To effectively exploit the potential of large-scale models, various pre-training strategies supported by massive data from different sources are proposed, including supervised pre-training, weakly-supervised pre-training, and self-supervised pre-training. It has been proved that combining multiple pre-training strategies and data from various modalities/sources can greatly boost the training of large-scale models. However, current works adopt a multi-stage pre-training system, where the complex pipeline may increase the uncertainty and instability of the pre-training. It is thus desirable that these strategies can be integrated in a single-stage manner. In this paper, we first propose a general multi-modal mutual information formula as a unified optimization target and demonstrate that all existing approaches are special cases of our framework. Under this unified perspective, we propose an all-in-one single-stage pre-training approach, named Maximizing Multi-modal Mutual Information Pre-training (M3I Pre-training). Our approach achieves better performance than previous pre-training methods on various vision benchmarks, including ImageNet classification, COCO object detection, LVIS long-tailed object detection, and ADE20k semantic segmentation. Notably, we successfully pre-train a billion-level parameter image backbone and achieve state-of-the-art performance on various benchmarks. Code shall be released at https://github.com/OpenGVLab/M3I-Pretraining.
Yuling Yan, Weijie J. Su, Jianqing Fan · princeton
In 2023, the International Conference on Machine Learning (ICML) required authors with multiple submissions to rank their submissions based on perceived quality. In this paper, we aim to employ these author-specified rankings to enhance peer review in machine learning and artificial intelligence conferences by extending the Isotonic Mechanism to exponential family distributions. This mechanism generates adjusted scores that closely align with the original scores while adhering to author-specified rankings. Despite its applicability to a broad spectrum of exponential family distributions, implementing this mechanism does not require knowledge of the specific distribution form. We demonstrate that an author is incentivized to provide accurate rankings when her utility takes the form of a convex additive function of the adjusted review scores. For a certain subclass of exponential family distributions, we prove that the author reports truthfully only if the question involves only pairwise comparisons between her submissions, thus indicating the optimality of ranking in truthful information elicitation. Moreover, we show that the adjusted scores improve dramatically the estimation accuracy compared to the original scores and achieve nearly minimax optimality when the ground-truth scores have bounded total variation. We conclude with a numerical analysis of the ICML 2023 ranking data, showing substantial estimation gains in approximating a proxy ground-truth quality of the papers using the Isotonic Mechanism.
The Muon optimizer has received considerable attention for its strong performance in training large language models, yet the design principle behind its matrix-gradient orthogonalization remains largely elusive. In this paper, we introduce a surrogate model that not only sheds new light on the design of Muon, but more importantly leads to a new optimizer. In the same spirit as the derivation of Newton's method, the surrogate approximates the loss as a quadratic function of the perturbation to a weight matrix $W$ using only three matrices: the gradient $G$, an output-space curvature matrix $H$, and the data matrix $Z$ that stacks the layer inputs. By minimizing this surrogate in one step and adopting a certain isotropic assumption on the weights, we obtain the closed-form update rule (up to momentum and weight decay) $W \leftarrow W - η\cdot \mathrm{msgn}(G(ZZ^\top)^{-1})$, where $η$ is the learning rate and $\mathrm{msgn}(X)=UV^\top$ if $X=USV^\top$ is a compact singular value decomposition. This new optimization method, which we refer to as Newton-Muon, shows that standard Muon can be interpreted as an implicit Newton-type method that neglects the right preconditioning induced by the input second moment. Empirically, on a reproduction of the earliest publicly released Modded-NanoGPT speedrun configuration using Muon for GPT-2 pretraining, Newton-Muon reaches the target validation loss in 6\% fewer iteration steps and reduces wall-clock training time by about 4\%.
The rapid advances of large language models (LLMs), such as ChatGPT, are revolutionizing data science and statistics. These state-of-the-art tools can streamline complex processes. As a result, it reshapes the role of data scientists. We argue that LLMs are transforming the responsibilities of data scientists, shifting their focus from hands-on coding, data-wrangling and conducting standard analyses to assessing and managing analyses performed by these automated AIs. This evolution of roles is reminiscent of the transition from a software engineer to a product manager. We illustrate this transition with concrete data science case studies using LLMs in this paper. These developments necessitate a meaningful evolution in data science education. Pedagogy must now place greater emphasis on cultivating diverse skillsets among students, such as LLM-informed creativity, critical thinking, AI-guided programming. LLMs can also play a significant role in the classroom as interactive teaching and learning tools, contributing to personalized education. This paper discusses the opportunities, resources and open challenges for each of these directions. As with any transformative technology, integrating LLMs into education calls for careful consideration. While LLMs can perform repetitive tasks efficiently, it's crucial to remember that their role is to supplement human intelligence and creativity, not to replace it. Therefore, the new era of data science education should balance the benefits of LLMs while fostering complementary human expertise and innovations. In conclusion, the rise of LLMs heralds a transformative period for data science and its education. This paper seeks to shed light on the emerging trends, potential opportunities, and challenges accompanying this paradigm shift, hoping to spark further discourse and investigation into this exciting, uncharted territory.
Algorithmic fairness plays an important role in machine learning and imposing fairness constraints during learning is a common approach. However, many datasets are imbalanced in certain label classes (e.g. "healthy") and sensitive subgroups (e.g. "older patients"). Empirically, this imbalance leads to a lack of generalizability not only of classification, but also of fairness properties, especially in over-parameterized models. For example, fairness-aware training may ensure equalized odds (EO) on the training data, but EO is far from being satisfied on new users. In this paper, we propose a theoretically-principled, yet Flexible approach that is Imbalance-Fairness-Aware (FIFA). Specifically, FIFA encourages both classification and fairness generalization and can be flexibly combined with many existing fair learning methods with logits-based losses. While our main focus is on EO, FIFA can be directly applied to achieve equalized opportunity (EqOpt); and under certain conditions, it can also be applied to other fairness notions. We demonstrate the power of FIFA by combining it with a popular fair classification algorithm, and the resulting algorithm achieves significantly better fairness generalization on several real-world datasets.
The phenomenon that stochastic gradient descent (SGD) favors flat minima has played a critical role in understanding the implicit regularization of SGD. In this paper, we provide an explanation of this striking phenomenon by relating the particular noise structure of SGD to its \emph{linear stability} (Wu et al., 2018). Specifically, we consider training over-parameterized models with square loss. We prove that if a global minimum $θ^*$ is linearly stable for SGD, then it must satisfy $\|H(θ^*)\|_F\leq O(\sqrt{B}/η)$, where $\|H(θ^*)\|_F, B,η$ denote the Frobenius norm of Hessian at $θ^*$, batch size, and learning rate, respectively. Otherwise, SGD will escape from that minimum \emph{exponentially} fast. Hence, for minima accessible to SGD, the sharpness -- as measured by the Frobenius norm of the Hessian -- is bounded \emph{independently} of the model size and sample size. The key to obtaining these results is exploiting the particular structure of SGD noise: The noise concentrates in sharp directions of local landscape and the magnitude is proportional to loss value. This alignment property of SGD noise provably holds for linear networks and random feature models (RFMs), and is empirically verified for nonlinear networks. Moreover, the validity and practical relevance of our theoretical findings are also justified by extensive experiments on CIFAR-10 dataset.
