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Alex Smola

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Published work

29 published item(s)

preprint2026arXiv

ProactBench: Beyond What The User Asked For

Most LLM benchmarks score how well a model responds to explicit requests. They leave unmeasured a different conversational ability: noticing and acting on needs the user has implied but not said. We call this \emph{conversational proactivity}. ProactBench decomposes it into three phase-tied types: \textsc{Emergent}, inference from a single disclosed anchor; \textsc{Critical}, synthesis across multiple anchors; and \textsc{Recovery}, grounded forward-looking value after task completion. We operationalise the benchmark with three agents: a Planner, a User Agent, and an Assistant Model. Their information asymmetries defend against style-confounded scoring, rubric leakage, external-context contamination, and information dumps. The released corpus contains 198 curated dialogues with 624 trigger points across 24 communication styles drawn from a psychometric inventory and audited by an independent LLM judge. Across 16 frontier and open-weight models, \textsc{Recovery} is both difficult and weakly predicted by six standard benchmarks, making it a useful new evaluation signal.

preprint2026arXiv

The Pokémon Theorem and other Fairness Impossibility Results

Fairness impossibility results often look like distinct scalar incompatibility statements. We show that several share one RKHS geometry: fairness criteria are linear constraints on conditional mean embeddings, and unequal base rates make the law of total expectation overdetermine those constraints. This view yields four results. The Kleinberg--Mullainathan--Raghavan dichotomy needs only group-conditional unbiasedness, not full calibration. The \emph{Pokémon theorem} shows that a distinct group pair satisfying any finite collection of linear mean-fairness criteria leaves a residual violation witnessed by the MMD, decaying at the Kolmogorov $m$-width rate under spectral regularity. The same tools prove an impossibility for fair feature learning: parity and class-conditional separation in representation space force class collapse under unequal base rates. The approximate relaxations yield signal and error frontiers, allowing a trade-off between real-world estimators and fairness goals. Experiments on standard fairness benchmarks are consistent with our bounds.

preprint2023arXiv

Parameter-Efficient Fine-Tuning Design Spaces

Parameter-efficient fine-tuning aims to achieve performance comparable to fine-tuning, using fewer trainable parameters. Several strategies (e.g., Adapters, prefix tuning, BitFit, and LoRA) have been proposed. However, their designs are hand-crafted separately, and it remains unclear whether certain design patterns exist for parameter-efficient fine-tuning. Thus, we present a parameter-efficient fine-tuning design paradigm and discover design patterns that are applicable to different experimental settings. Instead of focusing on designing another individual tuning strategy, we introduce parameter-efficient fine-tuning design spaces that parameterize tuning structures and tuning strategies. Specifically, any design space is characterized by four components: layer grouping, trainable parameter allocation, tunable groups, and strategy assignment. Starting from an initial design space, we progressively refine the space based on the model quality of each design choice and make greedy selection at each stage over these four components. We discover the following design patterns: (i) group layers in a spindle pattern; (ii) allocate the number of trainable parameters to layers uniformly; (iii) tune all the groups; (iv) assign proper tuning strategies to different groups. These design patterns result in new parameter-efficient fine-tuning methods. We show experimentally that these methods consistently and significantly outperform investigated parameter-efficient fine-tuning strategies across different backbone models and different tasks in natural language processing.

preprint2022arXiv

Partial and Asymmetric Contrastive Learning for Out-of-Distribution Detection in Long-Tailed Recognition

Existing out-of-distribution (OOD) detection methods are typically benchmarked on training sets with balanced class distributions. However, in real-world applications, it is common for the training sets to have long-tailed distributions. In this work, we first demonstrate that existing OOD detection methods commonly suffer from significant performance degradation when the training set is long-tail distributed. Through analysis, we posit that this is because the models struggle to distinguish the minority tail-class in-distribution samples, from the true OOD samples, making the tail classes more prone to be falsely detected as OOD. To solve this problem, we propose Partial and Asymmetric Supervised Contrastive Learning (PASCL), which explicitly encourages the model to distinguish between tail-class in-distribution samples and OOD samples. To further boost in-distribution classification accuracy, we propose Auxiliary Branch Finetuning, which uses two separate branches of BN and classification layers for anomaly detection and in-distribution classification, respectively. The intuition is that in-distribution and OOD anomaly data have different underlying distributions. Our method outperforms previous state-of-the-art method by $1.29\%$, $1.45\%$, $0.69\%$ anomaly detection false positive rate (FPR) and $3.24\%$, $4.06\%$, $7.89\%$ in-distribution classification accuracy on CIFAR10-LT, CIFAR100-LT, and ImageNet-LT, respectively. Code and pre-trained models are available at https://github.com/amazon-research/long-tailed-ood-detection.

