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 penalization


Large language models can learn and generalize steganographic chain-of-thought under process supervision

Skaf, Joey, Ibanez-Lissen, Luis, McCarthy, Robert, Watts, Connor, Georgiv, Vasil, Whittingham, Hannes, Gonzalez-Manzano, Lorena, Lindner, David, Tice, Cameron, Young, Edward James, Radmard, Puria

arXiv.org Artificial Intelligence

Chain-of-thought (CoT) reasoning not only enhances large language model performance but also provides critical insights into decision-making processes, marking it as a useful tool for monitoring model intent and planning. However, recent works have shown that banning the mention of a specific example of reward hacking causes obfuscation of the undesired reasoning traces but the persistence of the undesired behavior, threatening the reliability of CoT monitoring. We provide an extension to these results with regard to the ability of models to learn a specific type of obfuscated reasoning: steganography. First, we show that penalizing the use of specific strings within load-bearing reasoning traces causes models to substitute alternative strings. Crucially, this does not alter the underlying method by which the model performs the task, demonstrating that the model can learn to steganographically encode its reasoning.We further demonstrate that models can generalize an encoding scheme. When the penalized strings belong to an overarching class, the model learns not only to substitute strings seen in training, but also develops a general encoding scheme for all members of the class which it can apply to held-out testing strings.




We thank the reviewers for their thoughtful comments and suggestions and we respond below to some concrete 1 questions/comments that were raised

Neural Information Processing Systems

The setup there is also a special case of our setup, where the reward is linear in the treatment vector, i.e. Hence, we omitted such an analysis. We will add some more elaborate discussion on these rates expanding on Remark 4. See response also to Reviewer #4 regarding efficiency. These extra moments can be used to construct more efficient estimators. However, these extra moment conditions have no bite in the case of homoskedastic noise.


Environment-aware Motion Matching

Ponton, Jose Luis, Andrews, Sheldon, Andujar, Carlos, Pelechano, Nuria

arXiv.org Artificial Intelligence

Interactive applications demand believable characters that respond naturally to dynamic environments. Traditional character animation techniques often struggle to handle arbitrary situations, leading to a growing trend of dynamically selecting motion-captured animations based on predefined features. While Motion Matching has proven effective for locomotion by aligning to target trajectories, animating environment interactions and crowd behaviors remains challenging due to the need to consider surrounding elements. Existing approaches often involve manual setup or lack the naturalism of motion capture. Furthermore, in crowd animation, body animation is frequently treated as a separate process from trajectory planning, leading to inconsistencies between body pose and root motion. To address these limitations, we present Environment-aware Motion Matching, a novel real-time system for full-body character animation that dynamically adapts to obstacles and other agents, emphasizing the bidirectional relationship between pose and trajectory. In a preprocessing step, we extract shape, pose, and trajectory features from a motion capture database. At runtime, we perform an efficient search that matches user input and current pose while penalizing collisions with a dynamic environment. Our method allows characters to naturally adjust their pose and trajectory to navigate crowded scenes.


Complexity Dependent Error Rates for Physics-informed Statistical Learning via the Small-ball Method

Marcondes, Diego

arXiv.org Machine Learning

Physics-informed statistical learning (PISL) integrates empirical data with physical knowledge to enhance the statistical performance of estimators. While PISL methods are widely used in practice, a comprehensive theoretical understanding of how informed regularization affects statistical properties is still missing. Specifically, two fundamental questions have yet to be fully addressed: (1) what is the trade-off between considering soft penalties versus hard constraints, and (2) what is the statistical gain of incorporating physical knowledge compared to purely data-driven empirical error minimisation. In this paper, we address these questions for PISL in convex classes of functions under physical knowledge expressed as linear equations by developing appropriate complexity dependent error rates based on the small-ball method. We show that, under suitable assumptions, (1) the error rates of physics-informed estimators are comparable to those of hard constrained empirical error minimisers, differing only by constant terms, and that (2) informed penalization can effectively reduce model complexity, akin to dimensionality reduction, thereby improving learning performance. This work establishes a theoretical framework for evaluating the statistical properties of physics-informed estimators in convex classes of functions, contributing to closing the gap between statistical theory and practical PISL, with potential applications to cases not yet explored in the literature.


Online Policy Learning via a Self-Normalized Maximal Inequality

Girard, Samuel, Bibaut, Aurélien, Zenati, Houssam

arXiv.org Machine Learning

Adaptive experiments produce dependent data that break i.i.d. assumptions that underlie classical concentration bounds and invalidate standard learning guarantees. In this paper, we develop a self-normalized maximal inequality for martingale empirical processes. Building on this, we first propose an adaptive sample-variance penalization procedure which balances empirical loss and sample variance, valid for general dependent data. Next, this allows us to derive a new variance-regularized pessimistic off-policy learning objective, for which we establish excess-risk guarantees. Subsequently, we show that, when combined with sequential updates and under standard complexity and margin conditions, the resulting estimator achieves fast convergence rates in both parametric and nonparametric regimes, improving over the usual $1/\sqrt{n}$ baseline. We complement our theoretical findings with numerical simulations that illustrate the practical gains of our approach.



THINNs: Thermodynamically Informed Neural Networks

Castro, Javier, Gess, Benjamin

arXiv.org Artificial Intelligence

Physics-Informed Neural Networks (PINNs) are a class of deep learning models aiming to approximate solutions of PDEs by training neural networks to minimize the residual of the equation. Focusing on non-equilibrium fluctuating systems, we propose a physically informed choice of penalization that is consistent with the underlying fluctuation structure, as characterized by a large deviations principle. This approach yields a novel formulation of PINNs in which the penalty term is chosen to penalize improbable deviations, rather than being selected heuristically. The resulting thermodynamically consistent extension of PINNs, termed THINNs, is subsequently analyzed by establishing analytical a posteriori estimates, and providing empirical comparisons to established penalization strategies.


Robust Data Fusion via Subsampling

Wang, Jing, Wang, HaiYing, Chen, Kun

arXiv.org Machine Learning

Data fusion and transfer learning are rapidly growing fields that enhance model performance for a target population by leveraging other related data sources or tasks. The challenges lie in the various potential heterogeneities between the target and external data, as well as various practical concerns that prevent a naïve data integration. We consider a realistic scenario where the target data is limited in size while the external data is large but contaminated with outliers; such data contamination, along with other computational and operational constraints, necessitates proper selection or subsampling of the external data for transfer learning. To our knowledge,transfer learning and subsampling under data contamination have not been thoroughly investigated. We address this gap by studying various transfer learning methods with subsamples of the external data, accounting for outliers deviating from the underlying true model due to arbitrary mean shifts. Two subsampling strategies are investigated: one aimed at reducing biases and the other at minimizing variances. Approaches to combine these strategies are also introduced to enhance the performance of the estimators. We provide non-asymptotic error bounds for the transfer learning estimators, clarifying the roles of sample sizes, signal strength, sampling rates, magnitude of outliers, and tail behaviors of model error distributions, among other factors. Extensive simulations show the superior performance of the proposed methods. Additionally, we apply our methods to analyze the risk of hard landings in A380 airplanes by utilizing data from other airplane types,demonstrating that robust transfer learning can improve estimation efficiency for relatively rare airplane types with the help of data from other types of airplanes.