Daily Papers

The Federated Learning setting has a central server coordinating the training of a model on a network of devices. One of the challenges is variable training performance when the dataset has a class imbalance. In this paper, we address this by introducing a new loss function called Fed-Focal Loss. We propose to address the class imbalance by reshaping cross-entropy loss such that it down-weights the loss assigned to well-classified examples along the lines of focal loss. Additionally, by leveraging a tunable sampling framework, we take into account selective client model contributions on the central server to further focus the detector during training and hence improve its robustness. Using a detailed experimental analysis with the VIRTUAL (Variational Federated Multi-Task Learning) approach, we demonstrate consistently superior performance in both the balanced and unbalanced scenarios for MNIST, FEMNIST, VSN and HAR benchmarks. We obtain a more than 9% (absolute percentage) improvement in the unbalanced MNIST benchmark. We further show that our technique can be adopted across multiple Federated Learning algorithms to get improvements.

How to ensure fairness is an important topic in federated learning (FL). Recent studies have investigated how to reward clients based on their contribution (collaboration fairness), and how to achieve uniformity of performance across clients (performance fairness). Despite achieving progress on either one, we argue that it is critical to consider them together, in order to engage and motivate more diverse clients joining FL to derive a high-quality global model. In this work, we propose a novel method to optimize both types of fairness simultaneously. Specifically, we propose to estimate client contribution in gradient and data space. In gradient space, we monitor the gradient direction differences of each client with respect to others. And in data space, we measure the prediction error on client data using an auxiliary model. Based on this contribution estimation, we propose a FL method, federated training via contribution estimation (FedCE), i.e., using estimation as global model aggregation weights. We have theoretically analyzed our method and empirically evaluated it on two real-world medical datasets. The effectiveness of our approach has been validated with significant performance improvements, better collaboration fairness, better performance fairness, and comprehensive analytical studies.

Large Language Models (LLMs) increasingly leverage Federated Learning (FL) to utilize private, task-specific datasets for fine-tuning while preserving data privacy. However, while federated LLM frameworks effectively enable collaborative training without raw data sharing, they critically lack built-in mechanisms for regulatory compliance like GDPR's right to be forgotten. Integrating private data heightens concerns over data quality and long-term governance, yet existing distributed training frameworks offer no principled way to selectively remove specific client contributions post-training. Due to distributed data silos, stringent privacy constraints, and the intricacies of interdependent model aggregation, federated LLM unlearning is significantly more complex than centralized LLM unlearning. To address this gap, we introduce Oblivionis, a lightweight learning and unlearning framework that enables clients to selectively remove specific private data during federated LLM training, enhancing trustworthiness and regulatory compliance. By unifying FL and unlearning as a dual optimization objective, we incorporate 6 FL and 5 unlearning algorithms for comprehensive evaluation and comparative analysis, establishing a robust pipeline for federated LLM unlearning. Extensive experiments demonstrate that Oblivionis outperforms local training, achieving a robust balance between forgetting efficacy and model utility, with cross-algorithm comparisons providing clear directions for future LLM development.

Foundation model development attracts a rapidly expanding body of contributors, scientists, and applications. To help shape responsible development practices, we introduce the Foundation Model Development Cheatsheet: a growing collection of 250+ tools and resources spanning text, vision, and speech modalities. We draw on a large body of prior work to survey resources (e.g. software, documentation, frameworks, guides, and practical tools) that support informed data selection, processing, and understanding, precise and limitation-aware artifact documentation, efficient model training, advance awareness of the environmental impact from training, careful model evaluation of capabilities, risks, and claims, as well as responsible model release, licensing and deployment practices. We hope this curated collection of resources helps guide more responsible development. The process of curating this list, enabled us to review the AI development ecosystem, revealing what tools are critically missing, misused, or over-used in existing practices. We find that (i) tools for data sourcing, model evaluation, and monitoring are critically under-serving ethical and real-world needs, (ii) evaluations for model safety, capabilities, and environmental impact all lack reproducibility and transparency, (iii) text and particularly English-centric analyses continue to dominate over multilingual and multi-modal analyses, and (iv) evaluation of systems, rather than just models, is needed so that capabilities and impact are assessed in context.

In the context of personalized federated learning (FL), the critical challenge is to balance local model improvement and global model tuning when the personal and global objectives may not be exactly aligned. Inspired by Bayesian hierarchical models, we develop a self-aware personalized FL method where each client can automatically balance the training of its local personal model and the global model that implicitly contributes to other clients' training. Such a balance is derived from the inter-client and intra-client uncertainty quantification. A larger inter-client variation implies more personalization is needed. Correspondingly, our method uses uncertainty-driven local training steps and aggregation rule instead of conventional local fine-tuning and sample size-based aggregation. With experimental studies on synthetic data, Amazon Alexa audio data, and public datasets such as MNIST, FEMNIST, CIFAR10, and Sent140, we show that our proposed method can achieve significantly improved personalization performance compared with the existing counterparts.

Personalized federated learning (PFL) reduces the impact of non-independent and identically distributed (non-IID) data among clients by allowing each client to train a personalized model when collaborating with others. A key question in PFL is to decide which parameters of a client should be localized or shared with others. In current mainstream approaches, all layers that are sensitive to non-IID data (such as classifier layers) are generally personalized. The reasoning behind this approach is understandable, as localizing parameters that are easily influenced by non-IID data can prevent the potential negative effect of collaboration. However, we believe that this approach is too conservative for collaboration. For example, for a certain client, even if its parameters are easily influenced by non-IID data, it can still benefit by sharing these parameters with clients having similar data distribution. This observation emphasizes the importance of considering not only the sensitivity to non-IID data but also the similarity of data distribution when determining which parameters should be localized in PFL. This paper introduces a novel guideline for client collaboration in PFL. Unlike existing approaches that prohibit all collaboration of sensitive parameters, our guideline allows clients to share more parameters with others, leading to improved model performance. Additionally, we propose a new PFL method named FedCAC, which employs a quantitative metric to evaluate each parameter's sensitivity to non-IID data and carefully selects collaborators based on this evaluation. Experimental results demonstrate that FedCAC enables clients to share more parameters with others, resulting in superior performance compared to state-of-the-art methods, particularly in scenarios where clients have diverse distributions.

Compared with full client participation, partial client participation is a more practical scenario in federated learning, but it may amplify some challenges in federated learning, such as data heterogeneity. The lack of inactive clients' updates in partial client participation makes it more likely for the model aggregation to deviate from the aggregation based on full client participation. Training with large batches on individual clients is proposed to address data heterogeneity in general, but their effectiveness under partial client participation is not clear. Motivated by these challenges, we propose to develop a novel federated learning framework, referred to as FedAMD, for partial client participation. The core idea is anchor sampling, which separates partial participants into anchor and miner groups. Each client in the anchor group aims at the local bullseye with the gradient computation using a large batch. Guided by the bullseyes, clients in the miner group steer multiple near-optimal local updates using small batches and update the global model. By integrating the results of the two groups, FedAMD is able to accelerate the training process and improve the model performance. Measured by epsilon-approximation and compared to the state-of-the-art methods, FedAMD achieves the convergence by up to O(1/epsilon) fewer communication rounds under non-convex objectives. Empirical studies on real-world datasets validate the effectiveness of FedAMD and demonstrate the superiority of the proposed algorithm: Not only does it considerably save computation and communication costs, but also the test accuracy significantly improves.

Large Language Models (LLMs) have become central in academia and industry, raising concerns about privacy, transparency, and misuse. A key issue is the trustworthiness of proprietary models, with open-sourcing often proposed as a solution. However, open-sourcing presents challenges, including potential misuse, financial disincentives, and intellectual property concerns. Proprietary models, backed by private sector resources, are better positioned for return on investment. There are also other approaches that lie somewhere on the spectrum between completely open-source and proprietary. These can largely be categorised into open-source usage limitations protected by licensing, partially open-source (open weights) models, hybrid approaches where obsolete model versions are open-sourced, while competitive versions with market value remain proprietary. Currently, discussions on where on the spectrum future models should fall on remains unbacked and mostly opinionated where industry leaders are weighing in on the discussion. In this paper, we present a data-driven approach by compiling data on open-source development of LLMs, and their contributions in terms of improvements, modifications, and methods. Our goal is to avoid supporting either extreme but rather present data that will support future discussions both by industry experts as well as policy makers. Our findings indicate that open-source contributions can enhance model performance, with trends such as reduced model size and manageable accuracy loss. We also identify positive community engagement patterns and architectures that benefit most from open contributions.

Federated learning (FL) collaboratively trains artificial intelligence (AI) models to ensure user data privacy. Sharing only model updates generated from local training on client data with the server enhances user data privacy. However, model performance may suffer due to data and system heterogeneity among clients in FL scenarios. Previous studies have proposed model optimization, fine-tuning, and personalization to achieve improved model performance. Despite these efforts, models resulting from FL scenarios often exhibit catastrophic forgetting, which increases the communication and computational costs of clients for model optimization and raises energy consumption. To address these challenges, we propose a reference model-based fine-tuning method for federated learning that overcomes catastrophic forgetting in each round. Our method is derived from Bayesian parameter-efficient transfer learning and includes an proximal term. It employs a reference model that incorporates previous model parameters and reviews previous global features in the model optimization step to mitigate catastrophic forgetting. As a result, our method achieves higher model performance and lower communication and computational costs for clients than existing methods.

Human-model conversations provide a window into users' real-world scenarios, behavior, and needs, and thus are a valuable resource for model development and research. While for-profit companies collect user data through the APIs of their models, using it internally to improve their own models, the open source and research community lags behind. We introduce the ShareLM collection, a unified set of human conversations with large language models, and its accompanying plugin, a Web extension for voluntarily contributing user-model conversations. Where few platforms share their chats, the ShareLM plugin adds this functionality, thus, allowing users to share conversations from most platforms. The plugin allows the user to rate their conversations, both at the conversation and the response levels, and delete conversations they prefer to keep private before they ever leave the user's local storage. We release the plugin conversations as part of the ShareLM collection, and call for more community effort in the field of open human-model data. The code, plugin, and data are available.

Recent advancements in federated learning (FL) seek to increase client-level performance by fine-tuning client parameters on local data or personalizing architectures for the local task. Existing methods for such personalization either prune a global model or fine-tune a global model on a local client distribution. However, these existing methods either personalize at the expense of retaining important global knowledge, or predetermine network layers for fine-tuning, resulting in suboptimal storage of global knowledge within client models. Enlightened by the lottery ticket hypothesis, we first introduce a hypothesis for finding optimal client subnetworks to locally fine-tune while leaving the rest of the parameters frozen. We then propose a novel FL framework, FedSelect, using this procedure that directly personalizes both client subnetwork structure and parameters, via the simultaneous discovery of optimal parameters for personalization and the rest of parameters for global aggregation during training. We show that this method achieves promising results on CIFAR-10.

Predictive models play a crucial role in the financial industry, enabling risk prediction, fraud detection, and personalized recommendations, where slight changes in core model performance can result in billions of dollars in revenue or losses. While financial institutions have access to enormous amounts of user data (e.g., bank transactions, in-app events, and customer support logs), leveraging this data effectively remains challenging due to its complexity and scale. Thus, in many financial institutions, most production models follow traditional machine learning (ML) approaches by converting unstructured data into manually engineered tabular features. Conversely, other domains (e.g., natural language processing) have effectively utilized self-supervised learning (SSL) to learn rich representations from raw data, removing the need for manual feature extraction. In this paper, we investigate using transformer-based representation learning models for transaction data, hypothesizing that these models, trained on massive data, can provide a novel and powerful approach to understanding customer behavior. We propose a new method enabling the use of SSL with transaction data by adapting transformer-based models to handle both textual and structured attributes. Our approach, denoted nuFormer, includes an end-to-end fine-tuning method that integrates user embeddings with existing tabular features. Our experiments demonstrate improvements for large-scale recommendation problems at Nubank. Notably, these gains are achieved solely through enhanced representation learning rather than incorporating new data sources.

Foundation models, including Large Language Models (LLMs), Multimodal Large Language Models (MLLMs), Image Generative Models (i.e, Text-to-Image Models and Image-Editing Models), and Video Generative Models, have become essential tools with broad applications across various domains such as law, medicine, education, finance, science, and beyond. As these models see increasing real-world deployment, ensuring their reliability and responsibility has become critical for academia, industry, and government. This survey addresses the reliable and responsible development of foundation models. We explore critical issues, including bias and fairness, security and privacy, uncertainty, explainability, and distribution shift. Our research also covers model limitations, such as hallucinations, as well as methods like alignment and Artificial Intelligence-Generated Content (AIGC) detection. For each area, we review the current state of the field and outline concrete future research directions. Additionally, we discuss the intersections between these areas, highlighting their connections and shared challenges. We hope our survey fosters the development of foundation models that are not only powerful but also ethical, trustworthy, reliable, and socially responsible.

Conventional federated learning (FL) frameworks follow a server-driven model where the server determines session initiation and client participation, which faces challenges in accommodating clients' asynchronous needs for model updates. We introduce Client-Driven Federated Learning (CDFL), a novel FL framework that puts clients at the driving role. In CDFL, each client independently and asynchronously updates its model by uploading the locally trained model to the server and receiving a customized model tailored to its local task. The server maintains a repository of cluster models, iteratively refining them using received client models. Our framework accommodates complex dynamics in clients' data distributions, characterized by time-varying mixtures of cluster distributions, enabling rapid adaptation to new tasks with superior performance. In contrast to traditional clustered FL protocols that send multiple cluster models to a client to perform distribution estimation, we propose a paradigm that offloads the estimation task to the server and only sends a single model to a client, and novel strategies to improve estimation accuracy. We provide a theoretical analysis of CDFL's convergence. Extensive experiments across various datasets and system settings highlight CDFL's substantial advantages in model performance and computation efficiency over baselines.

Federated learning (FL) emerges as a decentralized learning framework which trains models from multiple distributed clients without sharing their data to preserve privacy. Recently, large-scale pre-trained models (e.g., Vision Transformer) have shown a strong capability of deriving robust representations. However, the data heterogeneity among clients, the limited computation resources, and the communication bandwidth restrict the deployment of large-scale models in FL frameworks. To leverage robust representations from large-scale models while enabling efficient model personalization for heterogeneous clients, we propose a novel personalized FL framework of client-specific Prompt Generation (pFedPG), which learns to deploy a personalized prompt generator at the server for producing client-specific visual prompts that efficiently adapts frozen backbones to local data distributions. Our proposed framework jointly optimizes the stages of personalized prompt adaptation locally and personalized prompt generation globally. The former aims to train visual prompts that adapt foundation models to each client, while the latter observes local optimization directions to generate personalized prompts for all clients. Through extensive experiments on benchmark datasets, we show that our pFedPG is favorable against state-of-the-art personalized FL methods under various types of data heterogeneity, allowing computation and communication efficient model personalization.

