Bias and Fairness in Large Language Models: A Survey

Rapid advancements of large language models (LLMs) have enabled the processing, understanding, and generation of human-like text, with increasing integration into systems that touch our social sphere. Despite this success, these models can learn, perpetuate, and amplify harmful social biases. In this paper, we present a comprehensive survey of bias evaluation and mitigation techniques for LLMs. We first consolidate, formalize, and expand notions of social bias and fairness in natural language processing, defining distinct facets of harm and introducing several desiderata to operationalize fairness for LLMs. We then unify the literature by proposing three intuitive taxonomies, two for bias evaluation, namely metrics and datasets, and one for mitigation. Our first taxonomy of metrics for bias evaluation disambiguates the relationship between metrics and evaluation datasets, and organizes metrics by the different levels at which they operate in a model: embeddings, probabilities, and generated text. Our second taxonomy of datasets for bias evaluation categorizes datasets by their structure as counterfactual inputs or prompts, and identifies the targeted harms and social groups; we also release a consolidation of publicly-available datasets for improved access. Our third taxonomy of techniques for bias mitigation classifies methods by their intervention during pre-processing, in-training, intra-processing, and post-processing, with granular subcategories that elucidate research trends. Finally, we identify open problems and challenges for future work. Synthesizing a wide range of recent research, we aim to provide a clear guide of the existing literature that empowers researchers and practitioners to better understand and prevent the propagation of bias in LLMs.

Learning Multi-modal Representations by Watching Hundreds of Surgical Video Lectures

Recent advancements in surgical computer vision applications have been driven by fully-supervised methods, primarily using only visual data. These methods rely on manually annotated surgical videos to predict a fixed set of object categories, limiting their generalizability to unseen surgical procedures and downstream tasks. In this work, we put forward the idea that the surgical video lectures available through open surgical e-learning platforms can provide effective supervisory signals for multi-modal representation learning without relying on manual annotations. We address the surgery-specific linguistic challenges present in surgical video lectures by employing multiple complementary automatic speech recognition systems to generate text transcriptions. We then present a novel method, SurgVLP - Surgical Vision Language Pre-training, for multi-modal representation learning. SurgVLP constructs a new contrastive learning objective to align video clip embeddings with the corresponding multiple text embeddings by bringing them together within a joint latent space. To effectively show the representation capability of the learned joint latent space, we introduce several vision-and-language tasks for surgery, such as text-based video retrieval, temporal activity grounding, and video captioning, as benchmarks for evaluation. We further demonstrate that without using any labeled ground truth, our approach can be employed for traditional vision-only surgical downstream tasks, such as surgical tool, phase, and triplet recognition. The code will be made available at https://github.com/CAMMA-public/SurgVLP

FigCaps-HF: A Figure-to-Caption Generative Framework and Benchmark with Human Feedback

Captions are crucial for understanding scientific visualizations and documents. Existing captioning methods for scientific figures rely on figure-caption pairs extracted from documents for training, many of which fall short with respect to metrics like helpfulness, explainability, and visual-descriptiveness [15] leading to generated captions being misaligned with reader preferences. To enable the generation of high-quality figure captions, we introduce FigCaps-HF a new framework for figure-caption generation that can incorporate domain expert feedback in generating captions optimized for reader preferences. Our framework comprises of 1) an automatic method for evaluating quality of figure-caption pairs, 2) a novel reinforcement learning with human feedback (RLHF) method to optimize a generative figure-to-caption model for reader preferences. We demonstrate the effectiveness of our simple learning framework by improving performance over standard fine-tuning across different types of models. In particular, when using BLIP as the base model, our RLHF framework achieves a mean gain of 35.7%, 16.9%, and 9% in ROUGE, BLEU, and Meteor, respectively. Finally, we release a large-scale benchmark dataset with human feedback on figure-caption pairs to enable further evaluation and development of RLHF techniques for this problem.

