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An Effective-Rank Audit of Alignment-Induced Activation Shifts: Confound Control, Constructive Calibration, and Limits
We audit alignment-induced shifts in residual-stream activations of three open-weight instruction-tuned LLMs (Llama-3.1-8B-Instruct, Gemma-2-9B-it, Qwen-2.5-7B-Instruct) using the effective rank of the alignment modification matrix on safety-relevant inputs, rho_eps := rank_eps(M_Ds)/d, which formalizes the single-refusal-direction observation of Arditi et al. (2024) as a continuous quantity. The paper has three contributions. (1) Confound-controlled measurement: a four-variant decomposition (M_naive, M_template, M_aligned, M_DiD) separates chat-template formatting, alignment-stage shift, and the refusal-mediating direction, and recovers the Arditi refusal direction on M_DiD at |cos| in {0.77, 0.86, 0.50} (Llama/Gemma/Qwen); chat-template-controlled rho_eps is {0.0029, 0.0048, 0.0044}, and the centered SVD residual is 4-7x larger. (2) Constructive calibration on a 3-layer MLP across rho_eps in {0.008, 0.17, 0.33, 0.40} exhibits a sweet-spot vs. brittle distinction: mild rank-maximization (lambda=5) buys ablation robustness, while strong regularization at the same nominal rho_eps (lambda=50) does not. rho_eps is a diagnostic for fragility, not a target whose mechanical inflation buys robustness. (3) Limits of rank-based diagnostics: (a) not safety-specific (LRH baseline is 2-3x the safety value); (b) SVD principal ordering does not match causal ordering (Llama u_2 inert despite ranking second; cumulative ablation non-monotone at k=5); (c) the spectral-gap hypothesis required to upgrade the O(rho_eps * d) achievability bound to a matching Mirsky-route lower bound fails empirically (1/90 Llama layer-reference pairs, 0/36 MLP combinations) and structurally (kappa_lb <= 2/(eps * r)). The matching lower bound remains an open problem.
Physen-Noise2Noise: Physics-Guided Self-Supervised Defocus Deblurring with Bias Correction under Low-Light Conditions
Huang, Ziyan, Wu, Lang, Wang, Hongji, Liu, Yifei, Tang, Dongliang, Wang, Hongqiao
Low-light, long-exposure defocus deblurring remains a challenging problem due to the simultaneous presence of severe blur and complex biased noise. Existing methods typically rely on simplified noise assumptions, which limits their effectiveness under realistic imaging conditions. In this work, we propose Physen-Noise2Noise, a self-supervised deblurring framework guided by the physical model of defocus imaging, which leverages noisy multi-frame observations without requiring clean reference images. Unlike conventional Noise2Noise-based approaches that assume zero-mean noise, we derive a frequency-domain constraint inherent to the defocus imaging process and incorporate it into the learning framework via a learnable noise bias parameter. In addition, a multi-frame noisy initialization strategy is introduced to suppress complex biased noise prior to deblurring, providing a more stable starting point for reconstruction. This formulation explicitly models biased noise and enables joint bias correction and high-frequency detail recovery during training. Furthermore, we develop a pretrain-finetune variant to enhance robustness and generalization under challenging noise conditions. Extensive experiments on both simulation and real-world datasets demonstrate that the proposed method consistently outperforms state-of-the-art self-supervised approaches for defocus deblurring in the presence of complex biased noise.
Feature Learning in Wide Neural Networks under $μ$P: Identifiability and Sparse-Dictionary Decomposition of the Mean-Field Limit
We establish four structural results for feature learning in wide two-layer neural networks under the Maximal Update Parametrization ($μ$P). First, we prove global existence and uniqueness of the mean-field limit of noisy gradient descent under $μ$P, identifying the maximal admissible weight $w^*$ on the moment sequence of the initialization as the reciprocal parameter-moment-growth boundary, and hence the largest weighted moment class propagated by the flow. The finite-particle approximation has uniform-in-time squared-Wasserstein rate $O(N^{-1})$. Second, we characterize identifiability of the mean-field limit: two admissible parameter measures induce the same network function in $L^2$ exactly when their active components agree modulo the finite-rank realization symmetry of the architecture. The orbit depth $D^*_{\mathrm{orb}}$ is separated from the moment-variety depth $D^*_{\mathrm{var}}$. Third, under the Barron-Hermite target condition the active support of the long-time limit measure admits a sparse-dictionary decomposition: it is supported on at most $S^*$ atoms modulo finite-rank realization symmetry, with $S^*$ bounded by an explicit coefficient-threshold number. Fourth, we derive the total feature-learning-error decomposition into statistical, optimization, propagation-of-chaos, and sparse-residual components, with a target-dependent Hermite/Barron tail replacing any initialization-only residual. The four results are tied together by an architectural identity: the triple $(w^*, D^*_{\mathrm{orb}}, S^*)$ -- the maximal admissible weight, the orbit identifiability depth, and the sparse-dictionary depth at which the target is realizable -- is the natural learning cell of the architecture-data pair $(σ, ρ)$. The proofs are self-contained except for standard results from $μ$P and mean-field Langevin theory.
