Hao Wang

Jiaxing Zhang, Ruyi Gan, Junjie Wang et al.

Nowadays, foundation models become one of fundamental infrastructures in artificial intelligence, paving ways to the general intelligence. However, the reality presents two urgent challenges: existing foundation models are dominated by the English-language community; users are often given limited resources and thus cannot always use foundation models. To support the development of the Chinese-language community, we introduce an open-source project, called Fengshenbang, which leads by the research center for Cognitive Computing and Natural Language (CCNL). Our project has comprehensive capabilities, including large pre-trained models, user-friendly APIs, benchmarks, datasets, and others. We wrap all these in three sub-projects: the Fengshenbang Model, the Fengshen Framework, and the Fengshen Benchmark. An open-source roadmap, Fengshenbang, aims to re-evaluate the open-source community of Chinese pre-trained large-scale models, prompting the development of the entire Chinese large-scale model community. We also want to build a user-centered open-source ecosystem to allow individuals to access the desired models to match their computing resources. Furthermore, we invite companies, colleges, and research institutions to collaborate with us to build the large-scale open-source model-based ecosystem. We hope that this project will be the foundation of Chinese cognitive intelligence.

Yuzhe Yang, Hao Wang, Dina Katabi

Real-world data often exhibit imbalanced label distributions. Existing studies on data imbalance focus on single-domain settings, i.e., samples are from the same data distribution. However, natural data can originate from distinct domains, where a minority class in one domain could have abundant instances from other domains. We formalize the task of Multi-Domain Long-Tailed Recognition (MDLT), which learns from multi-domain imbalanced data, addresses label imbalance, domain shift, and divergent label distributions across domains, and generalizes to all domain-class pairs. We first develop the domain-class transferability graph, and show that such transferability governs the success of learning in MDLT. We then propose BoDA, a theoretically grounded learning strategy that tracks the upper bound of transferability statistics, and ensures balanced alignment and calibration across imbalanced domain-class distributions. We curate five MDLT benchmarks based on widely-used multi-domain datasets, and compare BoDA to twenty algorithms that span different learning strategies. Extensive and rigorous experiments verify the superior performance of BoDA. Further, as a byproduct, BoDA establishes new state-of-the-art on Domain Generalization benchmarks, highlighting the importance of addressing data imbalance across domains, which can be crucial for improving generalization to unseen domains. Code and data are available at: https://github.com/YyzHarry/multi-domain-imbalance.

Yunhe Gao, Xingjian Shi, Yi Zhu et al. · amazon-science

Models should be able to adapt to unseen data during test-time to avoid performance drops caused by inevitable distribution shifts in real-world deployment scenarios. In this work, we tackle the practical yet challenging test-time adaptation (TTA) problem, where a model adapts to the target domain without accessing the source data. We propose a simple recipe called \textit{Data-efficient Prompt Tuning} (DePT) with two key ingredients. First, DePT plugs visual prompts into the vision Transformer and only tunes these source-initialized prompts during adaptation. We find such parameter-efficient finetuning can efficiently adapt the model representation to the target domain without overfitting to the noise in the learning objective. Second, DePT bootstraps the source representation to the target domain by memory bank-based online pseudo-labeling. A hierarchical self-supervised regularization specially designed for prompts is jointly optimized to alleviate error accumulation during self-training. With much fewer tunable parameters, DePT demonstrates not only state-of-the-art performance on major adaptation benchmarks VisDA-C, ImageNet-C, and DomainNet-126, but also superior data efficiency, i.e., adaptation with only 1\% or 10\% data without much performance degradation compared to 100\% data. In addition, DePT is also versatile to be extended to online or multi-source TTA settings.

Zhihan Gao, Xingjian Shi, Hao Wang et al.

Conventionally, Earth system (e.g., weather and climate) forecasting relies on numerical simulation with complex physical models and are hence both expensive in computation and demanding on domain expertise. With the explosive growth of the spatiotemporal Earth observation data in the past decade, data-driven models that apply Deep Learning (DL) are demonstrating impressive potential for various Earth system forecasting tasks. The Transformer as an emerging DL architecture, despite its broad success in other domains, has limited adoption in this area. In this paper, we propose Earthformer, a space-time Transformer for Earth system forecasting. Earthformer is based on a generic, flexible and efficient space-time attention block, named Cuboid Attention. The idea is to decompose the data into cuboids and apply cuboid-level self-attention in parallel. These cuboids are further connected with a collection of global vectors. We conduct experiments on the MovingMNIST dataset and a newly proposed chaotic N-body MNIST dataset to verify the effectiveness of cuboid attention and figure out the best design of Earthformer. Experiments on two real-world benchmarks about precipitation nowcasting and El Nino/Southern Oscillation (ENSO) forecasting show Earthformer achieves state-of-the-art performance. Code is available: https://github.com/amazon-science/earth-forecasting-transformer .

Hao Wang, Junchao Liao, Tianheng Cheng et al.

Recently, the semantics of scene text has been proven to be essential in fine-grained image classification. However, the existing methods mainly exploit the literal meaning of scene text for fine-grained recognition, which might be irrelevant when it is not significantly related to objects/scenes. We propose an end-to-end trainable network that mines implicit contextual knowledge behind scene text image and enhance the semantics and correlation to fine-tune the image representation. Unlike the existing methods, our model integrates three modalities: visual feature extraction, text semantics extraction, and correlating background knowledge to fine-grained image classification. Specifically, we employ KnowBert to retrieve relevant knowledge for semantic representation and combine it with image features for fine-grained classification. Experiments on two benchmark datasets, Con-Text, and Drink Bottle, show that our method outperforms the state-of-the-art by 3.72\% mAP and 5.39\% mAP, respectively. To further validate the effectiveness of the proposed method, we create a new dataset on crowd activity recognition for the evaluation. The source code and new dataset of this work are available at https://github.com/lanfeng4659/KnowledgeMiningWithSceneText.

Wenge Liu, Yi Cheng, Hao Wang et al.

With the rise of telemedicine, the task of developing Dialogue Systems for Medical Diagnosis (DSMD) has received much attention in recent years. Different from early researches that needed to rely on extra human resources and expertise to help construct the system, recent researches focused on how to build DSMD in a purely data-driven manner. However, the previous data-driven DSMD methods largely overlooked the system interpretability, which is critical for a medical application, and they also suffered from the data sparsity issue at the same time. In this paper, we explore how to bring interpretability to data-driven DSMD. Specifically, we propose a more interpretable decision process to implement the dialogue manager of DSMD by reasonably mimicking real doctors' inquiry logics, and we devise a model with highly transparent components to conduct the inference. Moreover, we collect a new DSMD dataset, which has a much larger scale, more diverse patterns and is of higher quality than the existing ones. The experiments show that our method obtains 7.7%, 10.0%, 3.0% absolute improvement in diagnosis accuracy respectively on three datasets, demonstrating the effectiveness of its rational decision process and model design. Our codes and the GMD-12 dataset are available at https://github.com/lwgkzl/BR-Agent.

