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Researcher profile

Cong Shen

Cong Shen contributes to research discovery and scholarly infrastructure.

ResearcherAffiliation not importedOpen to collaborate
Machine LearningInformation Theorymath.ITeess.SPArtificial IntelligenceApplicationsNetworking and Internet ArchitectureData Structures and AlgorithmsDistributed, Parallel, and Cluster ComputingMethodologyMultiagent SystemsRobotics

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Published work

17 published item(s)

preprint2026arXiv

$f$-Divergence Regularized RLHF: Two Tales of Sampling and Unified Analyses

Reinforcement Learning from Human Feedback (RLHF) has become a cornerstone technique for post-training large language models. While most existing approaches rely on the reverse KL-regularization, recent empirical studies have begun exploring alternative divergences (e.g., forward KL, chi-squared) as regularizers in RLHF. However, a unified theoretical understanding of general $f$-divergence regularization remains under-explored. To fill this gap, this work develops a comprehensive theoretical framework for online RLHF with a general $f$-divergence regularized objective. Rather than treating each possible divergence function individually, we adopt a holistic perspective across the entire function class and propose two algorithms based on distinct sampling principles. The first extends the classical optimism principle with a carefully designed exploration bonus, while the second introduces a new method that exploits the sensitivity of the optimal policy to reward perturbations under $f$-divergence regularization. Theoretical analysis shows that $O(\log T)$ regret and $O(1/T)$ sub-optimality gap are achievable, establishing provable efficiency of both algorithms and, to the best of our knowledge, the first performance bounds for online RLHF under general $f$-divergence regularization.

0 citations0 reviewsNo code linkedOpen access
preprint2026arXiv

Efficient Multi-objective Prompt Optimization via Pure-exploration Bandits

Prompt engineering has become central to eliciting the capabilities of large language models (LLMs). At its core lies prompt selection -- efficiently identifying the most effective prompts. However, most prior investigations overlook a key challenge: the inherently multi-faceted nature of prompt performance, which cannot be captured by a single metric. To fill this gap, we study the multi-objective prompt selection problem under two practical settings: Pareto prompt set recovery and best feasible prompt identification. Casting the problem into the pure-exploration bandits framework, we adapt provably efficient algorithms from multi-objective bandits and further introduce a novel design for best feasible arm identification in structured bandits, with theoretical guarantees on the identification error in the linear case. Extensive experiments across multiple LLMs show that the bandit-based approaches yield significant improvements over baselines, establishing a principled and efficient framework for multi-objective prompt optimization.

0 citations0 reviewsNo code linkedOpen access
preprint2026arXiv

Is One Score Enough? Rethinking the Evaluation of Sequentially Evolving LLM Memory

Memory plays a central role in enabling large language models (LLMs) to operate over sequential tasks by accumulating and reusing experience over time. However, existing evaluations of LLM memory mostly rely on aggregate metrics such as final hold-out accuracy or cumulative online performance, which can obscure critical failure modes such as forgetting and negative transfer. In this paper, we introduce SeqMem-Eval, a diagnostic evaluation framework for sequentially evolving LLM memory. Drawing inspiration from continual learning, it targets a test-time setting in which memory is external, prompt-mediated, and updated without modifying model parameters. Rather than focusing only on final performance, SeqMem-Eval evaluates how memory states evolve, generalize, consolidate experience, and retain useful information during sequential inference. Specifically, it measures online utility, hold-out generalization, backward transfer, and forgetting, providing a finer-grained view of memory quality. Through extensive experiments across diverse tasks and memory methods, we show that higher final or cumulative accuracy does not necessarily imply better memory quality: many methods exhibit strong performance gains while suffering from substantial forgetting or negative transfer. Moreover, different memory designs exhibit distinct trade-offs between adaptability and stability that remain invisible under standard evaluation metrics.

0 citations0 reviewsNo code linkedOpen access
preprint2026arXiv

Lean Clients, Full Accuracy: Hybrid Zeroth- and First-Order Split Federated Learning

Split Federated Learning (SFL) enables collaborative training between resource-constrained edge devices and a compute-rich server. Communication overhead is a central issue in SFL and can be mitigated with auxiliary networks. Yet, the fundamental client-side computation challenge remains, as back-propagation requires substantial memory and computation costs, severely limiting the scale of models that edge devices can support. To enable more resource-efficient client computation and reduce the client-server communication, we propose HERON-SFL, a novel hybrid optimization framework that integrates zeroth-order (ZO) optimization for local client training while retaining first-order (FO) optimization on the server. With the assistance of auxiliary networks, ZO updates enable clients to approximate local gradients using perturbed forward-only evaluations per step, eliminating memory-intensive activation caching and avoiding explicit gradient computation in the traditional training process. Leveraging the low effective rank assumption, we theoretically prove that HERON-SFL's convergence rate is independent of model dimensionality, addressing a key scalability concern common to ZO algorithms. Empirically, on ResNet training and language model (LM) fine-tuning tasks, HERON-SFL matches benchmark accuracy while reducing client peak memory by up to 64% and client-side compute cost by up to 33% per step, substantially expanding the range of models that can be trained or adapted on resource-limited devices.