Many modern machine learning algorithms are composed of simple private algorithms; thus, an increasingly important problem is to efficiently compute the overall privacy loss under composition. In this study, we introduce the Edgeworth Accountant, an analytical approach to composing differential privacy guarantees of private algorithms. The Edgeworth Accountant starts by losslessly tracking the privacy loss under composition using the $f$-differential privacy framework, which allows us to express the privacy guarantees using privacy-loss log-likelihood ratios (PLLRs). As the name suggests, this accountant next uses the Edgeworth expansion to the upper and lower bounds the probability distribution of the sum of the PLLRs. Moreover, by relying on a technique for approximating complex distributions using simple ones, we demonstrate that the Edgeworth Accountant can be applied to the composition of any noise-addition mechanism. Owing to certain appealing features of the Edgeworth expansion, the $(ε, δ)$-differential privacy bounds offered by this accountant are non-asymptotic, with essentially no extra computational cost, as opposed to the prior approaches in, wherein the running times increase with the number of compositions. Finally, we demonstrate that our upper and lower $(ε, δ)$-differential privacy bounds are tight in federated analytics and certain regimes of training private deep learning models.
In recent years, task arithmetic has garnered increasing attention. This approach edits pre-trained models directly in weight space by combining the fine-tuned weights of various tasks into a unified model. Its efficiency and cost-effectiveness stem from its training-free combination, contrasting with traditional methods that require model training on large datasets for multiple tasks. However, applying such a unified model to individual tasks can lead to interference from other tasks (lack of weight disentanglement). To address this issue, Neural Tangent Kernel (NTK) linearization has been employed to leverage a "kernel behavior", facilitating weight disentanglement and mitigating adverse effects from unrelated tasks. Despite its benefits, NTK linearization presents drawbacks, including doubled training costs, as well as reduced performance of individual models. To tackle this problem, we propose a simple yet effective and efficient method that is to finetune the attention modules only in the Transformer. Our study reveals that the attention modules exhibit kernel behavior, and fine-tuning the attention modules only significantly improves weight disentanglement. To further understand how our method improves the weight disentanglement of task arithmetic, we present a comprehensive study of task arithmetic by differentiating the role of the representation module and task-specific module. In particular, we find that the representation module plays an important role in improving weight disentanglement whereas the task-specific modules such as the classification heads can degenerate the weight disentanglement performance. (The code is available at https://github.com/kyrie-23/task_arithmetic_tangent)
Classical algorithms are often not effective for solving nonconvex optimization problems where local minima are separated by high barriers. In this paper, we explore possible quantum speedups for nonconvex optimization by leveraging the global effect of quantum tunneling. Specifically, we introduce a quantum algorithm termed the quantum tunneling walk (QTW) and apply it to nonconvex problems where local minima are approximately global minima. We show that QTW achieves quantum speedup over classical stochastic gradient descents (SGD) when the barriers between different local minima are high but thin and the minima are flat. Based on this observation, we construct a specific double-well landscape, where classical algorithms cannot efficiently hit one target well knowing the other well but QTW can when given proper initial states near the known well. Finally, we corroborate our findings with numerical experiments.
Large language models (LLMs) have been widely employed across various application domains, yet their black-box nature poses significant challenges to understanding how these models process input data internally to make predictions. In this paper, we introduce a precise and quantitative law that governs the learning of contextualized token embeddings through intermediate layers in pre-trained LLMs for next-token prediction. Our findings reveal that each layer contributes equally to enhancing prediction accuracy, from the lowest to the highest layer -- a universal phenomenon observed across a diverse array of open-source LLMs, irrespective of their architectures or pre-training data. We demonstrate that this law offers new perspectives and actionable insights to inform and guide practices in LLM development and applications, including model scaling, pre-training tasks, and interpretation.
The exponential growth of large language models (LLMs) has opened up numerous possibilities for multimodal AGI systems. However, the progress in vision and vision-language foundation models, which are also critical elements of multi-modal AGI, has not kept pace with LLMs. In this work, we design a large-scale vision-language foundation model (InternVL), which scales up the vision foundation model to 6 billion parameters and progressively aligns it with the LLM, using web-scale image-text data from various sources. This model can be broadly applied to and achieve state-of-the-art performance on 32 generic visual-linguistic benchmarks including visual perception tasks such as image-level or pixel-level recognition, vision-language tasks such as zero-shot image/video classification, zero-shot image/video-text retrieval, and link with LLMs to create multi-modal dialogue systems. It has powerful visual capabilities and can be a good alternative to the ViT-22B. We hope that our research could contribute to the development of multi-modal large models. Code and models are available at https://github.com/OpenGVLab/InternVL.
Buxin Su, Jiayao Zhang, Natalie Collina et al. · princeton
We conducted an experiment during the review process of the 2023 International Conference on Machine Learning (ICML), asking authors with multiple submissions to rank their papers based on perceived quality. In total, we received 1,342 rankings, each from a different author, covering 2,592 submissions. In this paper, we present an empirical analysis of how author-provided rankings could be leveraged to improve peer review processes at machine learning conferences. We focus on the Isotonic Mechanism, which calibrates raw review scores using the author-provided rankings. Our analysis shows that these ranking-calibrated scores outperform the raw review scores in estimating the ground truth ``expected review scores'' in terms of both squared and absolute error metrics. Furthermore, we propose several cautious, low-risk applications of the Isotonic Mechanism and author-provided rankings in peer review, including supporting senior area chairs in overseeing area chairs' recommendations, assisting in the selection of paper awards, and guiding the recruitment of emergency reviewers.
While deep learning has enabled significant advances in many areas of science, its black-box nature hinders architecture design for future artificial intelligence applications and interpretation for high-stakes decision makings. We addressed this issue by studying the fundamental question of how deep neural networks process data in the intermediate layers. Our finding is a simple and quantitative law that governs how deep neural networks separate data according to class membership throughout all layers for classification. This law shows that each layer improves data separation at a constant geometric rate, and its emergence is observed in a collection of network architectures and datasets during training. This law offers practical guidelines for designing architectures, improving model robustness and out-of-sample performance, as well as interpreting the predictions.
