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Probabilistic Factorial Experimental Design for Combinatorial Interventions

arXiv.org Machine Learning

A combinatorial intervention, consisting of multiple treatments applied to a single unit with potentially interactive effects, has substantial applications in fields such as biomedicine, engineering, and beyond. Given $p$ possible treatments, conducting all possible $2^p$ combinatorial interventions can be laborious and quickly becomes infeasible as $p$ increases. Here we introduce probabilistic factorial experimental design, formalized from how scientists perform lab experiments. In this framework, the experimenter selects a dosage for each possible treatment and applies it to a group of units. Each unit independently receives a random combination of treatments, sampled from a product Bernoulli distribution determined by the dosages. Additionally, the experimenter can carry out such experiments over multiple rounds, adapting the design in an active manner. We address the optimal experimental design problem within an intervention model that imposes bounded-degree interactions between treatments. In the passive setting, we provide a closed-form solution for the near-optimal design. Our results prove that a dosage of $\tfrac{1}{2}$ for each treatment is optimal up to a factor of $1+O(\tfrac{\ln(n)}{n})$ for estimating any $k$-way interaction model, regardless of $k$, and imply that $O\big(kp^{3k}\ln(p)\big)$ observations are required to accurately estimate this model. For the multi-round setting, we provide a near-optimal acquisition function that can be numerically optimized. We also explore several extensions of the design problem and finally validate our findings through simulations.


A Trustworthiness-based Metaphysics of Artificial Intelligence Systems

arXiv.org Artificial Intelligence

Modern AI systems are man-made objects that leverage machine learning to support our lives across a myriad of contexts and applications. Despite extensive epistemological and ethical debates, their metaphysical foundations remain relatively under explored. The orthodox view simply suggests that AI systems, as artifacts, lack well-posed identity and persistence conditions -- their metaphysical kinds are no real kinds. In this work, we challenge this perspective by introducing a theory of metaphysical identity of AI systems. We do so by characterizing their kinds and introducing identity criteria -- formal rules that answer the questions "When are two AI systems the same?" and "When does an AI system persist, despite change?" Building on Carrara and Vermaas' account of fine-grained artifact kinds, we argue that AI trustworthiness provides a lens to understand AI system kinds and formalize the identity of these artifacts by relating their functional requirements to their physical make-ups. The identity criteria of AI systems are determined by their trustworthiness profiles -- the collection of capabilities that the systems must uphold over time throughout their artifact histories, and their effectiveness in maintaining these capabilities. Our approach suggests that the identity and persistence of AI systems is sensitive to the socio-technical context of their design and utilization via their trustworthiness, providing a solid metaphysical foundation to the epistemological, ethical, and legal discussions about these artifacts.


Beware! The AI Act Can Also Apply to Your AI Research Practices

arXiv.org Artificial Intelligence

The EU has become one of the vanguards in regulating the digital age. A particularly important regulation in the Artificial Intelligence (AI) domain is the EU AI Act, which entered into force in 2024. The AI Act specifies -- due to a risk-based approach -- various obligations for providers of AI systems. These obligations, for example, include a cascade of documentation and compliance measures, which represent a potential obstacle to science. But do these obligations also apply to AI researchers? This position paper argues that, indeed, the AI Act's obligations could apply in many more cases than the AI community is aware of. In our analysis of the AI Act and its applicability, we contribute the following: 1.) We give a high-level introduction to the AI Act aimed at non-legal AI research scientists. 2.) We explain with everyday research examples why the AI Act applies to research. 3.) We analyse the exceptions of the AI Act's applicability and state that especially scientific research exceptions fail to account for current AI research practices. 4.) We propose changes to the AI Act to provide more legal certainty for AI researchers and give two recommendations for AI researchers to reduce the risk of not complying with the AI Act. We see our paper as a starting point for a discussion between policymakers, legal scholars, and AI researchers to avoid unintended side effects of the AI Act on research.


Mind the Gap: A Practical Attack on GGUF Quantization

arXiv.org Artificial Intelligence

With the increasing size of frontier LLMs, post-training quantization has become the standard for memory-efficient deployment. Recent work has shown that basic rounding-based quantization schemes pose security risks, as they can be exploited to inject malicious behaviors into quantized models that remain hidden in full precision. However, existing attacks cannot be applied to more complex quantization methods, such as the GGUF family used in the popular ollama and llama$.$cpp frameworks. In this work, we address this gap by introducing the first attack on GGUF. Our key insight is that the quantization error -- the difference between the full-precision weights and their (de-)quantized version -- provides sufficient flexibility to construct malicious quantized models that appear benign in full precision. Leveraging this, we develop an attack that trains the target malicious LLM while constraining its weights based on quantization errors. We demonstrate the effectiveness of our attack on three popular LLMs across nine GGUF quantization data types on three diverse attack scenarios: insecure code generation ($ฮ”$=$88.7\%$), targeted content injection ($ฮ”$=$85.0\%$), and benign instruction refusal ($ฮ”$=$30.1\%$). Our attack highlights that (1) the most widely used post-training quantization method is susceptible to adversarial interferences, and (2) the complexity of quantization schemes alone is insufficient as a defense.


