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Preetum Nakkiran

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Published work

11 published item(s)

preprint2026arXiv

Annotations Mitigate Post-Training Mode Collapse

Post-training (via supervised fine-tuning) improves instruction-following, but often induces semantic mode collapse by biasing models toward low-entropy fine-tuning data at the expense of the high-entropy pretraining distribution. Crucially, we find this trade-off worsens with scale. To close this semantic diversity gap, we propose annotation-anchored training, a principled method that enables models to adopt the preference-following behaviors of post-training without sacrificing the inherent diversity of pretraining. Our approach is simple: we pretrain on documents paired with semantic annotations, inducing a rich annotation distribution that reflects the full breadth of pretraining data, and we preserve this distribution during post-training. This lets us sample diverse annotations at inference time and use them as anchors to guide generation, effectively transferring pretraining's semantic richness into post-trained models. We find that models trained with annotation-anchored training can attain $6 \times$ less diversity collapse than models trained with SFT, and improve with scale.

preprint2022arXiv

Deconstructing Distributions: A Pointwise Framework of Learning

In machine learning, we traditionally evaluate the performance of a single model, averaged over a collection of test inputs. In this work, we propose a new approach: we measure the performance of a collection of models when evaluated on a $\textit{single input point}$. Specifically, we study a point's $\textit{profile}$: the relationship between models' average performance on the test distribution and their pointwise performance on this individual point. We find that profiles can yield new insights into the structure of both models and data -- in and out-of-distribution. For example, we empirically show that real data distributions consist of points with qualitatively different profiles. On one hand, there are "compatible" points with strong correlation between the pointwise and average performance. On the other hand, there are points with weak and even $\textit{negative}$ correlation: cases where improving overall model accuracy actually $\textit{hurts}$ performance on these inputs. We prove that these experimental observations are inconsistent with the predictions of several simplified models of learning proposed in prior work. As an application, we use profiles to construct a dataset we call CIFAR-10-NEG: a subset of CINIC-10 such that for standard models, accuracy on CIFAR-10-NEG is $\textit{negatively correlated}$ with accuracy on CIFAR-10 test. This illustrates, for the first time, an OOD dataset that completely inverts "accuracy-on-the-line" (Miller, Taori, Raghunathan, Sagawa, Koh, Shankar, Liang, Carmon, and Schmidt 2021)

preprint2022arXiv

General Strong Polarization

Arikan's exciting discovery of polar codes has provided an altogether new way to efficiently achieve Shannon capacity. Given a (constant-sized) invertible matrix $M$, a family of polar codes can be associated with this matrix and its ability to approach capacity follows from the {\em polarization} of an associated $[0,1]$-bounded martingale, namely its convergence in the limit to either $0$ or $1$. Arikan showed polarization of the martingale associated with the matrix $G_2 = \left(\begin{matrix} 1& 0 1& 1\end{matrix}\right)$ to get capacity achieving codes. His analysis was later extended to all matrices $M$ that satisfy an obvious necessary condition for polarization. While Arikan's theorem does not guarantee that the codes achieve capacity at small blocklengths, it turns out that a "strong" analysis of the polarization of the underlying martingale would lead to such constructions. Indeed for the martingale associated with $G_2$ such a strong polarization was shown in two independent works ([Guruswami and Xia, IEEE IT '15] and [Hassani et al., IEEE IT '14]), resolving a major theoretical challenge of the efficient attainment of Shannon capacity. In this work we extend the result above to cover martingales associated with all matrices that satisfy the necessary condition for (weak) polarization. In addition to being vastly more general, our proofs of strong polarization are also simpler and modular. Specifically, our result shows strong polarization over all prime fields and leads to efficient capacity-achieving codes for arbitrary symmetric memoryless channels. We show how to use our analyses to achieve exponentially small error probabilities at lengths inverse polynomial in the gap to capacity. Indeed we show that we can essentially match any error probability with lengths that are only inverse polynomial in the gap to capacity.