preprint2021arXiv

Generative Models and Model Criticism via Optimized Maximum Mean Discrepancy

We propose a method to optimize the representation and distinguishability of samples from two probability distributions, by maximizing the estimated power of a statistical test based on the maximum mean discrepancy (MMD). This optimized MMD is applied to the setting of unsupervised learning by generative adversarial networks (GAN), in which a model attempts to generate realistic samples, and a discriminator attempts to tell these apart from data samples. In this context, the MMD may be used in two roles: first, as a discriminator, either directly on the samples, or on features of the samples. Second, the MMD can be used to evaluate the performance of a generative model, by testing the model's samples against a reference data set. In the latter role, the optimized MMD is particularly helpful, as it gives an interpretable indication of how the model and data distributions differ, even in cases where individual model samples are not easily distinguished either by eye or by classifier.

preprint2020arXiv

McKernel: A Library for Approximate Kernel Expansions in Log-linear Time

McKernel introduces a framework to use kernel approximates in the mini-batch setting with Stochastic Gradient Descent (SGD) as an alternative to Deep Learning. Based on Random Kitchen Sinks [Rahimi and Recht 2007], we provide a C++ library for Large-scale Machine Learning. It contains a CPU optimized implementation of the algorithm in [Le et al. 2013], that allows the computation of approximated kernel expansions in log-linear time. The algorithm requires to compute the product of matrices Walsh Hadamard. A cache friendly Fast Walsh Hadamard that achieves compelling speed and outperforms current state-of-the-art methods has been developed. McKernel establishes the foundation of a new architecture of learning that allows to obtain large-scale non-linear classification combining lightning kernel expansions and a linear classifier. It travails in the mini-batch setting working analogously to Neural Networks. We show the validity of our method through extensive experiments on MNIST and FASHION MNIST [Xiao et al. 2017].

preprint2020arXiv

Segmentation of Objects by Hashing

We propose a novel approach to address the problem of Simultaneous Detection and Segmentation introduced in [Hariharan et al 2014]. Using the hierarchical structures first presented in [Arbeláez et al 2011] we use an efficient and accurate procedure that exploits the feature information of the hierarchy using Locality Sensitive Hashing. We build on recent work that utilizes convolutional neural networks to detect bounding boxes in an image [Ren et al 2015] and then use the top similar hierarchical region that best fits each bounding box after hashing, we call this approach C&Z Segmentation. We then refine our final segmentation results by automatic hierarchical pruning. C&Z Segmentation introduces a train-free alternative to Hypercolumns [Hariharan et al 2015]. We conduct extensive experiments on PASCAL VOC 2012 segmentation dataset, showing that C&Z gives competitive state-of-the-art segmentations of objects.

preprint2020arXiv

Tiering as a Stochastic Submodular Optimization Problem

Tiering is an essential technique for building large-scale information retrieval systems. While the selection of documents for high priority tiers critically impacts the efficiency of tiering, past work focuses on optimizing it with respect to a static set of queries in the history, and generalizes poorly to the future traffic. Instead, we formulate the optimal tiering as a stochastic optimization problem, and follow the methodology of regularized empirical risk minimization to maximize the \emph{generalization performance} of the system. We also show that the optimization problem can be cast as a stochastic submodular optimization problem with a submodular knapsack constraint, and we develop efficient optimization algorithms by leveraging this connection.

preprint2016arXiv

AIDE: Fast and Communication Efficient Distributed Optimization

In this paper, we present two new communication-efficient methods for distributed minimization of an average of functions. The first algorithm is an inexact variant of the DANE algorithm that allows any local algorithm to return an approximate solution to a local subproblem. We show that such a strategy does not affect the theoretical guarantees of DANE significantly. In fact, our approach can be viewed as a robustification strategy since the method is substantially better behaved than DANE on data partition arising in practice. It is well known that DANE algorithm does not match the communication complexity lower bounds. To bridge this gap, we propose an accelerated variant of the first method, called AIDE, that not only matches the communication lower bounds but can also be implemented using a purely first-order oracle. Our empirical results show that AIDE is superior to other communication efficient algorithms in settings that naturally arise in machine learning applications.