Jinlai Zhang, Weiming Li, Shuang Liang et al.

Estimating 6D object pose from an RGB image is important for many real-world applications such as autonomous driving and robotic grasping. Recent deep learning models have achieved significant progress on this task but their robustness received little research attention. In this work, for the first time, we study adversarial samples that can fool deep learning models with imperceptible perturbations to input image. In particular, we propose a Unified 6D pose estimation Attack, namely U6DA, which can successfully attack several state-of-the-art (SOTA) deep learning models for 6D pose estimation. The key idea of our U6DA is to fool the models to predict wrong results for object instance localization and shape that are essential for correct 6D pose estimation. Specifically, we explore a transfer-based black-box attack to 6D pose estimation. We design the U6DA loss to guide the generation of adversarial examples, the loss aims to shift the segmentation attention map away from its original position. We show that the generated adversarial samples are not only effective for direct 6D pose estimation models, but also are able to attack two-stage models regardless of their robust RANSAC modules. Extensive experiments were conducted to demonstrate the effectiveness, transferability, and anti-defense capability of our U6DA on large-scale public benchmarks. We also introduce a new U6DA-Linemod dataset for robustness study of the 6D pose estimation task. Our codes and dataset will be available at \url{https://github.com/cuge1995/U6DA}.

Abolfazl Razi, Xiwen Chen, Huayu Li et al.

This paper explores Deep Learning (DL) methods that are used or have the potential to be used for traffic video analysis, emphasizing driving safety for both Autonomous Vehicles (AVs) and human-operated vehicles. We present a typical processing pipeline, which can be used to understand and interpret traffic videos by extracting operational safety metrics and providing general hints and guidelines to improve traffic safety. This processing framework includes several steps, including video enhancement, video stabilization, semantic and incident segmentation, object detection and classification, trajectory extraction, speed estimation, event analysis, modeling and anomaly detection. Our main goal is to guide traffic analysts to develop their own custom-built processing frameworks by selecting the best choices for each step and offering new designs for the lacking modules by providing a comparative analysis of the most successful conventional and DL-based algorithms proposed for each step. We also review existing open-source tools and public datasets that can help train DL models. To be more specific, we review exemplary traffic problems and mentioned requires steps for each problem. Besides, we investigate connections to the closely related research areas of drivers' cognition evaluation, Crowd-sourcing-based monitoring systems, Edge Computing in roadside infrastructures, Automated Driving Systems (ADS)-equipped vehicles, and highlight the missing gaps. Finally, we review commercial implementations of traffic monitoring systems, their future outlook, and open problems and remaining challenges for widespread use of such systems.

Jianqing Zhang, Yang Hua, Hao Wang et al.

A key challenge in federated learning (FL) is the statistical heterogeneity that impairs the generalization of the global model on each client. To address this, we propose a method Federated learning with Adaptive Local Aggregation (FedALA) by capturing the desired information in the global model for client models in personalized FL. The key component of FedALA is an Adaptive Local Aggregation (ALA) module, which can adaptively aggregate the downloaded global model and local model towards the local objective on each client to initialize the local model before training in each iteration. To evaluate the effectiveness of FedALA, we conduct extensive experiments with five benchmark datasets in computer vision and natural language processing domains. FedALA outperforms eleven state-of-the-art baselines by up to 3.27% in test accuracy. Furthermore, we also apply ALA module to other federated learning methods and achieve up to 24.19% improvement in test accuracy.

Tong Wu, Hao Wang, Zhongshen Zeng et al. · tsinghua

Recently, there has been a surge in the use of generated data to enhance the performance of downstream models, largely due to the advancements in pre-trained language models. However, most prevailing methods trained generative and discriminative models in isolation, which left them unable to adapt to changes in each other. These approaches lead to generative models that are prone to deviating from the true data distribution and providing limited benefits to discriminative models. While some works have proposed jointly training generative and discriminative language models, their methods remain challenging due to the non-differentiable nature of discrete data. To overcome these issues, we introduce a \textit{self-consistent learning} framework in the text field that involves training a discriminator and generator cooperatively in a closed-loop manner until a scoring consensus is reached. By learning directly from selected samples, our framework are able to mitigate training instabilities such as mode collapse and non-convergence. Extensive experiments on four downstream benchmarks, including AFQMC, CHIP-STS, QQP, and MRPC, demonstrate the efficacy of the proposed framework.

Duanyu Feng, Yongfu Dai, Jimin Huang et al.

In the financial industry, credit scoring is a fundamental element, shaping access to credit and determining the terms of loans for individuals and businesses alike. Traditional credit scoring methods, however, often grapple with challenges such as narrow knowledge scope and isolated evaluation of credit tasks. Our work posits that Large Language Models (LLMs) have great potential for credit scoring tasks, with strong generalization ability across multiple tasks. To systematically explore LLMs for credit scoring, we propose the first open-source comprehensive framework. We curate a novel benchmark covering 9 datasets with 14K samples, tailored for credit assessment and a critical examination of potential biases within LLMs, and the novel instruction tuning data with over 45k samples. We then propose the first Credit and Risk Assessment Large Language Model (CALM) by instruction tuning, tailored to the nuanced demands of various financial risk assessment tasks. We evaluate CALM, existing state-of-art (SOTA) methods, open source and closed source LLMs on the build benchmark. Our empirical results illuminate the capability of LLMs to not only match but surpass conventional models, pointing towards a future where credit scoring can be more inclusive, comprehensive, and unbiased. We contribute to the industry's transformation by sharing our pioneering instruction-tuning datasets, credit and risk assessment LLM, and benchmarks with the research community and the financial industry.

Zihao Xu, Guang-Yuan Hao, Hao He et al.

Previous studies have shown that leveraging domain index can significantly boost domain adaptation performance (arXiv:2007.01807, arXiv:2202.03628). However, such domain indices are not always available. To address this challenge, we first provide a formal definition of domain index from the probabilistic perspective, and then propose an adversarial variational Bayesian framework that infers domain indices from multi-domain data, thereby providing additional insight on domain relations and improving domain adaptation performance. Our theoretical analysis shows that our adversarial variational Bayesian framework finds the optimal domain index at equilibrium. Empirical results on both synthetic and real data verify that our model can produce interpretable domain indices which enable us to achieve superior performance compared to state-of-the-art domain adaptation methods. Code is available at https://github.com/Wang-ML-Lab/VDI.

