arXiv subjects

Harald Steck

Publications and source records attributed to Harald Steck.

16 recordsLinked to original sources

arXiv2026

Mult-DPO: Multinomial Direct Preference Optimization for Recommender Systems

Direct preference optimization (DPO) is a simple and effective alignment strategy for large language models (LLMs) based on pairwise preferences. In recommender systems, however, user feedback is rarely pairwise. For a given context, e.g., a user, a session, or a conversation, we typically observe set-wise preferences with multiple positive items, where every positive item should outrank every unobserved or explicitly negative item, with no prescribed order among the positives or the negatives themselves. A natural generalization is to use the Plackett-Luce (PL) reward model, which extends the Bradley-Terry reward model underlying vanilla DPO from pairwise preferences to full rankings of candidates. However, we show that adapting the PL model to set-wise preferences requires marginalizing over all positive orderings, where the resulting expression is combinatorial in complexity. To address this fundamental challenge, we propose Mult-DPO, a novel DPO objective with a tractable multinomial surrogate likelihood over set-wise preference events for the user-preference alignment of LLM-based recommender systems. The multinomial construction is not itself a ranking distribution, but it is defined on the same reward-induced weight space and admits a closed-form DPO-style objective, enabling direct alignment of LLMs with multiple candidates through a classification-style objective. In addition, we prove that the multinomial DPO loss is a tractable upper bound on the marginalized PL DPO loss when optimizing against the set-wise preference data. We further characterize the tightness of this bound in terms of the relative total weight of positives versus negatives, which provides insights into tightening the bound with richer or harder negatives. Finally, we extend Mult-DPO to the alignment of LLMs with multiple preference levels. Code is available at https://github.com/yaochenzhu/Mult_DPO

cs.IR↗

arXiv2026

Beyond Continuity: Challenges of Context Switching in Multi-Turn Dialogue with LLMs

Users interacting with Large Language Models (LLMs) in a multi-turn conversation routinely refine their requests or pivot to new topics. LLMs, however, often miss these topic shifts and carry over irrelevant context from previous turns, leading to inaccurate responses. In this paper, we stress-test the multi-turn understanding of LLMs and study the following two sub-tasks: (1) detecting whether the user pivots or refines in the current turn, and (2) shortlisting relevant context from previous turns. To this end, we construct synthetic benchmarks based on real-world datasets from varied domains, as to simulate context shifts of different levels of difficulty. We then evaluate the zero-shot performance of ten LLMs (open-weight, closed-source and reasoning), and demonstrate that only some reasoning and strongly instructed LLMs are accurate in detecting pivots; open-weight LLMs struggle with the task and frequently carry stale context even with explicit cues; and all models suffer from a position bias. Based on the results, we discuss key takeaways for improving long-term robustness in multi-turn capabilities for LLMs.

cs.CL↗

arXiv2025

Rank-GRPO: Training LLM-based Conversational Recommender Systems with Reinforcement Learning

Large language models (LLMs) are reshaping the recommender system paradigm by enabling users to express preferences and receive recommendations through conversations. Yet, aligning LLMs to the recommendation task remains challenging: pretrained LLMs often generate out-of-catalog items, violate required output formats, and their ranking quality degrades sharply toward the end of the generated list. To this end, we propose ConvRec-R1, a two-stage framework for end-to-end training of LLM-based conversational recommender systems. In Stage 1, we construct a behavioral-cloning dataset with a Remap-Reflect-Adjust pipeline, which produces high-quality, catalog-grounded demonstrations from powerful blackbox LLMs to warm-start the RL training. In Stage 2, we propose Rank-GRPO, a principled extension of group relative policy optimization (GRPO) tailored to tasks with rank-style outputs. Rank-GRPO treats each rank in the recommendation list as the unit instead of token (too fine-grained) or sequence (too coarse), redefining rewards to remove non-causal credit assignment and introducing a rank-level importance ratio based on the geometric mean of rank-wise token probabilities to stabilize policy updates. Experiments on the public Reddit-v2 dataset show that ConvRec-R1 converges faster and achieves higher Recall and NDCG than GRPO-style baselines. Code and datasets are released at https://github.com/yaochenzhu/Rank-GRPO.

cs.IR↗

arXiv2025

Does Weighting Improve Matrix Factorization for Recommender Systems?