preprint2016arXiv

Data Driven Resource Allocation for Distributed Learning

In distributed machine learning, data is dispatched to multiple machines for processing. Motivated by the fact that similar data points often belong to the same or similar classes, and more generally, classification rules of high accuracy tend to be "locally simple but globally complex" (Vapnik & Bottou 1993), we propose data dependent dispatching that takes advantage of such structure. We present an in-depth analysis of this model, providing new algorithms with provable worst-case guarantees, analysis proving existing scalable heuristics perform well in natural non worst-case conditions, and techniques for extending a dispatching rule from a small sample to the entire distribution. We overcome novel technical challenges to satisfy important conditions for accurate distributed learning, including fault tolerance and balancedness. We empirically compare our approach with baselines based on random partitioning, balanced partition trees, and locality sensitive hashing, showing that we achieve significantly higher accuracy on both synthetic and real world image and advertising datasets. We also demonstrate that our technique strongly scales with the available computing power.

preprint2016arXiv

Fast Incremental Method for Nonconvex Optimization

We analyze a fast incremental aggregated gradient method for optimizing nonconvex problems of the form $\min_x \sum_i f_i(x)$. Specifically, we analyze the SAGA algorithm within an Incremental First-order Oracle framework, and show that it converges to a stationary point provably faster than both gradient descent and stochastic gradient descent. We also discuss a Polyak's special class of nonconvex problems for which SAGA converges at a linear rate to the global optimum. Finally, we analyze the practically valuable regularized and minibatch variants of SAGA. To our knowledge, this paper presents the first analysis of fast convergence for an incremental aggregated gradient method for nonconvex problems.

preprint2016arXiv

Fast Stochastic Methods for Nonsmooth Nonconvex Optimization

We analyze stochastic algorithms for optimizing nonconvex, nonsmooth finite-sum problems, where the nonconvex part is smooth and the nonsmooth part is convex. Surprisingly, unlike the smooth case, our knowledge of this fundamental problem is very limited. For example, it is not known whether the proximal stochastic gradient method with constant minibatch converges to a stationary point. To tackle this issue, we develop fast stochastic algorithms that provably converge to a stationary point for constant minibatches. Furthermore, using a variant of these algorithms, we show provably faster convergence than batch proximal gradient descent. Finally, we prove global linear convergence rate for an interesting subclass of nonsmooth nonconvex functions, that subsumes several recent works. This paper builds upon our recent series of papers on fast stochastic methods for smooth nonconvex optimization [22, 23], with a novel analysis for nonconvex and nonsmooth functions.

preprint2016arXiv

Neural Machine Translation with Recurrent Attention Modeling

Knowing which words have been attended to in previous time steps while generating a translation is a rich source of information for predicting what words will be attended to in the future. We improve upon the attention model of Bahdanau et al. (2014) by explicitly modeling the relationship between previous and subsequent attention levels for each word using one recurrent network per input word. This architecture easily captures informative features, such as fertility and regularities in relative distortion. In experiments, we show our parameterization of attention improves translation quality.

preprint2016arXiv

On Variance Reduction in Stochastic Gradient Descent and its Asynchronous Variants

We study optimization algorithms based on variance reduction for stochastic gradient descent (SGD). Remarkable recent progress has been made in this direction through development of algorithms like SAG, SVRG, SAGA. These algorithms have been shown to outperform SGD, both theoretically and empirically. However, asynchronous versions of these algorithms---a crucial requirement for modern large-scale applications---have not been studied. We bridge this gap by presenting a unifying framework for many variance reduction techniques. Subsequently, we propose an asynchronous algorithm grounded in our framework, and prove its fast convergence. An important consequence of our general approach is that it yields asynchronous versions of variance reduction algorithms such as SVRG and SAGA as a byproduct. Our method achieves near linear speedup in sparse settings common to machine learning. We demonstrate the empirical performance of our method through a concrete realization of asynchronous SVRG.

preprint2016arXiv

Stacked Attention Networks for Image Question Answering

This paper presents stacked attention networks (SANs) that learn to answer natural language questions from images. SANs use semantic representation of a question as query to search for the regions in an image that are related to the answer. We argue that image question answering (QA) often requires multiple steps of reasoning. Thus, we develop a multiple-layer SAN in which we query an image multiple times to infer the answer progressively. Experiments conducted on four image QA data sets demonstrate that the proposed SANs significantly outperform previous state-of-the-art approaches. The visualization of the attention layers illustrates the progress that the SAN locates the relevant visual clues that lead to the answer of the question layer-by-layer.

