The first step towards investigating the effectiveness of a treatment is to split the population into the control and the treatment groups, then compare the average responses of the two groups to the treatment. In order to ensure that the difference in the two groups is only caused by the treatment, it is crucial for the control and the treatment groups to have similar statistics. The validity and reliability of trials are determined by the similarity of two groups' statistics. Covariate balancing methods increase the similarity between the distributions of the two groups' covariates. However, often in practice, there are not enough samples to accurately estimate the groups' covariate distributions. In this paper, we empirically show that covariate balancing with the standardized means difference covariate balancing measure is susceptible to adversarial treatment assignments in limited population sizes. Adversarial treatment assignments are those admitted by the covariate balance measure, but result in large ATE estimation errors. To support this argument, we provide an optimization-based algorithm, namely Adversarial Treatment ASsignment in TREatment Effect Trials (ATASTREET), to find the adversarial treatment assignments for the IHDP-1000 dataset.
Power is an important aspect of experimental design, because it allows researchers to understand the chance of detecting causal effects if they exist. It is common to specify a desired level of power, and then compute the sample size necessary to obtain that level of power; thus, power calculations help determine how experiments are conducted in practice. Power and sample size calculations are readily available for completely randomized experiments; however, there can be many benefits to using other experimental designs. For example, in recent years it has been established that rerandomized designs, where subjects are randomized until a prespecified level of covariate balance is obtained, increase the precision of causal effect estimators. This work establishes the statistical power of rerandomized treatment-control experiments, thereby allowing for sample size calculators. Our theoretical results also clarify how power and sample size are affected by treatment effect heterogeneity, a quantity that is often ignored in power analyses. Via simulation, we confirm our theoretical results and find that rerandomization can lead to substantial sample size reductions; e.g., in many realistic scenarios, rerandomization can lead to a 25% or even 50% reduction in sample size for a fixed level of power, compared to complete randomization. Power and sample size calculators based on our results are in the R package rerandPower on CRAN.
Adaptive approaches, allowing for more flexible trial design, have been proposed for individually randomized trials to save time or reduce sample size. However, adaptive designs for cluster-randomized trials in which groups of participants rather than individuals are randomized to treatment arms are less common. Motivated by a cluster-randomized trial designed to assess the effectiveness of a machine-learning based clinical decision support system for physicians treating patients with depression, two Bayesian adaptive designs for cluster-randomized trials are proposed to allow for early stopping for efficacy at pre-planned interim analyses. The difference between the two designs lies in the way that participants are sequentially recruited. Given a maximum number of clusters as well as maximum cluster size allowed in the trial, one design sequentially recruits clusters with the given maximum cluster size, while the other recruits all clusters at the beginning of the trial but sequentially enrolls individual participants until the trial is stopped early for efficacy or the final analysis has been reached. The design operating characteristics are explored via simulations for a variety of scenarios and two outcome types for the two designs. The simulation results show that for different outcomes the design choice may be different. We make recommendations for designs of Bayesian adaptive cluster-randomized trial based on the simulation results.
Although Deep Neural Networks (DNNs) have shown incredible performance in perceptive and control tasks, several trustworthy issues are still open. One of the most discussed topics is the existence of adversarial perturbations, which has opened an interesting research line on provable techniques capable of quantifying the robustness of a given input. In this regard, the Euclidean distance of the input from the classification boundary denotes a well-proved robustness assessment as the minimal affordable adversarial perturbation. Unfortunately, computing such a distance is highly complex due the non-convex nature of NNs. Despite several methods have been proposed to address this issue, to the best of our knowledge, no provable results have been presented to estimate and bound the error committed. This paper addresses this issue by proposing two lightweight strategies to find the minimal adversarial perturbation. Differently from the state-of-the-art, the proposed approach allows formulating an error estimation theory of the approximate distance with respect to the theoretical one. Finally, a substantial set of experiments is reported to evaluate the performance of the algorithms and support the theoretical findings. The obtained results show that the proposed strategies approximate the theoretical distance for samples close to the classification boundary, leading to provable robustness guarantees against any adversarial attacks.
Statistical divergences (SDs), which quantify the dissimilarity between probability distributions, are a basic constituent of statistical inference and machine learning. A modern method for estimating those divergences relies on parametrizing an empirical variational form by a neural network (NN) and optimizing over parameter space. Such neural estimators are abundantly used in practice, but corresponding performance guarantees are partial and call for further exploration. In particular, there is a fundamental tradeoff between the two sources of error involved: approximation and empirical estimation. While the former needs the NN class to be rich and expressive, the latter relies on controlling complexity. We explore this tradeoff for an estimator based on a shallow NN by means of non-asymptotic error bounds, focusing on four popular $\mathsf{f}$-divergences -- Kullback-Leibler, chi-squared, squared Hellinger, and total variation. Our analysis relies on non-asymptotic function approximation theorems and tools from empirical process theory. The bounds reveal the tension between the NN size and the number of samples, and enable to characterize scaling rates thereof that ensure consistency. For compactly supported distributions, we further show that neural estimators of the first three divergences above with appropriate NN growth-rate are near minimax rate-optimal, achieving the parametric rate up to logarithmic factors.