preprint2022arXiv

Knowledge Distillation: Bad Models Can Be Good Role Models

Large neural networks trained in the overparameterized regime are able to fit noise to zero train error. Recent work \citep{nakkiran2020distributional} has empirically observed that such networks behave as "conditional samplers" from the noisy distribution. That is, they replicate the noise in the train data to unseen examples. We give a theoretical framework for studying this conditional sampling behavior in the context of learning theory. We relate the notion of such samplers to knowledge distillation, where a student network imitates the outputs of a teacher on unlabeled data. We show that samplers, while being bad classifiers, can be good teachers. Concretely, we prove that distillation from samplers is guaranteed to produce a student which approximates the Bayes optimal classifier. Finally, we show that some common learning algorithms (e.g., Nearest-Neighbours and Kernel Machines) can generate samplers when applied in the overparameterized regime.

preprint2022arXiv

Limitations of Neural Collapse for Understanding Generalization in Deep Learning

The recent work of Papyan, Han, & Donoho (2020) presented an intriguing "Neural Collapse" phenomenon, showing a structural property of interpolating classifiers in the late stage of training. This opened a rich area of exploration studying this phenomenon. Our motivation is to study the upper limits of this research program: How far will understanding Neural Collapse take us in understanding deep learning? First, we investigate its role in generalization. We refine the Neural Collapse conjecture into two separate conjectures: collapse on the train set (an optimization property) and collapse on the test distribution (a generalization property). We find that while Neural Collapse often occurs on the train set, it does not occur on the test set. We thus conclude that Neural Collapse is primarily an optimization phenomenon, with as-yet-unclear connections to generalization. Second, we investigate the role of Neural Collapse in feature learning. We show simple, realistic experiments where training longer leads to worse last-layer features, as measured by transfer-performance on a downstream task. This suggests that neural collapse is not always desirable for representation learning, as previously claimed. Finally, we give preliminary evidence of a "cascading collapse" phenomenon, wherein some form of Neural Collapse occurs not only for the last layer, but in earlier layers as well. We hope our work encourages the community to continue the rich line of Neural Collapse research, while also considering its inherent limitations.

preprint2022arXiv

Limitations of the NTK for Understanding Generalization in Deep Learning

The ``Neural Tangent Kernel'' (NTK) (Jacot et al 2018), and its empirical variants have been proposed as a proxy to capture certain behaviors of real neural networks. In this work, we study NTKs through the lens of scaling laws, and demonstrate that they fall short of explaining important aspects of neural network generalization. In particular, we demonstrate realistic settings where finite-width neural networks have significantly better data scaling exponents as compared to their corresponding empirical and infinite NTKs at initialization. This reveals a more fundamental difference between the real networks and NTKs, beyond just a few percentage points of test accuracy. Further, we show that even if the empirical NTK is allowed to be pre-trained on a constant number of samples, the kernel scaling does not catch up to the neural network scaling. Finally, we show that the empirical NTK continues to evolve throughout most of the training, in contrast with prior work which suggests that it stabilizes after a few epochs of training. Altogether, our work establishes concrete limitations of the NTK approach in understanding generalization of real networks on natural datasets.

preprint2021arXiv

The Deep Bootstrap Framework: Good Online Learners are Good Offline Generalizers

We propose a new framework for reasoning about generalization in deep learning. The core idea is to couple the Real World, where optimizers take stochastic gradient steps on the empirical loss, to an Ideal World, where optimizers take steps on the population loss. This leads to an alternate decomposition of test error into: (1) the Ideal World test error plus (2) the gap between the two worlds. If the gap (2) is universally small, this reduces the problem of generalization in offline learning to the problem of optimization in online learning. We then give empirical evidence that this gap between worlds can be small in realistic deep learning settings, in particular supervised image classification. For example, CNNs generalize better than MLPs on image distributions in the Real World, but this is "because" they optimize faster on the population loss in the Ideal World. This suggests our framework is a useful tool for understanding generalization in deep learning, and lays a foundation for future research in the area.

preprint2020arXiv

Learning Rate Annealing Can Provably Help Generalization, Even for Convex Problems

Learning rate schedule can significantly affect generalization performance in modern neural networks, but the reasons for this are not yet understood. Li-Wei-Ma (2019) recently proved this behavior can exist in a simplified non-convex neural-network setting. In this note, we show that this phenomenon can exist even for convex learning problems -- in particular, linear regression in 2 dimensions. We give a toy convex problem where learning rate annealing (large initial learning rate, followed by small learning rate) can lead gradient descent to minima with provably better generalization than using a small learning rate throughout. In our case, this occurs due to a combination of the mismatch between the test and train loss landscapes, and early-stopping.