preprint2016arXiv

Stochastic Frank-Wolfe Methods for Nonconvex Optimization

We study Frank-Wolfe methods for nonconvex stochastic and finite-sum optimization problems. Frank-Wolfe methods (in the convex case) have gained tremendous recent interest in machine learning and optimization communities due to their projection-free property and their ability to exploit structured constraints. However, our understanding of these algorithms in the nonconvex setting is fairly limited. In this paper, we propose nonconvex stochastic Frank-Wolfe methods and analyze their convergence properties. For objective functions that decompose into a finite-sum, we leverage ideas from variance reduction techniques for convex optimization to obtain new variance reduced nonconvex Frank-Wolfe methods that have provably faster convergence than the classical Frank-Wolfe method. Finally, we show that the faster convergence rates of our variance reduced methods also translate into improved convergence rates for the stochastic setting.

preprint2016arXiv

Stochastic Variance Reduction for Nonconvex Optimization

We study nonconvex finite-sum problems and analyze stochastic variance reduced gradient (SVRG) methods for them. SVRG and related methods have recently surged into prominence for convex optimization given their edge over stochastic gradient descent (SGD); but their theoretical analysis almost exclusively assumes convexity. In contrast, we prove non-asymptotic rates of convergence (to stationary points) of SVRG for nonconvex optimization, and show that it is provably faster than SGD and gradient descent. We also analyze a subclass of nonconvex problems on which SVRG attains linear convergence to the global optimum. We extend our analysis to mini-batch variants of SVRG, showing (theoretical) linear speedup due to mini-batching in parallel settings.

preprint2016arXiv

Trend Filtering on Graphs

We introduce a family of adaptive estimators on graphs, based on penalizing the $\ell_1$ norm of discrete graph differences. This generalizes the idea of trend filtering [Kim et al. (2009), Tibshirani (2014)], used for univariate nonparametric regression, to graphs. Analogous to the univariate case, graph trend filtering exhibits a level of local adaptivity unmatched by the usual $\ell_2$-based graph smoothers. It is also defined by a convex minimization problem that is readily solved (e.g., by fast ADMM or Newton algorithms). We demonstrate the merits of graph trend filtering through examples and theory.

preprint2015arXiv

Deep Fried Convnets

The fully connected layers of a deep convolutional neural network typically contain over 90% of the network parameters, and consume the majority of the memory required to store the network parameters. Reducing the number of parameters while preserving essentially the same predictive performance is critically important for operating deep neural networks in memory constrained environments such as GPUs or embedded devices. In this paper we show how kernel methods, in particular a single Fastfood layer, can be used to replace all fully connected layers in a deep convolutional neural network. This novel Fastfood layer is also end-to-end trainable in conjunction with convolutional layers, allowing us to combine them into a new architecture, named deep fried convolutional networks, which substantially reduces the memory footprint of convolutional networks trained on MNIST and ImageNet with no drop in predictive performance.

preprint2015arXiv

Privacy for Free: Posterior Sampling and Stochastic Gradient Monte Carlo

We consider the problem of Bayesian learning on sensitive datasets and present two simple but somewhat surprising results that connect Bayesian learning to "differential privacy:, a cryptographic approach to protect individual-level privacy while permiting database-level utility. Specifically, we show that that under standard assumptions, getting one single sample from a posterior distribution is differentially private "for free". We will see that estimator is statistically consistent, near optimal and computationally tractable whenever the Bayesian model of interest is consistent, optimal and tractable. Similarly but separately, we show that a recent line of works that use stochastic gradient for Hybrid Monte Carlo (HMC) sampling also preserve differentially privacy with minor or no modifications of the algorithmic procedure at all, these observations lead to an "anytime" algorithm for Bayesian learning under privacy constraint. We demonstrate that it performs much better than the state-of-the-art differential private methods on synthetic and real datasets.

preprint2014arXiv

Randomized Nonlinear Component Analysis

Classical methods such as Principal Component Analysis (PCA) and Canonical Correlation Analysis (CCA) are ubiquitous in statistics. However, these techniques are only able to reveal linear relationships in data. Although nonlinear variants of PCA and CCA have been proposed, these are computationally prohibitive in the large scale. In a separate strand of recent research, randomized methods have been proposed to construct features that help reveal nonlinear patterns in data. For basic tasks such as regression or classification, random features exhibit little or no loss in performance, while achieving drastic savings in computational requirements. In this paper we leverage randomness to design scalable new variants of nonlinear PCA and CCA; our ideas extend to key multivariate analysis tools such as spectral clustering or LDA. We demonstrate our algorithms through experiments on real-world data, on which we compare against the state-of-the-art. A simple R implementation of the presented algorithms is provided.

