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Jon Kleinberg

Publications and source records attributed to Jon Kleinberg.

At least 37 records · Page 2Linked to original sources

Language Generation and Identification From Partial Enumeration: Tight Density Bounds and Topological Characterizations

The success of large language models (LLMs) has motivated formal theories of language generation and learning. We study the framework of \emph{language generation in the limit}, where an adversary enumerates strings from an unknown language $K$ drawn from a countable class, and an algorithm must generate unseen strings from $K$. Prior work showed that generation is always possible, and that some algorithms achieve positive lower density, revealing a \emph{validity--breadth} trade-off between correctness and coverage. We resolve a main open question in this line, proving a tight bound of $1/2$ on the best achievable lower density. We then strengthen the model to allow \emph{partial enumeration}, where the adversary reveals only an infinite subset $C \subseteq K$. We show that generation in the limit remains achievable, and if $C$ has lower density $α$ in $K$, the algorithm's output achieves density at least $α/2$, matching the upper bound. This generalizes the $1/2$ bound to the partial-information setting, where the generator must recover within a factor $1/2$ of the revealed subset's density. We further revisit the classical Gold--Angluin model of \emph{language identification} under partial enumeration. We characterize when identification in the limit is possible -- when hypotheses $M_t$ eventually satisfy $C \subseteq M \subseteq K$ -- and in the process give a new topological formulation of Angluin's characterization, showing that her condition is precisely equivalent to an appropriate topological space having the $T_D$ separation property.

cs.DS↗

Modeling the Economic Impacts of AI Openness Regulation

Regulatory frameworks, such as the EU AI Act, encourage openness of general-purpose AI models by offering legal exemptions for "open-source" models. Despite this legislative attention on openness, the definition of open-source foundation models remains ambiguous. This paper models the strategic interactions among the creator of a general-purpose model (the generalist) and the entity that fine-tunes the general-purpose model to a specialized domain or task (the specialist), in response to regulatory requirements on model openness. We present a stylized model of the regulator's choice of an open-source definition to evaluate which AI openness standards will establish appropriate economic incentives for developers. Our results characterize market equilibria -- specifically, upstream model release decisions and downstream fine-tuning efforts -- under various openness regulations and present a range of effective regulatory penalties and open-source thresholds. Overall, we find the model's baseline performance determines when increasing the regulatory penalty vs. the open-source threshold will significantly alter the generalist's release strategy. Our model provides a theoretical foundation for AI governance decisions around openness and enables evaluation and refinement of practical open-source policies.

cs.GT↗

Tracking Patterns in Toxicity and Antisocial Behavior Over User Lifetimes on Large Social Media Platforms

An increasing amount of attention has been devoted to the problem of "toxic" or antisocial behavior on social media. In this paper we analyze such behavior at very large scales: we analyze toxicity over a 14-year time span on nearly 500 million comments from Reddit and Wikipedia, grounded in two different proxies for toxicity. At the individual level, we analyze users' toxicity levels over the course of their time on the site, and find a striking reversal in trends: both Reddit and Wikipedia users tended to become less toxic over their life cycles on the site in the early (pre-2013) history of the site, but more toxic over their life cycles in the later (post-2013) history of the site. We also find that toxicity on Reddit and Wikipedia differ in a key way, with the most toxic behavior on Reddit exhibited in aggregate by the most active users, and the most toxic behavior on Wikipedia exhibited in aggregate by the least active users. Finally, we consider the toxicity of discussion around widely-shared pieces of content, and find that the trends for toxicity in discussion about content bear interesting similarities with the trends for toxicity in discussion by users.

