We consider the observational data setting when the source population differs from a target population of interest. Compared with causal generalization for the average treatment effect which is a scalar quantity, ITR generalization poses new challenges due to the need to model and generalize the rules based on a prespecified class of functions which may not contain the unrestricted true optimal ITR. The aim of this paper is to develop a weighting framework to mitigate the impact of such misspecification and thus facilitate the generalizability of optimal ITRs from a source population to a target population. Our method seeks covariate balance over a non-parametric function class characterized by a reproducing kernel Hilbert space and can improve many ITR learning methods that rely on weights. We show that the proposed method encompasses importance weights and overlap weights as two extreme cases, allowing for a better bias-variance trade-off in between. Numerical examples demonstrate that the use of our weighting method can greatly improve ITR estimation for the target population compared with other weighting methods.

Yun Chen, Yang Liu, Guanhua Chen et al.

Despite its original goal to jointly learn to align and translate, prior researches suggest that Transformer captures poor word alignments through its attention mechanism. In this paper, we show that attention weights DO capture accurate word alignments and propose two novel word alignment induction methods Shift-Att and Shift-AET. The main idea is to induce alignments at the step when the to-be-aligned target token is the decoder input rather than the decoder output as in previous work. Shift-Att is an interpretation method that induces alignments from the attention weights of Transformer and does not require parameter update or architecture change. Shift-AET extracts alignments from an additional alignment module which is tightly integrated into Transformer and trained in isolation with supervision from symmetrized Shift-Att alignments. Experiments on three publicly available datasets demonstrate that both methods perform better than their corresponding neural baselines and Shift-AET significantly outperforms GIZA++ by 1.4-4.8 AER points.

Qian Liu, Guanhua Chen, Michael R. Kosorok et al.

In many situations it is desirable to identify clusters that differ with respect to only a subset of features. Such clusters may represent homogeneous subgroups of patients with a disease, such as cancer or chronic pain. We define a bicluster to be a submatrix U of a larger data matrix X such that the features and observations in U differ from those not contained in U. For example, the observations in U could have different means or variances with respect to the features in U. We propose a general framework for biclustering based on the sparse clustering method of Witten and Tibshirani (2010). We develop a method for identifying features that belong to biclusters. This framework can be used to identify biclusters that differ with respect to the means of the features, the variance of the features, or more general differences. We apply these methods to several simulated and real-world data sets and compare the results of our method with several previously published methods. The results of our method compare favorably with existing methods with respect to both predictive accuracy and computing time.