Chinedu Innocent Nwoye, Deepak Alapatt, Tong Yu et al.

Context-aware decision support in the operating room can foster surgical safety and efficiency by leveraging real-time feedback from surgical workflow analysis. Most existing works recognize surgical activities at a coarse-grained level, such as phases, steps or events, leaving out fine-grained interaction details about the surgical activity; yet those are needed for more helpful AI assistance in the operating room. Recognizing surgical actions as triplets of <instrument, verb, target> combination delivers comprehensive details about the activities taking place in surgical videos. This paper presents CholecTriplet2021: an endoscopic vision challenge organized at MICCAI 2021 for the recognition of surgical action triplets in laparoscopic videos. The challenge granted private access to the large-scale CholecT50 dataset, which is annotated with action triplet information. In this paper, we present the challenge setup and assessment of the state-of-the-art deep learning methods proposed by the participants during the challenge. A total of 4 baseline methods from the challenge organizers and 19 new deep learning algorithms by competing teams are presented to recognize surgical action triplets directly from surgical videos, achieving mean average precision (mAP) ranging from 4.2% to 38.1%. This study also analyzes the significance of the results obtained by the presented approaches, performs a thorough methodological comparison between them, in-depth result analysis, and proposes a novel ensemble method for enhanced recognition. Our analysis shows that surgical workflow analysis is not yet solved, and also highlights interesting directions for future research on fine-grained surgical activity recognition which is of utmost importance for the development of AI in surgery.

Jinjing Zhu, Yunhao Luo, Xu Zheng et al.

In this paper, we strive to answer the question "how to collaboratively learn convolutional neural network (CNN)-based and vision transformer (ViT)-based models by selecting and exchanging the reliable knowledge between them for semantic segmentation?" Accordingly, we propose an online knowledge distillation (KD) framework that can simultaneously learn compact yet effective CNN-based and ViT-based models with two key technical breakthroughs to take full advantage of CNNs and ViT while compensating their limitations. Firstly, we propose heterogeneous feature distillation (HFD) to improve students' consistency in low-layer feature space by mimicking heterogeneous features between CNNs and ViT. Secondly, to facilitate the two students to learn reliable knowledge from each other, we propose bidirectional selective distillation (BSD) that can dynamically transfer selective knowledge. This is achieved by 1) region-wise BSD determining the directions of knowledge transferred between the corresponding regions in the feature space and 2) pixel-wise BSD discerning which of the prediction knowledge to be transferred in the logit space. Extensive experiments on three benchmark datasets demonstrate that our proposed framework outperforms the state-of-the-art online distillation methods by a large margin, and shows its efficacy in learning collaboratively between ViT-based and CNN-based models.

Hao Wang, Jiatai Lin, Danyi Li et al.

Mitosis detection is one of the fundamental tasks in computational pathology, which is extremely challenging due to the heterogeneity of mitotic cell. Most of the current studies solve the heterogeneity in the technical aspect by increasing the model complexity. However, lacking consideration of the biological knowledge and the complex model design may lead to the overfitting problem while limited the generalizability of the detection model. In this paper, we systematically study the morphological appearances in different mitotic phases as well as the ambiguous non-mitotic cells and identify that balancing the data and feature diversity can achieve better generalizability. Based on this observation, we propose a novel generalizable framework (MitDet) for mitosis detection. The data diversity is considered by the proposed diversity-guided sample balancing (DGSB). And the feature diversity is preserved by inter- and intra- class feature diversity-preserved module (InCDP). Stain enhancement (SE) module is introduced to enhance the domain-relevant diversity of both data and features simultaneously. Extensive experiments have demonstrated that our proposed model outperforms all the SOTA approaches in several popular mitosis detection datasets in both internal and external test sets using minimal annotation efforts with point annotations only. Comprehensive ablation studies have also proven the effectiveness of the rethinking of data and feature diversity balancing. By analyzing the results quantitatively and qualitatively, we believe that our proposed model not only achieves SOTA performance but also might inspire the future studies in new perspectives. Source code is at https://github.com/Onehour0108/MitDet.

Hao Wang, Wenhui Zhu, Jiayou Qin et al.

Detecting retinal image analysis, particularly the geometrical features of branching points, plays an essential role in diagnosing eye diseases. However, existing methods used for this purpose often are coarse-level and lack fine-grained analysis for efficient annotation. To mitigate these issues, this paper proposes a novel method for detecting retinal branching angles using a self-configured image processing technique. Additionally, we offer an open-source annotation tool and a benchmark dataset comprising 40 images annotated with retinal branching angles. Our methodology for retinal branching angle detection and calculation is detailed, followed by a benchmark analysis comparing our method with previous approaches. The results indicate that our method is robust under various conditions with high accuracy and efficiency, which offers a valuable instrument for ophthalmic research and clinical applications.

Jianqing Zhang, Yang Hua, Hao Wang et al.

Federated Learning (FL) is popular for its privacy-preserving and collaborative learning capabilities. Recently, personalized FL (pFL) has received attention for its ability to address statistical heterogeneity and achieve personalization in FL. However, from the perspective of feature extraction, most existing pFL methods only focus on extracting global or personalized feature information during local training, which fails to meet the collaborative learning and personalization goals of pFL. To address this, we propose a new pFL method, named GPFL, to simultaneously learn global and personalized feature information on each client. We conduct extensive experiments on six datasets in three statistically heterogeneous settings and show the superiority of GPFL over ten state-of-the-art methods regarding effectiveness, scalability, fairness, stability, and privacy. Besides, GPFL mitigates overfitting and outperforms the baselines by up to 8.99% in accuracy.

Chengzhi Mao, Kevin Xia, James Wang et al.

Visual representations underlie object recognition tasks, but they often contain both robust and non-robust features. Our main observation is that image classifiers may perform poorly on out-of-distribution samples because spurious correlations between non-robust features and labels can be changed in a new environment. By analyzing procedures for out-of-distribution generalization with a causal graph, we show that standard classifiers fail because the association between images and labels is not transportable across settings. However, we then show that the causal effect, which severs all sources of confounding, remains invariant across domains. This motivates us to develop an algorithm to estimate the causal effect for image classification, which is transportable (i.e., invariant) across source and target environments. Without observing additional variables, we show that we can derive an estimand for the causal effect under empirical assumptions using representations in deep models as proxies. Theoretical analysis, empirical results, and visualizations show that our approach captures causal invariances and improves overall generalization.