preprint2015arXiv

Near-Optimal UGC-hardness of Approximating Max k-CSP_R

In this paper, we prove an almost-optimal hardness for Max $k$-CSP$_R$ based on Khot's Unique Games Conjecture (UGC). In Max $k$-CSP$_R$, we are given a set of predicates each of which depends on exactly $k$ variables. Each variable can take any value from $1, 2, \dots, R$. The goal is to find an assignment to variables that maximizes the number of satisfied predicates. Assuming the Unique Games Conjecture, we show that it is NP-hard to approximate Max $k$-CSP$_R$ to within factor $2^{O(k \log k)}(\log R)^{k/2}/R^{k - 1}$ for any $k, R$. To the best of our knowledge, this result improves on all the known hardness of approximation results when $3 \leq k = o(\log R/\log \log R)$. In this case, the previous best hardness result was NP-hardness of approximating within a factor $O(k/R^{k-2})$ by Chan. When $k = 2$, our result matches the best known UGC-hardness result of Khot, Kindler, Mossel and O'Donnell. In addition, by extending an algorithm for Max 2-CSP$_R$ by Kindler, Kolla and Trevisan, we provide an $Ω(\log R/R^{k - 1})$-approximation algorithm for Max $k$-CSP$_R$. This algorithm implies that our inapproximability result is tight up to a factor of $2^{O(k \log k)}(\log R)^{k/2 - 1}$. In comparison, when $3 \leq k$ is a constant, the previously known gap was $O(R)$, which is significantly larger than our gap of $O(\text{polylog } R)$. Finally, we show that we can replace the Unique Games Conjecture assumption with Khot's $d$-to-1 Conjecture and still get asymptotically the same hardness of approximation.

preprint2015arXiv

Optimal Systematic Distributed Storage Codes with Fast Encoding

Erasure codes are being increasingly used in distributed-storage systems in place of data-replication, since they provide the same level of reliability with much lower storage overhead. We consider the problem of constructing explicit erasure codes for distributed storage with the following desirable properties motivated by practice: (i) Maximum-Distance-Separable (MDS): to provide maximal reliability at minimum storage overhead, (ii) Optimal repair-bandwidth: to minimize the amount of data needed to be transferred to repair a failed node from remaining ones, (iii) Flexibility in repair: to allow maximal flexibility in selecting subset of nodes to use for repair, which includes not requiring that all surviving nodes be used for repair, (iv) Systematic Form: to ensure that the original data exists in uncoded form, and (v) Fast encoding: to minimize the cost of generating encoded data (enabled by a sparse generator matrix). This paper presents the first explicit code construction which theoretically guarantees all the five desired properties simultaneously. Our construction builds on a powerful class of codes called Product-Matrix (PM) codes. PM codes satisfy properties (i)-(iii), and either (iv) or (v), but not both simultaneously. Indeed, native PM codes have inherent structure that leads to sparsity, but this structure is destroyed when the codes are made systematic. We first present an analytical framework for understanding the interaction between the design of PM codes and the systematic property. Using this framework, we provide an explicit code construction that simultaneously achieves all the above desired properties. We also present general ways of transforming existing storage and repair optimal codes to enable fast encoding through sparsity. In practice, such sparse codes result in encoding speedup by a factor of about 4 for typical parameters.

preprint2014arXiv

Fundamental Limits on Communication for Oblivious Updates in Storage Networks

In distributed storage systems, storage nodes intermittently go offline for numerous reasons. On coming back online, nodes need to update their contents to reflect any modifications to the data in the interim. In this paper, we consider a setting where no information regarding modified data needs to be logged in the system. In such a setting, a 'stale' node needs to update its contents by downloading data from already updated nodes, while neither the stale node nor the updated nodes have any knowledge as to which data symbols are modified and what their value is. We investigate the fundamental limits on the amount of communication necessary for such an "oblivious" update process. We first present a generic lower bound on the amount of communication that is necessary under any storage code with a linear encoding (while allowing non-linear update protocols). This lower bound is derived under a set of extremely weak conditions, giving all updated nodes access to the entire modified data and the stale node access to the entire stale data as side information. We then present codes and update algorithms that are optimal in that they meet this lower bound. Next, we present a lower bound for an important subclass of codes, that of linear Maximum-Distance-Separable (MDS) codes. We then present an MDS code construction and an associated update algorithm that meets this lower bound. These results thus establish the capacity of oblivious updates in terms of the communication requirements under these settings.