Hyperparameter optimization, also known as hyperparameter tuning, is a widely recognized technique for improving model performance. Regrettably, when training private ML models, many practitioners often overlook the privacy risks associated with hyperparameter optimization, which could potentially expose sensitive information about the underlying dataset. Currently, the sole existing approach to allow privacy-preserving hyperparameter optimization is to uniformly and randomly select hyperparameters for a number of runs, subsequently reporting the best-performing hyperparameter. In contrast, in non-private settings, practitioners commonly utilize ``adaptive'' hyperparameter optimization methods such as Gaussian process-based optimization, which select the next candidate based on information gathered from previous outputs. This substantial contrast between private and non-private hyperparameter optimization underscores a critical concern. In our paper, we introduce DP-HyPO, a pioneering framework for ``adaptive'' private hyperparameter optimization, aiming to bridge the gap between private and non-private hyperparameter optimization. To accomplish this, we provide a comprehensive differential privacy analysis of our framework. Furthermore, we empirically demonstrate the effectiveness of DP-HyPO on a diverse set of real-world datasets.
We introduce InternVL3, a significant advancement in the InternVL series featuring a native multimodal pre-training paradigm. Rather than adapting a text-only large language model (LLM) into a multimodal large language model (MLLM) that supports visual inputs, InternVL3 jointly acquires multimodal and linguistic capabilities from both diverse multimodal data and pure-text corpora during a single pre-training stage. This unified training paradigm effectively addresses the complexities and alignment challenges commonly encountered in conventional post-hoc training pipelines for MLLMs. To further improve performance and scalability, InternVL3 incorporates variable visual position encoding (V2PE) to support extended multimodal contexts, employs advanced post-training techniques such as supervised fine-tuning (SFT) and mixed preference optimization (MPO), and adopts test-time scaling strategies alongside an optimized training infrastructure. Extensive empirical evaluations demonstrate that InternVL3 delivers superior performance across a wide range of multi-modal tasks. In particular, InternVL3-78B achieves a score of 72.2 on the MMMU benchmark, setting a new state-of-the-art among open-source MLLMs. Its capabilities remain highly competitive with leading proprietary models, including ChatGPT-4o, Claude 3.5 Sonnet, and Gemini 2.5 Pro, while also maintaining strong pure-language proficiency. In pursuit of open-science principles, we will publicly release both the training data and model weights to foster further research and development in next-generation MLLMs.
The U.S. Decennial Census serves as the foundation for many high-profile policy decision-making processes, including federal funding allocation and redistricting. In 2020, the Census Bureau adopted differential privacy to protect the confidentiality of individual responses through a disclosure avoidance system that injects noise into census data tabulations. The Bureau subsequently posed an open question: Could stronger privacy guarantees be obtained for the 2020 U.S. Census compared to their published guarantees, or equivalently, had the privacy budgets been fully utilized? In this paper, we address this question affirmatively by demonstrating that the 2020 U.S. Census provides significantly stronger privacy protections than its nominal guarantees suggest at each of the eight geographical levels, from the national level down to the block level. This finding is enabled by our precise tracking of privacy losses using $f$-differential privacy, applied to the composition of private queries across these geographical levels. Our analysis reveals that the Census Bureau introduced unnecessarily high levels of noise to meet the specified privacy guarantees for the 2020 Census. Consequently, we show that noise variances could be reduced by $15.08\%$ to $24.82\%$ while maintaining nearly the same level of privacy protection for each geographical level, thereby improving the accuracy of privatized census statistics. We empirically demonstrate that reducing noise injection into census statistics mitigates distortion caused by privacy constraints in downstream applications of private census data, illustrated through a study examining the relationship between earnings and education.
Differentially private (DP) machine learning algorithms incur many sources of randomness, such as random initialization, random batch subsampling, and shuffling. However, such randomness is difficult to take into account when proving differential privacy bounds because it induces mixture distributions for the algorithm's output that are difficult to analyze. This paper focuses on improving privacy bounds for shuffling models and one-iteration differentially private gradient descent (DP-GD) with random initializations using $f$-DP. We derive a closed-form expression of the trade-off function for shuffling models that outperforms the most up-to-date results based on $(ε,δ)$-DP. Moreover, we investigate the effects of random initialization on the privacy of one-iteration DP-GD. Our numerical computations of the trade-off function indicate that random initialization can enhance the privacy of DP-GD. Our analysis of $f$-DP guarantees for these mixture mechanisms relies on an inequality for trade-off functions introduced in this paper. This inequality implies the joint convexity of $F$-divergences. Finally, we study an $f$-DP analog of the advanced joint convexity of the hockey-stick divergence related to $(ε,δ)$-DP and apply it to analyze the privacy of mixture mechanisms.
We introduce MMBench-GUI, a hierarchical benchmark for evaluating GUI automation agents across Windows, macOS, Linux, iOS, Android, and Web platforms. It comprises four levels: GUI Content Understanding, Element Grounding, Task Automation, and Task Collaboration, covering essential skills for GUI agents. In addition, we propose a novel Efficiency-Quality Area (EQA) metric to assess GUI agent execution efficiency in online automation scenarios. Through MMBench-GUI, we identify accurate visual grounding as a critical determinant of overall task success, emphasizing the substantial benefits of modular frameworks that integrate specialized grounding modules. Furthermore, to achieve reliable GUI automation, an agent requires strong task planning and cross-platform generalization abilities, with long-context memory, a broad action space, and long-term reasoning playing a critical role. More important, task efficiency remains a critically underexplored dimension, and all models suffer from substantial inefficiencies, with excessive redundant steps even when tasks are ultimately completed. The integration of precise localization, effective planning, and early stopping strategies is indispensable to enable truly efficient and scalable GUI automation. Our benchmark code, evaluation data, and running environment will be publicly available at https://github.com/open-compass/MMBench-GUI.
The rapid advancement of large Vision-Language Models (VLMs) has propelled the development of pure-vision-based GUI Agents, capable of perceiving and operating Graphical User Interfaces (GUI) to autonomously fulfill user instructions. However, existing approaches usually adopt an offline learning framework, which faces two core limitations: (1) heavy reliance on high-quality manual annotations for element grounding and action supervision, and (2) limited adaptability to dynamic and interactive environments. To address these limitations, we propose ZeroGUI, a scalable, online learning framework for automating GUI Agent training at Zero human cost. Specifically, ZeroGUI integrates (i) VLM-based automatic task generation to produce diverse training goals from the current environment state, (ii) VLM-based automatic reward estimation to assess task success without hand-crafted evaluation functions, and (iii) two-stage online reinforcement learning to continuously interact with and learn from GUI environments. Experiments on two advanced GUI Agents (UI-TARS and Aguvis) demonstrate that ZeroGUI significantly boosts performance across OSWorld and AndroidLab environments. The code is available at https://github.com/OpenGVLab/ZeroGUI.
