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.

On the Opportunities and Risks of Foundation Models.

In this paper, we experimentally evaluate the zero-shot performance of a preliminary version of GPT-4 against prior generations of GPT on the entire Uniform Bar Examination (UBE), including not only the multiple-choice Multistate Bar Examination (MBE), but also the open-ended Multistate Essay Exam (MEE) and Multistate Performance Test (MPT) components. On the MBE, GPT-4 significantly outperforms both human test-takers and prior models, demonstrating a 26% increase over ChatGPT and beating humans in five of seven subject areas. On the MEE and MPT, which have not previously been evaluated by scholars, GPT-4 scores an average of 4.2/6.0 as compared to much lower scores for ChatGPT. Graded across the UBE components, in the manner in which a human tast-taker would be, GPT-4 scores approximately 297 points, significantly in excess of the passing threshold for all UBE jurisdictions. These findings document not just the rapid and remarkable advance of large language model performance generally, but also the potential for such models to support the delivery of legal services in society.

GPT-4 Passes the Bar Exam

The success of deep learning algorithms generally depends on large-scale data, while humans appear to have inherent ability of knowledge transfer, by recognizing and applying relevant knowledge from previous learning experiences when encountering and solving unseen tasks. Such an ability to acquire and reuse knowledge is known as transferability in deep learning. It has formed the long-term quest towards making deep learning as data-efficient as human learning, and has been motivating fruitful design of more powerful deep learning algorithms. We present this survey to connect different isolated areas in deep learning with their relation to transferability, and to provide a unified and complete view to investigating transferability through the whole lifecycle of deep learning. The survey elaborates the fundamental goals and challenges in parallel with the core principles and methods, covering recent cornerstones in deep architectures, pre-training, task adaptation and domain adaptation. This highlights unanswered questions on the appropriate objectives for learning transferable knowledge and for adapting the knowledge to new tasks and domains, avoiding catastrophic forgetting and negative transfer. Finally, we implement a benchmark and an open-source library, enabling a fair evaluation of deep learning methods in terms of transferability.

Transferability in Deep Learning: A Survey

http://www.cell.com/article/S2666389922000733/pdf

Quantifying the advantage of domain-specific pre-training on named entity recognition tasks in materials science

One concern with the rise of large language models lies with their potential for significant harm, particularly from pretraining on biased, obscene, copyrighted, and private information. Emerging ethical approaches have attempted to filter pretraining material, but such approaches have been ad hoc and failed to take context into account. We offer an approach to filtering grounded in law, which has directly addressed the tradeoffs in filtering material. First, we gather and make available the Pile of Law, a 256GB (and growing) dataset of open-source English-language legal and administrative data, covering court opinions, contracts, administrative rules, and legislative records. Pretraining on the Pile of Law may help with legal tasks that have the promise to improve access to justice. Second, we distill the legal norms that governments have developed to constrain the inclusion of toxic or private content into actionable lessons for researchers and discuss how our dataset reflects these norms. Third, we show how the Pile of Law offers researchers the opportunity to learn such filtering rules directly from the data, providing an exciting new research direction in model-based processing.

Pile of Law: Learning Responsible Data Filtering from the Law and a 256GB Open-Source Legal Dataset

While self-supervised learning has made rapid advances in natural language processing, it remains unclear when researchers should engage in resource-intensive domain-specific pretraining (domain pretraining). The law, puzzlingly, has yielded few documented instances of substantial gains to domain pretraining in spite of the fact that legal language is widely seen to be unique. We hypothesize that these existing results stem from the fact that existing legal NLP tasks are too easy and fail to meet conditions for when domain pretraining can help. To address this, we first present CaseHOLD (Case Holdings On Legal Decisions), a new dataset comprised of over 53,000+ multiple choice questions to identify the relevant holding of a cited case. This dataset presents a fundamental task to lawyers and is both legally meaningful and difficult from an NLP perspective (F1 of 0.4 with a BiLSTM baseline). Second, we assess performance gains on CaseHOLD and existing legal NLP datasets. While a Transformer architecture (BERT) pretrained on a general corpus (Google Books and Wikipedia) improves performance, domain pretraining (on a corpus of ≈3.5M decisions across all courts in the U.S. that is larger than BERT's) with a custom legal vocabulary exhibits the most substantial performance gains with CaseHOLD (gain of 7.2% on F1, representing a 12% improvement on BERT) and consistent performance gains across two other legal tasks. Third, we show that domain pretraining may be warranted when the task exhibits sufficient similarity to the pretraining corpus: the level of performance increase in three legal tasks was directly tied to the domain specificity of the task. Our findings inform when researchers should engage in resource-intensive pretraining and show that Transformer-based architectures, too, learn embeddings suggestive of distinct legal language.

https://dl.acm.org/doi/pdf/10.1145/3462757.3466088

When does pretraining help?: assessing self-supervised learning for law and the CaseHOLD dataset of 53,000+ legal holdings