preprint2014arXiv

The Falling Factorial Basis and Its Statistical Applications

We study a novel spline-like basis, which we name the "falling factorial basis", bearing many similarities to the classic truncated power basis. The advantage of the falling factorial basis is that it enables rapid, linear-time computations in basis matrix multiplication and basis matrix inversion. The falling factorial functions are not actually splines, but are close enough to splines that they provably retain some of the favorable properties of the latter functions. We examine their application in two problems: trend filtering over arbitrary input points, and a higher-order variant of the two-sample Kolmogorov-Smirnov test.

preprint2012arXiv

Exponential Families for Conditional Random Fields

In this paper we de ne conditional random elds in reproducing kernel Hilbert spaces and show connections to Gaussian Process classi cation. More speci cally, we prove decomposition results for undirected graphical models and we give constructions for kernels. Finally we present e cient means of solving the optimization problem using reduced rank decompositions and we show how stationarity can be exploited e ciently in the optimization process.

preprint2012arXiv

Exponential Regret Bounds for Gaussian Process Bandits with Deterministic Observations

This paper analyzes the problem of Gaussian process (GP) bandits with deterministic observations. The analysis uses a branch and bound algorithm that is related to the UCB algorithm of (Srinivas et al, 2010). For GPs with Gaussian observation noise, with variance strictly greater than zero, Srinivas et al proved that the regret vanishes at the approximate rate of $O(1/\sqrt{t})$, where t is the number of observations. To complement their result, we attack the deterministic case and attain a much faster exponential convergence rate. Under some regularity assumptions, we show that the regret decreases asymptotically according to $O(e^{-\frac{τt}{(\ln t)^{d/4}}})$ with high probability. Here, d is the dimension of the search space and tau is a constant that depends on the behaviour of the objective function near its global maximum.

preprint2012arXiv

Hokusai - Sketching Streams in Real Time

We describe Hokusai, a real time system which is able to capture frequency information for streams of arbitrary sequences of symbols. The algorithm uses the CountMin sketch as its basis and exploits the fact that sketching is linear. It provides real time statistics of arbitrary events, e.g. streams of queries as a function of time. We use a factorizing approximation to provide point estimates at arbitrary (time, item) combinations. Queries can be answered in constant time.

preprint2012arXiv

Regret Bounds for Deterministic Gaussian Process Bandits

This paper analyses the problem of Gaussian process (GP) bandits with deterministic observations. The analysis uses a branch and bound algorithm that is related to the UCB algorithm of (Srinivas et al., 2010). For GPs with Gaussian observation noise, with variance strictly greater than zero, (Srinivas et al., 2010) proved that the regret vanishes at the approximate rate of $O(\frac{1}{\sqrt{t}})$, where t is the number of observations. To complement their result, we attack the deterministic case and attain a much faster exponential convergence rate. Under some regularity assumptions, we show that the regret decreases asymptotically according to $O(e^{-\frac{τt}{(\ln t)^{d/4}}})$ with high probability. Here, d is the dimension of the search space and $τ$ is a constant that depends on the behaviour of the objective function near its global maximum.

preprint2012arXiv

Super-Samples from Kernel Herding

We extend the herding algorithm to continuous spaces by using the kernel trick. The resulting "kernel herding" algorithm is an infinite memory deterministic process that learns to approximate a PDF with a collection of samples. We show that kernel herding decreases the error of expectations of functions in the Hilbert space at a rate O(1/T) which is much faster than the usual O(1/pT) for iid random samples. We illustrate kernel herding by approximating Bayesian predictive distributions.

preprint2011arXiv

Parallel Online Learning

In this work we study parallelization of online learning, a core primitive in machine learning. In a parallel environment all known approaches for parallel online learning lead to delayed updates, where the model is updated using out-of-date information. In the worst case, or when examples are temporally correlated, delay can have a very adverse effect on the learning algorithm. Here, we analyze and present preliminary empirical results on a set of learning architectures based on a feature sharding approach that present various tradeoffs between delay, degree of parallelism, representation power and empirical performance.

preprint2010arXiv

Feature Hashing for Large Scale Multitask Learning

Empirical evidence suggests that hashing is an effective strategy for dimensionality reduction and practical nonparametric estimation. In this paper we provide exponential tail bounds for feature hashing and show that the interaction between random subspaces is negligible with high probability. We demonstrate the feasibility of this approach with experimental results for a new use case -- multitask learning with hundreds of thousands of tasks.