Watermarking has offered an effective approach to distinguishing text generated by large language models (LLMs) from human-written text. However, the pervasive presence of human edits on LLM-generated text dilutes watermark signals, thereby significantly degrading detection performance of existing methods. In this paper, by modeling human edits through mixture model detection, we introduce a new method in the form of a truncated goodness-of-fit test for detecting watermarked text under human edits, which we refer to as Tr-GoF. We prove that the Tr-GoF test achieves optimality in robust detection of the Gumbel-max watermark in a certain asymptotic regime of substantial text modifications and vanishing watermark signals. Importantly, Tr-GoF achieves this optimality \textit{adaptively} as it does not require precise knowledge of human edit levels or probabilistic specifications of the LLMs, in contrast to the optimal but impractical (Neyman--Pearson) likelihood ratio test. Moreover, we establish that the Tr-GoF test attains the highest detection efficiency rate in a certain regime of moderate text modifications. In stark contrast, we show that sum-based detection rules, as employed by existing methods, fail to achieve optimal robustness in both regimes because the additive nature of their statistics is less resilient to edit-induced noise. Finally, we demonstrate the competitive and sometimes superior empirical performance of the Tr-GoF test on both synthetic data and open-source LLMs in the OPT and LLaMA families.
Vision-Language Models (VLMs) have enabled computer use agents (CUAs) that operate GUIs autonomously, showing great potential, yet progress is limited by the lack of large-scale, open-source computer use data and foundation models. In this work, we introduce ScaleCUA, a step toward scaling open-source CUAs. It offers a large-scale dataset spanning 6 operating systems and 3 task domains, built via a closed-loop pipeline uniting automated agents with human experts. Trained on this scaled-up data, ScaleCUA can operate seamlessly across platforms. Specifically, it delivers strong gains over baselines (+26.6 on WebArena-Lite-v2, +10.7 on ScreenSpot-Pro) and sets new state-of-the-art results (94.4% on MMBench-GUI L1-Hard, 60.6% on OSWorld-G, 47.4% on WebArena-Lite-v2). These findings underscore the power of data-driven scaling for general-purpose computer use agents. We will release data, models, and code to advance future research: https://github.com/OpenGVLab/ScaleCUA.
In the setting of conference peer review, the conference aims to accept high-quality papers and reject low-quality papers based on noisy review scores. A recent work proposes the isotonic mechanism, which can elicit the ranking of paper qualities from an author with multiple submissions to help improve the conference's decisions. However, the isotonic mechanism relies on the assumption that the author's utility is both an increasing and a convex function with respect to the review score, which is often violated in peer review settings (e.g.~when authors aim to maximize the number of accepted papers). In this paper, we propose a sequential review mechanism that can truthfully elicit the ranking information from authors while only assuming the agent's utility is increasing with respect to the true quality of her accepted papers. The key idea is to review the papers of an author in a sequence based on the provided ranking and conditioning the review of the next paper on the review scores of the previous papers. Advantages of the sequential review mechanism include 1) eliciting truthful ranking information in a more realistic setting than prior work; 2) improving the quality of accepted papers, reducing the reviewing workload and increasing the average quality of papers being reviewed; 3) incentivizing authors to write fewer papers of higher quality.
The rise of generative AI has enabled the production of high-fidelity synthetic tabular data across fields such as healthcare, finance, and public policy, raising growing concerns about data provenance and misuse. Watermarking offers a promising solution to address these concerns by ensuring the traceability of synthetic data, but existing methods face many limitations: they are computationally expensive due to reliance on large diffusion models, struggle with mixed discrete-continuous data, or lack robustness to post-modifications. To address them, we propose TAB-DRW, an efficient and robust post-editing watermarking scheme for generative tabular data. TAB-DRW embeds watermark signals in the frequency domain: it normalizes heterogeneous features via the Yeo-Johnson transformation and standardization, applies the discrete Fourier transform (DFT), and adjusts the imaginary parts of adaptively selected entries according to precomputed pseudorandom bits. To further enhance robustness and efficiency, we introduce a novel rank-based pseudorandom bit generation method that enables row-wise retrieval without incurring storage overhead. Experiments on five benchmark tabular datasets show that TAB-DRW achieves strong detectability and robustness against common post-processing attacks, while preserving high data fidelity and fully supporting mixed-type features.
Text watermarks in large language models (LLMs) are an increasingly important tool for detecting synthetic text and distinguishing human-written content from LLM-generated text. While most existing studies focus on determining whether entire texts are watermarked, many real-world scenarios involve mixed-source texts, which blend human-written and watermarked content. In this paper, we address the problem of optimally estimating the watermark proportion in mixed-source texts. We cast this problem as estimating the proportion parameter in a mixture model based on \emph{pivotal statistics}. First, we show that this parameter is not even identifiable in certain watermarking schemes, let alone consistently estimable. In stark contrast, for watermarking methods that employ continuous pivotal statistics for detection, we demonstrate that the proportion parameter is identifiable under mild conditions. We propose efficient estimators for this class of methods, which include several popular unbiased watermarks as examples, and derive minimax lower bounds for any measurable estimator based on pivotal statistics, showing that our estimators achieve these lower bounds. Through evaluations on both synthetic data and mixed-source text generated by open-source models, we demonstrate that our proposed estimators consistently achieve high estimation accuracy.
Differential privacy is widely considered the formal privacy for privacy-preserving data analysis due to its robust and rigorous guarantees, with increasingly broad adoption in public services, academia, and industry. Despite originating in the cryptographic context, in this review paper we argue that, fundamentally, differential privacy can be considered a \textit{pure} statistical concept. By leveraging David Blackwell's informativeness theorem, our focus is to demonstrate based on prior work that all definitions of differential privacy can be formally motivated from a hypothesis testing perspective, thereby showing that hypothesis testing is not merely convenient but also the right language for reasoning about differential privacy. This insight leads to the definition of $f$-differential privacy, which extends other differential privacy definitions through a representation theorem. We review techniques that render $f$-differential privacy a unified framework for analyzing privacy bounds in data analysis and machine learning. Applications of this differential privacy definition to private deep learning, private convex optimization, shuffled mechanisms, and U.S.\ Census data are discussed to highlight the benefits of analyzing privacy bounds under this framework compared to existing alternatives.
