The Collusion of Memory and Nonlinearity in Stochastic Approximation With Constant Stepsize

In this work, we investigate stochastic approximation (SA) with Markovian data and nonlinear updates under constant stepsize $\alpha>0$. Existing work has primarily focused on either i.i.d. data or linear update rules. We take a new perspective and carefully examine the simultaneous presence of Markovian dependency of data and nonlinear update rules, delineating how the interplay between these two structures leads to complications that are not captured by prior techniques. By leveraging the smoothness and recurrence properties of the SA updates, we develop a fine-grained analysis of the correlation between the SA iterates $\theta_k$ and Markovian data $x_k$. This enables us to overcome the obstacles in existing analysis and establish for the first time the weak convergence of the joint process $(x_k, \theta_k)_{k\geq0}$. Furthermore, we present a precise characterization of the asymptotic bias of the SA iterates, given by $\mathbb{E}[\theta_\infty]-\theta^\ast=\alpha(b_\text{m}+b_\text{n}+b_\text{c})+O(\alpha^{3/2})$. Here, $b_\text{m}$ is associated with the Markovian noise, $b_\text{n}$ is tied to the nonlinearity, and notably, $b_\text{c}$ represents a multiplicative interaction between the Markovian noise and nonlinearity, which is absent in previous works. As a by-product of our analysis, we derive finite-time bounds on higher moment $\mathbb{E}[\|\theta_k-\theta^\ast\|^{2p}]$ and present non-asymptotic geometric convergence rates for the iterates, along with a Central Limit Theorem.

MathVC: An LLM-Simulated Multi-Character Virtual Classroom for Mathematics Education

Mathematical modeling (MM) is considered a fundamental skill for students in STEM disciplines. Practicing the MM skill is often the most effective when students can engage in group discussion and collaborative problem-solving. However, due to unevenly distributed teachers and educational resources needed to monitor such group activities, students do not always receive equal opportunities for this practice. Excitingly, large language models (LLMs) have recently demonstrated strong capability in both modeling mathematical problems and simulating characters with different traits and properties. Drawing inspiration from the advancement of LLMs, in this work, we present MATHVC, the very first LLM-powered virtual classroom containing multiple LLM-simulated student characters, with whom a human student can practice their MM skill. To encourage each LLM character's behaviors to be aligned with their specified math-relevant properties (termed "characteristics alignment") and the overall conversational procedure to be close to an authentic student MM discussion (termed "conversational procedural alignment"), we proposed three innovations: integrating MM domain knowledge into the simulation, defining a symbolic schema as the ground for character simulation, and designing a meta planner at the platform level to drive the conversational procedure. Through experiments and ablation studies, we confirmed the effectiveness of our simulation approach and showed the promise for MATHVC to benefit real-life students in the future.

Prelimit Coupling and Steady-State Convergence of Constant-stepsize Nonsmooth Contractive SA

Motivated by Q-learning, we study nonsmooth contractive stochastic approximation (SA) with constant stepsize. We focus on two important classes of dynamics: 1) nonsmooth contractive SA with additive noise, and 2) synchronous and asynchronous Q-learning, which features both additive and multiplicative noise. For both dynamics, we establish weak convergence of the iterates to a stationary limit distribution in Wasserstein distance. Furthermore, we propose a prelimit coupling technique for establishing steady-state convergence and characterize the limit of the stationary distribution as the stepsize goes to zero. Using this result, we derive that the asymptotic bias of nonsmooth SA is proportional to the square root of the stepsize, which stands in sharp contrast to smooth SA. This bias characterization allows for the use of Richardson-Romberg extrapolation for bias reduction in nonsmooth SA.

Against The Achilles' Heel: A Survey on Red Teaming for Generative Models

Generative models are rapidly gaining popularity and being integrated into everyday applications, raising concerns over their safety issues as various vulnerabilities are exposed. Faced with the problem, the field of red teaming is experiencing fast-paced growth, which highlights the need for a comprehensive organization covering the entire pipeline and addressing emerging topics for the community. Our extensive survey, which examines over 120 papers, introduces a taxonomy of fine-grained attack strategies grounded in the inherent capabilities of language models. Additionally, we have developed the searcher framework that unifies various automatic red teaming approaches. Moreover, our survey covers novel areas including multimodal attacks and defenses, risks around multilingual models, overkill of harmless queries, and safety of downstream applications. We hope this survey can provide a systematic perspective on the field and unlock new areas of research.

Bias Mitigation in Fine-tuning Pre-trained Models for Enhanced Fairness and Efficiency

Fine-tuning pre-trained models is a widely employed technique in numerous real-world applications. However, fine-tuning these models on new tasks can lead to unfair outcomes. This is due to the absence of generalization guarantees for fairness properties, regardless of whether the original pre-trained model was developed with fairness considerations. To tackle this issue, we introduce an efficient and robust fine-tuning framework specifically designed to mitigate biases in new tasks. Our empirical analysis shows that the parameters in the pre-trained model that affect predictions for different demographic groups are different, so based on this observation, we employ a transfer learning strategy that neutralizes the importance of these influential weights, determined using Fisher information across demographic groups. Additionally, we integrate this weight importance neutralization strategy with a matrix factorization technique, which provides a low-rank approximation of the weight matrix using fewer parameters, reducing the computational demands. Experiments on multiple pre-trained models and new tasks demonstrate the effectiveness of our method.

