Dynamic Universal Approximation Theory: The Basic Theory for Transformer-based Large Language Models
Language models have emerged as a critical area of focus in artificial intelligence, particularly with the introduction of groundbreaking innovations like ChatGPT. Large-scale Transformer networks have quickly become the leading approach for advancing natural language processing algorithms. Built on the Transformer architecture, these models enable interactions that closely mimic human communication and, equipped with extensive knowledge, can even assist in guiding human tasks. Despite their impressive capabilities and growing complexity, a key question remains-the theoretical foundations of large language models (LLMs). What makes Transformer so effective for powering intelligent language applications, such as translation and coding? What underlies LLMs' ability for In-Context Learning (ICL)? How does the LoRA scheme enhance the fine-tuning of LLMs? And what supports the practicality of pruning LLMs? To address these critical questions and explore the technological strategies within LLMs, we leverage the Universal Approximation Theory (UAT) to offer a theoretical backdrop, shedding light on the mechanisms that underpin these advancements.
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Causal inference has shown potential in enhancing the predictive accuracy, fairness, robustness, and explainability of Natural Language Processing (NLP) models by capturing causal relationships among variables. The emergence of generative Large Language Models (LLMs) has significantly impacted various NLP domains, particularly through their advanced reasoning capabilities. This survey focuses on evaluating and improving LLMs from a causal view in the following areas: understanding and improving the LLMs' reasoning capacity, addressing fairness and safety issues in LLMs, complementing LLMs with explanations, and handling multimodality. Meanwhile, LLMs' strong reasoning capacities can in turn contribute to the field of causal inference by aiding causal relationship discovery and causal effect estimations. This review explores the interplay between causal inference frameworks and LLMs from both perspectives, emphasizing their collective potential to further the development of more advanced and equitable artificial intelligence systems.
Agent-based modeling and simulation has evolved as a powerful tool for modeling complex systems, offering insights into emergent behaviors and interactions among diverse agents. Integrating large language models into agent-based modeling and simulation presents a promising avenue for enhancing simulation capabilities. This paper surveys the landscape of utilizing large language models in agent-based modeling and simulation, examining their challenges and promising future directions. In this survey, since this is an interdisciplinary field, we first introduce the background of agent-based modeling and simulation and large language model-empowered agents. We then discuss the motivation for applying large language models to agent-based simulation and systematically analyze the challenges in environment perception, human alignment, action generation, and evaluation. Most importantly, we provide a comprehensive overview of the recent works of large language model-empowered agent-based modeling and simulation in multiple scenarios, which can be divided into four domains: cyber, physical, social, and hybrid, covering simulation of both real-world and virtual environments. Finally, since this area is new and quickly evolving, we discuss the open problems and promising future directions.
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: //github.com/apexrl/Diff4RLSurvey .
Ensuring alignment, which refers to making models behave in accordance with human intentions [1,2], has become a critical task before deploying large language models (LLMs) in real-world applications. For instance, OpenAI devoted six months to iteratively aligning GPT-4 before its release [3]. However, a major challenge faced by practitioners is the lack of clear guidance on evaluating whether LLM outputs align with social norms, values, and regulations. This obstacle hinders systematic iteration and deployment of LLMs. To address this issue, this paper presents a comprehensive survey of key dimensions that are crucial to consider when assessing LLM trustworthiness. The survey covers seven major categories of LLM trustworthiness: reliability, safety, fairness, resistance to misuse, explainability and reasoning, adherence to social norms, and robustness. Each major category is further divided into several sub-categories, resulting in a total of 29 sub-categories. Additionally, a subset of 8 sub-categories is selected for further investigation, where corresponding measurement studies are designed and conducted on several widely-used LLMs. The measurement results indicate that, in general, more aligned models tend to perform better in terms of overall trustworthiness. However, the effectiveness of alignment varies across the different trustworthiness categories considered. This highlights the importance of conducting more fine-grained analyses, testing, and making continuous improvements on LLM alignment. By shedding light on these key dimensions of LLM trustworthiness, this paper aims to provide valuable insights and guidance to practitioners in the field. Understanding and addressing these concerns will be crucial in achieving reliable and ethically sound deployment of LLMs in various applications.