Zaixi Zhang, Qi Liu, Zhenya Huang et al.

Many data mining tasks rely on graphs to model relational structures among individuals (nodes). Since relational data are often sensitive, there is an urgent need to evaluate the privacy risks in graph data. One famous privacy attack against data analysis models is the model inversion attack, which aims to infer sensitive data in the training dataset and leads to great privacy concerns. Despite its success in grid-like domains, directly applying model inversion attacks on non-grid domains such as graph leads to poor attack performance. This is mainly due to the failure to consider the unique properties of graphs. To bridge this gap, we conduct a systematic study on model inversion attacks against Graph Neural Networks (GNNs), one of the state-of-the-art graph analysis tools in this paper. Firstly, in the white-box setting where the attacker has full access to the target GNN model, we present GraphMI to infer the private training graph data. Specifically, in GraphMI, a projected gradient module is proposed to tackle the discreteness of graph edges and preserve the sparsity and smoothness of graph features; a graph auto-encoder module is used to efficiently exploit graph topology, node attributes, and target model parameters for edge inference; a random sampling module can finally sample discrete edges. Furthermore, in the hard-label black-box setting where the attacker can only query the GNN API and receive the classification results, we propose two methods based on gradient estimation and reinforcement learning (RL-GraphMI). Our experimental results show that such defenses are not sufficiently effective and call for more advanced defenses against privacy attacks.

Yangyang Guo, Hao Wang, Lei He et al.

An efficient team is essential for the company to successfully complete new projects. To solve the team formation problem considering person-job matching (TFP-PJM), a 0-1 integer programming model is constructed, which considers both person-job matching and team members' willingness to communicate on team efficiency, with the person-job matching score calculated using intuitionistic fuzzy numbers. Then, a reinforcement learning-assisted genetic programming algorithm (RL-GP) is proposed to enhance the quality of solutions. The RL-GP adopts the ensemble population strategies. Before the population evolution at each generation, the agent selects one from four population search modes according to the information obtained, thus realizing a sound balance of exploration and exploitation. In addition, surrogate models are used in the algorithm to evaluate the formation plans generated by individuals, which speeds up the algorithm learning process. Afterward, a series of comparison experiments are conducted to verify the overall performance of RL-GP and the effectiveness of the improved strategies within the algorithm. The hyper-heuristic rules obtained through efficient learning can be utilized as decision-making aids when forming project teams. This study reveals the advantages of reinforcement learning methods, ensemble strategies, and the surrogate model applied to the GP framework. The diversity and intelligent selection of search patterns along with fast adaptation evaluation, are distinct features that enable RL-GP to be deployed in real-world enterprise environments.

Xiyuan Zhang, Xiaoyong Jin, Karthick Gopalswamy et al.

Transformer-based models have gained large popularity and demonstrated promising results in long-term time-series forecasting in recent years. In addition to learning attention in time domain, recent works also explore learning attention in frequency domains (e.g., Fourier domain, wavelet domain), given that seasonal patterns can be better captured in these domains. In this work, we seek to understand the relationships between attention models in different time and frequency domains. Theoretically, we show that attention models in different domains are equivalent under linear conditions (i.e., linear kernel to attention scores). Empirically, we analyze how attention models of different domains show different behaviors through various synthetic experiments with seasonality, trend and noise, with emphasis on the role of softmax operation therein. Both these theoretical and empirical analyses motivate us to propose a new method: TDformer (Trend Decomposition Transformer), that first applies seasonal-trend decomposition, and then additively combines an MLP which predicts the trend component with Fourier attention which predicts the seasonal component to obtain the final prediction. Extensive experiments on benchmark time-series forecasting datasets demonstrate that TDformer achieves state-of-the-art performance against existing attention-based models.

Xinyu Gao, Wenqiang Yi, Alexandros Agapitos et al.

Coverage and capacity are the important metrics for performance evaluation in wireless networks, while the coverage and capacity have several conflicting relationships, e.g. high transmit power contributes to large coverage but high inter-cell interference reduces the capacity performance. Therefore, in order to strike a balance between the coverage and capacity, a novel model is proposed for the coverage and capacity optimization of simultaneously transmitting and reflecting reconfigurable intelligent surfaces (STAR-RISs) assisted networks. To solve the coverage and capacity optimization (CCO) problem, a machine learning-based multi-objective optimization algorithm, i.e., the multi-objective proximal policy optimization (MO-PPO) algorithm, is proposed. In this algorithm, a loss function-based update strategy is the core point, which is able to calculate weights for both loss functions of coverage and capacity by a min-norm solver at each update. The numerical results demonstrate that the investigated update strategy outperforms the fixed weight-based MO algorithms.

Yongqiang Han, Likang Wu, Hao Wang et al.

Sequential Recommendation is a widely studied paradigm for learning users' dynamic interests from historical interactions for predicting the next potential item. Although lots of research work has achieved remarkable progress, they are still plagued by the common issues: data sparsity of limited supervised signals and data noise of accidentally clicking. To this end, several works have attempted to address these issues, which ignored the complex association of items across several sequences. Along this line, with the aim of learning representative item embedding to alleviate this dilemma, we propose GUESR, from the view of graph contrastive learning. Specifically, we first construct the Global Item Relationship Graph (GIRG) from all interaction sequences and present the Bucket-Cluster Sampling (BCS) method to conduct the sub-graphs. Then, graph contrastive learning on this reduced graph is developed to enhance item representations with complex associations from the global view. We subsequently extend the CapsNet module with the elaborately introduced target-attention mechanism to derive users' dynamic preferences. Extensive experimental results have demonstrated our proposed GUESR could not only achieve significant improvements but also could be regarded as a general enhancement strategy to improve the performance in combination with other sequential recommendation methods.

Hao Wang, Yixin Cao, Yangguang Li et al.

Document-level natural language inference (DOCNLI) is a new challenging task in natural language processing, aiming at judging the entailment relationship between a pair of hypothesis and premise documents. Current datasets and baselines largely follow sentence-level settings, but fail to address the issues raised by longer documents. In this paper, we establish a general solution, named Retrieval, Reading and Fusion (R2F) framework, and a new setting, by analyzing the main challenges of DOCNLI: interpretability, long-range dependency, and cross-sentence inference. The basic idea of the framework is to simplify document-level task into a set of sentence-level tasks, and improve both performance and interpretability with the power of evidence. For each hypothesis sentence, the framework retrieves evidence sentences from the premise, and reads to estimate its credibility. Then the sentence-level results are fused to judge the relationship between the documents. For the setting, we contribute complementary evidence and entailment label annotation on hypothesis sentences, for interpretability study. Our experimental results show that R2F framework can obtain state-of-the-art performance and is robust for diverse evidence retrieval methods. Moreover, it can give more interpretable prediction results. Our model and code are released at https://github.com/phoenixsecularbird/R2F.