Matrix factorization is a widely used approach for top-N recommendation and collaborative filtering. When implemented on implicit feedback data (such as clicks), a common heuristic is to upweight the observed interactions. This strategy has been shown to improve performance for certain algorithms. In this paper, we conduct a systematic study of various weighting schemes and matrix factorization algorithms. Somewhat surprisingly, we find that training with unweighted data can perform comparably to, and sometimes outperform, training with weighted data, especially for large models. This observation challenges the conventional wisdom. Nevertheless, we identify cases where weighting can be beneficial, particularly for models with lower capacity and specific regularization schemes. We also derive efficient algorithms for exactly minimizing several weighted objectives that were previously considered computationally intractable. Our work provides a comprehensive analysis of the interplay between weighting, regularization, and model capacity in matrix factorization for recommender systems.

cs.IR↗

arXiv2025

Collaborative Retrieval for Large Language Model-based Conversational Recommender Systems

Conversational recommender systems (CRS) aim to provide personalized recommendations via interactive dialogues with users. While large language models (LLMs) enhance CRS with their superior understanding of context-aware user preferences, they typically struggle to leverage behavioral data, which have proven to be important for classical collaborative filtering (CF)-based approaches. For this reason, we propose CRAG, Collaborative Retrieval Augmented Generation for LLM-based CRS. To the best of our knowledge, CRAG is the first approach that combines state-of-the-art LLMs with CF for conversational recommendations. Our experiments on two publicly available movie conversational recommendation datasets, i.e., a refined Reddit dataset (which we name Reddit-v2) as well as the Redial dataset, demonstrate the superior item coverage and recommendation performance of CRAG, compared to several CRS baselines. Moreover, we observe that the improvements are mainly due to better recommendation accuracy on recently released movies. The code and data are available at https://github.com/yaochenzhu/CRAG.

cs.IR↗

arXiv2024

Reindex-Then-Adapt: Improving Large Language Models for Conversational Recommendation

Large language models (LLMs) are revolutionizing conversational recommender systems by adeptly indexing item content, understanding complex conversational contexts, and generating relevant item titles. However, controlling the distribution of recommended items remains a challenge. This leads to suboptimal performance due to the failure to capture rapidly changing data distributions, such as item popularity, on targeted conversational recommendation platforms. In conversational recommendation, LLMs recommend items by generating the titles (as multiple tokens) autoregressively, making it difficult to obtain and control the recommendations over all items. Thus, we propose a Reindex-Then-Adapt (RTA) framework, which converts multi-token item titles into single tokens within LLMs, and then adjusts the probability distributions over these single-token item titles accordingly. The RTA framework marries the benefits of both LLMs and traditional recommender systems (RecSys): understanding complex queries as LLMs do; while efficiently controlling the recommended item distributions in conversational recommendations as traditional RecSys do. Our framework demonstrates improved accuracy metrics across three different conversational recommendation datasets and two adaptation settings

cs.IR↗

arXiv2024

Is Cosine-Similarity of Embeddings Really About Similarity?

Cosine-similarity is the cosine of the angle between two vectors, or equivalently the dot product between their normalizations. A popular application is to quantify semantic similarity between high-dimensional objects by applying cosine-similarity to a learned low-dimensional feature embedding. This can work better but sometimes also worse than the unnormalized dot-product between embedded vectors in practice. To gain insight into this empirical observation, we study embeddings derived from regularized linear models, where closed-form solutions facilitate analytical insights. We derive analytically how cosine-similarity can yield arbitrary and therefore meaningless `similarities.' For some linear models the similarities are not even unique, while for others they are implicitly controlled by the regularization. We discuss implications beyond linear models: a combination of different regularizations are employed when learning deep models; these have implicit and unintended effects when taking cosine-similarities of the resulting embeddings, rendering results opaque and possibly arbitrary. Based on these insights, we caution against blindly using cosine-similarity and outline alternatives.

cs.IR↗

arXiv2023

Large Language Models as Zero-Shot Conversational Recommenders

In this paper, we present empirical studies on conversational recommendation tasks using representative large language models in a zero-shot setting with three primary contributions. (1) Data: To gain insights into model behavior in "in-the-wild" conversational recommendation scenarios, we construct a new dataset of recommendation-related conversations by scraping a popular discussion website. This is the largest public real-world conversational recommendation dataset to date. (2) Evaluation: On the new dataset and two existing conversational recommendation datasets, we observe that even without fine-tuning, large language models can outperform existing fine-tuned conversational recommendation models. (3) Analysis: We propose various probing tasks to investigate the mechanisms behind the remarkable performance of large language models in conversational recommendation. We analyze both the large language models' behaviors and the characteristics of the datasets, providing a holistic understanding of the models' effectiveness, limitations and suggesting directions for the design of future conversational recommenders

cs.IR↗

arXiv2021

On the Regularization of Autoencoders

While much work has been devoted to understanding the implicit (and explicit) regularization of deep nonlinear networks in the supervised setting, this paper focuses on unsupervised learning, i.e., autoencoders are trained with the objective of reproducing the output from the input. We extend recent results [Jin et al. 2021] on unconstrained linear models and apply them to (1) nonlinear autoencoders and (2) constrained linear autoencoders, obtaining the following two results: first, we show that the unsupervised setting by itself induces strong additional regularization, i.e., a severe reduction in the model-capacity of the learned autoencoder: we derive that a deep nonlinear autoencoder cannot fit the training data more accurately than a linear autoencoder does if both models have the same dimensionality in their last hidden layer (and under a few additional assumptions). Our second contribution is concerned with the low-rank EDLAE model [Steck 2020], which is a linear autoencoder with a constraint on the diagonal of the learned low-rank parameter-matrix for improved generalization: we derive a closed-form approximation to the optimum of its non-convex training-objective, and empirically demonstrate that it is an accurate approximation across all model-ranks in our experiments on three well-known data sets.