Large language models (LLMs) raise concerns about content authenticity and integrity because they can generate human-like text at scale. Text watermarks, which embed detectable statistical signals into generated text, offer a provable way to verify content origin. Many detection methods rely on pivotal statistics that are i.i.d. under human-written text, making goodness-of-fit (GoF) tests a natural tool for watermark detection. However, GoF tests remain largely underexplored in this setting. In this paper, we systematically evaluate eight GoF tests across three popular watermarking schemes, using three open-source LLMs, two datasets, various generation temperatures, and multiple post-editing methods. We find that general GoF tests can improve both the detection power and robustness of watermark detectors. Notably, we observe that text repetition, common in low-temperature settings, gives GoF tests a unique advantage not exploited by existing methods. Our results highlight that classic GoF tests are a simple yet powerful and underused tool for watermark detection in LLMs.
This study introduces a hypothesis-testing framework to assess whether large language models (LLMs) possess genuine reasoning abilities or primarily depend on token bias. We go beyond evaluating LLMs on accuracy; rather, we aim to investigate their token bias in solving logical reasoning tasks. Specifically, we develop carefully controlled synthetic datasets, featuring conjunction fallacy and syllogistic problems. Our framework outlines a list of hypotheses where token biases are readily identifiable, with all null hypotheses assuming genuine reasoning capabilities of LLMs. The findings in this study suggest, with statistical guarantee, that most LLMs still struggle with logical reasoning. While they may perform well on classic problems, their success largely depends on recognizing superficial patterns with strong token bias, thereby raising concerns about their actual reasoning and generalization abilities. Codes and data are open-sourced at https://github.com/bowen-upenn/llm_token_bias.
Recently, vision model pre-training has evolved from relying on manually annotated datasets to leveraging large-scale, web-crawled image-text data. Despite these advances, there is no pre-training method that effectively exploits the interleaved image-text data, which is very prevalent on the Internet. Inspired by the recent success of compression learning in natural language processing, we propose a novel vision model pre-training method called Latent Compression Learning (LCL) for interleaved image-text data. This method performs latent compression learning by maximizing the mutual information between the inputs and outputs of a causal attention model. The training objective can be decomposed into two basic tasks: 1) contrastive learning between visual representation and preceding context, and 2) generating subsequent text based on visual representation. Our experiments demonstrate that our method not only matches the performance of CLIP on paired pre-training datasets (e.g., LAION), but can also leverage interleaved pre-training data (e.g., MMC4) to learn robust visual representation from scratch, showcasing the potential of vision model pre-training with interleaved image-text data. Code is released at https://github.com/OpenGVLab/LCL.
The captivating realm of Minecraft has attracted substantial research interest in recent years, serving as a rich platform for developing intelligent agents capable of functioning in open-world environments. However, the current research landscape predominantly focuses on specific objectives, such as the popular "ObtainDiamond" task, and has not yet shown effective generalization to a broader spectrum of tasks. Furthermore, the current leading success rate for the "ObtainDiamond" task stands at around 20%, highlighting the limitations of Reinforcement Learning (RL) based controllers used in existing methods. To tackle these challenges, we introduce Ghost in the Minecraft (GITM), a novel framework integrates Large Language Models (LLMs) with text-based knowledge and memory, aiming to create Generally Capable Agents (GCAs) in Minecraft. These agents, equipped with the logic and common sense capabilities of LLMs, can skillfully navigate complex, sparse-reward environments with text-based interactions. We develop a set of structured actions and leverage LLMs to generate action plans for the agents to execute. The resulting LLM-based agent markedly surpasses previous methods, achieving a remarkable improvement of +47.5% in success rate on the "ObtainDiamond" task, demonstrating superior robustness compared to traditional RL-based controllers. Notably, our agent is the first to procure all items in the Minecraft Overworld technology tree, demonstrating its extensive capabilities. GITM does not need any GPU for training, but a single CPU node with 32 CPU cores is enough. This research shows the potential of LLMs in developing capable agents for handling long-horizon, complex tasks and adapting to uncertainties in open-world environments. See the project website at https://github.com/OpenGVLab/GITM.
DETR has been recently proposed to eliminate the need for many hand-designed components in object detection while demonstrating good performance. However, it suffers from slow convergence and limited feature spatial resolution, due to the limitation of Transformer attention modules in processing image feature maps. To mitigate these issues, we proposed Deformable DETR, whose attention modules only attend to a small set of key sampling points around a reference. Deformable DETR can achieve better performance than DETR (especially on small objects) with 10 times less training epochs. Extensive experiments on the COCO benchmark demonstrate the effectiveness of our approach. Code is released at https://github.com/fundamentalvision/Deformable-DETR.
We introduce a new pre-trainable generic representation for visual-linguistic tasks, called Visual-Linguistic BERT (VL-BERT for short). VL-BERT adopts the simple yet powerful Transformer model as the backbone, and extends it to take both visual and linguistic embedded features as input. In it, each element of the input is either of a word from the input sentence, or a region-of-interest (RoI) from the input image. It is designed to fit for most of the visual-linguistic downstream tasks. To better exploit the generic representation, we pre-train VL-BERT on the massive-scale Conceptual Captions dataset, together with text-only corpus. Extensive empirical analysis demonstrates that the pre-training procedure can better align the visual-linguistic clues and benefit the downstream tasks, such as visual commonsense reasoning, visual question answering and referring expression comprehension. It is worth noting that VL-BERT achieved the first place of single model on the leaderboard of the VCR benchmark. Code is released at \url{https://github.com/jackroos/VL-BERT}.
Since ChatGPT was introduced in November 2022, embedding (nearly) unnoticeable statistical signals into text generated by large language models (LLMs), also known as watermarking, has been used as a principled approach to provable detection of LLM-generated text from its human-written counterpart. In this paper, we introduce a general and flexible framework for reasoning about the statistical efficiency of watermarks and designing powerful detection rules. Inspired by the hypothesis testing formulation of watermark detection, our framework starts by selecting a pivotal statistic of the text and a secret key -- provided by the LLM to the verifier -- to enable controlling the false positive rate (the error of mistakenly detecting human-written text as LLM-generated). Next, this framework allows one to evaluate the power of watermark detection rules by obtaining a closed-form expression of the asymptotic false negative rate (the error of incorrectly classifying LLM-generated text as human-written). Our framework further reduces the problem of determining the optimal detection rule to solving a minimax optimization program. We apply this framework to two representative watermarks -- one of which has been internally implemented at OpenAI -- and obtain several findings that can be instrumental in guiding the practice of implementing watermarks. In particular, we derive optimal detection rules for these watermarks under our framework. These theoretically derived detection rules are demonstrated to be competitive and sometimes enjoy a higher power than existing detection approaches through numerical experiments.