Hao Wang, Kaifeng Yang, Michael Affenzeller

Hypervolume improvement (HVI) is commonly employed in multi-objective Bayesian optimization algorithms to define acquisition functions due to its Pareto-compliant property. Rather than focusing on specific statistical moments of HVI, this work aims to provide the exact expression of HVI's probability distribution for bi-objective problems. Considering a bi-variate Gaussian random variable resulting from Gaussian process (GP) modeling, we derive the probability distribution of its hypervolume improvement via a cell partition-based method. Our exact expression is superior in numerical accuracy and computation efficiency compared to the Monte Carlo approximation of HVI's distribution. Utilizing this distribution, we propose a novel acquisition function - $\varepsilon$-probability of hypervolume improvement ($\varepsilon$-PoHVI). Experimentally, we show that on many widely-applied bi-objective test problems, $\varepsilon$-PoHVI significantly outperforms other related acquisition functions, e.g., $\varepsilon$-PoI, and expected hypervolume improvement, when the GP model exhibits a large the prediction uncertainty.

Hao Wang, Hao Bao, Liekang Zeng et al.

To identify dense and small-size pedestrians in surveillance systems, high-resolution cameras are widely deployed, where high-resolution images are captured and delivered to off-the-shelf pedestrian detection models. However, given the highly computation-intensive workload brought by the high resolution, the resource-constrained cameras fail to afford accurate inference in real time. To address that, we propose Hode, an offloaded video analytic framework that utilizes multiple edge nodes in proximity to expedite pedestrian detection with high-resolution inputs. Specifically, Hode can intelligently split high-resolution images into respective regions and then offload them to distributed edge nodes to perform pedestrian detection in parallel. A spatio-temporal flow filtering method is designed to enable context-aware region partitioning, as well as a DRL-based scheduling algorithm to allow accuracy-aware load balance among heterogeneous edge nodes. Extensive evaluation results using realistic prototypes show that Hode can achieve up to 2.01% speedup with very mild accuracy loss.

Ruoshi Liu, Chengzhi Mao, Purva Tendulkar et al.

Many machine learning methods operate by inverting a neural network at inference time, which has become a popular technique for solving inverse problems in computer vision, robotics, and graphics. However, these methods often involve gradient descent through a highly non-convex loss landscape, causing the optimization process to be unstable and slow. We introduce a method that learns a loss landscape where gradient descent is efficient, bringing massive improvement and acceleration to the inversion process. We demonstrate this advantage on a number of methods for both generative and discriminative tasks, including GAN inversion, adversarial defense, and 3D human pose reconstruction.

Chengzhi Mao, Lingyu Zhang, Abhishek Joshi et al.

Deep networks for computer vision are not reliable when they encounter adversarial examples. In this paper, we introduce a framework that uses the dense intrinsic constraints in natural images to robustify inference. By introducing constraints at inference time, we can shift the burden of robustness from training to the inference algorithm, thereby allowing the model to adjust dynamically to each individual image's unique and potentially novel characteristics at inference time. Among different constraints, we find that equivariance-based constraints are most effective, because they allow dense constraints in the feature space without overly constraining the representation at a fine-grained level. Our theoretical results validate the importance of having such dense constraints at inference time. Our empirical experiments show that restoring feature equivariance at inference time defends against worst-case adversarial perturbations. The method obtains improved adversarial robustness on four datasets (ImageNet, Cityscapes, PASCAL VOC, and MS-COCO) on image recognition, semantic segmentation, and instance segmentation tasks. Project page is available at equi4robust.cs.columbia.edu.

Hao Wang, Luxi He, Rui Gao et al.

Machine learning (ML) models can underperform on certain population groups due to choices made during model development and bias inherent in the data. We categorize sources of discrimination in the ML pipeline into two classes: aleatoric discrimination, which is inherent in the data distribution, and epistemic discrimination, which is due to decisions made during model development. We quantify aleatoric discrimination by determining the performance limits of a model under fairness constraints, assuming perfect knowledge of the data distribution. We demonstrate how to characterize aleatoric discrimination by applying Blackwell's results on comparing statistical experiments. We then quantify epistemic discrimination as the gap between a model's accuracy when fairness constraints are applied and the limit posed by aleatoric discrimination. We apply this approach to benchmark existing fairness interventions and investigate fairness risks in data with missing values. Our results indicate that state-of-the-art fairness interventions are effective at removing epistemic discrimination on standard (overused) tabular datasets. However, when data has missing values, there is still significant room for improvement in handling aleatoric discrimination.

Kirill Antonov, Elena Raponi, Hao Wang et al.

Bayesian Optimization (BO) is a surrogate-based global optimization strategy that relies on a Gaussian Process regression (GPR) model to approximate the objective function and an acquisition function to suggest candidate points. It is well-known that BO does not scale well for high-dimensional problems because the GPR model requires substantially more data points to achieve sufficient accuracy and acquisition optimization becomes computationally expensive in high dimensions. Several recent works aim at addressing these issues, e.g., methods that implement online variable selection or conduct the search on a lower-dimensional sub-manifold of the original search space. Advancing our previous work of PCA-BO that learns a linear sub-manifold, this paper proposes a novel kernel PCA-assisted BO (KPCA-BO) algorithm, which embeds a non-linear sub-manifold in the search space and performs BO on this sub-manifold. Intuitively, constructing the GPR model on a lower-dimensional sub-manifold helps improve the modeling accuracy without requiring much more data from the objective function. Also, our approach defines the acquisition function on the lower-dimensional sub-manifold, making the acquisition optimization more manageable. We compare the performance of KPCA-BO to a vanilla BO and to PCA-BO on the multi-modal problems of the COCO/BBOB benchmark suite. Empirical results show that KPCA-BO outperforms BO in terms of convergence speed on most test problems, and this benefit becomes more significant when the dimensionality increases. For the 60D functions, KPCA-BO achieves better results than PCA-BO for many test cases. Compared to the vanilla BO, it efficiently reduces the CPU time required to train the GPR model and to optimize the acquisition function compared to the vanilla BO.

Wael Alghamdi, Hsiang Hsu, Haewon Jeong et al.

