ICLR 2024 论文列表

Existing analyses of the expressive capacity of Transformer models have required excessively deep layers for data memorization, leading to a discrepancy with the Transformers actually used in practice. This is primarily due to the interpretation of the softmax function as an approximation of the hardmax function. By clarifying the connection between the softmax function and the Boltzmann operator, we prove that a single layer of self-attention with low-rank weight matrices possesses the capability to perfectly capture the context of an entire input sequence. As a consequence, we show that one-layer and single-head Transformers have a memorization capacity for finite samples, and that Transformers consisting of one self-attention layer with two feed-forward neural networks are universal approximators for continuous functions on a compact domain.

Finetuning large language models (LLMs) on instructions leads to vast performance improvements on natural language tasks. We apply instruction tuning using code, leveraging the natural structure of Git commits, which pair code changes with human instructions. We compile CommitPack: 4 terabytes of Git commits across 350 programming languages. We benchmark CommitPack against other natural and synthetic code instructions (xP3x, Self-Instruct, OASST) on the 16B parameter StarCoder model, and achieve state-of-the-art performance among models not trained on OpenAI outputs, on the HumanEval Python benchmark (46.2% pass@1). We further introduce HumanEvalPack, expanding the HumanEval benchmark to a total of 3 coding tasks (Code Repair, Code Explanation, Code Synthesis) across 6 languages (Python, JavaScript, Java, Go, C++, Rust). Our models, OctoCoder and OctoGeeX, achieve the best performance across HumanEvalPack among all permissive models, demonstrating CommitPack's benefits in generalizing to a wider set of languages and natural coding tasks. Code, models and data are freely available at https://github.com/bigcode-project/octopack.

We consider the domain adaptation problem in the context of label shift, where the label distributions between source and target domain differ, but the conditional distributions of features given the label are the same. To solve the label shift adaption problem, we develop a novel matching framework named \textit{class probability matching} (\textit{CPM}). It is inspired by a new understanding of the source domain's class probability, as well as a specific relationship between class probability ratios and feature probability ratios between the source and target domains. CPM is able to maintain the same theoretical guarantee with the existing feature probability matching framework, while significantly improving the computational efficiency due to directly matching the probabilities of the label variable. Within the CPM framework, we propose an algorithm named \textit{class probability matching with calibrated networks} (\textit{CPMCN}) for target domain classification. From the theoretical perspective, we establish the generalization bound of the CPMCN method in order to explain the benefits of introducing calibrated networks. From the experimental perspective, real data comparisons show that CPMCN outperforms existing matching-based and EM-based algorithms.

*Low-Rank Adaptation* (LoRA), a parameter-efficient fine-tuning method that leverages low-rank adaptation of weight matrices, has emerged as a prevalent technique for fine-tuning pre-trained models such as large language models and diffusion models. Despite its huge success in practice, the theoretical underpinnings of LoRA have largely remained unexplored. This paper takes the first step to bridge this gap by theoretically analyzing the expressive power of LoRA. We prove that, for fully connected neural networks, LoRA can adapt any model $f$ to accurately represent any smaller target model $\bar{f}$ if LoRA-rank $\geq(\text{width of }f) \times \frac{\text{depth of }\bar{f}}{\text{depth of }f}$, under a mild assumption. We also quantify the approximation error when the LoRA-rank is lower than the threshold. For Transformer networks, we show any model can be adapted to a target model of the same size with rank-$(\frac{\text{embedding size}}{2})$ LoRA adapters. All our theoretical insights are validated by numerical experiments.

In the face of the deep learning model's vulnerability to domain shift, source-free domain adaptation (SFDA) methods have been proposed to adapt models to new, unseen target domains without requiring access to source domain data. Although the potential benefits of applying data augmentation to SFDA are attractive, several challenges arise such as the dependence on prior knowledge of class-preserving transformations and the increase in memory and computational requirements. In this paper, we propose Source-free Domain Adaptation Through the Lens of Data Augmentation (SF(DA)$^2$), a novel approach that leverages the benefits of data augmentation without suffering from these challenges. We construct an augmentation graph in the feature space of the pretrained model using the neighbor relationships between target features and propose spectral neighborhood clustering to identify partitions in the prediction space. Furthermore, we propose implicit feature augmentation and feature disentanglement as regularization loss functions that effectively utilize class semantic information within the feature space. These regularizers simulate the inclusion of an unlimited number of augmented target features into the augmentation graph while minimizing computational and memory demands. Our method shows superior adaptation performance in SFDA scenarios, including 2D image and 3D point cloud datasets and a highly imbalanced dataset.