Reinforcement learning with human feedback (RLHF) is an emerging paradigm to align models with human preferences. Typically, RLHF aggregates preferences from multiple individuals who have diverse viewpoints that may conflict with each other. Our work \textit{initiates} the theoretical study of multi-party RLHF that explicitly models the diverse preferences of multiple individuals. We show how traditional RLHF approaches can fail since learning a single reward function cannot capture and balance the preferences of multiple individuals. To overcome such limitations, we incorporate meta-learning to learn multiple preferences and adopt different social welfare functions to aggregate the preferences across multiple parties. We focus on the offline learning setting and establish sample complexity bounds, along with efficiency and fairness guarantees, for optimizing diverse social welfare functions such as Nash, Utilitarian, and Leximin welfare functions. Our results show a separation between the sample complexities of multi-party RLHF and traditional single-party RLHF. Furthermore, we consider a reward-free setting, where each individual's preference is no longer consistent with a reward model, and give pessimistic variants of the von Neumann Winner based on offline preference data. Taken together, our work showcases the advantage of multi-party RLHF but also highlights its more demanding statistical complexity.
Large Language Models (LLMs) have emerged as transformative tools in artificial intelligence (AI), exhibiting remarkable capabilities across diverse tasks such as text generation, reasoning, and decision-making. While their success has primarily been driven by advances in computational power and deep learning architectures, emerging problems -- in areas such as uncertainty quantification, decision-making, causal inference, and distribution shift -- require a deeper engagement with the field of statistics. This paper explores potential areas where statisticians can make important contributions to the development of LLMs, particularly those that aim to engender trustworthiness and transparency for human users. Thus, we focus on issues such as uncertainty quantification, interpretability, fairness, privacy, watermarking and model adaptation. We also consider possible roles for LLMs in statistical analysis. By bridging AI and statistics, we aim to foster a deeper collaboration that advances both the theoretical foundations and practical applications of LLMs, ultimately shaping their role in addressing complex societal challenges.
Machine learning (ML) and artificial intelligence (AI) conferences including NeurIPS and ICML have experienced a significant decline in peer review quality in recent years. To address this growing challenge, we introduce the Isotonic Mechanism, a computationally efficient approach to enhancing the accuracy of noisy review scores by incorporating authors' private assessments of their submissions. Under this mechanism, authors with multiple submissions are required to rank their papers in descending order of perceived quality. Subsequently, the raw review scores are calibrated based on this ranking to produce adjusted scores. We prove that authors are incentivized to truthfully report their rankings because doing so maximizes their expected utility, modeled as an additive convex function over the adjusted scores. Moreover, the adjusted scores are shown to be more accurate than the raw scores, with improvements being particularly significant when the noise level is high and the author has many submissions -- a scenario increasingly prevalent at large-scale ML/AI conferences. We further investigate whether submission quality information beyond a simple ranking can be truthfully elicited from authors. We establish that a necessary condition for truthful elicitation is that the mechanism be based on pairwise comparisons of the author's submissions. This result underscores the optimality of the Isotonic Mechanism, as it elicits the most fine-grained truthful information among all mechanisms we consider. We then present several extensions, including a demonstration that the mechanism maintains truthfulness even when authors have only partial rather than complete information about their submission quality. Finally, we discuss future research directions, focusing on the practical implementation of the mechanism and the further development of a theoretical framework inspired by our mechanism.
Self-play methods have demonstrated remarkable success in enhancing model capabilities across various domains. In the context of Reinforcement Learning from Human Feedback (RLHF), self-play not only boosts Large Language Model (LLM) performance but also overcomes the limitations of traditional Bradley-Terry (BT) model assumptions by finding the Nash equilibrium (NE) of a preference-based, two-player constant-sum game. However, existing methods either guarantee only average-iterate convergence, incurring high storage and inference costs, or converge to the NE of a regularized game, failing to accurately reflect true human preferences. In this paper, we introduce Magnetic Preference Optimization (MPO), a novel approach capable of achieving last-iterate convergence to the NE of the original game, effectively overcoming the limitations of existing methods. Building upon Magnetic Mirror Descent (MMD), MPO attains a linear convergence rate, making it particularly suitable for fine-tuning LLMs. To ensure our algorithm is both theoretically sound and practically viable, we present a simple yet effective implementation that adapts the theoretical insights to the RLHF setting. Empirical results demonstrate that MPO can significantly enhance the performance of LLMs, highlighting the potential of self-play methods in alignment.
The ever-growing scale of deep learning models and datasets underscores the critical importance of efficient optimization methods. While preconditioned gradient methods such as Adam and AdamW are the de facto optimizers for training neural networks and large language models, structure-aware preconditioned optimizers like Shampoo and Muon, which utilize the matrix structure of gradients, have demonstrated promising evidence of faster convergence. In this paper, we introduce a unifying framework for analyzing "matrix-aware" preconditioned methods, which not only sheds light on the effectiveness of Muon and related optimizers but also leads to a class of new structure-aware preconditioned methods. A key contribution of this framework is its precise distinction between preconditioning strategies that treat neural network weights as vectors (addressing curvature anisotropy) versus those that consider their matrix structure (addressing gradient anisotropy). This perspective provides new insights into several empirical phenomena in language model pre-training, including Adam's training instabilities, Muon's accelerated convergence, and the necessity of learning rate warmup for Adam. Building upon this framework, we introduce PolarGrad, a new class of preconditioned optimization methods based on the polar decomposition of matrix-valued gradients. As a special instance, PolarGrad includes Muon with updates scaled by the nuclear norm of the gradients. We provide numerical implementations of these methods, leveraging efficient numerical polar decomposition algorithms for enhanced convergence. Our extensive evaluations across diverse matrix optimization problems and language model pre-training tasks demonstrate that PolarGrad outperforms both Adam and Muon.
Aligning large language models (LLMs) with diverse human preferences is critical for ensuring fairness and informed outcomes when deploying these models for decision-making. In this paper, we seek to uncover fundamental statistical limits concerning aligning LLMs with human preferences, with a focus on the probabilistic representation of human preferences and the preservation of diverse preferences in aligned LLMs. We first show that human preferences can be represented by a reward model if and only if the preference among LLM-generated responses is free of any Condorcet cycle. Moreover, we prove that Condorcet cycles exist with probability converging to one exponentially fast under a probabilistic preference model, thereby demonstrating the impossibility of fully aligning human preferences using reward-based approaches such as reinforcement learning from human feedback. Next, we explore the conditions under which LLMs would employ mixed strategies -- meaning they do not collapse to a single response -- when aligned in the limit using a non-reward-based approach, such as Nash learning from human feedback (NLHF). We identify a necessary and sufficient condition for mixed strategies: the absence of a response that is preferred over all others by a majority. As a blessing, we prove that this condition holds with high probability under the probabilistic preference model, thereby highlighting the statistical possibility of preserving minority preferences without explicit regularization in aligning LLMs. Finally, we leverage insights from our statistical results to design a novel, computationally efficient algorithm for finding Nash equilibria in aligning LLMs with NLHF. Our experiments show that Llama-3.2-1B, aligned with our algorithm, achieves a win rate of 60.55\% against the base model.