Existing foundation models are trained on copyrighted material. Deploying these models can pose both legal and ethical risks when data creators fail to receive appropriate attribution or compensation. In the United States and several other countries, copyrighted content may be used to build foundation models without incurring liability due to the fair use doctrine. However, there is a caveat: If the model produces output that is similar to copyrighted data, particularly in scenarios that affect the market of that data, fair use may no longer apply to the output of the model. In this work, we emphasize that fair use is not guaranteed, and additional work may be necessary to keep model development and deployment squarely in the realm of fair use. First, we survey the potential risks of developing and deploying foundation models based on copyrighted content. We review relevant U.S. case law, drawing parallels to existing and potential applications for generating text, source code, and visual art. Experiments confirm that popular foundation models can generate content considerably similar to copyrighted material. Second, we discuss technical mitigations that can help foundation models stay in line with fair use. We argue that more research is needed to align mitigation strategies with the current state of the law. Lastly, we suggest that the law and technical mitigations should co-evolve. For example, coupled with other policy mechanisms, the law could more explicitly consider safe harbors when strong technical tools are used to mitigate infringement harms. This co-evolution may help strike a balance between intellectual property and innovation, which speaks to the original goal of fair use. But we emphasize that the strategies we describe here are not a panacea and more work is needed to develop policies that address the potential harms of foundation models.

New capabilities in foundation models are owed in large part to massive, widely-sourced, and under-documented training data collections. Existing practices in data collection have led to challenges in documenting data transparency, tracing authenticity, verifying consent, privacy, representation, bias, copyright infringement, and the overall development of ethical and trustworthy foundation models. In response, regulation is emphasizing the need for training data transparency to understand foundation models' limitations. Based on a large-scale analysis of the foundation model training data landscape and existing solutions, we identify the missing infrastructure to facilitate responsible foundation model development practices. We examine the current shortcomings of common tools for tracing data authenticity, consent, and documentation, and outline how policymakers, developers, and data creators can facilitate responsible foundation model development by adopting universal data provenance standards.

The mediocre performance of conventional federated learning (FL) over heterogeneous data has been facilitating personalized FL solutions, where, unlike conventional FL which trains a single global consensus model, different models are allowed for different clients. However, in most existing personalized FL algorithms, the collaborative knowledge across the federation was only implicitly passed to the clients in ways such as model aggregation or regularization. We observed that this implicit knowledge transfer fails to maximize the potential value of each client's empirical risk toward other clients. Based on our observation, in this work, we propose Personalized Global Federated Learning (PGFed), a novel personalized FL framework that enables each client to personalize its own global objective by explicitly and adaptively aggregating the empirical risks of itself and other clients. To avoid massive (O(N^2)) communication overhead and potential privacy leakage, each client's risk is estimated through a first-order approximation for other clients' adaptive risk aggregation. On top of PGFed, we develop a momentum upgrade, dubbed PGFedMo, to more efficiently utilize clients' empirical risks. Our extensive experiments under different federated settings with benchmark datasets show consistent improvements of PGFed over the compared state-of-the-art alternatives.

Personalized financial advice requires consideration of user goals, constraints, risk tolerance, and jurisdiction. Prior LLM work has focused on support systems for investors and financial planners. Simultaneously, numerous recent studies examine broader personal finance tasks, including budgeting, debt management, retirement, and estate planning, through agentic pipelines that incur high maintenance costs, yielding less than 25% of their expected financial returns. In this study, we introduce a novel and reproducible framework that integrates relevant financial context with behavioral finance studies to construct supervision data for end-to-end advisors. Using this framework, we create a 19k sample reasoning dataset and conduct a comprehensive fine-tuning of the Qwen-3-8B model on the dataset. Through a held-out test split and a blind LLM-jury study, we demonstrate that through careful data curation and behavioral integration, our 8B model achieves performance comparable to significantly larger baselines (14-32B parameters) across factual accuracy, fluency, and personalization metrics while incurring 80% lower costs than the larger counterparts.

Organizations typically train large models individually. This is costly and time-consuming, particularly for large-scale foundation models. Such vertical production is known to be suboptimal. Inspired by this economic insight, we ask whether it is possible to leverage others' expertise by trading the constituent parts in models, i.e., sets of weights, as if they were market commodities. While recent advances in aligning and interpolating models suggest that doing so may be possible, a number of fundamental questions must be answered to create viable parameter markets. In this work, we address these basic questions, propose a framework containing the infrastructure necessary for market operations to take place, study strategies for exchanging parameters, and offer means for agents to monetize parameters. Excitingly, compared to agents who train siloed models from scratch, we show that it is possible to mutually gain by using the market, even in competitive settings. This suggests that the notion of parameter markets may be a useful paradigm for improving large-scale model training in the future.

Large language model (LLM) agents increasingly take actions (screening applicants, recommending credit, triaging patients), yet fairness for LLMs is still measured by grading answers. We introduce AgentFairBench, a cheap, reproducible, multi-domain benchmark for demographic disparity in the actions of LLM agents. Grounded in a companion framework, the Bias Conduction Framework (BCF, restated here), it spans three regulator-anchored domains: hiring, lending, and medical triage. Synthetic, demographic-neutral profiles are evaluated in counterfactual matched sets that vary only a name-coded race x gender signal (in the Bertrand Mullainathan tradition), under four agent scaffolds of increasing agency (direct, chain-of-thought, multi-agent deliberation, tool-augmented). A NumPy-only harness computes counterfactual flip rate, mean absolute score difference (MASD), action-rate disparity, and tool-invocation disparity, with bootstrap confidence intervals, paired tests, and false-discovery-rate control, for single-digit dollars per model. A live leaderboard with a held-out private split and a contamination canary admits external models by submission. Our pilot (864 decisions plus a test-retest replication) carries a methodological lesson: comparing a six-group score spread against a two-run noise difference overstates disparity by ~ 2.4X through statistic arity alone. Against an arity matched noise floor and an omnibus group test, claude haiku 4 5 shows no demographic effect above sampling noise (0 of 120 pairwise and 0 of 9 omnibus contrasts survive correction); a planted-bias test confirms the instrument detects disparity when present. The contribution is a sound, sensitive, adoption-ready instrument, the arity matched null methodology, and open artifacts to scale it. Code, data, and harness are released under open licenses, with an anonymized review artifact.

This paper describes the iterative use of service learning to develop, review, and improve computing-based artifacts. It is well-known that computing students benefit from service-learning experiences as do the community partners. It is also well-known that computing artifacts rarely function well long-term without versioning and updates. Service-learning projects are often one-time engagements, completed by single teams of students over the course of a semester course. This limits the benefit for community partners that do not have the expertise or resources to review and update a project on their own. Over several years, teams of undergraduate students in a capstone course created tailored social media plans for numerous small rural organizations. The projects were required to meet client specific needs, with identified audiences, measurable goals, and strategies and tactics to reach the identified goals. This paper builds on previously results for 60 projects conducted over several years. Nine clients were selected to participate in the iterative follow-up process, where new student teams conducted client interviews, reviewed the initial plans, and analyzed metrics from the current strategies and tactics to provide updated, improved artifacts. Using ABET learning objectives as a basis, clients reviewed the student teams and artifacts. This longitudinal study discusses the impact of this intervention to increase implementation and sustained use rates of computing artifacts developed through service learning. Both students and clients reported high satisfaction levels, and clients were particularly satisfied with the iterative improvement process. This research demonstrates an innovative practice for creating and maintaining computing artifacts through iterative service learning, while addressing the resource constraints of small organizations.

Consider a market of competing model providers selling query access to models with varying costs and capabilities. Customers submit problem instances and are willing to pay up to a budget for a verifiable solution. An arbitrageur efficiently allocates inference budget across providers to undercut the market, thus creating a competitive offering with no model-development risk. In this work, we initiate the study of arbitrage in AI model markets, empirically demonstrating the viability of arbitrage and illustrating its economic consequences. We conduct an in-depth case study of SWE-bench GitHub issue resolution using two representative models, GPT-5 mini and DeepSeek v3.2. In this verifiable domain, simple arbitrage strategies generate net profit margins of up to 40%. Robust arbitrage strategies that generalize across different domains remain profitable. Distillation further creates strong arbitrage opportunities, potentially at the expense of the teacher model's revenue. Multiple competing arbitrageurs drive down consumer prices, reducing the marginal revenue of model providers. At the same time, arbitrage reduces market segmentation and facilitates market entry for smaller model providers by enabling earlier revenue capture. Our results suggest that arbitrage can be a powerful force in AI model markets with implications for model development, distillation, and deployment.

Foundation models, particularly those that incorporate Transformer architectures, have demonstrated exceptional performance in domains such as natural language processing and image processing. Adapting these models to structured data, like tables, however, introduces significant challenges. These difficulties are even more pronounced when addressing multi-table data linked via foreign key, which is prevalent in the enterprise realm and crucial for empowering business use cases. Despite its substantial impact, research focusing on such linked business tables within enterprise settings remains a significantly important yet underexplored domain. To address this, we introduce a curated dataset sourced from an Enterprise Resource Planning (ERP) system, featuring extensive linked tables. This dataset is specifically designed to support research endeavors in table representation learning. By providing access to authentic enterprise data, our goal is to potentially enhance the effectiveness and applicability of models for real-world business contexts.

Machine learning models are increasingly used to automate decisions that affect humans - deciding who should receive a loan, a job interview, or a social service. In such applications, a person should have the ability to change the decision of a model. When a person is denied a loan by a credit score, for example, they should be able to alter its input variables in a way that guarantees approval. Otherwise, they will be denied the loan as long as the model is deployed. More importantly, they will lack the ability to influence a decision that affects their livelihood. In this paper, we frame these issues in terms of recourse, which we define as the ability of a person to change the decision of a model by altering actionable input variables (e.g., income vs. age or marital status). We present integer programming tools to ensure recourse in linear classification problems without interfering in model development. We demonstrate how our tools can inform stakeholders through experiments on credit scoring problems. Our results show that recourse can be significantly affected by standard practices in model development, and motivate the need to evaluate recourse in practice.

The rapid evolution of Large Language Models (LLMs) highlights the necessity for ethical considerations and data integrity in AI development, particularly emphasizing the role of FAIR (Findable, Accessible, Interoperable, Reusable) data principles. While these principles are crucial for ethical data stewardship, their specific application in the context of LLM training data remains an under-explored area. This research gap is the focus of our study, which begins with an examination of existing literature to underline the importance of FAIR principles in managing data for LLM training. Building upon this, we propose a novel framework designed to integrate FAIR principles into the LLM development lifecycle. A contribution of our work is the development of a comprehensive checklist intended to guide researchers and developers in applying FAIR data principles consistently across the model development process. The utility and effectiveness of our framework are validated through a case study on creating a FAIR-compliant dataset aimed at detecting and mitigating biases in LLMs. We present this framework to the community as a tool to foster the creation of technologically advanced, ethically grounded, and socially responsible AI models.

Foundation models have rapidly permeated society, catalyzing a wave of generative AI applications spanning enterprise and consumer-facing contexts. While the societal impact of foundation models is growing, transparency is on the decline, mirroring the opacity that has plagued past digital technologies (e.g. social media). Reversing this trend is essential: transparency is a vital precondition for public accountability, scientific innovation, and effective governance. To assess the transparency of the foundation model ecosystem and help improve transparency over time, we introduce the Foundation Model Transparency Index. The Foundation Model Transparency Index specifies 100 fine-grained indicators that comprehensively codify transparency for foundation models, spanning the upstream resources used to build a foundation model (e.g data, labor, compute), details about the model itself (e.g. size, capabilities, risks), and the downstream use (e.g. distribution channels, usage policies, affected geographies). We score 10 major foundation model developers (e.g. OpenAI, Google, Meta) against the 100 indicators to assess their transparency. To facilitate and standardize assessment, we score developers in relation to their practices for their flagship foundation model (e.g. GPT-4 for OpenAI, PaLM 2 for Google, Llama 2 for Meta). We present 10 top-level findings about the foundation model ecosystem: for example, no developer currently discloses significant information about the downstream impact of its flagship model, such as the number of users, affected market sectors, or how users can seek redress for harm. Overall, the Foundation Model Transparency Index establishes the level of transparency today to drive progress on foundation model governance via industry standards and regulatory intervention.

In this paper, we introduce the SAP Signavio Academic Models (SAP-SAM) dataset, a collection of hundreds of thousands of business models, mainly process models in BPMN notation. The model collection is a subset of the models that were created over the course of roughly a decade on academic.signavio.com, a free-of-charge software-as-a-service platform that researchers, teachers, and students can use to create business (process) models. We provide a preliminary analysis of the model collection, as well as recommendations on how to work with it. In addition, we discuss potential use cases and limitations of the model collection from academic and industry perspectives.

Machine learning models are often used to decide who will receive a loan, a job interview, or a public benefit. Standard techniques to build these models use features about people but overlook their actionability. In turn, models can assign predictions that are fixed, meaning that consumers who are denied loans, interviews, or benefits may be permanently locked out from access to credit, employment, or assistance. In this work, we introduce a formal testing procedure to flag models that assign fixed predictions that we call recourse verification. We develop machinery to reliably determine if a given model can provide recourse to its decision subjects from a set of user-specified actionability constraints. We demonstrate how our tools can ensure recourse and adversarial robustness in real-world datasets and use them to study the infeasibility of recourse in real-world lending datasets. Our results highlight how models can inadvertently assign fixed predictions that permanently bar access, and we provide tools to design algorithms that account for actionability when developing models.

Foundation models are increasingly central to high-stakes AI systems, and governance frameworks now depend on evaluations to assess their risks and capabilities. Although general capability evaluations are widespread, social impact assessments covering bias, fairness, privacy, environmental costs, and labor practices remain uneven across the AI ecosystem. To characterize this landscape, we conduct the first comprehensive analysis of both first-party and third-party social impact evaluation reporting across a wide range of model developers. Our study examines 186 first-party release reports and 183 post-release evaluation sources, and complements this quantitative analysis with interviews of model developers. We find a clear division of evaluation labor: first-party reporting is sparse, often superficial, and has declined over time in key areas such as environmental impact and bias, while third-party evaluators including academic researchers, nonprofits, and independent organizations provide broader and more rigorous coverage of bias, harmful content, and performance disparities. However, this complementarity has limits. Only model developers can authoritatively report on data provenance, content moderation labor, financial costs, and training infrastructure, yet interviews reveal that these disclosures are often deprioritized unless tied to product adoption or regulatory compliance. Our findings indicate that current evaluation practices leave major gaps in assessing AI's societal impacts, highlighting the urgent need for policies that promote developer transparency, strengthen independent evaluation ecosystems, and create shared infrastructure to aggregate and compare third-party evaluations in a consistent and accessible way.

As LLM agents tackle increasingly complex tasks, a critical question is whether they can maintain strategic coherence over long horizons: planning under uncertainty, learning from delayed feedback, and adapting when early mistakes compound. We introduce YC-Bench, a benchmark that evaluates these capabilities by tasking an agent with running a simulated startup over a one-year horizon spanning hundreds of turns. The agent must manage employees, select task contracts, and maintain profitability in a partially observable environment where adversarial clients and growing payroll create compounding consequences for poor decisions. We evaluate 12 models, both proprietary and open source, across 3 seeds each. Only three models consistently surpass the starting capital of \200K, with Claude Opus 4.6 achieving the highest average final funds at 1.27 M, followed by GLM-5 at \1.21 M at 11\times lower inference cost. Scratchpad usage, the sole mechanism for persisting information across context truncation, is the strongest predictor of success, and adversarial client detection is the primary failure mode, accounting for 47\% of bankruptcies. Our analysis reveals that frontier models still fail through distinct failure modes such as over-parallelization, demonstrating the capability gaps for long-horizon performance. YC-Bench$ is open-source, reproducible, and configurable.