Diffusion models (DMs) have shown great potential for high-quality image synthesis. However, when it comes to producing images with complex scenes, how to properly describe both image global structures and object details remains a challenging task. In this paper, we present Frido, a Feature Pyramid Diffusion model performing a multi-scale coarse-to-fine denoising process for image synthesis. Our model decomposes an input image into scale-dependent vector quantized features, followed by a coarse-to-fine gating for producing image output. During the above multi-scale representation learning stage, additional input conditions like text, scene graph, or image layout can be further exploited. Thus, Frido can be also applied for conditional or cross-modality image synthesis. We conduct extensive experiments over various unconditioned and conditional image generation tasks, ranging from text-to-image synthesis, layout-to-image, scene-graph-to-image, to label-to-image. More specifically, we achieved state-of-the-art FID scores on five benchmarks, namely layout-to-image on COCO and OpenImages, scene-graph-to-image on COCO and Visual Genome, and label-to-image on COCO. Code is available at //github.com/davidhalladay/Frido.
Multi-agent influence diagrams (MAIDs) are a popular form of graphical model that, for certain classes of games, have been shown to offer key complexity and explainability advantages over traditional extensive form game (EFG) representations. In this paper, we extend previous work on MAIDs by introducing the concept of a MAID subgame, as well as subgame perfect and trembling hand perfect equilibrium refinements. We then prove several equivalence results between MAIDs and EFGs. Finally, we describe an open source implementation for reasoning about MAIDs and computing their equilibria.
Traffic forecasting is an important factor for the success of intelligent transportation systems. Deep learning models including convolution neural networks and recurrent neural networks have been applied in traffic forecasting problems to model the spatial and temporal dependencies. In recent years, to model the graph structures in the transportation systems as well as the contextual information, graph neural networks (GNNs) are introduced as new tools and have achieved the state-of-the-art performance in a series of traffic forecasting problems. In this survey, we review the rapidly growing body of recent research using different GNNs, e.g., graph convolutional and graph attention networks, in various traffic forecasting problems, e.g., road traffic flow and speed forecasting, passenger flow forecasting in urban rail transit systems, demand forecasting in ride-hailing platforms, etc. We also present a collection of open data and source resources for each problem, as well as future research directions. To the best of our knowledge, this paper is the first comprehensive survey that explores the application of graph neural networks for traffic forecasting problems. We have also created a public Github repository to update the latest papers, open data and source resources.
InteractE: Improving Convolution-based Knowledge Graph Embeddings by Increasing Feature Interactions
Most existing knowledge graphs suffer from incompleteness, which can be alleviated by inferring missing links based on known facts. One popular way to accomplish this is to generate low-dimensional embeddings of entities and relations, and use these to make inferences. ConvE, a recently proposed approach, applies convolutional filters on 2D reshapings of entity and relation embeddings in order to capture rich interactions between their components. However, the number of interactions that ConvE can capture is limited. In this paper, we analyze how increasing the number of these interactions affects link prediction performance, and utilize our observations to propose InteractE. InteractE is based on three key ideas -- feature permutation, a novel feature reshaping, and circular convolution. Through extensive experiments, we find that InteractE outperforms state-of-the-art convolutional link prediction baselines on FB15k-237. Further, InteractE achieves an MRR score that is 9%, 7.5%, and 23% better than ConvE on the FB15k-237, WN18RR and YAGO3-10 datasets respectively. The results validate our central hypothesis -- that increasing feature interaction is beneficial to link prediction performance. We make the source code of InteractE available to encourage reproducible research.
With the capability of modeling bidirectional contexts, denoising autoencoding based pretraining like BERT achieves better performance than pretraining approaches based on autoregressive language modeling. However, relying on corrupting the input with masks, BERT neglects dependency between the masked positions and suffers from a pretrain-finetune discrepancy. In light of these pros and cons, we propose XLNet, a generalized autoregressive pretraining method that (1) enables learning bidirectional contexts by maximizing the expected likelihood over all permutations of the factorization order and (2) overcomes the limitations of BERT thanks to its autoregressive formulation. Furthermore, XLNet integrates ideas from Transformer-XL, the state-of-the-art autoregressive model, into pretraining. Empirically, XLNet outperforms BERT on 20 tasks, often by a large margin, and achieves state-of-the-art results on 18 tasks including question answering, natural language inference, sentiment analysis, and document ranking.
Multi-relation Question Answering is a challenging task, due to the requirement of elaborated analysis on questions and reasoning over multiple fact triples in knowledge base. In this paper, we present a novel model called Interpretable Reasoning Network that employs an interpretable, hop-by-hop reasoning process for question answering. The model dynamically decides which part of an input question should be analyzed at each hop; predicts a relation that corresponds to the current parsed results; utilizes the predicted relation to update the question representation and the state of the reasoning process; and then drives the next-hop reasoning. Experiments show that our model yields state-of-the-art results on two datasets. More interestingly, the model can offer traceable and observable intermediate predictions for reasoning analysis and failure diagnosis, thereby allowing manual manipulation in predicting the final answer.
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