cs.SI↗

Anatomy of a Machine Learning Ecosystem: 2 Million Models on Hugging Face

Many have observed that the development and deployment of generative machine learning (ML) and artificial intelligence (AI) models follow a distinctive pattern in which pre-trained models are adapted and fine-tuned for specific downstream tasks. However, there is limited empirical work that examines the structure of these interactions. This paper analyzes 1.86 million models on Hugging Face, a leading peer production platform for model development. Our study of model family trees -- networks that connect fine-tuned models to their base or parent -- reveals sprawling fine-tuning lineages that vary widely in size and structure. Using an evolutionary biology lens to study ML models, we use model metadata and model cards to measure the genetic similarity and mutation of traits over model families. We find that models tend to exhibit a family resemblance, meaning their genetic markers and traits exhibit more overlap when they belong to the same model family. However, these similarities depart in certain ways from standard models of asexual reproduction, because mutations are fast and directed, such that two `sibling' models tend to exhibit more similarity than parent/child pairs. Further analysis of the directional drifts of these mutations reveals qualitative insights about the open machine learning ecosystem: Licenses counter-intuitively drift from restrictive, commercial licenses towards permissive or copyleft licenses, often in violation of upstream license's terms; models evolve from multi-lingual compatibility towards english-only compatibility; and model cards reduce in length and standardize by turning, more often, to templates and automatically generated text. Overall, this work takes a step toward an empirically grounded understanding of model fine-tuning and suggests that ecological models and methods can yield novel scientific insights.

cs.SI↗

Learning to Imitate with Less: Efficient Individual Behavior Modeling in Chess

As humans seek to collaborate with, learn from, and better understand artificial intelligence systems, developing AIs that can accurately emulate individual decision-making becomes increasingly important. Chess, a long-standing AI benchmark with precise skill measurement, offers an ideal testbed for human-AI alignment. However, existing approaches to modeling human behavior require prohibitively large amounts of data from each individual, making them impractical for new or sparsely represented users. In this work, we introduce Maia4All, a framework designed to learn and adapt to individual decision-making styles efficiently, even with limited data. Maia4All achieves this through a two-stage optimization process: (1) an enrichment step, which bridges population and individual-level human behavior modeling with a prototype-enriched model, and (2) a democratization step, which leverages ability levels or user prototypes to initialize and refine individual embeddings with minimal data. Our experimental results show that Maia4All can accurately predict individual moves and profile behavioral patterns with high fidelity, establishing a new standard for personalized human-like AI behavior modeling in chess. Maia4All achieves individual human behavior modeling in chess with only 20 games, compared to the 5,000 games required previously, representing a significant improvement in data efficiency. Our work provides an example of how population AI systems can flexibly adapt to individual users using a prototype-enriched model as a bridge. This approach extends beyond chess, as shown in our case study on idiosyncratic LLMs, highlighting its potential for broader applications in personalized AI adaptation.

cs.AI↗

The Backfiring Effect of Weak AI Safety Regulation

Recent policy proposals aim to improve the safety of general-purpose AI, but there is little understanding of the efficacy of different regulatory approaches to AI safety. We present a strategic model that explores the interactions between safety regulation, the general-purpose AI creators, and domain specialists--those who adapt the technology for specific applications. Our analysis examines how different regulatory measures, targeting different parts of the AI development chain, affect the outcome of this game. In particular, we assume AI technology is characterized by two key attributes: safety and performance. The regulator first sets a minimum safety standard that applies to one or both players, with strict penalties for non-compliance. The general-purpose creator then invests in the technology, establishing its initial safety and performance levels. Next, domain specialists refine the AI for their specific use cases, updating the safety and performance levels and taking the product to market. The resulting revenue is then distributed between the specialist and generalist through a revenue-sharing parameter. Our analysis reveals two key insights: First, weak safety regulation imposed predominantly on domain specialists can backfire. While it might seem logical to regulate AI use cases, our analysis shows that weak regulations targeting domain specialists alone can unintentionally reduce safety. This effect persists across a wide range of settings. Second, in sharp contrast to the previous finding, we observe that stronger, well-placed regulation can in fact mutually benefit all players subjected to it. When regulators impose appropriate safety standards on both general-purpose AI creators and domain specialists, the regulation functions as a commitment device, leading to safety and performance gains, surpassing what is achieved under no regulation or regulating one player alone.