Artificial intelligence (AI) is widely deployed to solve problems related to marketing attribution and budget optimization. However, AI models can be quite complex, and it can be difficult to understand model workings and insights without extensive implementation teams. In principle, recently developed large language models (LLMs), like GPT-4, can be deployed to provide marketing insights, reducing the time and effort required to make critical decisions. In practice, there are substantial challenges that need to be overcome to reliably use such models. We focus on domain-specific question-answering, SQL generation needed for data retrieval, and tabular analysis and show how a combination of semantic search, prompt engineering, and fine-tuning can be applied to dramatically improve the ability of LLMs to execute these tasks accurately. We compare both proprietary models, like GPT-4, and open-source models, like Llama-2-70b, as well as various embedding methods. These models are tested on sample use cases specific to marketing mix modeling and attribution.

Federated Learning (FL) models often experience client drift caused by heterogeneous data, where the distribution of data differs across clients. To address this issue, advanced research primarily focuses on manipulating the existing gradients to achieve more consistent client models. In this paper, we present an alternative perspective on client drift and aim to mitigate it by generating improved local models. First, we analyze the generalization contribution of local training and conclude that this generalization contribution is bounded by the conditional Wasserstein distance between the data distribution of different clients. Then, we propose FedImpro, to construct similar conditional distributions for local training. Specifically, FedImpro decouples the model into high-level and low-level components, and trains the high-level portion on reconstructed feature distributions. This approach enhances the generalization contribution and reduces the dissimilarity of gradients in FL. Experimental results show that FedImpro can help FL defend against data heterogeneity and enhance the generalization performance of the model.

The rapid development of AI systems has been greatly influenced by the emergence of foundation models. A common approach for targeted problems involves fine-tuning these pre-trained foundation models for specific target tasks, resulting in a rapid spread of models fine-tuned across a diverse array of tasks. This work focuses on the problem of merging multiple fine-tunings of the same foundation model derived from a spectrum of auxiliary tasks. We introduce a new simple method, Model Breadcrumbs, which consists of a sparsely defined set of weights that carve out a trajectory within the weight space of a pre-trained model, enhancing task performance when traversed. These breadcrumbs are constructed by subtracting the weights from a pre-trained model before and after fine-tuning, followed by a sparsification process that eliminates weight outliers and negligible perturbations. Our experiments demonstrate the effectiveness of Model Breadcrumbs to simultaneously improve performance across multiple tasks. This contribution aligns with the evolving paradigm of updatable machine learning, reminiscent of the collaborative principles underlying open-source software development, fostering a community-driven effort to reliably update machine learning models. Our method is shown to be more efficient and unlike previous proposals does not require hyperparameter tuning for each new task added. Through extensive experimentation involving various models, tasks, and modalities we establish that integrating Model Breadcrumbs offers a simple, efficient, and highly effective approach for constructing multi-task models and facilitating updates to foundation models.

Federated learning (FL) can help promote data privacy by training a shared model in a de-centralized manner on the physical devices of clients. In the presence of highly heterogeneous distributions of local data, personalized FL strategy seeks to mitigate the potential client drift. In this paper, we present the group personalization approach for applications of FL in which there exist inherent partitions among clients that are significantly distinct. In our method, the global FL model is fine-tuned through another FL training process over each homogeneous group of clients, after which each group-specific FL model is further adapted and personalized for any client. The proposed method can be well interpreted from a Bayesian hierarchical modeling perspective. With experiments on two real-world datasets, we demonstrate this approach can achieve superior personalization performance than other FL counterparts.

Foundation models are moving from response generation into operational roles. They plan across steps, call tools, request human input, coordinate with other agents, and increasingly carry responsibility for work that affects customers, claims, code, contracts, and clinical decisions. Production deployments are no longer one human supervising one model. They are multi-human, multi-agent collaborations that cross teams, time zones, and trust boundaries. The technical surface for this collaboration remains weakly specified. When an agent drafts a response and a human edits it before it ships, the moment of human judgement is the most valuable signal in the system. In current practice it is recorded, if at all, in application code, chat threads, ticket comments, and tribal memory. Two protocol standards address adjacent concerns: MCP standardises agent access to tools and data, and A2A standardises agent-to-agent interoperability. Neither defines the shared workspace in which humans and agents perform accountable work together. This paper presents CHAP, the Collaborative Human-Agent Protocol. Under CHAP, the override that used to vanish into a chat thread becomes a structured event carrying a diff, a rationale, and a content hash. The handoff between shifts becomes a portable envelope rather than a pinned message. The human approval of an agent's draft becomes a non-repudiable signed decision that can be replayed years later. The protocol achieves this through a small Core (workspaces, participants, tasks, artefacts, and an append-only evidence log) together with composable profiles that add review, modes, routing, deliberation, handoff, identity, signatures, and transparency-backed audit as deployments require them. Specification, reference implementation, conformance suite, and worked examples are available at: https://github.com/BrightbeamAI/chap

The emergent phenomena of large foundation models have revolutionized natural language processing. However, evaluating these models presents significant challenges due to their size, capabilities, and deployment across diverse applications. Existing literature often focuses on individual aspects, such as benchmark performance or specific tasks, but fails to provide a cohesive process that integrates the nuances of diverse use cases with broader ethical and operational considerations. This work focuses on three key aspects: (1) Formalizing the Evaluation Process by providing a structured framework tailored to specific use-case contexts, (2) Offering Actionable Tools and Frameworks such as checklists and templates to ensure thorough, reproducible, and practical evaluations, and (3) Surveying Recent Work with a targeted review of advancements in LLM evaluation, emphasizing real-world applications.

Simulating human clients in mental health counseling is crucial for training and evaluating counselors (both human or simulated) in a scalable manner. Nevertheless, past research on client simulation did not focus on complex conversation tasks such as mental health counseling. In these tasks, the challenge is to ensure that the client's actions (i.e., interactions with the counselor) are consistent with with its stipulated profiles and negative behavior settings. In this paper, we propose a novel framework that supports consistent client simulation for mental health counseling. Our framework tracks the mental state of a simulated client, controls its state transitions, and generates for each state behaviors consistent with the client's motivation, beliefs, preferred plan to change, and receptivity. By varying the client profile and receptivity, we demonstrate that consistent simulated clients for different counseling scenarios can be effectively created. Both our automatic and expert evaluations on the generated counseling sessions also show that our client simulation method achieves higher consistency than previous methods.

This paper addresses the challenge of mitigating data heterogeneity among clients within a Federated Learning (FL) framework. The model-drift issue, arising from the noniid nature of client data, often results in suboptimal personalization of a global model compared to locally trained models for each client. To tackle this challenge, we propose a novel approach named FedD2S for Personalized Federated Learning (pFL), leveraging knowledge distillation. FedD2S incorporates a deep-to-shallow layer-dropping mechanism in the data-free knowledge distillation process to enhance local model personalization. Through extensive simulations on diverse image datasets-FEMNIST, CIFAR10, CINIC0, and CIFAR100-we compare FedD2S with state-of-the-art FL baselines. The proposed approach demonstrates superior performance, characterized by accelerated convergence and improved fairness among clients. The introduced layer-dropping technique effectively captures personalized knowledge, resulting in enhanced performance compared to alternative FL models. Moreover, we investigate the impact of key hyperparameters, such as the participation ratio and layer-dropping rate, providing valuable insights into the optimal configuration for FedD2S. The findings demonstrate the efficacy of adaptive layer-dropping in the knowledge distillation process to achieve enhanced personalization and performance across diverse datasets and tasks.

Federated learning (FL) allows clients to collaboratively train a global model without sharing their local data with a server. However, clients' contributions to the server can still leak sensitive information. Differential privacy (DP) addresses such leakage by providing formal privacy guarantees, with mechanisms that add randomness to the clients' contributions. The randomness makes it infeasible to train large transformer-based models, common in modern federated learning systems. In this work, we empirically evaluate the practicality of fine-tuning large scale on-device transformer-based models with differential privacy in a federated learning system. We conduct comprehensive experiments on various system properties for tasks spanning a multitude of domains: speech recognition, computer vision (CV) and natural language understanding (NLU). Our results show that full fine-tuning under differentially private federated learning (DP-FL) generally leads to huge performance degradation which can be alleviated by reducing the dimensionality of contributions through parameter-efficient fine-tuning (PEFT). Our benchmarks of existing DP-PEFT methods show that DP-Low-Rank Adaptation (DP-LoRA) consistently outperforms other methods. An even more promising approach, DyLoRA, which makes the low rank variable, when naively combined with FL would straightforwardly break differential privacy. We therefore propose an adaptation method that can be combined with differential privacy and call it DP-DyLoRA. Finally, we are able to reduce the accuracy degradation and word error rate (WER) increase due to DP to less than 2% and 7% respectively with 1 million clients and a stringent privacy budget of ε=2.

AI is undergoing a paradigm shift with the rise of models (e.g., BERT, DALL-E, GPT-3) that are trained on broad data at scale and are adaptable to a wide range of downstream tasks. We call these models foundation models to underscore their critically central yet incomplete character. This report provides a thorough account of the opportunities and risks of foundation models, ranging from their capabilities (e.g., language, vision, robotics, reasoning, human interaction) and technical principles(e.g., model architectures, training procedures, data, systems, security, evaluation, theory) to their applications (e.g., law, healthcare, education) and societal impact (e.g., inequity, misuse, economic and environmental impact, legal and ethical considerations). Though foundation models are based on standard deep learning and transfer learning, their scale results in new emergent capabilities,and their effectiveness across so many tasks incentivizes homogenization. Homogenization provides powerful leverage but demands caution, as the defects of the foundation model are inherited by all the adapted models downstream. Despite the impending widespread deployment of foundation models, we currently lack a clear understanding of how they work, when they fail, and what they are even capable of due to their emergent properties. To tackle these questions, we believe much of the critical research on foundation models will require deep interdisciplinary collaboration commensurate with their fundamentally sociotechnical nature.

Cross-device Federated Learning (FL) faces significant challenges where low-end clients that could potentially make unique contributions are excluded from training large models due to their resource bottlenecks. Recent research efforts have focused on model-heterogeneous FL, by extracting reduced-size models from the global model and applying them to local clients accordingly. Despite the empirical success, general theoretical guarantees of convergence on this method remain an open question. This paper presents a unifying framework for heterogeneous FL algorithms with online model extraction and provides a general convergence analysis for the first time. In particular, we prove that under certain sufficient conditions and for both IID and non-IID data, these algorithms converge to a stationary point of standard FL for general smooth cost functions. Moreover, we introduce the concept of minimum coverage index, together with model reduction noise, which will determine the convergence of heterogeneous federated learning, and therefore we advocate for a holistic approach that considers both factors to enhance the efficiency of heterogeneous federated learning.

As a key component in online marketing, uplift modeling aims to accurately capture the degree to which different treatments motivate different users, such as coupons or discounts, also known as the estimation of individual treatment effect (ITE). In an actual business scenario, the options for treatment may be numerous and complex, and there may be correlations between different treatments. In addition, each marketing instance may also have rich user and contextual features. However, existing methods still fall short in both fully exploiting treatment information and mining features that are sensitive to a particular treatment. In this paper, we propose an explicit feature interaction-aware uplift network (EFIN) to address these two problems. Our EFIN includes four customized modules: 1) a feature encoding module encodes not only the user and contextual features, but also the treatment features; 2) a self-interaction module aims to accurately model the user's natural response with all but the treatment features; 3) a treatment-aware interaction module accurately models the degree to which a particular treatment motivates a user through interactions between the treatment features and other features, i.e., ITE; and 4) an intervention constraint module is used to balance the ITE distribution of users between the control and treatment groups so that the model would still achieve a accurate uplift ranking on data collected from a non-random intervention marketing scenario. We conduct extensive experiments on two public datasets and one product dataset to verify the effectiveness of our EFIN. In addition, our EFIN has been deployed in a credit card bill payment scenario of a large online financial platform with a significant improvement.

Aiming to train and deploy predictive models, organizations collect large amounts of detailed client data, risking the exposure of private information in the event of a breach. To mitigate this, policymakers increasingly demand compliance with the data minimization (DM) principle, restricting data collection to only that data which is relevant and necessary for the task. Despite regulatory pressure, the problem of deploying machine learning models that obey DM has so far received little attention. In this work, we address this challenge in a comprehensive manner. We propose a novel vertical DM (vDM) workflow based on data generalization, which by design ensures that no full-resolution client data is collected during training and deployment of models, benefiting client privacy by reducing the attack surface in case of a breach. We formalize and study the corresponding problem of finding generalizations that both maximize data utility and minimize empirical privacy risk, which we quantify by introducing a diverse set of policy-aligned adversarial scenarios. Finally, we propose a range of baseline vDM algorithms, as well as Privacy-aware Tree (PAT), an especially effective vDM algorithm that outperforms all baselines across several settings. We plan to release our code as a publicly available library, helping advance the standardization of DM for machine learning. Overall, we believe our work can help lay the foundation for further exploration and adoption of DM principles in real-world applications.

The advent of foundation models (FMs) as an emerging suite of AI techniques has struck a wave of opportunities in computational healthcare. The interactive nature of these models, guided by pre-training data and human instructions, has ignited a data-centric AI paradigm that emphasizes better data characterization, quality, and scale. In healthcare AI, obtaining and processing high-quality clinical data records has been a longstanding challenge, ranging from data quantity, annotation, patient privacy, and ethics. In this survey, we investigate a wide range of data-centric approaches in the FM era (from model pre-training to inference) towards improving the healthcare workflow. We discuss key perspectives in AI security, assessment, and alignment with human values. Finally, we offer a promising outlook of FM-based analytics to enhance the performance of patient outcome and clinical workflow in the evolving landscape of healthcare and medicine. We provide an up-to-date list of healthcare-related foundation models and datasets at https://github.com/Yunkun-Zhang/Data-Centric-FM-Healthcare .

We consider a project (model) owner that would like to train a model by utilizing the local private data and compute power of interested data owners, i.e., trainers. Our goal is to design a data marketplace for such decentralized collaborative/federated learning applications that simultaneously provides i) proof-of-contribution based reward allocation so that the trainers are compensated based on their contributions to the trained model; ii) privacy-preserving decentralized model training by avoiding any data movement from data owners; iii) robustness against malicious parties (e.g., trainers aiming to poison the model); iv) verifiability in the sense that the integrity, i.e., correctness, of all computations in the data market protocol including contribution assessment and outlier detection are verifiable through zero-knowledge proofs; and v) efficient and universal design. We propose a blockchain-based marketplace design to achieve all five objectives mentioned above. In our design, we utilize a distributed storage infrastructure and an aggregator aside from the project owner and the trainers. The aggregator is a processing node that performs certain computations, including assessing trainer contributions, removing outliers, and updating hyper-parameters. We execute the proposed data market through a blockchain smart contract. The deployed smart contract ensures that the project owner cannot evade payment, and honest trainers are rewarded based on their contributions at the end of training. Finally, we implement the building blocks of the proposed data market and demonstrate their applicability in practical scenarios through extensive experiments.