We consider the problem of producing fair probabilistic classifiers for multi-class classification tasks. We formulate this problem in terms of "projecting" a pre-trained (and potentially unfair) classifier onto the set of models that satisfy target group-fairness requirements. The new, projected model is given by post-processing the outputs of the pre-trained classifier by a multiplicative factor. We provide a parallelizable iterative algorithm for computing the projected classifier and derive both sample complexity and convergence guarantees. Comprehensive numerical comparisons with state-of-the-art benchmarks demonstrate that our approach maintains competitive performance in terms of accuracy-fairness trade-off curves, while achieving favorable runtime on large datasets. We also evaluate our method at scale on an open dataset with multiple classes, multiple intersectional protected groups, and over 1M samples.

Jiawei Zhang, Jinwei Wang, Hao Wang et al.

Malicious intelligent algorithms greatly threaten the security of social users' privacy by detecting and analyzing the uploaded photos to social network platforms. The destruction to DNNs brought by the adversarial attack sparks the potential that adversarial examples serve as a new protection mechanism for privacy security in social networks. However, the existing adversarial example does not have recoverability for serving as an effective protection mechanism. To address this issue, we propose a recoverable generative adversarial network to generate self-recoverable adversarial examples. By modeling the adversarial attack and recovery as a united task, our method can minimize the error of the recovered examples while maximizing the attack ability, resulting in better recoverability of adversarial examples. To further boost the recoverability of these examples, we exploit a dimension reducer to optimize the distribution of adversarial perturbation. The experimental results prove that the adversarial examples generated by the proposed method present superior recoverability, attack ability, and robustness on different datasets and network architectures, which ensure its effectiveness as a protection mechanism in social networks.

Hao Wang, Xiwen Chen, Natan Vital et al.

With more than 32% of the global energy used by commercial and residential buildings, there is an urgent need to revisit traditional approaches to Building Energy Management (BEM). With HVAC systems accounting for about 40% of the total energy cost in the commercial sector, we propose a low-complexity DRL-based model with multi-input multi-output architecture for the HVAC energy optimization of open-plan offices, which uses only a handful of controllable and accessible factors. The efficacy of our solution is evaluated through extensive analysis of the overall energy consumption and thermal comfort levels compared to a baseline system based on the existing HVAC schedule in a real building. This comparison shows that our method achieves 37% savings in energy consumption with minimum violation (<1%) of the desired temperature range during work hours. It takes only a total of 40 minutes for 5 epochs (about 7.75 minutes per epoch) to train a network with superior performance and covering diverse conditions for its low-complexity architecture; therefore, it easily adapts to changes in the building setups, weather conditions, occupancy rate, etc. Moreover, by enforcing smoothness on the control strategy, we suppress the frequent and unpleasant on/off transitions on HVAC units to avoid occupant discomfort and potential damage to the system. The generalizability of our model is verified by applying it to different building models and under various weather conditions.

Jingquan Yan, Hao Wang

Interpretable time series prediction is crucial for safety-critical areas such as healthcare and autonomous driving. Most existing methods focus on interpreting predictions by assigning important scores to segments of time series. In this paper, we take a different and more challenging route and aim at developing a self-interpretable model, dubbed Counterfactual Time Series (CounTS), which generates counterfactual and actionable explanations for time series predictions. Specifically, we formalize the problem of time series counterfactual explanations, establish associated evaluation protocols, and propose a variational Bayesian deep learning model equipped with counterfactual inference capability of time series abduction, action, and prediction. Compared with state-of-the-art baselines, our self-interpretable model can generate better counterfactual explanations while maintaining comparable prediction accuracy.

Hao Wang, Lixue Liu, Xueguan Song et al.

In tunnel boring machine (TBM) underground projects, an accurate description of the rock-soil types distributed in the tunnel can decrease the construction risk ({\it e.g.} surface settlement and landslide) and improve the efficiency of construction. In this paper, we propose an active learning framework, called AL-iGAN, for tunnel geological reconstruction based on TBM operational data. This framework contains two main parts: one is the usage of active learning techniques for recommending new drilling locations to label the TBM operational data and then to form new training samples; and the other is an incremental generative adversarial network for geological reconstruction (iGAN-GR), whose weights can be incrementally updated to improve the reconstruction performance by using the new samples. The numerical experiment validate the effectiveness of the proposed framework as well.

Hao Wang, Xiwen Chen, Abolfazl Razi et al.

This paper offers a new authentication algorithm based on image matching of nano-resolution visual identifiers with tree-shaped patterns. The algorithm includes image-to-tree conversion by greedy extraction of the fractal pattern skeleton along with a custom-built graph matching algorithm that is robust against imaging artifacts such as scaling, rotation, scratch, and illumination change. The proposed algorithm is applicable to a variety of tree-structured image matching, but our focus is on dendrites, recently-developed visual identifiers. Dendrites are entropy rich and unclonable with existing 2D and 3D printers due to their natural randomness, nano-resolution granularity, and 3D facets, making them an appropriate choice for security applications such as supply chain trace and tracking. The proposed algorithm improves upon graph matching with standard image descriptors. For instance, image inconsistency due to the camera sensor noise may cause unexpected feature extraction leading to inaccurate tree conversion and authentication failure. Also, previous tree extraction algorithms are prohibitively slow hindering their scalability to large systems. In this paper, we fix the current issues of [1] and accelerate the key points extraction up to 10-times faster by implementing a new skeleton extraction method, a new key points searching algorithm, as well as an optimized key point matching algorithm. Using minimum enclosing circle and center points, make the algorithm robust to the choice of pattern shape. In contrast to [1] our algorithm handles general graphs with loop connections, therefore is applicable to a wider range of applications such as transportation map analysis, fingerprints, and retina vessel imaging.

Hao Wang, Qiang Ye

In this paper, we present new a posteriori and a priori error bounds for the Krylov subspace methods for computing $e^{-τA}v$ for a given $τ>0$ and $v \in C^n$, where $A$ is a large sparse non-Hermitian matrix. The {\em a priori} error bounds relate the convergence to $λ_{\min}\left(\frac{A+A^*}{2}\right)$, $λ_{\max}\left(\frac{A+A^*}{2}\right)$ (the smallest and the largest eigenvalue of the Hermitian part of $A$) and $|λ_{\max}\left(\frac{A-A^*}{2}\right)|$ (the largest eigenvalue in absolute value of the skew-Hermitian part of $A$), which define a rectangular region enclosing the field of values of $A$. In particular, our bounds explain an observed superlinear convergence behavior where the error may first stagnate for certain iterations before it starts to converge. The special case that $A$ is skew-Hermitian is also considered. Numerical examples are given to demonstrate the theoretical bounds.

Hao Wang, Yongqiang Han, Kefan Wang et al.

