Diffusion Models for Reinforcement Learning: A Survey

Diffusion models have emerged as a prominent class of generative models, surpassing previous methods regarding sample quality and training stability. Recent works have shown the advantages of diffusion models in improving reinforcement learning (RL) solutions, including as trajectory planners, expressive policy classes, data synthesizers, etc. This survey aims to provide an overview of the advancements in this emerging field and hopes to inspire new avenues of research. First, we examine several challenges encountered by current RL algorithms. Then, we present a taxonomy of existing methods based on the roles played by diffusion models in RL and explore how the existing challenges are addressed. We further outline successful applications of diffusion models in various RL-related tasks while discussing the limitations of current approaches. Finally, we conclude the survey and offer insights into future research directions, focusing on enhancing model performance and applying diffusion models to broader tasks. We are actively maintaining a GitHub repository for papers and other related resources in applying diffusion models in RL: https://github.com/apexrl/Diff4RLSurvey .

ALT: Towards Fine-grained Alignment between Language and CTR Models for Click-Through Rate Prediction

Click-through rate (CTR) prediction plays as a core function module in various personalized online services. According to the data modality and input format, the models for CTR prediction can be mainly classified into two categories. The first one is the traditional CTR models that take as inputs the one-hot encoded ID features of tabular modality, which aims to capture the collaborative signals via feature interaction modeling. The second category takes as inputs the sentences of textual modality obtained by hard prompt templates, where pretrained language models (PLMs) are adopted to extract the semantic knowledge. These two lines of research generally focus on different characteristics of the same input data (i.e., textual and tabular modalities), forming a distinct complementary relationship with each other. Therefore, in this paper, we propose to conduct fine-grained feature-level Alignment between Language and CTR models (ALT) for CTR prediction. Apart from the common CLIP-like instance-level contrastive learning, we further design a novel joint reconstruction pretraining task for both masked language and tabular modeling. Specifically, the masked data of one modality (i.e., tokens or features) has to be recovered with the help of the other modality, which establishes the feature-level interaction and alignment via sufficient mutual information extraction between dual modalities. Moreover, we propose three different finetuning strategies with the option to train the aligned language and CTR models separately or jointly for downstream CTR prediction tasks, thus accommodating the varying efficacy and efficiency requirements for industrial applications. Extensive experiments on three real-world datasets demonstrate that ALT outperforms SOTA baselines, and is highly compatible for various language and CTR models.

ROMO: Retrieval-enhanced Offline Model-based Optimization

Data-driven black-box model-based optimization (MBO) problems arise in a great number of practical application scenarios, where the goal is to find a design over the whole space maximizing a black-box target function based on a static offline dataset. In this work, we consider a more general but challenging MBO setting, named constrained MBO (CoMBO), where only part of the design space can be optimized while the rest is constrained by the environment. A new challenge arising from CoMBO is that most observed designs that satisfy the constraints are mediocre in evaluation. Therefore, we focus on optimizing these mediocre designs in the offline dataset while maintaining the given constraints rather than further boosting the best observed design in the traditional MBO setting. We propose retrieval-enhanced offline model-based optimization (ROMO), a new derivable forward approach that retrieves the offline dataset and aggregates relevant samples to provide a trusted prediction, and use it for gradient-based optimization. ROMO is simple to implement and outperforms state-of-the-art approaches in the CoMBO setting. Empirically, we conduct experiments on a synthetic Hartmann (3D) function dataset, an industrial CIO dataset, and a suite of modified tasks in the Design-Bench benchmark. Results show that ROMO performs well in a wide range of constrained optimization tasks.

ClickPrompt: CTR Models are Strong Prompt Generators for Adapting Language Models to CTR Prediction

Click-through rate (CTR) prediction has become increasingly indispensable for various Internet applications. Traditional CTR models convert the multi-field categorical data into ID features via one-hot encoding, and extract the collaborative signals among features. Such a paradigm suffers from the problem of semantic information loss. Another line of research explores the potential of pretrained language models (PLMs) for CTR prediction by converting input data into textual sentences through hard prompt templates. Although semantic signals are preserved, they generally fail to capture the collaborative information (e.g., feature interactions, pure ID features), not to mention the unacceptable inference overhead brought by the huge model size. In this paper, we aim to model both the semantic knowledge and collaborative knowledge for accurate CTR estimation, and meanwhile address the inference inefficiency issue. To benefit from both worlds and close their gaps, we propose a novel model-agnostic framework (i.e., ClickPrompt), where we incorporate CTR models to generate interaction-aware soft prompts for PLMs. We design a prompt-augmented masked language modeling (PA-MLM) pretraining task, where PLM has to recover the masked tokens based on the language context, as well as the soft prompts generated by CTR model. The collaborative and semantic knowledge from ID and textual features would be explicitly aligned and interacted via the prompt interface. Then, we can either tune the CTR model with PLM for superior performance, or solely tune the CTR model without PLM for inference efficiency. Experiments on four real-world datasets validate the effectiveness of ClickPrompt compared with existing baselines.