Large Language Models (LLMs) have made significant progress in advancing artificial general intelligence (AGI), leading to the development of increasingly large models such as GPT-4 and LLaMA-405B. However, scaling up model sizes results in exponentially higher computational costs and energy consumption, making these models impractical for academic researchers and businesses with limited resources. At the same time, Small Models (SMs) are frequently used in practical settings, although their significance is currently underestimated. This raises important questions about the role of small models in the era of LLMs, a topic that has received limited attention in prior research. In this work, we systematically examine the relationship between LLMs and SMs from two key perspectives: Collaboration and Competition. We hope this survey provides valuable insights for practitioners, fostering a deeper understanding of the contribution of small models and promoting more efficient use of computational resources. The code is available at https://github.com/tigerchen52/role_of_small_models

Machine learning (ML) recourse techniques are increasingly used in high-stakes domains, providing end users with actions to alter ML predictions, but they assume ML developers understand what input variables can be changed. However, a recourse plan's actionability is subjective and unlikely to match developers' expectations completely. We present GAM Coach, a novel open-source system that adapts integer linear programming to generate customizable counterfactual explanations for Generalized Additive Models (GAMs), and leverages interactive visualizations to enable end users to iteratively generate recourse plans meeting their needs. A quantitative user study with 41 participants shows our tool is usable and useful, and users prefer personalized recourse plans over generic plans. Through a log analysis, we explore how users discover satisfactory recourse plans, and provide empirical evidence that transparency can lead to more opportunities for everyday users to discover counterintuitive patterns in ML models. GAM Coach is available at: https://poloclub.github.io/gam-coach/.

Large Language Models (LLMs) have recently emerged as an effective tool to assist individuals in writing various types of content, including professional documents such as recommendation letters. Though bringing convenience, this application also introduces unprecedented fairness concerns. Model-generated reference letters might be directly used by users in professional scenarios. If underlying biases exist in these model-constructed letters, using them without scrutinization could lead to direct societal harms, such as sabotaging application success rates for female applicants. In light of this pressing issue, it is imminent and necessary to comprehensively study fairness issues and associated harms in this real-world use case. In this paper, we critically examine gender biases in LLM-generated reference letters. Drawing inspiration from social science findings, we design evaluation methods to manifest biases through 2 dimensions: (1) biases in language style and (2) biases in lexical content. We further investigate the extent of bias propagation by analyzing the hallucination bias of models, a term that we define to be bias exacerbation in model-hallucinated contents. Through benchmarking evaluation on 2 popular LLMs- ChatGPT and Alpaca, we reveal significant gender biases in LLM-generated recommendation letters. Our findings not only warn against using LLMs for this application without scrutinization, but also illuminate the importance of thoroughly studying hidden biases and harms in LLM-generated professional documents.

The advent of large language models has ushered in a new era of agentic systems, where artificial intelligence programs exhibit remarkable autonomous decision-making capabilities across diverse domains. This paper explores agentic system workflows in the financial services industry. In particular, we build agentic crews with human-in-the-loop module that can effectively collaborate to perform complex modeling and model risk management (MRM) tasks. The modeling crew consists of a judge agent and multiple agents who perform specific tasks such as exploratory data analysis, feature engineering, model selection/hyperparameter tuning, model training, model evaluation, and writing documentation. The MRM crew consists of a judge agent along with specialized agents who perform tasks such as checking compliance of modeling documentation, model replication, conceptual soundness, analysis of outcomes, and writing documentation. We demonstrate the effectiveness and robustness of modeling and MRM crews by presenting a series of numerical examples applied to credit card fraud detection, credit card approval, and portfolio credit risk modeling datasets.

In this study, we provide solutions to two practical yet overlooked scenarios in federated learning for electronic health records (EHRs): firstly, we introduce EHRFL, a framework that facilitates federated learning across healthcare institutions with distinct medical coding systems and database schemas using text-based linearization of EHRs. Secondly, we focus on a scenario where a single healthcare institution initiates federated learning to build a model tailored for itself, in which the number of clients must be optimized in order to reduce expenses incurred by the host. For selecting participating clients, we present a novel precision-based method, leveraging data latents to identify suitable participants for the institution. Our empirical results show that EHRFL effectively enables federated learning across hospitals with different EHR systems. Furthermore, our results demonstrate the efficacy of our precision-based method in selecting reduced number of participating clients without compromising model performance, resulting in lower operational costs when constructing institution-specific models. We believe this work lays a foundation for the broader adoption of federated learning on EHRs.

The ubiquity of large-scale Pre-Trained Models (PTMs) is on the rise, sparking interest in model hubs, and dedicated platforms for hosting PTMs. Despite this trend, a comprehensive exploration of the challenges that users encounter and how the community leverages PTMs remains lacking. To address this gap, we conducted an extensive mixed-methods empirical study by focusing on discussion forums and the model hub of HuggingFace, the largest public model hub. Based on our qualitative analysis, we present a taxonomy of the challenges and benefits associated with PTM reuse within this community. We then conduct a quantitative study to track model-type trends and model documentation evolution over time. Our findings highlight prevalent challenges such as limited guidance for beginner users, struggles with model output comprehensibility in training or inference, and a lack of model understanding. We also identified interesting trends among models where some models maintain high upload rates despite a decline in topics related to them. Additionally, we found that despite the introduction of model documentation tools, its quantity has not increased over time, leading to difficulties in model comprehension and selection among users. Our study sheds light on new challenges in reusing PTMs that were not reported before and we provide recommendations for various stakeholders involved in PTM reuse.

Recent advances in psychotherapy have focused on treatment personalization, such as by selecting treatment modules based on personalized networks. However, estimating personalized networks typically requires intensive longitudinal data, which is not always feasible. A solution to facilitate scalability of network-driven treatment personalization is leveraging LLMs. In this study, we present an end-to-end pipeline for automatically generating client networks from 77 therapy transcripts to support case conceptualization and treatment planning. We annotated 3364 psychological processes and their corresponding dimensions in therapy transcripts. Using these data, we applied in-context learning to jointly identify psychological processes and their dimensions. The method achieved high performance even with a few training examples. To organize the processes into networks, we introduced a two-step method that grouped them into clinically meaningful clusters. We then generated explanation-augmented relationships between clusters. Experts found that networks produced by our multi-step approach outperformed those built with direct prompting for clinical utility and interpretability, with up to 90% preferring our approach. In addition, the networks were rated favorably by experts, with scores for clinical relevance, novelty, and usefulness ranging from 72-75%. Our findings provide a proof of concept for using LLMs to create clinically relevant networks from therapy transcripts. Advantages of our approach include bottom-up case conceptualization from client utterances in therapy sessions and identification of latent themes. Networks generated from our pipeline may be used in clinical settings and supervision and training. Future research should examine whether these networks improve treatment outcomes relative to other methods of treatment personalization, including statistically estimated networks.

One of the goals in Federated Learning (FL) is to create personalized models that can adapt to the context of each participating client, while utilizing knowledge from a shared global model. Yet, often, personalization requires a fine-tuning step using clients' labeled data in order to achieve good performance. This may not be feasible in scenarios where incoming clients are fresh and/or have privacy concerns. It, then, remains open how one can achieve just-in-time personalization in these scenarios. We propose FedJETs, a novel solution by using a Mixture-of-Experts (MoE) framework within a FL setup. Our method leverages the diversity of the clients to train specialized experts on different subsets of classes, and a gating function to route the input to the most relevant expert(s). Our gating function harnesses the knowledge of a pretrained model common expert to enhance its routing decisions on-the-fly. As a highlight, our approach can improve accuracy up to 18\% in state of the art FL settings, while maintaining competitive zero-shot performance. In practice, our method can handle non-homogeneous data distributions, scale more efficiently, and improve the state-of-the-art performance on common FL benchmarks.

The rapid proliferation of AI models has underscored the importance of thorough documentation, as it enables users to understand, trust, and effectively utilize these models in various applications. Although developers are encouraged to produce model cards, it's not clear how much information or what information these cards contain. In this study, we conduct a comprehensive analysis of 32,111 AI model documentations on Hugging Face, a leading platform for distributing and deploying AI models. Our investigation sheds light on the prevailing model card documentation practices. Most of the AI models with substantial downloads provide model cards, though the cards have uneven informativeness. We find that sections addressing environmental impact, limitations, and evaluation exhibit the lowest filled-out rates, while the training section is the most consistently filled-out. We analyze the content of each section to characterize practitioners' priorities. Interestingly, there are substantial discussions of data, sometimes with equal or even greater emphasis than the model itself. To evaluate the impact of model cards, we conducted an intervention study by adding detailed model cards to 42 popular models which had no or sparse model cards previously. We find that adding model cards is moderately correlated with an increase weekly download rates. Our study opens up a new perspective for analyzing community norms and practices for model documentation through large-scale data science and linguistics analysis.

In federated learning (FL), weighted aggregation of local models is conducted to generate a global model, and the aggregation weights are normalized (the sum of weights is 1) and proportional to the local data sizes. In this paper, we revisit the weighted aggregation process and gain new insights into the training dynamics of FL. First, we find that the sum of weights can be smaller than 1, causing global weight shrinking effect (analogous to weight decay) and improving generalization. We explore how the optimal shrinking factor is affected by clients' data heterogeneity and local epochs. Second, we dive into the relative aggregation weights among clients to depict the clients' importance. We develop client coherence to study the learning dynamics and find a critical point that exists. Before entering the critical point, more coherent clients play more essential roles in generalization. Based on the above insights, we propose an effective method for Federated Learning with Learnable Aggregation Weights, named as FedLAW. Extensive experiments verify that our method can improve the generalization of the global model by a large margin on different datasets and models.

As research and industry moves towards large-scale models capable of numerous downstream tasks, the complexity of understanding multi-modal datasets that give nuance to models rapidly increases. A clear and thorough understanding of a dataset's origins, development, intent, ethical considerations and evolution becomes a necessary step for the responsible and informed deployment of models, especially those in people-facing contexts and high-risk domains. However, the burden of this understanding often falls on the intelligibility, conciseness, and comprehensiveness of the documentation. It requires consistency and comparability across the documentation of all datasets involved, and as such documentation must be treated as a user-centric product in and of itself. In this paper, we propose Data Cards for fostering transparent, purposeful and human-centered documentation of datasets within the practical contexts of industry and research. Data Cards are structured summaries of essential facts about various aspects of ML datasets needed by stakeholders across a dataset's lifecycle for responsible AI development. These summaries provide explanations of processes and rationales that shape the data and consequently the models, such as upstream sources, data collection and annotation methods; training and evaluation methods, intended use; or decisions affecting model performance. We also present frameworks that ground Data Cards in real-world utility and human-centricity. Using two case studies, we report on desirable characteristics that support adoption across domains, organizational structures, and audience groups. Finally, we present lessons learned from deploying over 20 Data Cards.

Open source developers have emerged as key actors in the political economy of artificial intelligence (AI), with open model development being recognised as an alternative to closed-source AI development. However, we still have a limited understanding of collaborative practices in open source AI. This paper responds to this gap with a three-part quantitative analysis of development activity on the Hugging Face (HF) Hub, a popular platform for building, sharing, and demonstrating models. First, we find that various types of activity across 348,181 model, 65,761 dataset, and 156,642 space repositories exhibit right-skewed distributions. Activity is extremely imbalanced between repositories; for example, over 70% of models have 0 downloads, while 1% account for 99% of downloads. Second, we analyse a snapshot of the social network structure of collaboration on models, finding that the community has a core-periphery structure, with a core of prolific developers and a majority of isolate developers (89%). Upon removing isolates, collaboration is characterised by high reciprocity regardless of developers' network positions. Third, we examine model adoption through the lens of model usage in spaces, finding that a minority of models, developed by a handful of companies, are widely used on the HF Hub. Overall, we find that various types of activity on the HF Hub are characterised by Pareto distributions, congruent with prior observations about OSS development patterns on platforms like GitHub. We conclude with a discussion of the implications of the findings and recommendations for (open source) AI researchers, developers, and policymakers.

Foundation models (FMs) trained on electronic health records (EHRs) have shown strong performance on a range of clinical prediction tasks. However, adapting these models to local health systems remains challenging due to limited data availability and resource constraints. In this study, we investigated what these models learn and evaluated the transferability of an FM trained on MIMIC-IV to an institutional EHR dataset at the University of Chicago Medical Center. We assessed their ability to identify outlier patients and examined representation-space patient trajectories in relation to future clinical outcomes. We also evaluated the performance of supervised fine-tuned classifiers on both source and target datasets. Our findings offer insights into the adaptability of FMs across different healthcare systems, highlight considerations for their effective implementation, and provide an empirical analysis of the underlying factors that contribute to their predictive performance.

In this study, we investigate the protection offered by federated learning algorithms against eavesdropping adversaries. In our model, the adversary is capable of intercepting model updates transmitted from clients to the server, enabling it to create its own estimate of the model. Unlike previous research, which predominantly focuses on safeguarding client data, our work shifts attention protecting the client model itself. Through a theoretical analysis, we examine how various factors, such as the probability of client selection, the structure of local objective functions, global aggregation at the server, and the eavesdropper's capabilities, impact the overall level of protection. We further validate our findings through numerical experiments, assessing the protection by evaluating the model accuracy achieved by the adversary. Finally, we compare our results with methods based on differential privacy, underscoring their limitations in this specific context.

Federated learning (FL) is a distributed learning paradigm that enables multiple clients to learn a powerful global model by aggregating local training. However, the performance of the global model is often hampered by non-i.i.d. distribution among the clients, requiring extensive efforts to mitigate inter-client data heterogeneity. Going beyond inter-client data heterogeneity, we note that intra-client heterogeneity can also be observed on complex real-world data and seriously deteriorate FL performance. In this paper, we present a novel FL algorithm, i.e., FedIns, to handle intra-client data heterogeneity by enabling instance-adaptive inference in the FL framework. Instead of huge instance-adaptive models, we resort to a parameter-efficient fine-tuning method, i.e., scale and shift deep features (SSF), upon a pre-trained model. Specifically, we first train an SSF pool for each client, and aggregate these SSF pools on the server side, thus still maintaining a low communication cost. To enable instance-adaptive inference, for a given instance, we dynamically find the best-matched SSF subsets from the pool and aggregate them to generate an adaptive SSF specified for the instance, thereby reducing the intra-client as well as the inter-client heterogeneity. Extensive experiments show that our FedIns outperforms state-of-the-art FL algorithms, e.g., a 6.64\% improvement against the top-performing method with less than 15\% communication cost on Tiny-ImageNet. Our code and models will be publicly released.