In the realm of recommendation systems, users exhibit a diverse array of behaviors when interacting with items. This phenomenon has spurred research into learning the implicit semantic relationships between these behaviors to enhance recommendation performance. However, these methods often entail high computational complexity. To address concerns regarding efficiency, pre-training presents a viable solution. Its objective is to extract knowledge from extensive pre-training data and fine-tune the model for downstream tasks. Nevertheless, previous pre-training methods have primarily focused on single-behavior data, while multi-behavior data contains significant noise. Additionally, the fully fine-tuning strategy adopted by these methods still imposes a considerable computational burden. In response to this challenge, we propose DPCPL, the first pre-training and prompt-tuning paradigm tailored for Multi-Behavior Sequential Recommendation. Specifically, in the pre-training stage, we commence by proposing a novel Efficient Behavior Miner (EBM) to filter out the noise at multiple time scales, thereby facilitating the comprehension of the contextual semantics of multi-behavior sequences. Subsequently, we propose to tune the pre-trained model in a highly efficient manner with the proposed Customized Prompt Learning (CPL) module, which generates personalized, progressive, and diverse prompts to fully exploit the potential of the pre-trained model effectively. Extensive experiments on three real-world datasets have unequivocally demonstrated that DPCPL not only exhibits high efficiency and effectiveness, requiring minimal parameter adjustments but also surpasses the state-of-the-art performance across a diverse range of downstream tasks.

Mike Van Ness, Huibin Shen, Hao Wang et al.

Meta-forecasting is a newly emerging field which combines meta-learning and time series forecasting. The goal of meta-forecasting is to train over a collection of source time series and generalize to new time series one-at-a-time. Previous approaches in meta-forecasting achieve competitive performance, but with the restriction of training a separate model for each sampling frequency. In this work, we investigate meta-forecasting over different sampling frequencies, and introduce a new model, the Continuous Frequency Adapter (CFA), specifically designed to learn frequency-invariant representations. We find that CFA greatly improves performance when generalizing to unseen frequencies, providing a first step towards forecasting over larger multi-frequency datasets.

Marcel Kollovieh, Abdul Fatir Ansari, Michael Bohlke-Schneider et al.

Diffusion models have achieved state-of-the-art performance in generative modeling tasks across various domains. Prior works on time series diffusion models have primarily focused on developing conditional models tailored to specific forecasting or imputation tasks. In this work, we explore the potential of task-agnostic, unconditional diffusion models for several time series applications. We propose TSDiff, an unconditionally-trained diffusion model for time series. Our proposed self-guidance mechanism enables conditioning TSDiff for downstream tasks during inference, without requiring auxiliary networks or altering the training procedure. We demonstrate the effectiveness of our method on three different time series tasks: forecasting, refinement, and synthetic data generation. First, we show that TSDiff is competitive with several task-specific conditional forecasting methods (predict). Second, we leverage the learned implicit probability density of TSDiff to iteratively refine the predictions of base forecasters with reduced computational overhead over reverse diffusion (refine). Notably, the generative performance of the model remains intact -- downstream forecasters trained on synthetic samples from TSDiff outperform forecasters that are trained on samples from other state-of-the-art generative time series models, occasionally even outperforming models trained on real data (synthesize).

Diederick Vermetten, Hao Wang, Kevin Sim et al.

Dynamic algorithm selection aims to exploit the complementarity of multiple optimization algorithms by switching between them during the search. While these kinds of dynamic algorithms have been shown to have potential to outperform their component algorithms, it is still unclear how this potential can best be realized. One promising approach is to make use of landscape features to enable a per-run trajectory-based switch. Here, the samples seen by the first algorithm are used to create a set of features which describe the landscape from the perspective of the algorithm. These features are then used to predict what algorithm to switch to. In this work, we extend this per-run trajectory-based approach to consider a wide variety of potential points at which to perform the switch. We show that using a sliding window to capture the local landscape features contains information which can be used to predict whether a switch at that point would be beneficial to future performance. By analyzing the resulting models, we identify what features are most important to these predictions. Finally, by evaluating the importance of features and comparing these values between multiple algorithms, we show clear differences in the way the second algorithm interacts with the local landscape features found before the switch.

Liang Li, Chenpei Huang, Dian Shi et al.

Federated learning (FL) enables mobile devices to collaboratively learn a shared prediction model while keeping data locally. However, there are two major research challenges to practically deploy FL over mobile devices: (i) frequent wireless updates of huge size gradients v.s. limited spectrum resources, and (ii) energy-hungry FL communication and local computing during training v.s. battery-constrained mobile devices. To address those challenges, in this paper, we propose a novel multi-bit over-the-air computation (M-AirComp) approach for spectrum-efficient aggregation of local model updates in FL and further present an energy-efficient FL design for mobile devices. Specifically, a high-precision digital modulation scheme is designed and incorporated in the M-AirComp, allowing mobile devices to upload model updates at the selected positions simultaneously in the multi-access channel. Moreover, we theoretically analyze the convergence property of our FL algorithm. Guided by FL convergence analysis, we formulate a joint transmission probability and local computing control optimization, aiming to minimize the overall energy consumption (i.e., iterative local computing + multi-round communications) of mobile devices in FL. Extensive simulation results show that our proposed scheme outperforms existing ones in terms of spectrum utilization, energy efficiency, and learning accuracy.

Haomin Zhuang, Mingxian Yu, Hao Wang et al.

Federated learning (FL) has been widely deployed to enable machine learning training on sensitive data across distributed devices. However, the decentralized learning paradigm and heterogeneity of FL further extend the attack surface for backdoor attacks. Existing FL attack and defense methodologies typically focus on the whole model. None of them recognizes the existence of backdoor-critical (BC) layers-a small subset of layers that dominate the model vulnerabilities. Attacking the BC layers achieves equivalent effects as attacking the whole model but at a far smaller chance of being detected by state-of-the-art (SOTA) defenses. This paper proposes a general in-situ approach that identifies and verifies BC layers from the perspective of attackers. Based on the identified BC layers, we carefully craft a new backdoor attack methodology that adaptively seeks a fundamental balance between attacking effects and stealthiness under various defense strategies. Extensive experiments show that our BC layer-aware backdoor attacks can successfully backdoor FL under seven SOTA defenses with only 10% malicious clients and outperform the latest backdoor attack methods.

Likang Wu, Hao Wang, Enhong Chen et al.