Fairness-Aware Graph Neural Networks: A Survey

Graph Neural Networks (GNNs) have become increasingly important due to their representational power and state-of-the-art predictive performance on many fundamental learning tasks. Despite this success, GNNs suffer from fairness issues that arise as a result of the underlying graph data and the fundamental aggregation mechanism that lies at the heart of the large class of GNN models. In this article, we examine and categorize fairness techniques for improving the fairness of GNNs. Previous work on fair GNN models and techniques are discussed in terms of whether they focus on improving fairness during a preprocessing step, during training, or in a post-processing phase. Furthermore, we discuss how such techniques can be used together whenever appropriate, and highlight the advantages and intuition as well. We also introduce an intuitive taxonomy for fairness evaluation metrics including graph-level fairness, neighborhood-level fairness, embedding-level fairness, and prediction-level fairness metrics. In addition, graph datasets that are useful for benchmarking the fairness of GNN models are summarized succinctly. Finally, we highlight key open problems and challenges that remain to be addressed.

InfoPrompt: Information-Theoretic Soft Prompt Tuning for Natural Language Understanding

Soft prompt tuning achieves superior performances across a wide range of few-shot tasks. However, the performances of prompt tuning can be highly sensitive to the initialization of the prompts. We also empirically observe that conventional prompt tuning methods cannot encode and learn sufficient task-relevant information from prompt tokens. In this work, we develop an information-theoretic framework that formulates soft prompt tuning as maximizing mutual information between prompts and other model parameters (or encoded representations). This novel view helps us to develop a more efficient, accurate and robust soft prompt tuning method InfoPrompt. With this framework, we develop two novel mutual information based loss functions, to (i) discover proper prompt initialization for the downstream tasks and learn sufficient task-relevant information from prompt tokens and (ii) encourage the output representation from the pretrained language model to be more aware of the task-relevant information captured in the learnt prompt. Extensive experiments validate that InfoPrompt can significantly accelerate the convergence of the prompt tuning and outperform traditional prompt tuning methods. Finally, we provide a formal theoretical result for showing to show that gradient descent type algorithm can be used to train our mutual information loss.

Label-Retrieval-Augmented Diffusion Models for Learning from Noisy Labels

Learning from noisy labels is an important and long-standing problem in machine learning for real applications. One of the main research lines focuses on learning a label corrector to purify potential noisy labels. However, these methods typically rely on strict assumptions and are limited to certain types of label noise. In this paper, we reformulate the label-noise problem from a generative-model perspective, $\textit{i.e.}$, labels are generated by gradually refining an initial random guess. This new perspective immediately enables existing powerful diffusion models to seamlessly learn the stochastic generative process. Once the generative uncertainty is modeled, we can perform classification inference using maximum likelihood estimation of labels. To mitigate the impact of noisy labels, we propose the $\textbf{L}$abel-$\textbf{R}$etrieval-$\textbf{A}$ugmented (LRA) diffusion model, which leverages neighbor consistency to effectively construct pseudo-clean labels for diffusion training. Our model is flexible and general, allowing easy incorporation of different types of conditional information, $\textit{e.g.}$, use of pre-trained models, to further boost model performance. Extensive experiments are conducted for evaluation. Our model achieves new state-of-the-art (SOTA) results on all the standard real-world benchmark datasets. Remarkably, by incorporating conditional information from the powerful CLIP model, our method can boost the current SOTA accuracy by 10-20 absolute points in many cases.

Few-Shot Dialogue Summarization via Skeleton-Assisted Prompt Transfer

In real-world scenarios, labeled samples for dialogue summarization are usually limited (i.e., few-shot) due to high annotation costs for high-quality dialogue summaries. To efficiently learn from few-shot samples, previous works have utilized massive annotated data from other downstream tasks and then performed prompt transfer in prompt tuning so as to enable cross-task knowledge transfer. However, existing general-purpose prompt transfer techniques lack consideration for dialogue-specific information. In this paper, we focus on improving the prompt transfer from dialogue state tracking to dialogue summarization and propose Skeleton-Assisted Prompt Transfer (SAPT), which leverages skeleton generation as extra supervision that functions as a medium connecting the distinct source and target task and resulting in the model's better consumption of dialogue state information. To automatically extract dialogue skeletons as supervised training data for skeleton generation, we design a novel approach with perturbation-based probes requiring neither annotation effort nor domain knowledge. Training the model on such skeletons can also help preserve model capability during prompt transfer. Our method significantly outperforms existing baselines. In-depth analyses demonstrate the effectiveness of our method in facilitating cross-task knowledge transfer in few-shot dialogue summarization.