Deep Neural Networks (DNNs) are being adopted as components in software systems. Creating and specializing DNNs from scratch has grown increasingly difficult as state-of-the-art architectures grow more complex. Following the path of traditional software engineering, machine learning engineers have begun to reuse large-scale pre-trained models (PTMs) and fine-tune these models for downstream tasks. Prior works have studied reuse practices for traditional software packages to guide software engineers towards better package maintenance and dependency management. We lack a similar foundation of knowledge to guide behaviors in pre-trained model ecosystems. In this work, we present the first empirical investigation of PTM reuse. We interviewed 12 practitioners from the most popular PTM ecosystem, Hugging Face, to learn the practices and challenges of PTM reuse. From this data, we model the decision-making process for PTM reuse. Based on the identified practices, we describe useful attributes for model reuse, including provenance, reproducibility, and portability. Three challenges for PTM reuse are missing attributes, discrepancies between claimed and actual performance, and model risks. We substantiate these identified challenges with systematic measurements in the Hugging Face ecosystem. Our work informs future directions on optimizing deep learning ecosystems by automated measuring useful attributes and potential attacks, and envision future research on infrastructure and standardization for model registries.

Foundation models (FM), such as large language models (LLMs), which are large-scale machine learning (ML) models, have demonstrated remarkable adaptability in various downstream software engineering (SE) tasks, such as code completion, code understanding, and software development. As a result, FM leaderboards, especially those hosted on cloud platforms, have become essential tools for SE teams to compare and select the best third-party FMs for their specific products and purposes. However, the lack of standardized guidelines for FM evaluation and comparison threatens the transparency of FM leaderboards and limits stakeholders' ability to perform effective FM selection. As a first step towards addressing this challenge, our research focuses on understanding how these FM leaderboards operate in real-world scenarios ("leaderboard operations") and identifying potential leaderboard pitfalls and areas for improvement ("leaderboard smells"). In this regard, we perform a multivocal literature review to collect up to 721 FM leaderboards, after which we examine their documentation and engage in direct communication with leaderboard operators to understand their workflow patterns. Using card sorting and negotiated agreement, we identify 5 unique workflow patterns and develop a domain model that outlines the essential components and their interaction within FM leaderboards. We then identify 8 unique types of leaderboard smells in LBOps. By mitigating these smells, SE teams can improve transparency, accountability, and collaboration in current LBOps practices, fostering a more robust and responsible ecosystem for FM comparison and selection.

Personalization is a crucial capability of modern language agents. However, current research primarily positions personalized agents as passive responders to user preferences, limiting their ability to interact with users and provide suggestions or guidance proactively. To systematically evaluate such proactive personalization in realistic interactions, we propose Ψ-Bench, a benchmark for assessing LLMs' ability to influence realistic users through conversation. We design three real-world interaction scenarios that involve persuasion in Ψ-Bench, and endow simulated clients with personal characteristics through explicit user profiles derived from dialogue histories. We evaluate 10 frontier LLMs on Ψ-Bench and find that while most models can produce coherent and reasonable arguments, even state-of-the-art models still leave considerable room for improvement in persuasion. We also find that providing access to client profiles yields an average performance gain of 18.24\%, highlighting the importance of user-specific information for effective persuasion. Overall, our work highlights persona-sensitive influencing as a challenging yet practical direction for evaluating and developing more proactive personalized LLM agents. Codes are available at: https://github.com/Hanpx20/Psi-Bench.

The availability of vast amounts of publicly accessible data of source code and the advances in modern language models, coupled with increasing computational resources, have led to a remarkable surge in the development of large language models for code (LLM4Code, for short). The interaction between code datasets and models gives rise to a complex ecosystem characterized by intricate dependencies that are worth studying. This paper introduces a pioneering analysis of the code model ecosystem. Utilizing Hugging Face -- the premier hub for transformer-based models -- as our primary source, we curate a list of datasets and models that are manually confirmed to be relevant to software engineering. By analyzing the ecosystem, we first identify the popular and influential datasets, models, and contributors. The popularity is quantified by various metrics, including the number of downloads, the number of likes, the number of reuses, etc. The ecosystem follows a power-law distribution, indicating that users prefer widely recognized models and datasets. Then, we manually categorize how models in the ecosystem are reused into nine categories, analyzing prevalent model reuse practices. The top 3 most popular reuse types are fine-tuning, architecture sharing, and quantization. We also explore the practices surrounding the publication of LLM4Code, specifically focusing on documentation practice and license selection. We find that the documentation in the ecosystem contains less information than that in general artificial intelligence (AI)-related repositories hosted on GitHub. Additionally, the license usage is also different from other software repositories. Models in the ecosystem adopt some AI-specific licenses, e.g., RAIL (Responsible AI Licenses) and AI model license agreement.

The open-source model ecosystem now contains hundreds of thousands of pretrained models, yet picking the best model for a new dataset is increasingly infeasible: new models and unbenchmarked datasets emerge continuously, leaving practitioners with no prior records on either side. Existing approaches handle only fragments of this in-the-wild setting: AutoML and transferability estimation select models from small predefined pools or require expensive per-model forward passes on the target dataset, while model routing presupposes a given candidate pool. We introduce ModelLens, a unified framework for model recommendation in the wild. Our key insight is that public leaderboard interactions, though scattered and noisy, collectively trace out an implicit atlas of model capabilities across heterogeneous evaluation settings, a signal rich enough to learn from directly. By learning a performance-aware latent space over model--dataset--metric tuples, ModelLens ranks unseen models on unseen datasets without running candidates on the target dataset. On a new benchmark of 1.62M evaluation records spanning 47K models and 9.6K datasets, ModelLens surpasses baselines that either rely on metadata alone or require running each candidate on the target dataset. Its recommended Top-K pools further improve multiple representative routing methods by up to 81% across diverse QA benchmarks. Case studies on recently released benchmarks further confirm generalization to both text and vision-language tasks.

Virtual counselors powered by large language models (LLMs) aim to create interactive support systems that effectively assist clients struggling with mental health challenges. To replicate counselor-client conversations, researchers have built an online mental health platform that allows professional counselors to provide clients with text-based counseling services for about an hour per session. Notwithstanding its effectiveness, challenges exist as human annotation is time-consuming, cost-intensive, privacy-protected, and not scalable. To address this issue and investigate the applicability of LLMs in psychological counseling conversation simulation, we propose a framework that employs two LLMs via role-playing for simulating counselor-client interactions. Our framework involves two LLMs, one acting as a client equipped with a specific and real-life user profile and the other playing the role of an experienced counselor, generating professional responses using integrative therapy techniques. We implement both the counselor and the client by zero-shot prompting the GPT-4 model. In order to assess the effectiveness of LLMs in simulating counselor-client interactions and understand the disparities between LLM- and human-generated conversations, we evaluate the synthetic data from various perspectives. We begin by assessing the client's performance through automatic evaluations. Next, we analyze and compare the disparities between dialogues generated by the LLM and those generated by professional counselors. Furthermore, we conduct extensive experiments to thoroughly examine the performance of our LLM-based counselor trained with synthetic interactive dialogues by benchmarking against state-of-the-art models for mental health.

Federated learning (FL) is an emerging machine learning paradigm that allows multiple parties to train a shared model collaboratively in a privacy-preserving manner. Existing horizontal FL methods generally assume that the FL server and clients hold the same model structure. However, due to system heterogeneity and the need for personalization, enabling clients to hold models with diverse structures has become an important direction. Existing model-heterogeneous FL approaches often require publicly available datasets and incur high communication and/or computational costs, which limit their performances. To address these limitations, we propose a simple but effective Federated Global prediction Header (FedGH) approach. It is a communication and computation-efficient model-heterogeneous FL framework which trains a shared generalized global prediction header with representations extracted by heterogeneous extractors for clients' models at the FL server. The trained generalized global prediction header learns from different clients. The acquired global knowledge is then transferred to clients to substitute each client's local prediction header. We derive the non-convex convergence rate of FedGH. Extensive experiments on two real-world datasets demonstrate that FedGH achieves significantly more advantageous performance in both model-homogeneous and -heterogeneous FL scenarios compared to seven state-of-the-art personalized FL models, beating the best-performing baseline by up to 8.87% (for model-homogeneous FL) and 1.83% (for model-heterogeneous FL) in terms of average test accuracy, while saving up to 85.53% of communication overhead.

Federated Learning (FL) aims to train machine learning models for multiple clients without sharing their own private data. Due to the heterogeneity of clients' local data distribution, recent studies explore the personalized FL that learns and deploys distinct local models with the help of auxiliary global models. However, the clients can be heterogeneous in terms of not only local data distribution, but also their computation and communication resources. The capacity and efficiency of personalized models are restricted by the lowest-resource clients, leading to sub-optimal performance and limited practicality of personalized FL. To overcome these challenges, we propose a novel approach named pFedGate for efficient personalized FL by adaptively and efficiently learning sparse local models. With a lightweight trainable gating layer, pFedGate enables clients to reach their full potential in model capacity by generating different sparse models accounting for both the heterogeneous data distributions and resource constraints. Meanwhile, the computation and communication efficiency are both improved thanks to the adaptability between the model sparsity and clients' resources. Further, we theoretically show that the proposed pFedGate has superior complexity with guaranteed convergence and generalization error. Extensive experiments show that pFedGate achieves superior global accuracy, individual accuracy and efficiency simultaneously over state-of-the-art methods. We also demonstrate that pFedGate performs better than competitors in the novel clients participation and partial clients participation scenarios, and can learn meaningful sparse local models adapted to different data distributions.

Large language models trained on source code can support a variety of software development tasks, such as code recommendation and program repair. Large amounts of data for training such models benefit the models' performance. However, the size of the data and models results in long training times and high energy consumption. While publishing source code allows for replicability, users need to repeat the expensive training process if models are not shared. The main goal of the study is to investigate if publications that trained language models for software engineering (SE) tasks share source code and trained artifacts. The second goal is to analyze the transparency on training energy usage. We perform a snowballing-based literature search to find publications on language models for source code, and analyze their reusability from a sustainability standpoint. From 494 unique publications, we identified 293 relevant publications that use language models to address code-related tasks. Among them, 27% (79 out of 293) make artifacts available for reuse. This can be in the form of tools or IDE plugins designed for specific tasks or task-agnostic models that can be fine-tuned for a variety of downstream tasks. Moreover, we collect insights on the hardware used for model training, as well as training time, which together determine the energy consumption of the development process. We find that there are deficiencies in the sharing of information and artifacts for current studies on source code models for software engineering tasks, with 40% of the surveyed papers not sharing source code or trained artifacts. We recommend the sharing of source code as well as trained artifacts, to enable sustainable reproducibility. Moreover, comprehensive information on training times and hardware configurations should be shared for transparency on a model's carbon footprint.

Federated Learning (FL) has become an established technique to facilitate privacy-preserving collaborative training. However, new approaches to FL often discuss their contributions involving small deep-learning models only. With the tremendous success of transformer models, the following question arises: What is necessary to operationalize foundation models in an FL application? Knowing that computation and communication often take up similar amounts of time in FL, we introduce a novel taxonomy focused on computational and communication efficiency methods in FL applications. This said, these methods aim to optimize the training time and reduce communication between clients and the server. We also look at the current state of widely used FL frameworks and discuss future research potentials based on existing approaches in FL research and beyond.

This paper introduces FinMCP-Bench, a novel benchmark for evaluating large language models (LLMs) in solving real-world financial problems through tool invocation of financial model context protocols. FinMCP-Bench contains 613 samples spanning 10 main scenarios and 33 sub-scenarios, featuring both real and synthetic user queries to ensure diversity and authenticity. It incorporates 65 real financial MCPs and three types of samples, single tool, multi-tool, and multi-turn, allowing evaluation of models across different levels of task complexity. Using this benchmark, we systematically assess a range of mainstream LLMs and propose metrics that explicitly measure tool invocation accuracy and reasoning capabilities. FinMCP-Bench provides a standardized, practical, and challenging testbed for advancing research on financial LLM agents.

The successes of foundation models such as ChatGPT and AlphaFold have spurred significant interest in building similar models for electronic medical records (EMRs) to improve patient care and hospital operations. However, recent hype has obscured critical gaps in our understanding of these models' capabilities. We review over 80 foundation models trained on non-imaging EMR data (i.e. clinical text and/or structured data) and create a taxonomy delineating their architectures, training data, and potential use cases. We find that most models are trained on small, narrowly-scoped clinical datasets (e.g. MIMIC-III) or broad, public biomedical corpora (e.g. PubMed) and are evaluated on tasks that do not provide meaningful insights on their usefulness to health systems. In light of these findings, we propose an improved evaluation framework for measuring the benefits of clinical foundation models that is more closely grounded to metrics that matter in healthcare.

The Model Context Protocol (MCP) introduces a standard specification that defines how Foundation Model (FM)-based agents should interact with external systems by invoking tools. However, to understand a tool's purpose and features, FMs rely on natural-language tool descriptions, making these descriptions a critical component in guiding FMs to select the optimal tool for a given (sub)task and to pass the right arguments to the tool. While defects or smells in these descriptions can misguide FM-based agents, their prevalence and consequences in the MCP ecosystem remain unclear. Hence, we examine 856 tools spread across 103 MCP servers empirically, assess their description quality, and their impact on agent performance. We identify six components of tool descriptions from the literature, develop a scoring rubric utilizing these components, and then formalize tool description smells based on this rubric. By operationalizing this rubric through an FM-based scanner, we find that 97.1% of the analyzed tool descriptions contain at least one smell, with 56% failing to state their purpose clearly. While augmenting these descriptions for all components improves task success rates by a median of 5.85 percentage points and improves partial goal completion by 15.12%, it also increases the number of execution steps by 67.46% and regresses performance in 16.67% of cases. These results indicate that achieving performance gains is not straightforward; while execution cost can act as a trade-off, execution context can also impact. Furthermore, component ablations show that compact variants of different component combinations often preserve behavioral reliability while reducing unnecessary token overhead, enabling more efficient use of the FM context window and lower execution costs.

Recent advancements in Large Language Models (LLMs) and the introduction of the Model Context Protocol (MCP) have significantly expanded LLM agents' capability to interact dynamically with external tools and APIs. However, existing tool selection frameworks do not integrate MCP servers, instead relying heavily on error-prone manual updates to monolithic local tool repositories, leading to duplication, inconsistencies, and inefficiencies. Additionally, current approaches abstract tool selection before the LLM agent is invoked, limiting its autonomy and hindering dynamic re-querying capabilities during multi-turn interactions. To address these issues, we introduce ScaleMCP, a novel tool selection approach that dynamically equips LLM agents with a MCP tool retriever, giving agents the autonomy to add tools into their memory, as well as an auto-synchronizing tool storage system pipeline through CRUD (create, read, update, delete) operations with MCP servers as the single source of truth. We also propose a novel embedding strategy, Tool Document Weighted Average (TDWA), designed to selectively emphasize critical components of tool documents (e.g. tool name or synthetic questions) during the embedding process. Comprehensive evaluations conducted on a created dataset of 5,000 financial metric MCP servers, across 10 LLM models, 5 embedding models, and 5 retriever types, demonstrate substantial improvements in tool retrieval and agent invocation performance, emphasizing ScaleMCP's effectiveness in scalable, dynamic tool selection and invocation.