The general sequential decision-making problem, which includes Markov decision processes (MDPs) and partially observable MDPs (POMDPs) as special cases, aims at maximizing a cumulative reward by making a sequence of decisions based on a history of observations and actions over time. Recent studies have shown that the sequential decision-making problem is statistically learnable if it admits a low-rank structure modeled by predictive state representations (PSRs). Despite these advancements, existing approaches typically involve oracles or steps that are computationally intractable. On the other hand, the upper confidence bound (UCB) based approaches, which have served successfully as computationally efficient methods in bandits and MDPs, have not been investigated for more general PSRs, due to the difficulty of optimistic bonus design in these more challenging settings. This paper proposes the first known UCB-type approach for PSRs, featuring a novel bonus term that upper bounds the total variation distance between the estimated and true models. We further characterize the sample complexity bounds for our designed UCB-type algorithms for both online and offline PSRs. In contrast to existing approaches for PSRs, our UCB-type algorithms enjoy computational tractability, last-iterate guaranteed near-optimal policy, and guaranteed model accuracy.

Large pre-trained models have enabled significant advances in machine learning and served as foundation components. Model fusion methods, such as task arithmetic, have been proven to be powerful and scalable to incorporate fine-tuned weights from different tasks into a multi-task model. However, efficiently fine-tuning large pre-trained models on multiple downstream tasks remains challenging, leading to inefficient multi-task model fusion. In this work, we propose a novel method to improve multi-task fusion for parameter-efficient fine-tuning techniques like LoRA fine-tuning. Specifically, our approach partially linearizes only the adapter modules and applies task arithmetic over the linearized adapters. This allows us to leverage the the advantages of model fusion over linearized fine-tuning, while still performing fine-tuning and inference efficiently. We demonstrate that our partial linearization technique enables a more effective fusion of multiple tasks into a single model, outperforming standard adapter tuning and task arithmetic alone. Experimental results demonstrate the capabilities of our proposed partial linearization technique to effectively construct unified multi-task models via the fusion of fine-tuned task vectors. We evaluate performance over an increasing number of tasks and find that our approach outperforms standard parameter-efficient fine-tuning techniques. The results highlight the benefits of partial linearization for scalable and efficient multi-task model fusion.

Due to its empirical success in few-shot classification and reinforcement learning, meta-learning has recently received significant interest. Meta-learning methods leverage data from previous tasks to learn a new task in a sample-efficient manner. In particular, model-agnostic methods look for initialization points from which gradient descent quickly adapts to any new task. Although it has been empirically suggested that such methods perform well by learning shared representations during pretraining, there is limited theoretical evidence of such behavior. More importantly, it has not been shown that these methods still learn a shared structure, despite architectural misspecifications. In this direction, this work shows, in the limit of an infinite number of tasks, that first-order ANIL with a linear two-layer network architecture successfully learns linear shared representations. This result even holds with _overparametrization_; having a width larger than the dimension of the shared representations results in an asymptotically low-rank solution. The learned solution then yields a good adaptation performance on any new task after a single gradient step. Overall, this illustrates how well model-agnostic methods such as first-order ANIL can learn shared representations.

Domain shift degrades classification models on new data distributions. Conventional unsupervised domain adaptation (UDA) aims to learn features that bridge labeled source and unlabeled target domains. In contrast to feature learning, gradual domain adaptation (GDA) leverages extra continuous intermediate domains with pseudo-labels to boost the source classifier. However, real intermediate domains are sometimes unavailable or ineffective. In this paper, we propose $\textbf{G}$radual Domain Adaptation via $\textbf{G}$radient $\textbf{F}$low (GGF) to generate intermediate domains with preserving labels, thereby enabling us a fine-tuning method for GDA. We employ the Wasserstein gradient flow in Kullback–Leibler divergence to transport samples from the source to the target domain. To simulate the dynamics, we utilize the Langevin algorithm. Since the Langevin algorithm disregards label information and introduces diffusion noise, we introduce classifier-based and sample-based potentials to avoid label switching and dramatic deviations in the sampling process. For the proposed GGF model, we analyze its generalization bound. Experiments on several benchmark datasets demonstrate the superiority of the proposed GGF method compared to state-of-the-art baselines.

Despite the impressive performance across numerous tasks, large language models (LLMs) often fail in solving simple decision-making tasks due to the misalignment of the knowledge in LLMs with environments. On the contrary, reinforcement learning (RL) agents learn policies from scratch, which makes them always align with environments but difficult to incorporate prior knowledge for efficient explorations. To narrow the gap, we propose TWOSOME, a novel general online framework that deploys LLMs as decision-making agents to efficiently interact and align with embodied environments via RL without requiring any prepared datasets or prior knowledge of the environments. Firstly, we query the joint probabilities of each valid action with LLMs to form behavior policies. Then, to enhance the stability and robustness of the policies, we propose two normalization methods and summarize four prompt design principles. Finally, we design a novel parameter-efficient training architecture where the actor and critic share one frozen LLM equipped with low-rank adapters (LoRA) updated by PPO. We conduct extensive experiments to evaluate TWOSOME. i) TWOSOME exhibits significantly better sample efficiency and performance compared to the conventional RL method, PPO, and prompt tuning method, SayCan, in both classical decision-making environment, Overcooked, and simulated household environment, VirtualHome. ii) Benefiting from LLMs' open-vocabulary feature, TWOSOME shows superior generalization ability to unseen tasks. iii) Under our framework, there is no significant loss of the LLMs' original ability during online PPO finetuning.