The Closeness of In-Context Learning and Weight Shifting for Softmax Regression

Large language models (LLMs) are known for their exceptional performance in natural language processing, making them highly effective in many human life-related or even job-related tasks. The attention mechanism in the Transformer architecture is a critical component of LLMs, as it allows the model to selectively focus on specific input parts. The softmax unit, which is a key part of the attention mechanism, normalizes the attention scores. Hence, the performance of LLMs in various NLP tasks depends significantly on the crucial role played by the attention mechanism with the softmax unit. In-context learning, as one of the celebrated abilities of recent LLMs, is an important concept in querying LLMs such as ChatGPT. Without further parameter updates, Transformers can learn to predict based on few in-context examples. However, the reason why Transformers becomes in-context learners is not well understood. Recently, several works [ASA+22,GTLV22,ONR+22] have studied the in-context learning from a mathematical perspective based on a linear regression formulation $\min_x\| Ax - b \|_2$, which show Transformers' capability of learning linear functions in context. In this work, we study the in-context learning based on a softmax regression formulation $\min_{x} \| \langle \exp(Ax), {\bf 1}_n \rangle^{-1} \exp(Ax) - b \|_2$ of Transformer's attention mechanism. We show the upper bounds of the data transformations induced by a single self-attention layer and by gradient-descent on a $\ell_2$ regression loss for softmax prediction function, which imply that when training self-attention-only Transformers for fundamental regression tasks, the models learned by gradient-descent and Transformers show great similarity.

Structured Dynamic Pricing: Optimal Regret in a Global Shrinkage Model

We consider dynamic pricing strategies in a streamed longitudinal data set-up where the objective is to maximize, over time, the cumulative profit across a large number of customer segments. We consider a dynamic probit model with the consumers' preferences as well as price sensitivity varying over time. Building on the well-known finding that consumers sharing similar characteristics act in similar ways, we consider a global shrinkage structure, which assumes that the consumers' preferences across the different segments can be well approximated by a spatial autoregressive (SAR) model. In such a streamed longitudinal set-up, we measure the performance of a dynamic pricing policy via regret, which is the expected revenue loss compared to a clairvoyant that knows the sequence of model parameters in advance. We propose a pricing policy based on penalized stochastic gradient descent (PSGD) and explicitly characterize its regret as functions of time, the temporal variability in the model parameters as well as the strength of the auto-correlation network structure spanning the varied customer segments. Our regret analysis results not only demonstrate asymptotic optimality of the proposed policy but also show that for policy planning it is essential to incorporate available structural information as policies based on unshrunken models are highly sub-optimal in the aforementioned set-up.

Weakly Supervised Temporal Convolutional Networks for Fine-grained Surgical Activity Recognition

Automatic recognition of fine-grained surgical activities, called steps, is a challenging but crucial task for intelligent intra-operative computer assistance. The development of current vision-based activity recognition methods relies heavily on a high volume of manually annotated data. This data is difficult and time-consuming to generate and requires domain-specific knowledge. In this work, we propose to use coarser and easier-to-annotate activity labels, namely phases, as weak supervision to learn step recognition with fewer step annotated videos. We introduce a step-phase dependency loss to exploit the weak supervision signal. We then employ a Single-Stage Temporal Convolutional Network (SS-TCN) with a ResNet-50 backbone, trained in an end-to-end fashion from weakly annotated videos, for temporal activity segmentation and recognition. We extensively evaluate and show the effectiveness of the proposed method on a large video dataset consisting of 40 laparoscopic gastric bypass procedures and the public benchmark CATARACTS containing 50 cataract surgeries.