Network-aware cascade size prediction aims to predict the final reposted number of user-generated information via modeling the propagation process in social networks. Estimating the user's reposting probability by social influence, namely state activation plays an important role in the information diffusion process. Therefore, Graph Neural Networks (GNN), which can simulate the information interaction between nodes, has been proved as an effective scheme to handle this prediction task. However, existing studies including GNN-based models usually neglect a vital factor of user's preference which influences the state activation deeply. To that end, we propose a novel framework to promote cascade size prediction by enhancing the user preference modeling according to three stages, i.e., preference topics generation, preference shift modeling, and social influence activation. Our end-to-end method makes the user activating process of information diffusion more adaptive and accurate. Extensive experiments on two large-scale real-world datasets have clearly demonstrated the effectiveness of our proposed model compared to state-of-the-art baselines.

Hao Wang, Zhanchao Huang, Zhengchao Chen et al.

Arbitrary-oriented object detection (AOOD) plays a significant role for image understanding in remote sensing scenarios. The existing AOOD methods face the challenges of ambiguity and high costs in angle representation. To this end, a multi-grained angle representation (MGAR) method, consisting of coarse-grained angle classification (CAC) and fine-grained angle regression (FAR), is proposed. Specifically, the designed CAC avoids the ambiguity of angle prediction by discrete angular encoding (DAE) and reduces complexity by coarsening the granularity of DAE. Based on CAC, FAR is developed to refine the angle prediction with much lower costs than narrowing the granularity of DAE. Furthermore, an Intersection over Union (IoU) aware FAR-Loss (IFL) is designed to improve accuracy of angle prediction using an adaptive re-weighting mechanism guided by IoU. Extensive experiments are performed on several public remote sensing datasets, which demonstrate the effectiveness of the proposed MGAR. Moreover, experiments on embedded devices demonstrate that the proposed MGAR is also friendly for lightweight deployments.

Yongfu Dai, Duanyu Feng, Jimin Huang et al.

General and legal domain LLMs have demonstrated strong performance in various tasks of LegalAI. However, the current evaluations of these LLMs in LegalAI are defined by the experts of computer science, lacking consistency with the logic of legal practice, making it difficult to judge their practical capabilities. To address this challenge, we are the first to build the Chinese legal LLMs benchmark LAiW, based on the logic of legal practice. To align with the thinking process of legal experts and legal practice (syllogism), we divide the legal capabilities of LLMs from easy to difficult into three levels: basic information retrieval, legal foundation inference, and complex legal application. Each level contains multiple tasks to ensure a comprehensive evaluation. Through automated evaluation of current general and legal domain LLMs on our benchmark, we indicate that these LLMs may not align with the logic of legal practice. LLMs seem to be able to directly acquire complex legal application capabilities but perform poorly in some basic tasks, which may pose obstacles to their practical application and acceptance by legal experts. To further confirm the complex legal application capabilities of current LLMs in legal application scenarios, we also incorporate human evaluation with legal experts. The results indicate that while LLMs may demonstrate strong performance, they still require reinforcement of legal logic.

Heng Cong, Lingzhi Fu, Rongyu Zhang et al.

In this work, we introduce Gradient Siamese Network (GSN) for image quality assessment. The proposed method is skilled in capturing the gradient features between distorted images and reference images in full-reference image quality assessment(IQA) task. We utilize Central Differential Convolution to obtain both semantic features and detail difference hidden in image pair. Furthermore, spatial attention guides the network to concentrate on regions related to image detail. For the low-level, mid-level and high-level features extracted by the network, we innovatively design a multi-level fusion method to improve the efficiency of feature utilization. In addition to the common mean square error supervision, we further consider the relative distance among batch samples and successfully apply KL divergence loss to the image quality assessment task. We experimented the proposed algorithm GSN on several publicly available datasets and proved its superior performance. Our network won the second place in NTIRE 2022 Perceptual Image Quality Assessment Challenge track 1 Full-Reference.

Hao Wang, Wanyu Lin, Hao He et al.

Recent years have seen advances on principles and guidance relating to accountable and ethical use of artificial intelligence (AI) spring up around the globe. Specifically, Data Privacy, Accountability, Interpretability, Robustness, and Reasoning have been broadly recognized as fundamental principles of using machine learning (ML) technologies on decision-critical and/or privacy-sensitive applications. On the other hand, in tremendous real-world applications, data itself can be well represented as various structured formalisms, such as graph-structured data (e.g., networks), grid-structured data (e.g., images), sequential data (e.g., text), etc. By exploiting the inherently structured knowledge, one can design plausible approaches to identify and use more relevant variables to make reliable decisions, thereby facilitating real-world deployments.

Qianqian Xie, Weiguang Han, Zhengyu Chen et al.

LLMs have transformed NLP and shown promise in various fields, yet their potential in finance is underexplored due to a lack of comprehensive evaluation benchmarks, the rapid development of LLMs, and the complexity of financial tasks. In this paper, we introduce FinBen, the first extensive open-source evaluation benchmark, including 36 datasets spanning 24 financial tasks, covering seven critical aspects: information extraction (IE), textual analysis, question answering (QA), text generation, risk management, forecasting, and decision-making. FinBen offers several key innovations: a broader range of tasks and datasets, the first evaluation of stock trading, novel agent and Retrieval-Augmented Generation (RAG) evaluation, and three novel open-source evaluation datasets for text summarization, question answering, and stock trading. Our evaluation of 15 representative LLMs, including GPT-4, ChatGPT, and the latest Gemini, reveals several key findings: While LLMs excel in IE and textual analysis, they struggle with advanced reasoning and complex tasks like text generation and forecasting. GPT-4 excels in IE and stock trading, while Gemini is better at text generation and forecasting. Instruction-tuned LLMs improve textual analysis but offer limited benefits for complex tasks such as QA. FinBen has been used to host the first financial LLMs shared task at the FinNLP-AgentScen workshop during IJCAI-2024, attracting 12 teams. Their novel solutions outperformed GPT-4, showcasing FinBen's potential to drive innovation in financial LLMs. All datasets, results, and codes are released for the research community: https://github.com/The-FinAI/PIXIU.

Hao He, Yuzhe Yang, Hao Wang

Existing domain adaptation (DA) usually assumes the domain shift comes from either the covariates or the labels. However, in real-world applications, samples selected from different domains could have biases in both the covariates and the labels. In this paper, we propose a new assumption, Factorizable Joint Shift (FJS), to handle the co-existence of sampling bias in covariates and labels. Although allowing for the shift from both sides, FJS assumes the independence of the bias between the two factors. We provide theoretical and empirical understandings about when FJS degenerates to prior assumptions and when it is necessary. We further propose Joint Importance Aligning (JIA), a discriminative learning objective to obtain joint importance estimators for both supervised and unsupervised domain adaptation. Our method can be seamlessly incorporated with existing domain adaptation algorithms for better importance estimation and weighting on the training data. Experiments on a synthetic dataset demonstrate the advantage of our method.