GMOCAT: A Graph-Enhanced Multi-Objective Method for Computerized Adaptive Testing

Computerized Adaptive Testing(CAT) refers to an online system that adaptively selects the best-suited question for students with various abilities based on their historical response records. Most CAT methods only focus on the quality objective of predicting the student ability accurately, but neglect concept diversity or question exposure control, which are important considerations in ensuring the performance and validity of CAT. Besides, the students' response records contain valuable relational information between questions and knowledge concepts. The previous methods ignore this relational information, resulting in the selection of sub-optimal test questions. To address these challenges, we propose a Graph-Enhanced Multi-Objective method for CAT (GMOCAT). Firstly, three objectives, namely quality, diversity and novelty, are introduced into the Scalarized Multi-Objective Reinforcement Learning framework of CAT, which respectively correspond to improving the prediction accuracy, increasing the concept diversity and reducing the question exposure. We use an Actor-Critic Recommender to select questions and optimize three objectives simultaneously by the scalarization function. Secondly, we utilize the graph neural network to learn relation-aware embeddings of questions and concepts. These embeddings are able to aggregate neighborhood information in the relation graphs between questions and concepts. We conduct experiments on three real-world educational datasets, and show that GMOCAT not only outperforms the state-of-the-art methods in the ability prediction, but also achieve superior performance in improving the concept diversity and alleviating the question exposure. Our code is available at https://github.com/justarter/GMOCAT.

Lending Interaction Wings to Recommender Systems with Conversational Agents

Recommender systems trained on offline historical user behaviors are embracing conversational techniques to online query user preference. Unlike prior conversational recommendation approaches that systemically combine conversational and recommender parts through a reinforcement learning framework, we propose CORE, a new offline-training and online-checking paradigm that bridges a COnversational agent and REcommender systems via a unified uncertainty minimization framework. It can benefit any recommendation platform in a plug-and-play style. Here, CORE treats a recommender system as an offline relevance score estimator to produce an estimated relevance score for each item; while a conversational agent is regarded as an online relevance score checker to check these estimated scores in each session. We define uncertainty as the summation of unchecked relevance scores. In this regard, the conversational agent acts to minimize uncertainty via querying either attributes or items. Based on the uncertainty minimization framework, we derive the expected certainty gain of querying each attribute and item, and develop a novel online decision tree algorithm to decide what to query at each turn. Experimental results on 8 industrial datasets show that CORE could be seamlessly employed on 9 popular recommendation approaches. We further demonstrate that our conversational agent could communicate as a human if empowered by a pre-trained large language model.

CSPRD: A Financial Policy Retrieval Dataset for Chinese Stock Market

In recent years, great advances in pre-trained language models (PLMs) have sparked considerable research focus and achieved promising performance on the approach of dense passage retrieval, which aims at retrieving relative passages from massive corpus with given questions. However, most of existing datasets mainly benchmark the models with factoid queries of general commonsense, while specialised fields such as finance and economics remain unexplored due to the deficiency of large-scale and high-quality datasets with expert annotations. In this work, we propose a new task, policy retrieval, by introducing the Chinese Stock Policy Retrieval Dataset (CSPRD), which provides 700+ prospectus passages labeled by experienced experts with relevant articles from 10k+ entries in our collected Chinese policy corpus. Experiments on lexical, embedding and fine-tuned bi-encoder models show the effectiveness of our proposed CSPRD yet also suggests ample potential for improvement. Our best performing baseline achieves 56.1% MRR@10, 28.5% NDCG@10, 37.5% Recall@10 and 80.6% Precision@10 on dev set.

CodeApex: A Bilingual Programming Evaluation Benchmark for Large Language Models

With the emergence of Large Language Models (LLMs), there has been a significant improvement in the programming capabilities of models, attracting growing attention from researchers. We propose CodeApex, a bilingual benchmark dataset focusing on the programming comprehension and code generation abilities of LLMs. CodeApex comprises three types of multiple-choice questions: conceptual understanding, commonsense reasoning, and multi-hop reasoning, designed to evaluate LLMs on programming comprehension tasks. Additionally, CodeApex utilizes algorithmic questions and corresponding test cases to assess the code quality generated by LLMs. We evaluate 14 state-of-the-art LLMs, including both general-purpose and specialized models. GPT exhibits the best programming capabilities, achieving approximate accuracies of 50% and 56% on the two tasks, respectively. There is still significant room for improvement in programming tasks. We hope that CodeApex can serve as a reference for evaluating the coding capabilities of LLMs, further promoting their development and growth. Datasets are released at https://github.com/APEXLAB/CodeApex.git. CodeApex submission website is https://apex.sjtu.edu.cn/codeapex/.