Vanilla Federated learning (FL) relies on the centralized global aggregation mechanism and assumes that all clients are honest. This makes it a challenge for FL to alleviate the single point of failure and dishonest clients. These impending challenges in the design philosophy of FL call for blockchain-based federated learning (BFL) due to the benefits of coupling FL and blockchain (e.g., democracy, incentive, and immutability). However, one problem in vanilla BFL is that its capabilities do not follow adopters' needs in a dynamic fashion. Besides, vanilla BFL relies on unverifiable clients' self-reported contributions like data size because checking clients' raw data is not allowed in FL for privacy concerns. We design and evaluate a novel BFL framework, and resolve the identified challenges in vanilla BFL with greater flexibility and incentive mechanism called FAIR-BFL. In contrast to existing works, FAIR-BFL offers unprecedented flexibility via the modular design, allowing adopters to adjust its capabilities following business demands in a dynamic fashion. Our design accounts for BFL's ability to quantify each client's contribution to the global learning process. Such quantification provides a rational metric for distributing the rewards among federated clients and helps discover malicious participants that may poison the global model.

Background: The development of AI-enabled software heavily depends on AI model documentation, such as model cards, due to different domain expertise between software engineers and model developers. From an ethical standpoint, AI model documentation conveys critical information on ethical considerations along with mitigation strategies for downstream developers to ensure the delivery of ethically compliant software. However, knowledge on such documentation practice remains scarce. Aims: The objective of our study is to investigate how developers document ethical aspects of open source AI models in practice, aiming at providing recommendations for future documentation endeavours. Method: We selected three sources of documentation on GitHub and Hugging Face, and developed a keyword set to identify ethics-related documents systematically. After filtering an initial set of 2,347 documents, we identified 265 relevant ones and performed thematic analysis to derive the themes of ethical considerations. Results: Six themes emerge, with the three largest ones being model behavioural risks, model use cases, and model risk mitigation. Conclusions: Our findings reveal that open source AI model documentation focuses on articulating ethical problem statements and use case restrictions. We further provide suggestions to various stakeholders for improving documentation practice regarding ethical considerations.

Frontier model progress is often measured by academic benchmarks, which offer a limited view of performance in real-world professional contexts. Existing evaluations often fail to assess open-ended, economically consequential tasks in high-stakes domains like Legal and Finance, where practical returns are paramount. To address this, we introduce Professional Reasoning Bench (PRBench), a realistic, open-ended, and difficult benchmark of real-world problems in Finance and Law. We open-source its 1,100 expert-authored tasks and 19,356 expert-curated criteria, making it, to our knowledge, the largest public, rubric-based benchmark for both legal and finance domains. We recruit 182 qualified professionals, holding JDs, CFAs, or 6+ years of experience, who contributed tasks inspired by their actual workflows. This process yields significant diversity, with tasks spanning 114 countries and 47 US jurisdictions. Our expert-curated rubrics are validated through a rigorous quality pipeline, including independent expert validation. Subsequent evaluation of 20 leading models reveals substantial room for improvement, with top scores of only 0.39 (Finance) and 0.37 (Legal) on our Hard subsets. We further catalog associated economic impacts of the prompts and analyze performance using human-annotated rubric categories. Our analysis shows that models with similar overall scores can diverge significantly on specific capabilities. Common failure modes include inaccurate judgments, a lack of process transparency and incomplete reasoning, highlighting critical gaps in their reliability for professional adoption.

The Model Context Protocol (MCP) has rapidly emerged as a universal standard for connecting AI assistants to external tools and data sources. While MCP simplifies integration between AI applications and various services, it introduces significant security vulnerabilities, particularly on the client side. In this work we conduct threat modelings of MCP implementations using STRIDE (Spoofing, Tampering, Repudiation, Information Disclosure, Denial of Service, Elevation of Privilege) and DREAD (Damage, Reproducibility, Exploitability, Affected Users, Discoverability) frameworks across five key components: (1) MCP Host and Client, (2) LLM, (3) MCP Server, (4) External Data Stores, and (5) Authorization Server. This comprehensive analysis reveals tool poisoning-where malicious instructions are embedded in tool metadata-as the most prevalent and impactful client-side vulnerability. We therefore focus our empirical evaluation on this critical attack vector, providing a systematic comparison of how seven major MCP clients validate and defend against tool poisoning attacks. Our analysis reveals significant security issues with most tested clients due to insufficient static validation and parameter visibility. We propose a multi-layered defense strategy encompassing static metadata analysis, model decision path tracking, behavioral anomaly detection, and user transparency mechanisms. This research addresses a critical gap in MCP security, which has primarily focused on server-side vulnerabilities, and provides actionable recommendations and mitigation strategies for securing AI agent ecosystems.

Recent advancements have underscored the potential of large language model (LLM)-based agents in financial decision-making. Despite this progress, the field currently encounters two main challenges: (1) the lack of a comprehensive LLM agent framework adaptable to a variety of financial tasks, and (2) the absence of standardized benchmarks and consistent datasets for assessing agent performance. To tackle these issues, we introduce InvestorBench, the first benchmark specifically designed for evaluating LLM-based agents in diverse financial decision-making contexts. InvestorBench enhances the versatility of LLM-enabled agents by providing a comprehensive suite of tasks applicable to different financial products, including single equities like stocks, cryptocurrencies and exchange-traded funds (ETFs). Additionally, we assess the reasoning and decision-making capabilities of our agent framework using thirteen different LLMs as backbone models, across various market environments and tasks. Furthermore, we have curated a diverse collection of open-source, multi-modal datasets and developed a comprehensive suite of environments for financial decision-making. This establishes a highly accessible platform for evaluating financial agents' performance across various scenarios.

Financial organizations collect a huge amount of data about clients that typically has a temporal (sequential) structure and is collected from various sources (modalities). Due to privacy issues, there are no large-scale open-source multimodal datasets of event sequences, which significantly limits the research in this area. In this paper, we present the industrial-scale publicly available multimodal banking dataset, MBD, that contains more than 1.5M corporate clients with several modalities: 950M bank transactions, 1B geo position events, 5M embeddings of dialogues with technical support and monthly aggregated purchases of four bank's products. All entries are properly anonymized from real proprietary bank data. Using this dataset, we introduce a novel benchmark with two business tasks: campaigning (purchase prediction in the next month) and matching of clients. We provide numerical results that demonstrate the superiority of our multi-modal baselines over single-modal techniques for each task. As a result, the proposed dataset can open new perspectives and facilitate the future development of practically important large-scale multimodal algorithms for event sequences. HuggingFace Link: https://huggingface.co/datasets/ai-lab/MBD Github Link: https://github.com/Dzhambo/MBD

Foundation models are trained on increasingly immense and opaque datasets. Even while these models are now key in AI system building, it can be difficult to answer the straightforward question: has the model already encountered a given example during training? We therefore propose a widespread adoption of Data Portraits: artifacts that record training data and allow for downstream inspection. First we outline the properties of such an artifact and discuss how existing solutions can be used to increase transparency. We then propose and implement a solution based on data sketching, stressing fast and space efficient querying. Using our tools, we document a popular language modeling corpus (The Pile) and a recently released code modeling dataset (The Stack). We show that our solution enables answering questions about test set leakage and model plagiarism. Our tool is lightweight and fast, costing only 3% of the dataset size in overhead. We release a live interface of our tools at https://dataportraits.org/ and call on dataset and model creators to release Data Portraits as a complement to current documentation practices.

Federated Learning (FL) facilitates collaborative training of a shared global model without exposing clients' private data. In practical FL systems, clients (e.g., edge servers, smartphones, and wearables) typically have disparate system resources. Conventional FL, however, adopts a one-size-fits-all solution, where a homogeneous large global model is transmitted to and trained on each client, resulting in an overwhelming workload for less capable clients and starvation for other clients. To address this issue, we propose FedConv, a client-friendly FL framework, which minimizes the computation and memory burden on resource-constrained clients by providing heterogeneous customized sub-models. FedConv features a novel learning-on-model paradigm that learns the parameters of the heterogeneous sub-models via convolutional compression. Unlike traditional compression methods, the compressed models in FedConv can be directly trained on clients without decompression. To aggregate the heterogeneous sub-models, we propose transposed convolutional dilation to convert them back to large models with a unified size while retaining personalized information from clients. The compression and dilation processes, transparent to clients, are optimized on the server leveraging a small public dataset. Extensive experiments on six datasets demonstrate that FedConv outperforms state-of-the-art FL systems in terms of model accuracy (by more than 35% on average), computation and communication overhead (with 33% and 25% reduction, respectively).

Language-model agents are increasingly used as persistent coworkers that assist users across multiple working days. During such workflows, the surrounding environment may change independently of the agent: new emails arrive, calendar entries shift, knowledge-base records are updated, and evidence appears across images, scanned PDFs, audio, video, and spreadsheets. Existing benchmarks do not adequately evaluate this setting because they typically run within a single static episode and remain largely text-centric. We introduce , a benchmark for coworker agents built around multi-turn multi-day tasks, a stateful sandboxed service environment whose state evolves between turns, and rule-based verification. The current release contains 100 tasks across 13 professional scenarios, executed against five stateful sandboxed services (filesystem, email, calendar, knowledge base, spreadsheet) and scored by 1537 deterministic Python checkers over post-execution service state; no LLM-as-judge is invoked during scoring. We benchmark seven frontier agent systems. The strongest model reaches 75.8 weighted score, but the best strict Task Success is only 20.0\%, indicating that partial progress is common while complete end-to-end workflow completion remains rare. Turn-level analysis shows that performance drops after the first exogenous environment update, highlighting adaptation to changing state as a key open challenge. We release the benchmark, evaluation harness, and construction pipeline to support reproducible coworker-agent evaluation.

Open data repositories hold potential for evidence-based decision-making, yet are inaccessible to non-experts lacking expertise in dataset discovery, schema mapping, and statistical analysis. Large language models show promise for individual tasks, but end-to-end analytical workflows expose fundamental limitations: attention dilutes across growing contexts, specialized reasoning patterns interfere, and errors propagate undetected. We present PublicAgent, a multi-agent framework that addresses these limitations through decomposition into specialized agents for intent clarification, dataset discovery, analysis, and reporting. This architecture maintains focused attention within agent contexts and enables validation at each stage. Evaluation across five models and 50 queries derives five design principles for multi-agent LLM systems. First, specialization provides value independent of model strength--even the strongest model shows 97.5% agent win rates, with benefits orthogonal to model scale. Second, agents divide into universal (discovery, analysis) and conditional (report, intent) categories. Universal agents show consistent effectiveness (std dev 12.4%) while conditional agents vary by model (std dev 20.5%). Third, agents mitigate distinct failure modes--removing discovery or analysis causes catastrophic failures (243-280 instances), while removing report or intent causes quality degradation. Fourth, architectural benefits persist across task complexity with stable win rates (86-92% analysis, 84-94% discovery), indicating workflow management value rather than reasoning enhancement. Fifth, wide variance in agent effectiveness across models (42-96% for analysis) requires model-aware architecture design. These principles guide when and why specialization is necessary for complex analytical workflows while enabling broader access to public data through natural language interfaces.

Rising demand for mental health support has increased interest in using Large Language Models (LLMs) for counseling. However, adapting LLMs to this high-risk safety-critical domain is hindered by the scarcity of real-world counseling data due to privacy constraints. Synthetic datasets provide a promising alternative, but existing approaches often rely on unstructured or semi-structured text inputs and overlook structural dependencies between a client's cognitive, emotional, and behavioral states, often producing psychologically inconsistent interactions and reducing data realism and quality. We introduce Graph2Counsel, a framework for generating synthetic counseling sessions grounded in Client Psychological Graphs (CPGs) that encode relationships among clients' thoughts, emotions, and behaviors. Graph2Counsel employs a structured prompting pipeline guided by counselor strategies and CPG, and explores prompting strategies including CoT (Wei et al., 2022) and Multi-Agent Feedback (Li et al., 2025a). Graph2Counsel produces 760 sessions from 76 CPGs across diverse client profiles. In expert evaluation, our dataset outperforms prior datasets on specificity, counselor competence, authenticity, conversational flow, and safety, with substantial inter-annotator agreement (Krippendorff's α = 0.70). Fine-tuning an open-source model on this dataset improves performance on CounselingBench (Nguyen et al., 2025) and CounselBench (Li et al., 2025b), showing downstream utility. We also make our code and data public.

Large language models, sometimes referred to as foundation models, have transformed multiple fields of research. However, smaller languages risk falling behind due to high training costs and small incentives for large companies to train these models. To combat this, the Danish Foundation Models project seeks to provide and maintain open, well-documented, and high-quality foundation models for the Danish language. This is achieved through broad cooperation with public and private institutions, to ensure high data quality and applicability of the trained models. We present the motivation of the project, the current status, and future perspectives.

Improvements in language model capabilities are often attributed to increasing model size or training data, but in some cases smaller models trained on curated data or with different architectural decisions can outperform larger ones trained on more tokens. What accounts for this? To quantify the impact of these design choices, we meta-analyze 92 open-source pretrained models across a wide array of scales, including state-of-the-art open-weights models as well as less performant models and those with less conventional design decisions. We find that by incorporating features besides model size and number of training tokens, we can achieve a relative 3-28% increase in ability to predict downstream performance compared with using scale alone. Analysis of model design decisions reveal insights into data composition, such as the trade-off between language and code tasks at 15-25\% code, as well as the better performance of some architectural decisions such as choosing rotary over learned embeddings. Broadly, our framework lays a foundation for more systematic investigation of how model development choices shape final capabilities.

Despite increasing discussions on open-source Artificial Intelligence (AI), existing research lacks a discussion on the transparency and accessibility of state-of-the-art (SoTA) Large Language Models (LLMs). The Open Source Initiative (OSI) has recently released its first formal definition of open-source software. This definition, when combined with standard dictionary definitions and the sparse published literature, provide an initial framework to support broader accessibility to AI models such as LLMs, but more work is essential to capture the unique dynamics of openness in AI. In addition, concerns about open-washing, where models claim openness but lack full transparency, has been raised, which limits the reproducibility, bias mitigation, and domain adaptation of these models. In this context, our study critically analyzes SoTA LLMs from the last five years, including ChatGPT, DeepSeek, LLaMA, and others, to assess their adherence to transparency standards and the implications of partial openness. Specifically, we examine transparency and accessibility from two perspectives: open-source vs. open-weight models. Our findings reveal that while some models are labeled as open-source, this does not necessarily mean they are fully open-sourced. Even in the best cases, open-source models often do not report model training data, and code as well as key metrics, such as weight accessibility, and carbon emissions. To the best of our knowledge, this is the first study that systematically examines the transparency and accessibility of over 100 different SoTA LLMs through the dual lens of open-source and open-weight models. The findings open avenues for further research and call for responsible and sustainable AI practices to ensure greater transparency, accountability, and ethical deployment of these models.(DeepSeek transparency, ChatGPT accessibility, open source, DeepSeek open source)

Foundation models for predictive machine learning on tabular data have recently gained significant traction in academia and industry. Research communities across disciplines are increasingly evaluating tabular foundation models on diverse datasets and tasks. However, these task- and discipline-specific evaluations remain largely inaccessible to model researchers because benchmark software and evaluation protocols are fragmented. As a result, model researchers rely on standard benchmarks, which are mostly defined for tasks where tabular foundation models already excel. The most challenging scenarios are excluded, limiting meaningful progress in the field by focusing on marginal improvements on IID data rather than on broader, more demanding challenges. To overcome this, we introduce BeyondArena, the first unified holistic benchmark for tabular data that supports diverse task types (IID, temporal, grouped), across sample size and feature dimensionality scales, with diverse feature types (with text, with high cardinality) from a broad range of disciplines. To enable unified benchmarking beyond standard benchmarks, we introduce Data Foundry, a Python framework and metadata schema for curating tabular datasets for predictive machine learning. Our results across 11 models and 142 curated datasets show that existing tabular foundation models excel on tiny- to medium-sized IID data, while traditional tree-based and deep learning models still dominate on non-IID, large, and high-dimensional datasets. BeyondArena guides model research for the most demanding challenges in tabular data, enabling progress towards truly foundational tabular models.