While self-supervised learning has made rapid advances in natural language processing, it remains unclear when researchers should engage in resource-intensive domain-specific pretraining (domain pretraining). The law, puzzlingly, has yielded few documented instances of substantial gains to domain pretraining in spite of the fact that legal language is widely seen to be unique. We hypothesize that these existing results stem from the fact that existing legal NLP tasks are too easy and fail to meet conditions for when domain pretraining can help. To address this, we first present CaseHOLD (Case Holdings On Legal Decisions), a new dataset comprised of over 53,000+ multiple choice questions to identify the relevant holding of a cited case. This dataset presents a fundamental task to lawyers and is both legally meaningful and difficult from an NLP perspective (F1 of 0.4 with a BiLSTM baseline). Second, we assess performance gains on CaseHOLD and existing legal NLP datasets. While a Transformer architecture (BERT) pretrained on a general corpus (Google Books and Wikipedia) improves performance, domain pretraining (using corpus of approximately 3.5M decisions across all courts in the U.S. that is larger than BERT's) with a custom legal vocabulary exhibits the most substantial performance gains with CaseHOLD (gain of 7.2% on F1, representing a 12% improvement on BERT) and consistent performance gains across two other legal tasks. Third, we show that domain pretraining may be warranted when the task exhibits sufficient similarity to the pretraining corpus: the level of performance increase in three legal tasks was directly tied to the domain specificity of the task. Our findings inform when researchers should engage resource-intensive pretraining and show that Transformer-based architectures, too, learn embeddings suggestive of distinct legal language.

When Does Pretraining Help? Assessing Self-Supervised Learning for Law and the CaseHOLD Dataset.

Longitudinal studies are vital to understanding dynamic changes of the planet, but labels (e.g., buildings, facilities, roads) are often available only for a single point in time. We propose a general model, Temporal Cluster Matching (TCM), for detecting building changes in time series of remotely sensed imagery when footprint labels are observed only once. The intuition behind the model is that the relationship between spectral values inside and outside of building’s footprint will change when a building is constructed (or demolished). For instance, in rural settings, the pre-construction area may look similar to the surrounding environment until the building is constructed. Similarly, in urban settings, the pre-construction areas will look different from the surrounding environment until construction. We further propose a heuristic method for selecting the parameters of our model which allows it to be applied in novel settings without requiring data labeling efforts (to fit the parameters). We apply our model over a dataset of poultry barns from 2016/2017 high-resolution aerial imagery in the Delmarva Peninsula and a dataset of solar farms from a 2020 mosaic of Sentinel 2 imagery in India. Our results show that our model performs as well when fit using the proposed heuristic as it does when fit with labeled data, and further, that supervised versions of our model perform the best among all the baselines we test against. Finally, we show that our proposed approach can act as an effective data augmentation strategy – it enables researchers to augment existing structure footprint labels along the time dimension and thus use imagery from multiple points in time to train deep learning models. We show that this improves the spatial generalization of such models when evaluated on the same change detection task.

Temporal Cluster Matching for Change Detection of Structures from Satellite Imagery

We introduce a new setting, optimize-and-estimate structured bandits. Here, a policy must select a batch of arms, each characterized by its own context, that would allow it to both maximize reward and maintain an accurate (ideally unbiased) population estimate of the reward. This setting is inherent to many public and private sector applications and often requires handling delayed feedback, small data, and distribution shifts. We demonstrate its importance on real data from the United States Internal Revenue Service (IRS). The IRS performs yearly audits of the tax base. Two of its most important objectives are to identify suspected misreporting and to estimate the "tax gap" -- the global difference between the amount paid and true amount owed. Based on a unique collaboration with the IRS, we cast these two processes as a unified optimize-and-estimate structured bandit. We analyze optimize-and-estimate approaches to the IRS problem and propose a novel mechanism for unbiased population estimation that achieves rewards comparable to baseline approaches. This approach has the potential to improve audit efficacy, while maintaining policy-relevant estimates of the tax gap. This has important social consequences given that the current tax gap is estimated at nearly half a trillion dollars. We suggest that this problem setting is fertile ground for further research and we highlight its interesting challenges. The results of this and related research are currently being incorporated into the continual improvement of the IRS audit selection methods.

Brandon R. Anderson

Papers

When does pretraining help?: assessing self-supervised learning for law and the CaseHOLD dataset of 53,000+ legal holdings

When Does Pretraining Help? Assessing Self-Supervised Learning for Law and the CaseHOLD Dataset.

Temporal Cluster Matching for Change Detection of Structures from Satellite Imagery

Integrating Reward Maximization and Population Estimation: Sequential Decision-Making for Internal Revenue Service Audit Selection

Enhancing environmental enforcement with near real-time monitoring: Likelihood-based detection of structural expansion of intensive livestock farms