0 citations0 reviewsNo code linkedOpen access
preprint2023arXiv

Personalized Federated Learning with Attention-based Client Selection

Personalized Federated Learning (PFL) relies on collective data knowledge to build customized models. However, non-IID data between clients poses significant challenges, as collaborating with clients who have diverse data distributions can harm local model performance, especially with limited training data. To address this issue, we propose FedACS, a new PFL algorithm with an Attention-based Client Selection mechanism. FedACS integrates an attention mechanism to enhance collaboration among clients with similar data distributions and mitigate the data scarcity issue. It prioritizes and allocates resources based on data similarity. We further establish the theoretical convergence behavior of FedACS. Experiments on CIFAR10 and FMNIST validate FedACS's superiority, showcasing its potential to advance personalized federated learning. By tackling non-IID data challenges and data scarcity, FedACS offers promising advances in the field of personalized federated learning.

0 citations0 reviewsNo code linkedOpen access
preprint2022arXiv

On Federated Learning with Energy Harvesting Clients

Catering to the proliferation of Internet of Things devices and distributed machine learning at the edge, we propose an energy harvesting federated learning (EHFL) framework in this paper. The introduction of EH implies that a client's availability to participate in any FL round cannot be guaranteed, which complicates the theoretical analysis. We derive novel convergence bounds that capture the impact of time-varying device availabilities due to the random EH characteristics of the participating clients, for both parallel and local stochastic gradient descent (SGD) with non-convex loss functions. The results suggest that having a uniform client scheduling that maximizes the minimum number of clients throughout the FL process is desirable, which is further corroborated by the numerical experiments using a real-world FL task and a state-of-the-art EH scheduler.

0 citations0 reviewsNo code linkedOpen access
preprint2022arXiv

On Top-$k$ Selection from $m$-wise Partial Rankings via Borda Counting

We analyze the performance of the Borda counting algorithm in a non-parametric model. The algorithm needs to utilize probabilistic rankings of the items within $m$-sized subsets to accurately determine which items are the overall top-$k$ items in a total of $n$ items. The Borda counting algorithm simply counts the cumulative scores for each item from these partial ranking observations. This generalizes a previous work of a similar nature by Shah et al. using probabilistic pairwise comparison data. The performance of the Borda counting algorithm critically depends on the associated score separation $Δ_k$ between the $k$-th item and the $(k+1)$-th item. Specifically, we show that if $Δ_k$ is greater than certain value, then the top-$k$ items selected by the algorithm is asymptotically accurate almost surely; if $Δ_k$ is below certain value, then the result will be inaccurate with a constant probability. In the special case of $m=2$, i.e., pairwise comparison, the resultant bound is tighter than that given by Shah et al., leading to a reduced gap between the error probability upper and lower bounds. These results are further extended to the approximate top-$k$ selection setting. Numerical experiments demonstrate the effectiveness and accuracy of the Borda counting algorithm, compared with the spectral MLE-based algorithm, particularly when the data does not necessarily follow an assumed parametric model.

0 citations0 reviewsNo code linkedOpen access
preprint2022arXiv

Random Orthogonalization for Federated Learning in Massive MIMO Systems

We propose a novel uplink communication method, coined random orthogonalization, for federated learning (FL) in a massive multiple-input and multiple-output (MIMO) wireless system. The key novelty of random orthogonalization comes from the tight coupling of FL model aggregation and two unique characteristics of massive MIMO - channel hardening and favorable propagation. As a result, random orthogonalization can achieve natural over-the-air model aggregation without requiring transmitter side channel state information, while significantly reducing the channel estimation overhead at the receiver. Theoretical analyses with respect to both communication and machine learning performances are carried out. In particular, an explicit relationship among the convergence rate, the number of clients and the number of antennas is established. Experimental results validate the effectiveness and efficiency of random orthogonalization for FL in massive MIMO.