Noisy gradient descent and its variants are the predominant algorithms for differentially private machine learning. It is a fundamental question to quantify their privacy leakage, yet tight characterizations remain open even in the foundational setting of convex losses. This paper improves over previous analyses by establishing (and refining) the "privacy amplification by iteration" phenomenon in the unifying framework of $f$-differential privacy--which tightly captures all aspects of the privacy loss and immediately implies tighter privacy accounting in other notions of differential privacy, e.g., $(\varepsilon,δ)$-DP and Rényi DP. Our key technical insight is the construction of shifted interpolated processes that unravel the popular shifted-divergences argument, enabling generalizations beyond divergence-based relaxations of DP. Notably, this leads to the first exact privacy analysis in the foundational setting of strongly convex optimization. Our techniques extend to many settings: convex/strongly convex, constrained/unconstrained, full/cyclic/stochastic batches, and all combinations thereof. As an immediate corollary, we recover the $f$-DP characterization of the exponential mechanism for strongly convex optimization in Gopi et al. (2022), and moreover extend this result to more general settings.
A recent study by De et al. (2022) has reported that large-scale representation learning through pre-training on a public dataset significantly enhances differentially private (DP) learning in downstream tasks, despite the high dimensionality of the feature space. To theoretically explain this phenomenon, we consider the setting of a layer-peeled model in representation learning, which results in interesting phenomena related to learned features in deep learning and transfer learning, known as Neural Collapse (NC). Within the framework of NC, we establish an error bound indicating that the misclassification error is independent of dimension when the distance between actual features and the ideal ones is smaller than a threshold. Additionally, the quality of the features in the last layer is empirically evaluated under different pre-trained models within the framework of NC, showing that a more powerful transformer leads to a better feature representation. Furthermore, we reveal that DP fine-tuning is less robust compared to fine-tuning without DP, particularly in the presence of perturbations. These observations are supported by both theoretical analyses and experimental evaluation. Moreover, to enhance the robustness of DP fine-tuning, we suggest several strategies, such as feature normalization or employing dimension reduction methods like Principal Component Analysis (PCA). Empirically, we demonstrate a significant improvement in testing accuracy by conducting PCA on the last-layer features.
In this paper, we introduce a model for analyzing deep learning optimization over a single iteration by leveraging the matrix structure of the weights. We derive the model by assuming isotropy of curvature, including the second-order Hessian and higher-order terms, of the loss function across all perturbation directions; hence, we call it the isotropic curvature model. This model is a convex optimization program amenable to analysis, which allows us to understand how an update on the weights in the form of a matrix relates to the change in the total loss function. As an application, we use the isotropic curvature model to analyze the recently introduced Muon optimizer and other matrix-gradient methods for training language models. First, we show that under a general growth condition on the curvature, the optimal update matrix is obtained by making the spectrum of the original gradient matrix more homogeneous -- that is, making its singular values closer in ratio -- which in particular improves the conditioning of the update matrix. Next, we show that the orthogonalized gradient becomes optimal for the isotropic curvature model when the curvature exhibits a phase transition in growth. Taken together, these results suggest that the gradient orthogonalization employed in Muon and other related methods is directionally correct but may not be strictly optimal. Finally, we discuss future research on how to leverage the isotropic curvature model for designing new optimization methods for training deep learning and language models.
Watermarking language models is essential for distinguishing between human and machine-generated text and thus maintaining the integrity and trustworthiness of digital communication. We present a novel green/red list watermarking approach that partitions the token set into ``green'' and ``red'' lists, subtly increasing the generation probability for green tokens. To correct token distribution bias, our method employs maximal coupling, using a uniform coin flip to decide whether to apply bias correction, with the result embedded as a pseudorandom watermark signal. Theoretical analysis confirms this approach's unbiased nature and robust detection capabilities. Experimental results show that it outperforms prior techniques by preserving text quality while maintaining high detectability, and it demonstrates resilience to targeted modifications aimed at improving text quality. This research provides a promising watermarking solution for language models, balancing effective detection with minimal impact on text quality.
Despite its empirical success, Reinforcement Learning from Human Feedback (RLHF) has been shown to violate almost all the fundamental axioms in social choice theory -- such as majority consistency, pairwise majority consistency, and Condorcet consistency. This raises a foundational question: why does RLHF perform so well in practice if it fails these seemingly essential properties? In this paper, we resolve this paradox by showing that under mild and empirically plausible assumptions on the preference profile, RLHF does satisfy pairwise majority and Condorcet consistency. These assumptions are frequently satisfied in real-world alignment tasks, offering a theoretical explanation for RLHF's strong practical performance. Furthermore, we show that a slight modification to the reward modeling objective can ensure pairwise majority or Condorcet consistency even under general preference profiles, thereby improving the alignment process. Finally, we go beyond classical axioms in economic and social choice theory and introduce new alignment criteria -- preference matching, preference equivalence, and group preference matching -- that better reflect the goal of learning distributions over responses. We show that while RLHF satisfies the first two properties, it fails to satisfy the third. We conclude by discussing how future alignment methods may be designed to satisfy all three.
Large language models (LLMs) represent a new paradigm for processing unstructured data, with applications across an unprecedented range of domains. In this paper, we address, through two arguments, whether the development and application of LLMs would genuinely benefit from foundational contributions from the statistics discipline. First, we argue affirmatively, beginning with the observation that LLMs are inherently statistical models due to their profound data dependency and stochastic generation processes, where statistical insights are naturally essential for handling variability and uncertainty. Second, we argue that the persistent black-box nature of LLMs -- stemming from their immense scale, architectural complexity, and development practices often prioritizing empirical performance over theoretical interpretability -- renders closed-form or purely mechanistic analyses generally intractable, thereby necessitating statistical approaches due to their flexibility and often demonstrated effectiveness. To substantiate these arguments, the paper outlines several research areas -- including alignment, watermarking, uncertainty quantification, evaluation, and data mixture optimization -- where statistical methodologies are critically needed and are already beginning to make valuable contributions. We conclude with a discussion suggesting that statistical research concerning LLMs will likely form a diverse ``mosaic'' of specialized topics rather than deriving from a single unifying theory, and highlighting the importance of timely engagement by our statistics community in LLM research.