Algorithmic Tradeoffs in Fair Lending: Profitability, Compliance, and Long-Term Impact

arXiv.org Artificial Intelligence

As financial institutions increasingly rely on machine learning models to automate lending decisions, concerns about algorithmic fairness have risen. This paper explores the tradeoff between enforcing fairness constraints (such as demographic parity or equal opportunity) and maximizing lender profitability. Through simulations on synthetic data that reflects real-world lending patterns, we quantify how different fairness interventions impact profit margins and default rates. Our results demonstrate that equal opportunity constraints typically impose lower profit costs than demographic parity, but surprisingly, removing protected attributes from the model (fairness through unawareness) outperforms explicit fairness interventions in both fairness and profitability metrics. We further identify the specific economic conditions under which fair lending becomes profitable and analyze the feature-specific drivers of unfairness. These findings offer practical guidance for designing lending algorithms that balance ethical considerations with business objectives.


Crowd Scene Analysis using Deep Learning Techniques

arXiv.org Artificial Intelligence

With the recent advancement in the field of deep learning and computer vision, crowd scene analysis has gained significant attention. UN predicts world population growth of 0.82% by 2035, driving people to cities for better lifestyles and social events like concerts, shopping, political gatherings, and educational conferences. Crowd scene analysis is crucial for ensuring a safe environment in public spaces, but manual monitoring can be laborious due to the risk of missing important information. An automatic solution is needed for efficient real-life applications. Our research is focused on two main applications of crowd scene analysis: crowd counting, and anomaly detection.


Hypothetical Documents or Knowledge Leakage? Rethinking LLM-based Query Expansion

arXiv.org Artificial Intelligence

Query expansion methods powered by large language models (LLMs) have demonstrated effectiveness in zero-shot retrieval tasks. These methods assume that LLMs can generate hypothetical documents that, when incorporated into a query vector, enhance the retrieval of real evidence. However, we challenge this assumption by investigating whether knowledge leakage in benchmarks contributes to the observed performance gains. Using fact verification as a testbed, we analyze whether the generated documents contain information entailed by ground-truth evidence and assess their impact on performance. Our findings indicate that, on average, performance improvements consistently occurred for claims whose generated documents included sentences entailed by gold evidence. This suggests that knowledge leakage may be present in fact-verification benchmarks, potentially inflating the perceived performance of LLM-based query expansion methods.


R-Search: Empowering LLM Reasoning with Search via Multi-Reward Reinforcement Learning

arXiv.org Artificial Intelligence

Large language models (LLMs) have notably progressed in multi-step and long-chain reasoning. However, extending their reasoning capabilities to encompass deep interactions with search remains a non-trivial challenge, as models often fail to identify optimal reasoning-search interaction trajectories, resulting in suboptimal responses. We propose R-Search, a novel reinforcement learning framework for Reasoning-Search integration, designed to enable LLMs to autonomously execute multi-step reasoning with deep search interaction, and learn optimal reasoning search interaction trajectories via multi-reward signals, improving response quality in complex logic- and knowledge-intensive tasks. R-Search guides the LLM to dynamically decide when to retrieve or reason, while globally integrating key evidence to enhance deep knowledge interaction between reasoning and search. During RL training, R-Search provides multi-stage, multi-type rewards to jointly optimize the reasoning-search trajectory. Experiments on seven datasets show that R-Search outperforms advanced RAG baselines by up to 32.2% (in-domain) and 25.1% (out-of-domain). The code and data are available at https://github.com/QingFei1/R-Search.


Safety-Prioritized, Reinforcement Learning-Enabled Traffic Flow Optimization in a 3D City-Wide Simulation Environment

arXiv.org Artificial Intelligence

Traffic congestion and collisions represent significant economic, environmental, and social challenges worldwide. Traditional traffic management approaches have shown limited success in addressing these complex, dynamic problems. To address the current research gaps, three potential tools are developed: a comprehensive 3D city-wide simulation environment that integrates both macroscopic and microscopic traffic dynamics; a collision model; and a reinforcement learning framework with custom reward functions prioritizing safety over efficiency. Unity game engine-based simulation is used for direct collision modeling. A custom reward enabled reinforcement learning method, proximal policy optimization (PPO) model, yields substantial improvements over baseline results, reducing the number of serious collisions, number of vehicle-vehicle collisions, and total distance travelled by over 3 times the baseline values. The model also improves fuel efficiency by 39% and reduces carbon emissions by 88%. Results establish feasibility for city-wide 3D traffic simulation applications incorporating the vision-zero safety principles of the Department of Transportation, including physics-informed, adaptable, realistic collision modeling, as well as appropriate reward modeling for real-world traffic signal light control towards reducing collisions, optimizing traffic flow and reducing greenhouse emissions.


Optimal Transport-based Domain Alignment as a Preprocessing Step for Federated Learning

arXiv.org Artificial Intelligence

It offers a compelling framework for scenarios in which data cannot be centrally aggregated due to privacy constraints, thereby promoting compliance with data protection regulations and enhancing scalability [1]. Beyond its foundational role in privacy-preserving learning, FL also facilitates model personalization--adapting learning outcomes to individual users across the network--an increasingly relevant objective given the heterogeneity of user behavior and datasets. A comprehensive overview of the challenges and practical implementations of personalized federated learning is presented in [2]. Despite its broad applicability, particularly in contexts with stringent data privacy constraints, FL introduces a set of constraints that must be carefully addressed to ensure robust and efficient model training. These constraints include limited communication bandwidth, restricted computation at edge devices, privacy preservation requirements, and data heterogeneity and imbalance. Dataset imbalance in FL emerges when edge devices possess non-uniform class distributions, disparate dataset sizes, or varying data quality [3, 4]. In this work, we propose a preprocessing framework that addresses this imbalance challenge in a model-and algorithm-agnostic manner. Our method aligns and transforms local datasets into a shared representation space that captures statistical information from all participating agents in the network.