Machine learning models are often personalized with categorical attributes that are protected, sensitive, self-reported, or costly to acquire. In this work, we show models that are personalized with group attributes can reduce performance at a group level. We propose formal conditions to ensure the "fair use" of group attributes in prediction tasks by training one additional model -- i.e., collective preference guarantees to ensure that each group who provides personal data will receive a tailored gain in performance in return. We present sufficient conditions to ensure fair use in empirical risk minimization and characterize failure modes that lead to fair use violations due to standard practices in model development and deployment. We present a comprehensive empirical study of fair use in clinical prediction tasks. Our results demonstrate the prevalence of fair use violations in practice and illustrate simple interventions to mitigate their harm.

As financial services (FS) companies have experienced drastic technology driven changes, the availability of new data streams provides the opportunity for more comprehensive customer understanding. We propose Dynamic Customer Embeddings (DCE), a framework that leverages customers' digital activity and a wide range of financial context to learn dense representations of customers in the FS industry. Our method examines customer actions and pageviews within a mobile or web digital session, the sequencing of the sessions themselves, and snapshots of common financial features across our organization at the time of login. We test our customer embeddings using real world data in three prediction problems: 1) the intent of a customer in their next digital session, 2) the probability of a customer calling the call centers after a session, and 3) the probability of a digital session to be fraudulent. DCE showed performance lift in all three downstream problems.

Ensuring equitable Artificial Intelligence (AI) in healthcare demands systems that make unbiased decisions across all demographic groups, bridging technical innovation with ethical principles. Foundation Models (FMs), trained on vast datasets through self-supervised learning, enable efficient adaptation across medical imaging tasks while reducing dependency on labeled data. These models demonstrate potential for enhancing fairness, though significant challenges remain in achieving consistent performance across demographic groups. Our review indicates that effective bias mitigation in FMs requires systematic interventions throughout all stages of development. While previous approaches focused primarily on model-level bias mitigation, our analysis reveals that fairness in FMs requires integrated interventions throughout the development pipeline, from data documentation to deployment protocols. This comprehensive framework advances current knowledge by demonstrating how systematic bias mitigation, combined with policy engagement, can effectively address both technical and institutional barriers to equitable AI in healthcare. The development of equitable FMs represents a critical step toward democratizing advanced healthcare technologies, particularly for underserved populations and regions with limited medical infrastructure and computational resources.

Many existing FL methods assume clients with fully-labeled data, while in realistic settings, clients have limited labels due to the expensive and laborious process of labeling. Limited labeled local data of the clients often leads to their local model having poor generalization abilities to their larger unlabeled local data, such as having class-distribution mismatch with the unlabeled data. As a result, clients may instead look to benefit from the global model trained across clients to leverage their unlabeled data, but this also becomes difficult due to data heterogeneity across clients. In our work, we propose FedLabel where clients selectively choose the local or global model to pseudo-label their unlabeled data depending on which is more of an expert of the data. We further utilize both the local and global models' knowledge via global-local consistency regularization which minimizes the divergence between the two models' outputs when they have identical pseudo-labels for the unlabeled data. Unlike other semi-supervised FL baselines, our method does not require additional experts other than the local or global model, nor require additional parameters to be communicated. We also do not assume any server-labeled data or fully labeled clients. For both cross-device and cross-silo settings, we show that FedLabel outperforms other semi-supervised FL baselines by 8-24%, and even outperforms standard fully supervised FL baselines (100% labeled data) with only 5-20% of labeled data.

The interest in federated learning has surged in recent research due to its unique ability to train a global model using privacy-secured information held locally on each client. This paper pays particular attention to the issue of client-side model heterogeneity, a pervasive challenge in the practical implementation of FL that escalates its complexity. Assuming a scenario where each client possesses varied memory storage, processing capabilities and network bandwidth - a phenomenon referred to as system heterogeneity - there is a pressing need to customize a unique model for each client. In response to this, we present an effective and adaptable federated framework FedP3, representing Federated Personalized and Privacy-friendly network Pruning, tailored for model heterogeneity scenarios. Our proposed methodology can incorporate and adapt well-established techniques to its specific instances. We offer a theoretical interpretation of FedP3 and its locally differential-private variant, DP-FedP3, and theoretically validate their efficiencies.

We present TransactionGPT (TGPT), a foundation model for consumer transaction data within one of world's largest payment networks. TGPT is designed to understand and generate transaction trajectories while simultaneously supporting a variety of downstream prediction and classification tasks. We introduce a novel 3D-Transformer architecture specifically tailored for capturing the complex dynamics in payment transaction data. This architecture incorporates design innovations that enhance modality fusion and computational efficiency, while seamlessly enabling joint optimization with downstream objectives. Trained on billion-scale real-world transactions, TGPT significantly improves downstream classification performance against a competitive production model and exhibits advantages over baselines in generating future transactions. We conduct extensive empirical evaluations utilizing a diverse collection of company transaction datasets spanning multiple downstream tasks, thereby enabling a thorough assessment of TGPT's effectiveness and efficiency in comparison to established methodologies. Furthermore, we examine the incorporation of LLM-derived embeddings within TGPT and benchmark its performance against fine-tuned LLMs, demonstrating that TGPT achieves superior predictive accuracy as well as faster training and inference. We anticipate that the architectural innovations and practical guidelines from this work will advance foundation models for transaction-like data and catalyze future research in this emerging field.

Current benchmarks for computer-use agents evaluate models in impersonal environments. This leaves a gap between evaluation and deployment where personal assistants are expected to work across a user's whole digital life, including their context, historical data, and logged-in accounts. This gap is widest on web tasks, where live web evaluations cannot exercise sites that require logging in or personal information, the kind of site a real personal assistant has to drive. We introduce MyPCBench, which tests computer-use agents as personal assistants on a Linux desktop populated with 17 simulated real-world web applications and a full desktop stack, all seeded for one canonical persona, Michael Scott from The Office. We define 184 tasks in this environment, each inspired by a real request drawn from the OpenClaw community, and benchmark six closed and open-weight models with a uniform computer+bash tool surface. We find that the best model, Claude Opus 4.6, fully solves 55.4\% of the tasks, the only model above 50\%. Model failures cluster on tasks that span many applications and on long trajectories, where personalization stresses an assistant the most. We release the environment, task set, and agent harness at https://mypcbench.com.

Large Language Models (LLMs) are increasingly being used to simulate human-like decision making in agent-based financial market models (ABMs). As models become more powerful and accessible, researchers can now incorporate individual LLM decisions into ABM environments. However, integration may introduce inherent biases that need careful evaluation. In this paper we test three state-of-the-art GPT models for bias using two model sampling approaches: one-shot and few-shot API queries. We observe significant variations in distributions of outputs between specific models, and model sub versions, with GPT-4o-Mini-2024-07-18 showing notably better performance (32-43% yes responses) compared to GPT-4-0125-preview's extreme bias (98-99% yes responses). We show that sampling methods and model sub-versions significantly impact results: repeated independent API calls produce different distributions compared to batch sampling within a single call. While no current GPT model can simultaneously achieve a uniform distribution and Markovian properties in one-shot testing, few-shot sampling can approach uniform distributions under certain conditions. We explore the Temperature parameter, providing a definition and comparative results. We further compare our results to true random binary series and test specifically for the common human bias of Negative Recency - finding LLMs have a mixed ability to 'beat' humans in this one regard. These findings emphasise the critical importance of careful LLM integration into ABMs for financial markets and more broadly.

Transformer-based architectures are widely adopted in sequential recommendation systems, yet their application in Financial Services (FS) presents distinct practical and modeling challenges for real-time recommendation. These include:a) long-range user interactions (implicit and explicit) spanning both digital and physical channels generating temporally heterogeneous context, b) the presence of multiple interrelated products require coordinated models to support varied ad placements and personalized feeds, while balancing competing business goals. We propose FinTRec, a transformer-based framework that addresses these challenges and its operational objectives in FS. While tree-based models have traditionally been preferred in FS due to their explainability and alignment with regulatory requirements, our study demonstrate that FinTRec offers a viable and effective shift toward transformer-based architectures. Through historic simulation and live A/B test correlations, we show FinTRec consistently outperforms the production-grade tree-based baseline. The unified architecture, when fine-tuned for product adaptation, enables cross-product signal sharing, reduces training cost and technical debt, while improving offline performance across all products. To our knowledge, this is the first comprehensive study of unified sequential recommendation modeling in FS that addresses both technical and business considerations.

Large foundation models, including large language models (LLMs), vision transformers (ViTs), diffusion, and LLM-based multimodal models, are revolutionizing the entire machine learning lifecycle, from training to deployment. However, the substantial advancements in versatility and performance these models offer come at a significant cost in terms of hardware resources. To support the growth of these large models in a scalable and environmentally sustainable way, there has been a considerable focus on developing resource-efficient strategies. This survey delves into the critical importance of such research, examining both algorithmic and systemic aspects. It offers a comprehensive analysis and valuable insights gleaned from existing literature, encompassing a broad array of topics from cutting-edge model architectures and training/serving algorithms to practical system designs and implementations. The goal of this survey is to provide an overarching understanding of how current approaches are tackling the resource challenges posed by large foundation models and to potentially inspire future breakthroughs in this field.

Recently, the demand for psychological counseling has significantly increased as more individuals express concerns about their mental health. This surge has accelerated efforts to improve the accessibility of counseling by using large language models (LLMs) as counselors. To ensure client privacy, training open-source LLMs faces a key challenge: the absence of realistic counseling datasets. To address this, we introduce Cactus, a multi-turn dialogue dataset that emulates real-life interactions using the goal-oriented and structured approach of Cognitive Behavioral Therapy (CBT). We create a diverse and realistic dataset by designing clients with varied, specific personas, and having counselors systematically apply CBT techniques in their interactions. To assess the quality of our data, we benchmark against established psychological criteria used to evaluate real counseling sessions, ensuring alignment with expert evaluations. Experimental results demonstrate that Camel, a model trained with Cactus, outperforms other models in counseling skills, highlighting its effectiveness and potential as a counseling agent. We make our data, model, and code publicly available.

Federated Learning marks a turning point in the implementation of decentralized machine learning (especially deep learning) for wireless devices by protecting users' privacy and safeguarding raw data from third-party access. It assigns the learning process independently to each client. First, clients locally train a machine learning model based on local data. Next, clients transfer local updates of model weights and biases (training data) to a server. Then, the server aggregates updates (received from clients) to create a global learning model. However, the continuous transfer between clients and the server increases communication costs and is inefficient from a resource utilization perspective due to the large number of parameters (weights and biases) used by deep learning models. The cost of communication becomes a greater concern when the number of contributing clients and communication rounds increases. In this work, we propose a novel framework, FedZip, that significantly decreases the size of updates while transferring weights from the deep learning model between clients and their servers. FedZip implements Top-z sparsification, uses quantization with clustering, and implements compression with three different encoding methods. FedZip outperforms state-of-the-art compression frameworks and reaches compression rates up to 1085x, and preserves up to 99% of bandwidth and 99% of energy for clients during communication.

Data attribution seeks to trace model outputs back to training data. With the recent development of diffusion models, data attribution has become a desired module to properly assign valuations for high-quality or copyrighted training samples, ensuring that data contributors are fairly compensated or credited. Several theoretically motivated methods have been proposed to implement data attribution, in an effort to improve the trade-off between computational scalability and effectiveness. In this work, we conduct extensive experiments and ablation studies on attributing diffusion models, specifically focusing on DDPMs trained on CIFAR-10 and CelebA, as well as a Stable Diffusion model LoRA-finetuned on ArtBench. Intriguingly, we report counter-intuitive observations that theoretically unjustified design choices for attribution empirically outperform previous baselines by a large margin, in terms of both linear datamodeling score and counterfactual evaluation. Our work presents a significantly more efficient approach for attributing diffusion models, while the unexpected findings suggest that at least in non-convex settings, constructions guided by theoretical assumptions may lead to inferior attribution performance. The code is available at https://github.com/sail-sg/D-TRAK.

Foundation models are powerful technologies: how they are released publicly directly shapes their societal impact. In this position paper, we focus on open foundation models, defined here as those with broadly available model weights (e.g. Llama 2, Stable Diffusion XL). We identify five distinctive properties (e.g. greater customizability, poor monitoring) of open foundation models that lead to both their benefits and risks. Open foundation models present significant benefits, with some caveats, that span innovation, competition, the distribution of decision-making power, and transparency. To understand their risks of misuse, we design a risk assessment framework for analyzing their marginal risk. Across several misuse vectors (e.g. cyberattacks, bioweapons), we find that current research is insufficient to effectively characterize the marginal risk of open foundation models relative to pre-existing technologies. The framework helps explain why the marginal risk is low in some cases, clarifies disagreements about misuse risks by revealing that past work has focused on different subsets of the framework with different assumptions, and articulates a way forward for more constructive debate. Overall, our work helps support a more grounded assessment of the societal impact of open foundation models by outlining what research is needed to empirically validate their theoretical benefits and risks.

Foundation models (FMs), particularly large language models (LLMs), have shown significant promise in various software engineering (SE) tasks, including code generation, debugging, and requirement refinement. Despite these advances, existing evaluation frameworks are insufficient for assessing model performance in iterative, context-rich workflows characteristic of SE activities. To address this limitation, we introduce SE Arena, an interactive platform designed to evaluate SE-focused chatbots. SE Arena provides a transparent, open-source leaderboard, supports multi-round conversational workflows, and enables end-to-end model comparisons. Moreover, SE Arena incorporates a new feature called RepoChat, which automatically injects repository-related context (e.g., issues, commits, pull requests) into the conversation, further aligning evaluations with real-world development processes. This paper outlines the design and capabilities of SE Arena, emphasizing its potential to advance the evaluation and practical application of FMs in software engineering.

Recent decisions by leading AI labs to either open-source their models or to restrict access to their models has sparked debate about whether, and how, increasingly capable AI models should be shared. Open-sourcing in AI typically refers to making model architecture and weights freely and publicly accessible for anyone to modify, study, build on, and use. This offers advantages such as enabling external oversight, accelerating progress, and decentralizing control over AI development and use. However, it also presents a growing potential for misuse and unintended consequences. This paper offers an examination of the risks and benefits of open-sourcing highly capable foundation models. While open-sourcing has historically provided substantial net benefits for most software and AI development processes, we argue that for some highly capable foundation models likely to be developed in the near future, open-sourcing may pose sufficiently extreme risks to outweigh the benefits. In such a case, highly capable foundation models should not be open-sourced, at least not initially. Alternative strategies, including non-open-source model sharing options, are explored. The paper concludes with recommendations for developers, standard-setting bodies, and governments for establishing safe and responsible model sharing practices and preserving open-source benefits where safe.