cs.LG↗

arXiv2019

Markov Random Fields for Collaborative Filtering

In this paper, we model the dependencies among the items that are recommended to a user in a collaborative-filtering problem via a Gaussian Markov Random Field (MRF). We build upon Besag's auto-normal parameterization and pseudo-likelihood, which not only enables computationally efficient learning, but also connects the areas of MRFs and sparse inverse covariance estimation with autoencoders and neighborhood models, two successful approaches in collaborative filtering. We propose a novel approximation for learning sparse MRFs, where the trade-off between recommendation-accuracy and training-time can be controlled. At only a small fraction of the training-time compared to various baselines, including deep nonlinear models, the proposed approach achieved competitive ranking-accuracy on all three well-known data-sets used in our experiments, and notably a 20% gain in accuracy on the data-set with the largest number of items.

cs.IR↗

arXiv2019

Embarrassingly Shallow Autoencoders for Sparse Data

Combining simple elements from the literature, we define a linear model that is geared toward sparse data, in particular implicit feedback data for recommender systems. We show that its training objective has a closed-form solution, and discuss the resulting conceptual insights. Surprisingly, this simple model achieves better ranking accuracy than various state-of-the-art collaborative-filtering approaches, including deep non-linear models, on most of the publicly available data-sets used in our experiments.

cs.IR↗

arXiv2019

Collaborative Filtering via High-Dimensional Regression

While the SLIM approach obtained high ranking-accuracy in many experiments in the literature, it is also known for its high computational cost of learning its parameters from data. For this reason, we focus in this paper on variants of high-dimensional regression problems that have closed-form solutions. Moreover, we motivate a re-scaling rather than a re-weighting approach for dealing with biases regarding item-popularities in the data. We also discuss properties of the sparse solution, and outline a computationally efficient approximation. In experiments on three publicly available data sets, we observed not only extremely reduced training times, but also significantly improved ranking accuracy compared to SLIM. Surprisingly, various state-of-the-art models, including deep non-linear autoencoders, were also outperformed on two of the three data sets in our experiments, in particular for recommendations with highly personalized relevance.

cs.IR↗

arXiv2013

On the Use of Skeletons when Learning in Bayesian Networks

In this paper, we present a heuristic operator which aims at simultaneously optimizing the orientations of all the edges in an intermediate Bayesian network structure during the search process. This is done by alternating between the space of directed acyclic graphs (DAGs) and the space of skeletons. The found orientations of the edges are based on a scoring function rather than on induced conditional independences. This operator can be used as an extension to commonly employed search strategies. It is evaluated in experiments with artificial and real-world data.

cs.AI↗

arXiv2012

Unsupervised Active Learning in Large Domains

Active learning is a powerful approach to analyzing data effectively. We show that the feasibility of active learning depends crucially on the choice of measure with respect to which the query is being optimized. The standard information gain, for example, does not permit an accurate evaluation with a small committee, a representative subset of the model space. We propose a surrogate measure requiring only a small committee and discuss the properties of this new measure. We devise, in addition, a bootstrap approach for committee selection. The advantages of this approach are illustrated in the context of recovering (regulatory) network models.

cs.LG↗

arXiv2012

Ranking by Dependence - A Fair Criteria

Estimating the dependences between random variables, and ranking them accordingly, is a prevalent problem in machine learning. Pursuing frequentist and information-theoretic approaches, we first show that the p-value and the mutual information can fail even in simplistic situations. We then propose two conditions for regularizing an estimator of dependence, which leads to a simple yet effective new measure. We discuss its advantages and compare it to well-established model-selection criteria. Apart from that, we derive a simple constraint for regularizing parameter estimates in a graphical model. This results in an analytical approximation for the optimal value of the equivalent sample size, which agrees very well with the more involved Bayesian approach in our experiments.

cs.LG↗

arXiv2012

Learning the Bayesian Network Structure: Dirichlet Prior versus Data

In the Bayesian approach to structure learning of graphical models, the equivalent sample size (ESS) in the Dirichlet prior over the model parameters was recently shown to have an important effect on the maximum-a-posteriori estimate of the Bayesian network structure. In our first contribution, we theoretically analyze the case of large ESS-values, which complements previous work: among other results, we find that the presence of an edge in a Bayesian network is favoured over its absence even if both the Dirichlet prior and the data imply independence, as long as the conditional empirical distribution is notably different from uniform. In our second contribution, we focus on realistic ESS-values, and provide an analytical approximation to the "optimal" ESS-value in a predictive sense (its accuracy is also validated experimentally): this approximation provides an understanding as to which properties of the data have the main effect determining the "optimal" ESS-value.

cs.LG↗