Error estimates for tamed Euler and Randomized Euler schemes for SDEs with locally Lipschitz drift with applications to non-logconcave sampling and optimization
Lytras, Iosif, Ntousis, Angelos
In this paper, we study the numerical discretization of stochastic differential equations with locally Lipschitz, super-linearly growing drift, and the resulting implications for sampling from non-log-concave distributions satisfying a logarithmic Sobolev inequality. In this regime, the classical Euler--Maruyama scheme underlying the unadjusted Langevin algorithm (ULA) is known to be unstable. We analyze the KL-accelerated tamed unadjusted Langevin algorithm (kTULA) and introduce a new tamed randomized midpoint scheme, termed tRLMC. Building on the shifted-composition approach of \cite{chewi2024local}, we develop two new local-error frameworks that yield finite-time, non-asymptotic error estimates against the underlying SDE -- in KL divergence for kTULA, and in total variation for tRLMC -- valid for general locally Lipschitz drift. Specializing these frameworks to the sampling problem under a logarithmic Sobolev inequality, we obtain a near-optimal $\widetilde{O}(\varepsilon^{-1/2})$ iteration complexity for kTULA in KL divergence, with corresponding guarantees in total variation and Wasserstein distance. We further establish, for the first time, a non-asymptotic guarantee in total variation for a tamed randomized Langevin scheme under super-linear drift growth, together with the corresponding Wasserstein-distance bound, both with $\widetilde{O}(\varepsilon^{-1})$ complexity for tRLMC. As a consequence, both schemes yield non-asymptotic bounds for a non-convex excess-risk optimization problem.
Debiasing Random Oblique Projections for Subsampled OLS and Fast CUR in High Dimensions
Niu, Chengmei, Garg, Sachin, Dereziński, Michał, Liao, Zhenyu
Random sampling is a fundamental tool in modern machine learning and numerical linear algebra for reducing the computational cost of large-scale matrix problems. Existing analyses, however, rely primarily on subspace embedding guarantees, which do not precisely characterize the statistical bias of nonlinear random oblique projections induced by sampling, which arises ubiquitously in subsampled least squares and fast low-rank approximation methods. Because (pseudo)inversion is nonlinear, these random oblique projections can be systematically biased even when the underlying sketch is unbiased, thereby introducing hidden bias into downstream least squares and low-rank approximation solutions. In this work, we develop a unified non-asymptotic theory for random oblique projections in high dimensions. We show that standard random sampling schemes generally induce a systematic statistical bias overlooked by classical subspace embedding-style analyses, and we propose a principled debiasing framework to correct it. We illustrate the power of the theory through two canonical applications. For subsampled least squares, we obtain sharp bias--variance characterizations, reveal previously unrecognized statistical suboptimality in widely used sampling schemes, and identify when debiasing yields provable improvements. For fast CUR decomposition, we develop a debiased approach with improved approximation accuracy. Numerical experiments further validate our theoretical findings.
Shared Keyboard: An improved Bayesian design for phase I clinical trials via Beta kernel process
Zhao, Jiangyan, Shi, Xian, Xu, Jin
Model-assisted interval designs such as the Keyboard design are transparent and easy to implement in phase I oncology trials. However, interim decisions based solely on data from the current dose may overlook informative signals from neighbouring doses, leading to unnecessary escalation or de-escalation. We propose the shared Keyboard design, a Bayesian model-assisted design that replaces the independent beta--binomial updating scheme at each dose with a posterior induced by a Beta kernel process using kernel-weighted pseudo-counts. The design preserves the decision structure of the Keyboard design while enabling controlled borrowing across nearby doses. To prioritise overdose control, we propose an asymmetric kernel that assigns greater weight to toxicities observed at higher doses during escalation. We further extend the proposed design to accommodate adaptive dose insertion when the initial dose grid is inadequate and time-to-event outcomes when late-onset toxicities are present. Extensive simulation studies demonstrate substantial improvements in both accuracy and safety for identifying the maximum tolerated dose. In settings involving dose insertion, the proposed design identifies inserted target doses more effectively than adaptive dose modification while maintaining a comparable modification rate.