cs.GT↗

Sparse Autoencoders for Hypothesis Generation

We describe HypotheSAEs, a general method to hypothesize interpretable relationships between text data (e.g., headlines) and a target variable (e.g., clicks). HypotheSAEs has three steps: (1) train a sparse autoencoder on text embeddings to produce interpretable features describing the data distribution, (2) select features that predict the target variable, and (3) generate a natural language interpretation of each feature (e.g., "mentions being surprised or shocked") using an LLM. Each interpretation serves as a hypothesis about what predicts the target variable. Compared to baselines, our method better identifies reference hypotheses on synthetic datasets (at least +0.06 in F1) and produces more predictive hypotheses on real datasets (~twice as many significant findings), despite requiring 1-2 orders of magnitude less compute than recent LLM-based methods. HypotheSAEs also produces novel discoveries on two well-studied tasks: explaining partisan differences in Congressional speeches and identifying drivers of engagement with online headlines.

cs.CL↗

Designing Algorithmic Delegates: The Role of Indistinguishability in Human-AI Handoff

As AI technologies improve, people are increasingly willing to delegate tasks to AI agents. In many cases, the human decision-maker chooses whether to delegate to an AI agent based on properties of the specific instance of the decision-making problem they are facing. Since humans typically lack full awareness of all the factors relevant to this choice for a given decision-making instance, they perform a kind of categorization by treating indistinguishable instances -- those that have the same observable features -- as the same. In this paper, we define the problem of designing the optimal algorithmic delegate in the presence of categories. This is an important dimension in the design of algorithms to work with humans, since we show that the optimal delegate can be an arbitrarily better teammate than the optimal standalone algorithmic agent. The solution to this optimal delegation problem is not obvious: we discover that this problem is fundamentally combinatorial, and illustrate the complex relationship between the optimal design and the properties of the decision-making task even in simple settings. Indeed, we show that finding the optimal delegate is computationally hard in general. However, we are able to find efficient algorithms for producing the optimal delegate in several broad cases of the problem, including when the optimal action may be decomposed into functions of features observed by the human and the algorithm. Finally, we run computational experiments to simulate a designer updating an algorithmic delegate over time to be optimized for when it is actually adopted by users, and show that while this process does not recover the optimal delegate in general, the resulting delegate often performs quite well.

cs.GT↗

Density Measures for Language Generation

The recent successes of large language models (LLMs) have led to a surge of theoretical research into language generation. A recent line of work proposes an abstract view, called language generation in the limit, where generation is seen as a game between an adversary and an algorithm: the adversary generates strings from an unknown language $K$, chosen from a countable collection of candidate languages, and after seeing a finite set of these strings, the algorithm must generate new strings from $K$ that it has not seen before. This formalism highlights a key tension: the trade-off between validity (the algorithm should only produce strings from the language) and breadth (it should be able to produce many strings from the language). This trade-off is central in applied language generation as well, where it appears as a balance between hallucination (generating invalid utterances) and mode collapse (generating only a restricted set of outputs). Despite its importance, this trade-off has been challenging to study quantitatively. We develop ways to quantify this trade-off by formalizing breadth using measures of density. Existing algorithms for language generation in the limit produce output sets that can have zero density in the true language, and this important failure of breadth might seem unavoidable. We show, however, that such a failure is not necessary: we provide an algorithm for language generation in the limit whose outputs have strictly positive density in $K$. We also study the internal representations built by these algorithms, specifically the sequence of hypothesized candidate languages they consider, and show that achieving the strongest form of breadth may require oscillating indefinitely between high- and low-density representations. Our analysis introduces a novel topology on language families, with notions of convergence and limit points playing a key role.