0 citations0 reviewsNo code linkedOpen access
preprint2021arXiv

Federated Multi-Armed Bandits

Federated multi-armed bandits (FMAB) is a new bandit paradigm that parallels the federated learning (FL) framework in supervised learning. It is inspired by practical applications in cognitive radio and recommender systems, and enjoys features that are analogous to FL. This paper proposes a general framework of FMAB and then studies two specific federated bandit models. We first study the approximate model where the heterogeneous local models are random realizations of the global model from an unknown distribution. This model introduces a new uncertainty of client sampling, as the global model may not be reliably learned even if the finite local models are perfectly known. Furthermore, this uncertainty cannot be quantified a priori without knowledge of the suboptimality gap. We solve the approximate model by proposing Federated Double UCB (Fed2-UCB), which constructs a novel "double UCB" principle accounting for uncertainties from both arm and client sampling. We show that gradually admitting new clients is critical in achieving an O(log(T)) regret while explicitly considering the communication cost. The exact model, where the global bandit model is the exact average of heterogeneous local models, is then studied as a special case. We show that, somewhat surprisingly, the order-optimal regret can be achieved independent of the number of clients with a careful choice of the update periodicity. Experiments using both synthetic and real-world datasets corroborate the theoretical analysis and demonstrate the effectiveness and efficiency of the proposed algorithms.

0 citations0 reviewsNo code linkedOpen access
preprint2021arXiv

Federated Multi-armed Bandits with Personalization

A general framework of personalized federated multi-armed bandits (PF-MAB) is proposed, which is a new bandit paradigm analogous to the federated learning (FL) framework in supervised learning and enjoys the features of FL with personalization. Under the PF-MAB framework, a mixed bandit learning problem that flexibly balances generalization and personalization is studied. A lower bound analysis for the mixed model is presented. We then propose the Personalized Federated Upper Confidence Bound (PF-UCB) algorithm, where the exploration length is chosen carefully to achieve the desired balance of learning the local model and supplying global information for the mixed learning objective. Theoretical analysis proves that PF-UCB achieves an $O(\log(T))$ regret regardless of the degree of personalization, and has a similar instance dependency as the lower bound. Experiments using both synthetic and real-world datasets corroborate the theoretical analysis and demonstrate the effectiveness of the proposed algorithm.

0 citations0 reviewsNo code linkedOpen access
preprint2021arXiv

SDF-Bayes: Cautious Optimism in Safe Dose-Finding Clinical Trials with Drug Combinations and Heterogeneous Patient Groups

Phase I clinical trials are designed to test the safety (non-toxicity) of drugs and find the maximum tolerated dose (MTD). This task becomes significantly more challenging when multiple-drug dose-combinations (DC) are involved, due to the inherent conflict between the exponentially increasing DC candidates and the limited patient budget. This paper proposes a novel Bayesian design, SDF-Bayes, for finding the MTD for drug combinations in the presence of safety constraints. Rather than the conventional principle of escalating or de-escalating the current dose of one drug (perhaps alternating between drugs), SDF-Bayes proceeds by cautious optimism: it chooses the next DC that, on the basis of current information, is most likely to be the MTD (optimism), subject to the constraint that it only chooses DCs that have a high probability of being safe (caution). We also propose an extension, SDF-Bayes-AR, that accounts for patient heterogeneity and enables heterogeneous patient recruitment. Extensive experiments based on both synthetic and real-world datasets demonstrate the advantages of SDF-Bayes over state of the art DC trial designs in terms of accuracy and safety.

0 citations0 reviewsNo code linkedOpen access
preprint2020arXiv

Autonomous Social Distancing in Urban Environments using a Quadruped Robot

COVID-19 pandemic has become a global challenge faced by people all over the world. Social distancing has been proved to be an effective practice to reduce the spread of COVID-19. Against this backdrop, we propose that the surveillance robots can not only monitor but also promote social distancing. Robots can be flexibly deployed and they can take precautionary actions to remind people of practicing social distancing. In this paper, we introduce a fully autonomous surveillance robot based on a quadruped platform that can promote social distancing in complex urban environments. Specifically, to achieve autonomy, we mount multiple cameras and a 3D LiDAR on the legged robot. The robot then uses an onboard real-time social distancing detection system to track nearby pedestrian groups. Next, the robot uses a crowd-aware navigation algorithm to move freely in highly dynamic scenarios. The robot finally uses a crowd-aware routing algorithm to effectively promote social distancing by using human-friendly verbal cues to send suggestions to over-crowded pedestrians. We demonstrate and validate that our robot can be operated autonomously by conducting several experiments in various urban scenarios.

