assumption 7
Beyond Importance: Interchange-Sobol Sensitivity Reveals Task-Specific Content Channels in Transformer Components
Guo, Yifeng, Du, Jin-Hong, Chen, Xiang
Mechanistic interpretability methods summarize a transformer component by a single importance score, conflating two distinct roles: a component may matter because it transports task-relevant content, or because the forward computation degrades when its contribution is removed. We introduce \emph{Interchange-Group Sobol Decomposition} (IGSD), a paired-intervention framework that compares matched activation replacement with zero ablation on the same component, estimates two Sobol-style variance indices, and uses their signed difference to separate the two roles, with intervention validity monitored by a symmetric off-manifold diagnostic $\widehat{\mathrm{ST}}>1$. In factual recall, IGSD identifies an early-layer content channel in both GPT-2 small and Qwen2.5-1.5B that standard importance methods underestimate. A controlled subject and relation donor design shows that the early channel transports relation-frame content while late attention transports subject-retrieval content, refining at head granularity to the known $\mathrm{Attn}_{L9H8}$ head. Late-layer clamping confirms that the early signal is expressed through downstream transformations rather than residual pass-through. These results show that replacement and deletion are not interchangeable controls and their divergence provides a practical statistical diagnostic for content transport in transformer components.
Adaptive Sigmoid Clipping for Balancing the Direction-Magnitude Mismatch Trade-off in Differentially Private Learning
Differential privacy (DP) limits the impact of individual training data samples by bounding their gradient norms through clipping. Conventional clipping operations assign unequal scaling factors to sample gradients with different norms, leading to a direction mismatch between the true batch gradient and the aggregation of the clipped gradients.
A Polyak-Ruppert Central Limit Theorem for SA-Adam with Momentum and Non-Convergent Adaptive Preconditioning
Adaptive optimizers combining preconditioning, momentum, and weight decay (Adam and AdamW) are, under Polyak-Ruppert averaging, candidate engines for one-pass inference. Does the averaged iterate keep the classical Polyak-Ruppert central limit theorem (CLT), with sandwich covariance $H^{-1}SH^{-1}$ (Hessian $H$, gradient covariance $S$), under momentum and non-convergent preconditioning? The preconditioner-only analysis does not carry over: with momentum the canonical decomposition collapses to a tautology. Treating the augmented state (iterate, momentum buffer) as a time-varying linear stochastic approximation (SA), we prove (under local stabilization) positive drift stability, a non-autonomous Polyak-Ruppert CLT, and a projection identity. The upshot: the iterate-marginal covariance is exactly the plain stochastic gradient descent (SGD) sandwich $H^{-1}SH^{-1}$, so the adaptivity is asymptotically invisible. This holds for SA-Adam (sub-linearly vanishing momentum gain, $γ\in(α,1)$; the sub-linear regime is essential), not constant-$β$ deployed Adam. Coupled $L_2$ weight decay yields the ridge-penalized sandwich, extending one-pass inference to regularized problems.
Generalization Bounds for Semi-supervised Matrix Completion with Distributional Side Information
Ledent, Antoine, Soo, Mun Chong, Hieu, Nong Minh
We study a matrix completion problem where both the ground truth $R$ matrix and the unknown sampling distribution $P$ over observed entries are low-rank matrices, and \textit{share a common subspace}. We assume that a large amount $M$ of \textit{unlabeled} data drawn from the sampling distribution $P$ is available, together with a small amount $N$ of labeled data drawn from the same distribution and noisy estimates of the corresponding ground truth entries. This setting is inspired by recommender systems scenarios where the unlabeled data corresponds to `implicit feedback' (consisting in interactions such as purchase, click, etc. ) and the labeled data corresponds to the `explicit feedback', consisting of interactions where the user has given an explicit rating to the item. Leveraging powerful results from the theory of low-rank subspace recovery, together with classic generalization bounds for matrix completion models, we show error bounds consisting of a sum of two error terms scaling as $\widetilde{O}\left(\sqrt{\frac{nd}{M}}\right)$ and $\widetilde{O}\left(\sqrt{\frac{dr}{N}}\right)$ respectively, where $d$ is the rank of $P$ and $r$ is the rank of $M$. In synthetic experiments, we confirm that the true generalization error naturally splits into independent error terms corresponding to the estimations of $P$ and and the ground truth matrix $\ground$ respectively. In real-life experiments on Douban and MovieLens with most explicit ratings removed, we demonstrate that the method can outperform baselines relying only on the explicit ratings, demonstrating that our assumptions provide a valid toy theoretical setting to study the interaction between explicit and implicit feedbacks in recommender systems.
How Artificial Intelligence Leads to Knowledge Why: An Inquiry Inspired by Aristotle's Posterior Analytics
Eelink, Guus, Rückschloß, Kilian, Weitkämper, Felix
Bayesian networks and causal models provide frameworks for handling queries about external interventions and counterfactuals, enabling tasks that go beyond what probability distributions alone can address. While these formalisms are often informally described as capturing causal knowledge, there is a lack of a formal theory characterizing the type of knowledge required to predict the effects of external interventions. This work introduces the theoretical framework of causal systems to clarify Aristotle's distinction between knowledge that and knowledge why within artificial intelligence. By interpreting existing artificial intelligence technologies as causal systems, it investigates the corresponding types of knowledge. Furthermore, it argues that predicting the effects of external interventions is feasible only with knowledge why, providing a more precise understanding of the knowledge necessary for such tasks.
Deep Neural Operator Learning for Probabilistic Models
Bayraktar, Erhan, Feng, Qi, Zhang, Zecheng, Zhang, Zhaoyu
We propose a deep neural-operator framework for a general class of probability models. Under global Lipschitz conditions on the operator over the entire Euclidean space-and for a broad class of probabilistic models-we establish a universal approximation theorem with explicit network-size bounds for the proposed architecture. The underlying stochastic processes are required only to satisfy integrability and general tail-probability conditions. We verify these assumptions for both European and American option-pricing problems within the forward-backward SDE (FBSDE) framework, which in turn covers a broad class of operators arising from parabolic PDEs, with or without free boundaries. Finally, we present a numerical example for a basket of American options, demonstrating that the learned model produces optimal stopping boundaries for new strike prices without retraining.