Federated Learning (FL) is a method for training machine learning models using distributed data sources. It ensures privacy by allowing clients to collaboratively learn a shared global model while storing their data locally. However, a significant challenge arises when dealing with missing modalities in clients' datasets, where certain features or modalities are unavailable or incomplete, leading to heterogeneous data distribution. While previous studies have addressed the issue of complete-modality missing, they fail to tackle partial-modality missing on account of severe heterogeneity among clients at an instance level, where the pattern of missing data can vary significantly from one sample to another. To tackle this challenge, this study proposes a novel framework named FedMAC, designed to address multi-modality missing under conditions of partial-modality missing in FL. Additionally, to avoid trivial aggregation of multi-modal features, we introduce contrastive-based regularization to impose additional constraints on the latent representation space. The experimental results demonstrate the effectiveness of FedMAC across various client configurations with statistical heterogeneity, outperforming baseline methods by up to 26% in severe missing scenarios, highlighting its potential as a solution for the challenge of partially missing modalities in federated systems. Our source code is provided at https://github.com/nmduonggg/PEPSY

The impressive performance of ChatGPT and other foundation-model-based products in human language understanding has prompted both academia and industry to explore how these models can be tailored for specific industries and application scenarios. This process, known as the customization of domain-specific foundation models (FMs), addresses the limitations of general-purpose models, which may not fully capture the unique patterns and requirements of domain-specific data. Despite its importance, there is a notable lack of comprehensive overview papers on building domain-specific FMs, while numerous resources exist for general-purpose models. To bridge this gap, this article provides a timely and thorough overview of the methodology for customizing domain-specific FMs. It introduces basic concepts, outlines the general architecture, and surveys key methods for constructing domain-specific models. Furthermore, the article discusses various domains that can benefit from these specialized models and highlights the challenges ahead. Through this overview, we aim to offer valuable guidance and reference for researchers and practitioners from diverse fields to develop their own customized FMs.

The development and training of deep learning models have become increasingly costly and complex. Consequently, software engineers are adopting pre-trained models (PTMs) for their downstream applications. The dynamics of the PTM supply chain remain largely unexplored, signaling a clear need for structured datasets that document not only the metadata but also the subsequent applications of these models. Without such data, the MSR community cannot comprehensively understand the impact of PTM adoption and reuse. This paper presents the PeaTMOSS dataset, which comprises metadata for 281,638 PTMs and detailed snapshots for all PTMs with over 50 monthly downloads (14,296 PTMs), along with 28,575 open-source software repositories from GitHub that utilize these models. Additionally, the dataset includes 44,337 mappings from 15,129 downstream GitHub repositories to the 2,530 PTMs they use. To enhance the dataset's comprehensiveness, we developed prompts for a large language model to automatically extract model metadata, including the model's training datasets, parameters, and evaluation metrics. Our analysis of this dataset provides the first summary statistics for the PTM supply chain, showing the trend of PTM development and common shortcomings of PTM package documentation. Our example application reveals inconsistencies in software licenses across PTMs and their dependent projects. PeaTMOSS lays the foundation for future research, offering rich opportunities to investigate the PTM supply chain. We outline mining opportunities on PTMs, their downstream usage, and cross-cutting questions.

Applying large language models (LLMs) to assist in psycho-counseling is an emerging and meaningful approach, driven by the significant gap between patient needs and the availability of mental health support. However, current LLMs struggle to consistently provide effective responses to client speeches, largely due to the lack of supervision from high-quality real psycho-counseling data, whose content is typically inaccessible due to client privacy concerns. Furthermore, the quality of therapists' responses in available sessions can vary significantly based on their professional training and experience. Assessing the quality of therapists' responses remains an open challenge. In this work, we address these challenges by first proposing a set of professional and comprehensive principles to evaluate therapists' responses to client speeches. Using these principles, we create a preference dataset, PsychoCounsel-Preference, which contains 36k high-quality preference comparison pairs. This dataset aligns with the preferences of professional psychotherapists, providing a robust foundation for evaluating and improving LLMs in psycho-counseling. Experiments on reward modeling and preference learning demonstrate that PsychoCounsel-Preference is an excellent resource for LLMs to acquire essential skills for responding to clients in a counseling session. Our best-aligned model, PsychoCounsel-Llama3-8B, achieves an impressive win rate of 87% against GPT-4o. We release PsychoCounsel-Preference, PsychoCounsel-Llama3-8B and the reward model PsychoCounsel Llama3-8B-Reward to facilitate the research of psycho-counseling with LLMs at: https://hf.co/Psychotherapy-LLM.

Customer Relationship Management (CRM) systems are vital for modern enterprises, providing a foundation for managing customer interactions and data. Integrating AI agents into CRM systems can automate routine processes and enhance personalized service. However, deploying and evaluating these agents is challenging due to the lack of realistic benchmarks that reflect the complexity of real-world CRM tasks. To address this issue, we introduce CRMArena, a novel benchmark designed to evaluate AI agents on realistic tasks grounded in professional work environments. Following guidance from CRM experts and industry best practices, we designed CRMArena with nine customer service tasks distributed across three personas: service agent, analyst, and manager. The benchmark includes 16 commonly used industrial objects (e.g., account, order, knowledge article, case) with high interconnectivity, along with latent variables (e.g., complaint habits, policy violations) to simulate realistic data distributions. Experimental results reveal that state-of-the-art LLM agents succeed in less than 40% of the tasks with ReAct prompting, and less than 55% even with function-calling abilities. Our findings highlight the need for enhanced agent capabilities in function-calling and rule-following to be deployed in real-world work environments. CRMArena is an open challenge to the community: systems that can reliably complete tasks showcase direct business value in a popular work environment.

We present a new financial domain large language model, InvestLM, tuned on LLaMA-65B (Touvron et al., 2023), using a carefully curated instruction dataset related to financial investment. Inspired by less-is-more-for-alignment (Zhou et al., 2023), we manually curate a small yet diverse instruction dataset, covering a wide range of financial related topics, from Chartered Financial Analyst (CFA) exam questions to SEC filings to Stackexchange quantitative finance discussions. InvestLM shows strong capabilities in understanding financial text and provides helpful responses to investment related questions. Financial experts, including hedge fund managers and research analysts, rate InvestLM's response as comparable to those of state-of-the-art commercial models (GPT-3.5, GPT-4 and Claude-2). Zero-shot evaluation on a set of financial NLP benchmarks demonstrates strong generalizability. From a research perspective, this work suggests that a high-quality domain specific LLM can be tuned using a small set of carefully curated instructions on a well-trained foundation model, which is consistent with the Superficial Alignment Hypothesis (Zhou et al., 2023). From a practical perspective, this work develops a state-of-the-art financial domain LLM with superior capability in understanding financial texts and providing helpful investment advice, potentially enhancing the work efficiency of financial professionals. We release the model parameters to the research community.

With the increasing prevalence of mental health conditions worldwide, AI-powered chatbots and conversational agents have emerged as accessible tools to support mental health. However, deploying Large Language Models (LLMs) in mental healthcare applications raises significant privacy concerns, especially regarding regulations like HIPAA and GDPR. In this work, we propose FedMentalCare, a privacy-preserving framework that leverages Federated Learning (FL) combined with Low-Rank Adaptation (LoRA) to fine-tune LLMs for mental health analysis. We investigate the performance impact of varying client data volumes and model architectures (e.g., MobileBERT and MiniLM) in FL environments. Our framework demonstrates a scalable, privacy-aware approach for deploying LLMs in real-world mental healthcare scenarios, addressing data security and computational efficiency challenges.

Machine learning models are often personalized with information that is protected, sensitive, self-reported, or costly to acquire. These models use information about people but do not facilitate nor inform their consent. Individuals cannot opt out of reporting personal information to a model, nor tell if they benefit from personalization in the first place. We introduce a family of classification models, called participatory systems, that let individuals opt into personalization at prediction time. We present a model-agnostic algorithm to learn participatory systems for personalization with categorical group attributes. We conduct a comprehensive empirical study of participatory systems in clinical prediction tasks, benchmarking them with common approaches for personalization and imputation. Our results demonstrate that participatory systems can facilitate and inform consent while improving performance and data use across all groups who report personal data.

Trained machine learning models are increasingly used to perform high-impact tasks in areas such as law enforcement, medicine, education, and employment. In order to clarify the intended use cases of machine learning models and minimize their usage in contexts for which they are not well suited, we recommend that released models be accompanied by documentation detailing their performance characteristics. In this paper, we propose a framework that we call model cards, to encourage such transparent model reporting. Model cards are short documents accompanying trained machine learning models that provide benchmarked evaluation in a variety of conditions, such as across different cultural, demographic, or phenotypic groups (e.g., race, geographic location, sex, Fitzpatrick skin type) and intersectional groups (e.g., age and race, or sex and Fitzpatrick skin type) that are relevant to the intended application domains. Model cards also disclose the context in which models are intended to be used, details of the performance evaluation procedures, and other relevant information. While we focus primarily on human-centered machine learning models in the application fields of computer vision and natural language processing, this framework can be used to document any trained machine learning model. To solidify the concept, we provide cards for two supervised models: One trained to detect smiling faces in images, and one trained to detect toxic comments in text. We propose model cards as a step towards the responsible democratization of machine learning and related AI technology, increasing transparency into how well AI technology works. We hope this work encourages those releasing trained machine learning models to accompany model releases with similar detailed evaluation numbers and other relevant documentation.

Effective customer support requires not only accurate problem solving but also structured and empathetic communication aligned with professional standards. However, existing dialogue datasets often lack strategic guidance, and real-world service data is difficult to access and annotate. To address this, we introduce the task of Customer Support Conversation (CSC), aimed at training customer service agents to respond using well-defined support strategies. We propose a structured CSC framework grounded in COPC guidelines, defining five conversational stages and twelve strategies to guide high-quality interactions. Based on this, we construct CSConv, an evaluation dataset of 1,855 real-world customer-agent conversations rewritten using LLMs to reflect deliberate strategy use, and annotated accordingly. Additionally, we develop a role-playing approach that simulates strategy-rich conversations using LLM-powered roles aligned with the CSC framework, resulting in the training dataset RoleCS. Experiments show that fine-tuning strong LLMs on RoleCS significantly improves their ability to generate high-quality, strategy-aligned responses on CSConv. Human evaluations further confirm gains in problem resolution. All code and data will be made publicly available at https://github.com/aliyun/qwen-dianjin.

Despite substantial advancements, Natural Language Processing (NLP) models often require post-training adjustments to enforce business rules, rectify undesired behavior, and align with user values. These adjustments involve operationalizing "concepts"--dictating desired model responses to certain inputs. However, it's difficult for a single entity to enumerate and define all possible concepts, indicating a need for a multi-user, collaborative model alignment framework. Moreover, the exhaustive delineation of a concept is challenging, and an improper approach can create shortcuts or interfere with original data or other concepts. To address these challenges, we introduce CoDev, a framework that enables multi-user interaction with the model, thereby mitigating individual limitations. CoDev aids users in operationalizing their concepts using Large Language Models, and relying on the principle that NLP models exhibit simpler behaviors in local regions. Our main insight is learning a local model for each concept, and a global model to integrate the original data with all concepts. We then steer a large language model to generate instances within concept boundaries where local and global disagree. Our experiments show CoDev is effective at helping multiple users operationalize concepts and avoid interference for a variety of scenarios, tasks, and models.

Although Foundation Models (FMs), such as GPT-4, are increasingly used in domains like finance and software engineering, reliance on textual interfaces limits these models' real-world interaction. To address this, FM providers introduced tool calling-triggering a proliferation of frameworks with distinct tool interfaces. In late 2024, Anthropic introduced the Model Context Protocol (MCP) to standardize this tool ecosystem, which has become the de facto standard with over eight million weekly SDK downloads. Despite its adoption, MCP's AI-driven, non-deterministic control flow introduces new risks to sustainability, security, and maintainability, warranting closer examination. Towards this end, we present the first large-scale empirical study of MCP servers. Using state-of-the-art health metrics and a hybrid analysis pipeline, combining a general-purpose static analysis tool with an MCP-specific scanner, we evaluate 1,899 open-source MCP servers to assess their health, security, and maintainability. Despite MCP servers demonstrating strong health metrics, we identify eight distinct vulnerabilities - only three overlapping with traditional software vulnerabilities. Additionally, 7.2% of servers contain general vulnerabilities and 5.5% exhibit MCP-specific tool poisoning. Regarding maintainability, while 66% exhibit code smells, 14.4% contain nine bug patterns overlapping with traditional open-source software projects. These findings highlight the need for MCP-specific vulnerability detection techniques while reaffirming the value of traditional analysis and refactoring practices.

Large language models (LLMs) have advanced rapidly from conversational problem solving to addressing real-world tasks involving tool use, such as software engineering (SWE). Recent LLM-powered toolkits, such as OpenAI Codex and Cursor, have offered end-to-end automation of the software development process. However, building effective SWE agents remains challenging due to the lack of high-quality training data and effective test cases. To address this issue, we present SWE-Dev, an SWE agent built upon open-source LLMs. First, we develop a robust pipeline to synthesize test cases for patch evaluation. Second, we scale up agent trajectories to construct the training data for building SWE-Dev. Experiments on the SWE-bench-Verified benchmark show that the SWE-Dev models can achieve top performance among all open SWE agents. Specifically, the success rates of the SWE-Dev 7B and 32B parameter models reach 23.4% and 36.6%, respectively, outperforming state-of-the-art open-source models. All code, models, and datasets are publicly available at https://github.com/THUDM/SWE-Dev.

We introduce the first version of KWBench (Knowledge Work Bench), a benchmark for unprompted problem recognition in large language models: can an LLM identify a professional scenario before attempting to solve it. Existing frontier benchmarks have saturated, and most knowledge-work evaluations to date reduce to extraction or task completion against a specification. KWBench targets the step before that: recognizing the governing structure of the situation from raw inputs alone. The benchmark contains 223 tasks sourced from practitioners across acquisitions, contract negotiations, clinical pharmacy, organizational politics, fraud analysis, and incentive design. Each task encodes a formal game-theoretic pattern (principal-agent conflict, signaling, mechanism design failure, strategic omission, coalitional dynamics, strategic interdependence) and carries structured ground truth recording the expert reading of the situation and the anticipated failure modes. Models receive raw data and a task prompt with no indication of problem type. Scoring is a three-tier rubric gated by a mandatory conjunctive check. Mandatory criteria encode the predicted wrong paths. We evaluate 16 models. The best model passes on 27.9% of tasks. The top two models agree on only 31.7% of their passes. Among the top 8, 44 tasks are solved by exactly one model; routing across the top 8 covers 50.7% of the benchmark, nearly double the best single model. Conditional on passing, quality scores converge (approx 83% across models); unconditional scores do not. Same models articulate the relevant game-theoretic concept correctly when asked, then fail to apply it unprompted. We release KWBench to shift how frontier models are evaluated on knowledge work, scoring them on whether they recognize the right problem from the situation alone, not only on how well they execute once the problem has been framed for them.