Confidence Matters: Revisiting Intrinsic Self-Correction Capabilities of Large Language Models

The recent success of Large Language Models (LLMs) has catalyzed an increasing interest in their self-correction capabilities. This paper presents a comprehensive investigation into the intrinsic self-correction of LLMs, attempting to address the ongoing debate about its feasibility. Our research has identified an important latent factor - the "confidence" of LLMs - during the self-correction process. Overlooking this factor may cause the models to over-criticize themselves, resulting in unreliable conclusions regarding the efficacy of self-correction. We have experimentally observed that LLMs possess the capability to understand the "confidence" in their own responses. It motivates us to develop an "If-or-Else" (IoE) prompting framework, designed to guide LLMs in assessing their own "confidence", facilitating intrinsic self-corrections. We conduct extensive experiments and demonstrate that our IoE-based Prompt can achieve a consistent improvement regarding the accuracy of self-corrected responses over the initial answers. Our study not only sheds light on the underlying factors affecting self-correction in LLMs, but also introduces a practical framework that utilizes the IoE prompting principle to efficiently improve self-correction capabilities with "confidence". The code is available at https://github.com/MBZUAI-CLeaR/IoE-Prompting.git.

Learning From Failure: Integrating Negative Examples when Fine-tuning Large Language Models as Agents

Large language models (LLMs) have achieved success in acting as agents, which interact with environments through tools like search engines. However, LLMs are not optimized specifically for tool use during training or alignment, limiting their effectiveness as agents. To resolve this problem, previous work has collected interaction trajectories between GPT-4 and environments, and fine-tuned smaller models with them. As part of this, the standard approach has been to simply discard trajectories that do not finish the task successfully, which, on the one hand, leads to a significant waste of data and resources, and on the other hand, has the potential to limit the possible optimization paths during fine-tuning. In this paper, we contend that large language models can learn from failures through appropriate data cleaning and fine-tuning strategies. We conduct experiments on mathematical reasoning, multi-hop question answering, and strategic question answering tasks. Experimental results demonstrate that compared to solely using positive examples, incorporating negative examples enhances model performance by a large margin.

A Computational Model of the Electrically or Acoustically Evoked Compound Action Potential in Cochlear Implant Users with Residual Hearing

Objective: In cochlear implant (CI) users with residual acoustic hearing, compound action potentials (CAPs) can be evoked by acoustic or electric stimulation and recorded through the electrodes of the CI. We propose a novel computational model to simulate electrically and acoustically evoked CAPs in humans, taking into account the interaction between combined electric-acoustic stimulation that occurs at the level of the auditory nerve. Methods: The model consists of three components: a 3D finite element method model of an implanted cochlea, a phenomenological single-neuron spiking model for electric-acoustic stimulation, and a physiological multi-compartment neuron model to simulate the individual nerve fiber contributions to the CAP. Results: The CAP morphologies predicted for electric pulses and for acoustic clicks, chirps, and tone bursts closely resembled those known from humans. The spread of excitation derived from electrically evoked CAPs by varying the recording electrode along the CI electrode array was consistent with published human data. The predicted CAP amplitude growth functions for both electric and acoustic stimulation largely resembled human data, with deviations in absolute CAP amplitudes for acoustic stimulation. The model reproduced the suppression of electrically evoked CAPs by simultaneously presented acoustic tone bursts for different masker frequencies and probe stimulation electrodes. Conclusion: The proposed model can simulate CAP responses to electric, acoustic, or combined electric-acoustic stimulation. It takes into account the dependence on stimulation and recording sites in the cochlea, as well as the interaction between electric and acoustic stimulation. Significance: The model can be used in the future to investigate objective methods, such as hearing threshold assessment or estimation of neural health through electrically or acoustically evoked CAPs.

Deep Equilibrium Models are Almost Equivalent to Not-so-deep Explicit Models for High-dimensional Gaussian Mixtures

Deep equilibrium models (DEQs), as a typical implicit neural network, have demonstrated remarkable success on various tasks. There is, however, a lack of theoretical understanding of the connections and differences between implicit DEQs and explicit neural network models. In this paper, leveraging recent advances in random matrix theory (RMT), we perform an in-depth analysis on the eigenspectra of the conjugate kernel (CK) and neural tangent kernel (NTK) matrices for implicit DEQs, when the input data are drawn from a high-dimensional Gaussian mixture. We prove, in this setting, that the spectral behavior of these Implicit-CKs and NTKs depend on the DEQ activation function and initial weight variances, but only via a system of four nonlinear equations. As a direct consequence of this theoretical result, we demonstrate that a shallow explicit network can be carefully designed to produce the same CK or NTK as a given DEQ. Despite derived here for Gaussian mixture data, empirical results show the proposed theory and design principle also apply to popular real-world datasets.

Constant Stepsize Q-learning: Distributional Convergence, Bias and Extrapolation

Stochastic Approximation (SA) is a widely used algorithmic approach in various fields, including optimization and reinforcement learning (RL). Among RL algorithms, Q-learning is particularly popular due to its empirical success. In this paper, we study asynchronous Q-learning with constant stepsize, which is commonly used in practice for its fast convergence. By connecting the constant stepsize Q-learning to a time-homogeneous Markov chain, we show the distributional convergence of the iterates in Wasserstein distance and establish its exponential convergence rate. We also establish a Central Limit Theory for Q-learning iterates, demonstrating the asymptotic normality of the averaged iterates. Moreover, we provide an explicit expansion of the asymptotic bias of the averaged iterate in stepsize. Specifically, the bias is proportional to the stepsize up to higher-order terms and we provide an explicit expression for the linear coefficient. This precise characterization of the bias allows the application of Richardson-Romberg (RR) extrapolation technique to construct a new estimate that is provably closer to the optimal Q function. Numerical results corroborate our theoretical finding on the improvement of the RR extrapolation method.