Zero Redundancy Optimizer (ZeRO) has been used to train a wide range of large language models on massive GPU clusters due to its ease of use, efficiency, and good scalability. However, when training on low-bandwidth clusters, and/or when small batch size per GPU is used, ZeRO’s effective throughput is limited due to communication overheads. To alleviate this limitation, this paper introduces ZeRO++ composing of three communication volume reduction techniques (lowprecision all-gather, data remapping, and low-precision gradient averaging) to significantly reduce the communication volume up to 4x that enables up to 2.16x better throughput at 384 GPU scale. Our results also show ZeRO++ can speedup the RLHF by 3.3x compared to vanilla ZeRO. To verify the convergence of ZeRO++, we test up to 13B model for pretraining with 8/6-bits all gather and up to 30B model for finetuning with 4/2-bits all gather, and demonstrate on-par accuracy as original ZeRO (aka standard training). As a byproduct, the model trained with ZeRO++ is naturally weight-quantized, which can be directly used for inference without post-training quantization or quantization-aware training.

Large language models (LLMs) have demonstrated outstanding performance in various tasks, such as text summarization, text question-answering, and etc. While their performance is impressive, the computational footprint due to their vast number of parameters can be prohibitive. Existing solutions such as SparseGPT and Wanda attempt to alleviate this issue through weight pruning. However, their layer-wise approach results in significant perturbation to the model's output and requires meticulous hyperparameter tuning, such as the pruning rate, which can adversely affect overall model performance. To address this, this paper introduces a novel LLM pruning technique dubbed blockwise parameter-efficient sparsity allocation (BESA) by applying a blockwise reconstruction loss. In contrast to the typical layer-wise pruning techniques, BESA is characterized by two distinctive attributes: i) it targets the overall pruning error with respect to individual transformer blocks, and ii) it allocates layer-specific sparsity in a differentiable manner, both of which ensure reduced performance degradation after pruning. Our experiments show that BESA achieves state-of-the-art performance, efficiently pruning LLMs like LLaMA1, and LLaMA2 with 7B to 70B parameters on a single A100 GPU in just five hours. Code is available at [here](https://github.com/LinkAnonymous/BESA).

Unsupervised domain adaptation (UDA) involves adapting a model trained on a label-rich source domain to an unlabeled target domain. However, in real-world scenarios, the absence of target-domain labels makes it challenging to evaluate the performance of UDA models. Furthermore, prevailing UDA methods relying on adversarial training and self-training could lead to model degeneration and negative transfer, further exacerbating the evaluation problem. In this paper, we propose a novel metric called the Transfer Score to address these issues. The proposed metric enables the unsupervised evaluation of UDA models by assessing the spatial uniformity of the classifier via model parameters, as well as the transferability and discriminability of deep representations. Based on the metric, we achieve three novel objectives without target-domain labels: (1) selecting the best UDA method from a range of available options, (2) optimizing hyperparameters of UDA models to prevent model degeneration, and (3) identifying which checkpoint of UDA model performs optimally. Our work bridges the gap between data-level UDA research and practical UDA scenarios, enabling a realistic assessment of UDA model performance. We validate the effectiveness of our metric through extensive empirical studies on UDA datasets of different scales and imbalanced distributions. The results demonstrate that our metric robustly achieves the aforementioned goals.

In this paper, we consider federated reinforcement learning for tabular episodic Markov Decision Processes (MDP) where, under the coordination of a central server, multiple agents collaboratively explore the environment and learn an optimal policy without sharing their raw data. While linear speedup in the number of agents has been achieved for some metrics, such as convergence rate and sample complexity, in similar settings, it is unclear whether it is possible to design a *model-free* algorithm to achieve linear *regret* speedup with low communication cost. We propose two federated Q-Learning algorithms termed as FedQ-Hoeffding and FedQ-Bernstein, respectively, and show that the corresponding total regrets achieve a linear speedup compared with their single-agent counterparts, while the communication cost scales logarithmically in the total number of time steps $T$. Those results rely on an event-triggered synchronization mechanism between the agents and the server, a novel step size selection when the server aggregates the local estimates of the state-action values to form the global estimates, and a set of new concentration inequalities to bound the sum of non-martingale differences. This is the first work showing that linear regret speedup and logarithmic communication cost can be achieved by model-free algorithms in federated reinforcement learning.