Adversarial training is among the most effective techniques to improve the robustness of models against adversarial perturbations. However, the full effect of this approach on models is not well understood. For example, while adversarial training can reduce the adversarial risk (prediction error against an adversary), it sometimes increase standard risk (generalization error when there is no adversary). Even more, such behavior is impacted by various elements of the learning problem, including the size and quality of training data, specific forms of adversarial perturbations in the input, model overparameterization, and adversary's power, among others. In this paper, we focus on \emph{distribution perturbing} adversary framework wherein the adversary can change the test distribution within a neighborhood of the training data distribution. The neighborhood is defined via Wasserstein distance between distributions and the radius of the neighborhood is a measure of adversary's manipulative power. We study the tradeoff between standard risk and adversarial risk and derive the Pareto-optimal tradeoff, achievable over specific classes of models, in the infinite data limit with features dimension kept fixed. We consider three learning settings: 1) Regression with the class of linear models; 2) Binary classification under the Gaussian mixtures data model, with the class of linear classifiers; 3) Regression with the class of random features model (which can be equivalently represented as two-layer neural network with random first-layer weights). We show that a tradeoff between standard and adversarial risk is manifested in all three settings. We further characterize the Pareto-optimal tradeoff curves and discuss how a variety of factors, such as features correlation, adversary's power or the width of two-layer neural network would affect this tradeoff.
This paper focuses on the expected difference in borrower's repayment when there is a change in the lender's credit decisions. Classical estimators overlook the confounding effects and hence the estimation error can be magnificent. As such, we propose another approach to construct the estimators such that the error can be greatly reduced. The proposed estimators are shown to be unbiased, consistent, and robust through a combination of theoretical analysis and numerical testing. Moreover, we compare the power of estimating the causal quantities between the classical estimators and the proposed estimators. The comparison is tested across a wide range of models, including linear regression models, tree-based models, and neural network-based models, under different simulated datasets that exhibit different levels of causality, different degrees of nonlinearity, and different distributional properties. Most importantly, we apply our approaches to a large observational dataset provided by a global technology firm that operates in both the e-commerce and the lending business. We find that the relative reduction of estimation error is strikingly substantial if the causal effects are accounted for correctly.
Recently, many unsupervised deep learning methods have been proposed to learn clustering with unlabelled data. By introducing data augmentation, most of the latest methods look into deep clustering from the perspective that the original image and its tansformation should share similar semantic clustering assignment. However, the representation features before softmax activation function could be quite different even the assignment probability is very similar since softmax is only sensitive to the maximum value. This may result in high intra-class diversities in the representation feature space, which will lead to unstable local optimal and thus harm the clustering performance. By investigating the internal relationship between mutual information and contrastive learning, we summarized a general framework that can turn any maximizing mutual information into minimizing contrastive loss. We apply it to both the semantic clustering assignment and representation feature and propose a novel method named Deep Robust Clustering by Contrastive Learning (DRC). Different to existing methods, DRC aims to increase inter-class diver-sities and decrease intra-class diversities simultaneously and achieve more robust clustering results. Extensive experiments on six widely-adopted deep clustering benchmarks demonstrate the superiority of DRC in both stability and accuracy. e.g., attaining 71.6% mean accuracy on CIFAR-10, which is 7.1% higher than state-of-the-art results.
Capsule Networks preserve the hierarchical spatial relationships between objects, and thereby bears a potential to surpass the performance of traditional Convolutional Neural Networks (CNNs) in performing tasks like image classification. A large body of work has explored adversarial examples for CNNs, but their effectiveness on Capsule Networks has not yet been well studied. In our work, we perform an analysis to study the vulnerabilities in Capsule Networks to adversarial attacks. These perturbations, added to the test inputs, are small and imperceptible to humans, but can fool the network to mispredict. We propose a greedy algorithm to automatically generate targeted imperceptible adversarial examples in a black-box attack scenario. We show that this kind of attacks, when applied to the German Traffic Sign Recognition Benchmark (GTSRB), mislead Capsule Networks. Moreover, we apply the same kind of adversarial attacks to a 5-layer CNN and a 9-layer CNN, and analyze the outcome, compared to the Capsule Networks to study differences in their behavior.
Outlier detection is an important topic in machine learning and has been used in a wide range of applications. In this paper, we approach outlier detection as a binary-classification issue by sampling potential outliers from a uniform reference distribution. However, due to the sparsity of data in high-dimensional space, a limited number of potential outliers may fail to provide sufficient information to assist the classifier in describing a boundary that can separate outliers from normal data effectively. To address this, we propose a novel Single-Objective Generative Adversarial Active Learning (SO-GAAL) method for outlier detection, which can directly generate informative potential outliers based on the mini-max game between a generator and a discriminator. Moreover, to prevent the generator from falling into the mode collapsing problem, the stop node of training should be determined when SO-GAAL is able to provide sufficient information. But without any prior information, it is extremely difficult for SO-GAAL. Therefore, we expand the network structure of SO-GAAL from a single generator to multiple generators with different objectives (MO-GAAL), which can generate a reasonable reference distribution for the whole dataset. We empirically compare the proposed approach with several state-of-the-art outlier detection methods on both synthetic and real-world datasets. The results show that MO-GAAL outperforms its competitors in the majority of cases, especially for datasets with various cluster types or high irrelevant variable ratio.
Person re-identification (re-ID) has attracted much attention recently due to its great importance in video surveillance. In general, distance metrics used to identify two person images are expected to be robust under various appearance changes. However, our work observes the extreme vulnerability of existing distance metrics to adversarial examples, generated by simply adding human-imperceptible perturbations to person images. Hence, the security danger is dramatically increased when deploying commercial re-ID systems in video surveillance, especially considering the highly strict requirement of public safety. Although adversarial examples have been extensively applied for classification analysis, it is rarely studied in metric analysis like person re-identification. The most likely reason is the natural gap between the training and testing of re-ID networks, that is, the predictions of a re-ID network cannot be directly used during testing without an effective metric. In this work, we bridge the gap by proposing Adversarial Metric Attack, a parallel methodology to adversarial classification attacks, which can effectively generate adversarial examples for re-ID. Comprehensive experiments clearly reveal the adversarial effects in re-ID systems. Moreover, by benchmarking various adversarial settings, we expect that our work can facilitate the development of robust feature learning with the experimental conclusions we have drawn.