0 citations0 reviewsNo code linkedOpen access
preprint2020arXiv

Collaborative Multi-Agent Multi-Armed Bandit Learning for Small-Cell Caching

This paper investigates learning-based caching in small-cell networks (SCNs) when user preference is unknown. The goal is to optimize the cache placement in each small base station (SBS) for minimizing the system long-term transmission delay. We model this sequential multi-agent decision making problem in a multi-agent multi-armed bandit (MAMAB) perspective. Rather than estimating user preference first and then optimizing the cache strategy, we propose several MAMAB-based algorithms to directly learn the cache strategy online in both stationary and non-stationary environment. In the stationary environment, we first propose two high-complexity agent-based collaborative MAMAB algorithms with performance guarantee. Then we propose a low-complexity distributed MAMAB which ignores the SBS coordination. To achieve a better balance between SBS coordination gain and computational complexity, we develop an edge-based collaborative MAMAB with the coordination graph edge-based reward assignment method. In the non-stationary environment, we modify the MAMAB-based algorithms proposed in the stationary environment by proposing a practical initialization method and designing new perturbed terms to adapt to the dynamic environment. Simulation results are provided to validate the effectiveness of our proposed algorithms. The effects of different parameters on caching performance are also discussed.

0 citations0 reviewsNo code linkedOpen access
preprint2020arXiv

Contextual Constrained Learning for Dose-Finding Clinical Trials

Clinical trials in the medical domain are constrained by budgets. The number of patients that can be recruited is therefore limited. When a patient population is heterogeneous, this creates difficulties in learning subgroup specific responses to a particular drug and especially for a variety of dosages. In addition, patient recruitment can be difficult by the fact that clinical trials do not aim to provide a benefit to any given patient in the trial. In this paper, we propose C3T-Budget, a contextual constrained clinical trial algorithm for dose-finding under both budget and safety constraints. The algorithm aims to maximize drug efficacy within the clinical trial while also learning about the drug being tested. C3T-Budget recruits patients with consideration of the remaining budget, the remaining time, and the characteristics of each group, such as the population distribution, estimated expected efficacy, and estimation credibility. In addition, the algorithm aims to avoid unsafe dosages. These characteristics are further illustrated in a simulated clinical trial study, which corroborates the theoretical analysis and demonstrates an efficient budget usage as well as a balanced learning-treatment trade-off.

0 citations0 reviewsNo code linkedOpen access
preprint2020arXiv

Decentralized Multi-player Multi-armed Bandits with No Collision Information

The decentralized stochastic multi-player multi-armed bandit (MP-MAB) problem, where the collision information is not available to the players, is studied in this paper. Building on the seminal work of Boursier and Perchet (2019), we propose error correction synchronization involving communication (EC-SIC), whose regret is shown to approach that of the centralized stochastic MP-MAB with collision information. By recognizing that the communication phase without collision information corresponds to the Z-channel model in information theory, the proposed EC-SIC algorithm applies optimal error correction coding for the communication of reward statistics. A fixed message length, as opposed to the logarithmically growing one in Boursier and Perchet (2019), also plays a crucial role in controlling the communication loss. Experiments with practical Z-channel codes, such as repetition code, flip code and modified Hamming code, demonstrate the superiority of EC-SIC in both synthetic and real-world datasets.

0 citations0 reviewsNo code linkedOpen access
preprint2020arXiv

Learning for Dose Allocation in Adaptive Clinical Trials with Safety Constraints

Phase I dose-finding trials are increasingly challenging as the relationship between efficacy and toxicity of new compounds (or combination of them) becomes more complex. Despite this, most commonly used methods in practice focus on identifying a Maximum Tolerated Dose (MTD) by learning only from toxicity events. We present a novel adaptive clinical trial methodology, called Safe Efficacy Exploration Dose Allocation (SEEDA), that aims at maximizing the cumulative efficacies while satisfying the toxicity safety constraint with high probability. We evaluate performance objectives that have operational meanings in practical clinical trials, including cumulative efficacy, recommendation/allocation success probabilities, toxicity violation probability, and sample efficiency. An extended SEEDA-Plateau algorithm that is tailored for the increase-then-plateau efficacy behavior of molecularly targeted agents (MTA) is also presented. Through numerical experiments using both synthetic and real-world datasets, we show that SEEDA outperforms state-of-the-art clinical trial designs by finding the optimal dose with higher success rate and fewer patients.

0 citations0 reviewsNo code linkedOpen access
preprint2020arXiv

Stochastic Linear Contextual Bandits with Diverse Contexts

In this paper, we investigate the impact of context diversity on stochastic linear contextual bandits. As opposed to the previous view that contexts lead to more difficult bandit learning, we show that when the contexts are sufficiently diverse, the learner is able to utilize the information obtained during exploitation to shorten the exploration process, thus achieving reduced regret. We design the LinUCB-d algorithm, and propose a novel approach to analyze its regret performance. The main theoretical result is that under the diverse context assumption, the cumulative expected regret of LinUCB-d is bounded by a constant. As a by-product, our results improve the previous understanding of LinUCB and strengthen its performance guarantee.

0 citations0 reviewsNo code linkedOpen access