Multimodality Stacking with Blockwise missing values and application to the PIONeeR biomarkers study for prediction of resistance to immunotherapy
Boussena, Mohamed, Monville, Florence, Fieschi-Meric, Jacques, Vely, Frederic, Milpied, Pierre, Mazieres, Julien, Perol, Maurice, Vivier, Eric, Greillier, Laurent, Barlesi, Fabrice, Benzekry, Sebastien
Integrating multimodal datasets in clinical oncology is frequently hindered by high dimensionality and blockwise missingness, where entire data sources are unavailable for specific patient subsets. Standard survival models often struggle with these gaps, leading to biased results or patient exclusion. We introduce Multimodality Stacking with Blockwise missing values (MSB), a late-fusion framework for survival analysis that independently models modality-specific features before aggregating predictions via a cross-validated stacking meta-learner. MSB was validated on the PIONeeR study (n=443 patients, 378 biomarkers across eight heterogeneous sources) to predict progression-free survival in advanced non-small cell lung cancer patients receiving immunotherapy. MSB yielded higher predictive performance (C-index) than baseline algorithms. Improvements varied by baseline strength: linear models showed a 15.9% increase (p<0.001 for the Wilcoxon signed-rank test), random survival forests gained 5.4% (p=0.002), and gradient boosting methods improved by 2.1% (p=0.030). Beyond discrimination, MSB reduced the generalization gap (train-test difference in 5 folds cross-validation repeated 3 times: 0.055 vs 0.380 for linear models). Permutation importance analysis identified routine laboratory markers, clinical features, and PD-L1 expression as primary predictive drivers. Missing block indicators showed negligible importance, suggesting the model learned from biomarker values rather than data availability patterns. MSB provides a statistically validated framework for multimodal survival prediction with blockwise missingness. By enabling systematic biomarker evaluation without requiring complete data, MSB offers a practical tool for predictive modeling in biomedical research, pending external validation. Implementation is available at https://github.com/MohamedBoussena/MSB under Inria license.
Counterfactually Safe Reinforcement Learning
Li, Jingyi, Wu, Peng, Shi, Chengchun
Reinforcement learning algorithms are generally designed to maximize the expected return across a population. However, a policy that is optimal on average may be suboptimal for certain individuals, leading to potential safety concerns. To address this, we first formalize the notion of individual harm from a counterfactual perspective and define harm as the event in which a chosen action results in a strictly worse outcome than a baseline alternative. We then propose a general two-stage procedure for learning policies that maximize the expected return while accounting for individual harm. We further establish the finite-sample properties of the learned policy, derive an upper bound on its sub-optimality gap, and show that the harm rate remains well-controlled. Numerical experiments on both simulated and real-world datasets demonstrate the effectiveness of the proposed approach.
Learning Treatment Effects during Resource Allocation via Priority-Queue Randomization
Lee, JungHo, Sundberg, Johnna, Welle, Pim, Wilder, Bryan
Public service programs often allocate limited resources under uncertainty about their benefits, creating a need for randomization to support credible evaluation. In practice, however, applicants commonly enter waitlists where resources are prioritized toward individuals judged to have higher need through tiered priority queues, making direct randomization difficult. Motivated by this, we develop an experimental design framework for learning treatment effects while treating those most in need where incoming applicants are randomized into priority queues based on their assessed risk scores. Treatments are then provided across queues in priority order and first-in-first-out within queue as budget becomes available. Our contributions are two-fold. First, we characterize what causal effects are identified under this priority-queue allocation. When arrivals are exogenous, treatments are conditionally randomized, and hence standard estimands are identified; when arrivals are endogenous, queue randomization instead provides an instrument for treatment, identifying local treatment effects induced by the queuing process. Second, we develop optimized queue-assignment designs that trade off statistical efficiency against prioritizing higher-need applicants. We show in the process that, despite dependence in treatment assignments induced by the design, usual iid efficiency bounds remain well-justified design objectives. We illustrate the proposed designs using data from a housing allocation program in a large U.S. county.
Nyström Kernel Stein Discrepancy Tests
Kalinke, Florian, Szabó, Zoltán, Sriperumbudur, Bharath K.
Kernel Stein discrepancy (KSD) is among the most popular goodness-of-fit (GoF) measures on general domains with a large number of successful deployments. One of the main applications of KSD is in constructing powerful GoF tests. However, tests relying on the classical U-/V-statistic-based KSD estimators have two major drawbacks. (i) Their runtime scales quadratically in the number of samples. (ii) Their asymptotic null distribution is computationally intractable in most cases, typically handled by bootstrapping. While it is known that the Nyström method permits accelerating KSD estimation with no loss of statistical accuracy under mild conditions, to the best of our knowledge, the fundamental question of its impact on bootstrap-based GoF testing is open; resolving this question is the focus of the current paper. In particular, we prove that the key properties of the quadratic-time bootstrapped KSD-based GoF test (asymptotic level and local consistency) are preserved by its Nyström acceleration. We numerically demonstrate the efficiency of the accelerated KSD estimator and bootstrap in the context of GoF testing of spherical and functional data. Our numerical results show that the Nyström-accelerated method performs statistically on-par with the quadratic-time approach, while requiring substantially smaller runtime.