Differentially private (DP) decentralized Federated Learning (FL) allows local users to collaborate without sharing their data with a central server. However, accurately quantifying the privacy budget of private FL algorithms is challenging due to the co-existence of complex algorithmic components such as decentralized communication and local updates. This paper addresses privacy accounting for two decentralized FL algorithms within the $f$-differential privacy ($f$-DP) framework. We develop two new $f$-DP-based accounting methods tailored to decentralized settings: Pairwise Network $f$-DP (PN-$f$-DP), which quantifies privacy leakage between user pairs under random-walk communication, and Secret-based $f$-Local DP (Sec-$f$-LDP), which supports structured noise injection via shared secrets. By combining tools from $f$-DP theory and Markov chain concentration, our accounting framework captures privacy amplification arising from sparse communication, local iterations, and correlated noise. Experiments on synthetic and real datasets demonstrate that our methods yield consistently tighter $(ε,δ)$ bounds and improved utility compared to Rényi DP-based approaches, illustrating the benefits of $f$-DP in decentralized privacy accounting.
We introduce a new tokenizer for language models that minimizes the average tokens per character, thereby reducing the number of tokens needed to represent text during training and to generate text during inference. Our method, which we refer to as the Length-MAX tokenizer, obtains its vocabulary by casting a length-weighted objective maximization as a graph partitioning problem and developing a greedy approximation algorithm. On FineWeb and diverse domains, it yields 14--18\% fewer tokens than Byte Pair Encoding (BPE) across vocabulary sizes from 10K to 50K, and the reduction is 13.0\% when the size is 64K. Training GPT-2 models at 124M, 355M, and 1.3B parameters from scratch with five runs each shows 18.5\%, 17.2\%, and 18.5\% fewer steps, respectively, to reach a fixed validation loss, and 13.7\%, 12.7\%, and 13.7\% lower inference latency, together with a 16\% throughput gain at 124M, while consistently improving on downstream tasks including reducing LAMBADA perplexity by 11.7\% and enhancing HellaSwag accuracy by 4.3\%. Moreover, the Length-MAX tokenizer achieves 99.62\% vocabulary coverage and the out-of-vocabulary rate remains low at 0.12\% on test sets. These results demonstrate that optimizing for average token length, rather than frequency alone, offers an effective approach to more efficient language modeling without sacrificing -- and often improving -- downstream performance. The tokenizer is compatible with production systems and reduces embedding and KV-cache memory by 18\% at inference.
Compositional training has been the de-facto paradigm in existing Multimodal Large Language Models (MLLMs), where pre-trained vision encoders are connected with pre-trained LLMs through continuous multimodal pre-training. However, the multimodal scaling property of this paradigm remains difficult to explore due to the separated training. In this paper, we focus on the native training of MLLMs in an end-to-end manner and systematically study its design space and scaling property under a practical setting, i.e., data constraint. Through careful study of various choices in MLLM, we obtain the optimal meta-architecture that best balances performance and training cost. After that, we further explore the scaling properties of the native MLLM and indicate the positively correlated scaling relationship between visual encoders and LLMs. Based on these findings, we propose a native MLLM called NaViL, combined with a simple and cost-effective recipe. Experimental results on 14 multimodal benchmarks confirm the competitive performance of NaViL against existing MLLMs. Besides that, our findings and results provide in-depth insights for the future study of native MLLMs.
Peer review in academic research aims not only to ensure factual correctness but also to identify work of high scientific potential that can shape future research directions. This task is especially critical in fast-moving fields such as artificial intelligence (AI), yet it has become increasingly difficult given the rapid growth of submissions. In this paper, we investigate an underexplored measure for identifying high-impact research: authors' own rankings of their multiple submissions to the same AI conference. Grounded in game-theoretic reasoning, we hypothesize that self-rankings are informative because authors possess unique understanding of their work's conceptual depth and long-term promise. To test this hypothesis, we conducted a large-scale experiment at a leading AI conference, where 1,342 researchers self-ranked their 2,592 submissions by perceived quality. Tracking outcomes over more than a year, we found that papers ranked highest by their authors received twice as many citations as their lowest-ranked counterparts; self-rankings were especially effective at identifying highly cited papers (those with over 150 citations). Moreover, we showed that self-rankings outperformed peer review scores in predicting future citation counts. Our results remained robust after accounting for confounders such as preprint posting time and self-citations. Together, these findings demonstrate that authors' self-rankings provide a reliable and valuable complement to peer review for identifying and elevating high-impact research in AI.
Training Deep Neural Networks (DNNs) with adversarial examples often results in poor generalization to test-time adversarial data. This paper investigates this issue, known as adversarially robust generalization, through the lens of Rademacher complexity. Building upon the studies by Khim and Loh (2018); Yin et al. (2019), numerous works have been dedicated to this problem, yet achieving a satisfactory bound remains an elusive goal. Existing works on DNNs either apply to a surrogate loss instead of the robust loss or yield bounds that are notably looser compared to their standard counterparts. In the latter case, the bounds have a higher dependency on the width $m$ of the DNNs or the dimension $d$ of the data, with an extra factor of at least $\mathcal{O}(\sqrt{m})$ or $\mathcal{O}(\sqrt{d})$. This paper presents upper bounds for adversarial Rademacher complexity of DNNs that match the best-known upper bounds in standard settings, as established in the work of Bartlett et al. (2017), with the dependency on width and dimension being $\mathcal{O}(\ln(dm))$. The central challenge addressed is calculating the covering number of adversarial function classes. We aim to construct a new cover that possesses two properties: 1) compatibility with adversarial examples, and 2) precision comparable to covers used in standard settings. To this end, we introduce a new variant of covering number called the \emph{uniform covering number}, specifically designed and proven to reconcile these two properties. Consequently, our method effectively bridges the gap between Rademacher complexity in robust and standard generalization.
The extraordinary capabilities of large language models (LLMs) such as ChatGPT and GPT-4 are in part unleashed by aligning them with reward models that are trained on human preferences, which are often represented as rankings of responses to prompts. In this paper, we document the phenomenon of \textit{reward collapse}, an empirical observation where the prevailing ranking-based approach results in an \textit{identical} reward distribution \textit{regardless} of the prompts during the terminal phase of training. This outcome is undesirable as open-ended prompts like ``write a short story about your best friend'' should yield a continuous range of rewards for their completions, while specific prompts like ``what is the capital of New Zealand'' should generate either high or low rewards. Our theoretical investigation reveals that reward collapse is primarily due to the insufficiency of the ranking-based objective function to incorporate prompt-related information during optimization. This insight allows us to derive closed-form expressions for the reward distribution associated with a set of utility functions in an asymptotic regime. To overcome reward collapse, we introduce a prompt-aware optimization scheme that provably admits a prompt-dependent reward distribution within the interpolating regime. Our experimental results suggest that our proposed prompt-aware utility functions significantly alleviate reward collapse during the training of reward models.