Transfer learning with a small amount of target data is an effective and common approach to adapting a pre-trained model to distribution shifts. In some situations, target data labels may be expensive to obtain, so we may only have access to a limited number of target data points. To make the most of a very small target dataset, we propose a lightweight, sample-efficient approach that learns a diverse set of features and adapts to a target distribution by interpolating these features. Our approach, Project and Probe (Pro$^2$), first learns a linear projection that maps a pre-trained embedding onto orthogonal directions while being predictive of labels in the source dataset. The goal of this step is to learn a variety of predictive features, so that at least some of them remain useful after distribution shift. Pro$^2$ then learns a linear classifier on top of these projected features using a small target dataset. Theoretically, we find that Pro$^2$ results in more sample-efficient generalization by inducing a favorable bias-variance tradeoff. Our experiments on four datasets, with multiple distribution shift settings for each, show that Pro$^2$ improves performance by 5-15% when given limited target data compared to prior methods such as standard linear probing.

Large-scale vision-language pre-trained models have shown promising transferability to various downstream tasks. As the size of these foundation models and the number of downstream tasks grow, the standard full fine-tuning paradigm becomes unsustainable due to heavy computational and storage costs. This paper proposes UniAdapter, which unifies unimodal and multimodal adapters for parameter-efficient cross-modal adaptation on pre-trained vision-language models. Specifically, adapters are distributed to different modalities and their interactions, with the total number of tunable parameters reduced by partial weight sharing. The unified and knowledge-sharing design enables powerful cross-modal representations that can benefit various downstream tasks, requiring only 1.0%-2.0% tunable parameters of the pre-trained model. Extensive experiments on 7 cross-modal downstream benchmarks (including video-text retrieval, image-text retrieval, VideoQA, VQA and Caption) show that in most cases, UniAdapter not only outperforms the state-of-the-arts, but even beats the full fine-tuning strategy. Particularly, on the MSRVTT retrieval task, UniAdapter achieves 49.7% recall@1 with 2.2% model parameters, outperforming the latest competitors by 2.0%. The code and models are available at https://github.com/RERV/UniAdapter.

The Segment-Anything Model (SAM) stands as a foundational framework for image segmentation. While it exhibits remarkable zero-shot generalization in typical scenarios, its advantage diminishes when applied to specialized domains like medical imagery and remote sensing. To address this limitation, this paper introduces Conv-LoRA, a simple yet effective parameter-efficient fine-tuning approach. By integrating ultra-lightweight convolutional parameters into Low-Rank Adaptation (LoRA), Conv-LoRA can inject image-related inductive biases into the plain ViT encoder, further reinforcing SAM’s local prior assumption. Notably, Conv-LoRA not only preserves SAM’s extensive segmentation knowledge but also revives its capacity of learning high-level image semantics, which is constrained by SAM’s foreground-background segmentation pretraining. Comprehensive experimentation across diverse benchmarks spanning multiple domains underscores Conv-LoRA’s superiority in adapting SAM to real-world semantic segmentation tasks.

In the pursuit of reducing the number of trainable parameters in deep transformer networks, we employ Reinforcement Learning to dynamically select layers during training and tie them together. Every few iterations, the RL agent is asked whether to train each layer $i$ independently or to copy the weights of a previous layer $j<i$. This facilitates weight sharing, reduces the number of trainable parameters, and also serves as an effective regularization technique. Experimental evaluations validate that our model modestly outperforms the baseline transformer model with regard to perplexity and drastically reduces the number of trainable parameters. In particular, the memory consumption during training is up to one order of magnitude less than the conventional training method.

With the rising tide of large language models (LLMs), there has been a growing interest in developing general-purpose instruction-following models, e.g., ChatGPT. To this end, we present LLaMA-Adapter, a lightweight adaption method for efficient instruction tuning of LLaMA. Using 52K self-instruct demonstrations, LLaMA-Adapter only introduces 1.2M learnable parameters upon the frozen LLaMA 7B model, and costs less than one hour for fine-tuning. Specifically, a zero-initialized attention mechanism is proposed. It adopts a learnable zero gating to adaptively inject the instructional cues into LLaMA within self-attention layers, contributing to a stable training process and superior final performance. In this way, LLaMA-Adapter can generate high-quality responses to diverse language instructions, comparable to Alpaca with fully fine-tuned 7B parameters. Besides language commands, by incorporating an image encoder, our approach can be simply extended to a multi-modal LLM for image-conditioned instruction following, which achieves superior multi-modal reasoning capacity on several popular benchmarks (MME, MMBench, LVLM-eHub). Furthermore, we also verify the proposed zero-initialized attention mechanism for fine-tuning other pre-trained models (ViT, RoBERTa, CLIP) on traditional vision and language tasks, demonstrating the effectiveness and generalizability of our approach. Code and models are released at https://github.com/OpenGVLab/LLaMA-Adapter.