math.CO↗

Exclusion Zones of Instant Runoff Voting

Recent research on instant runoff voting (IRV) shows that it exhibits a striking combinatorial property in one-dimensional preference spaces: there is an "exclusion zone" around the median voter such that if a candidate from the exclusion zone is on the ballot, then the winner must come from the exclusion zone. Thus, in one dimension, IRV cannot elect an extreme candidate as long as a sufficiently moderate candidate is running. In this work, we examine the mathematical structure of exclusion zones as a broad phenomenon in more general preference spaces. We prove that with voters uniformly distributed over any $d$-dimensional hyperrectangle (for $d > 1$), IRV has no nontrivial exclusion zone. However, we also show that IRV exclusion zones are not solely a one-dimensional phenomenon. For irregular higher-dimensional preference spaces with fewer symmetries than hyperrectangles, IRV can exhibit nontrivial exclusion zones. As a further exploration, we study IRV exclusion zones in graph voting, where nodes represent voters who prefer candidates closer to them in the graph. Here, we show that IRV exclusion zones present a surprising computational challenge: even checking whether a given set of positions is an IRV exclusion zone is NP-hard. We develop an efficient randomized approximation algorithm for checking and finding exclusion zones. We also report on computational experiments with exclusion zones in two directions: (i) applying our approximation algorithm to a collection of real-world school friendship networks, we find that about 60% of these networks have probable nontrivial IRV exclusion zones; and (ii) performing an exhaustive computer search of small graphs and trees, we also find nontrivial IRV exclusion zones in most graphs. While our focus is on IRV, the properties of exclusion zones we establish provide a novel method for analyzing voting systems in metric spaces more generally.

cs.MA↗

Replicating Electoral Success

A core tension in the study of plurality elections is the clash between the classic Hotelling-Downs model, which predicts that two office-seeking candidates should position themselves at the median voter's policy, and the empirical observation that real-world democracies often have two major parties with divergent policies. Motivated by this tension and drawing from bounded rationality, we introduce a dynamic model of candidate positioning based on a simple behavioral heuristic: candidates imitate the policy of previous winners. The resulting model is closely connected to evolutionary replicator dynamics and exhibits complex behavior, despite its simplicity. For uniformly-distributed voters, we prove that when there are $k = 2$, $3$, or $4$ candidates per election, any symmetric candidate distribution converges over time to a concentration of candidates at the center. With $k \ge 5$, however, we prove that the candidate distribution does not converge to the center. For initial distributions without any extreme candidates, we prove a stronger statement than non-convergence, showing that the density in an interval around the center goes to zero when $k \ge 5$. As a matter of robustness, our conclusions are qualitatively unchanged if a small fraction of candidates are not winner-copiers and are instead positioned uniformly at random. Beyond our theoretical analysis, we illustrate our results in simulation; for five or more candidates, we find a tendency towards the emergence of two clusters, a mechanism suggestive of Duverger's Law, the empirical finding that plurality leads to two-party systems. Our simulations also explore several variations of the model, including non-uniform voter distributions and other forms of noise, which exhibit similar convergence patterns. Finally, we discuss the relationship between our model and prior work on strategic equilibria of candidate positioning games.

cs.GT↗

Using large language models to promote health equity

Advances in large language models (LLMs) have driven an explosion of interest about their societal impacts. Much of the discourse around how they will impact social equity has been cautionary or negative, focusing on questions like "how might LLMs be biased and how would we mitigate those biases?" This is a vital discussion: the ways in which AI generally, and LLMs specifically, can entrench biases have been well-documented. But equally vital, and much less discussed, is the more opportunity-focused counterpoint: "what promising applications do LLMs enable that could promote equity?" If LLMs are to enable a more equitable world, it is not enough just to play defense against their biases and failure modes. We must also go on offense, applying them positively to equity-enhancing use cases to increase opportunities for underserved groups and reduce societal discrimination. There are many choices which determine the impact of AI, and a fundamental choice very early in the pipeline is the problems we choose to apply it to. If we focus only later in the pipeline -- making LLMs marginally more fair as they facilitate use cases which intrinsically entrench power -- we will miss an important opportunity to guide them to equitable impacts. Here, we highlight the emerging potential of LLMs to promote equity by presenting four newly possible, promising research directions, while keeping risks and cautionary points in clear view.

cs.CY↗

Fine-Tuning Games: Bargaining and Adaptation for General-Purpose Models

Recent advances in Machine Learning (ML) and Artificial Intelligence (AI) follow a familiar structure: A firm releases a large, pretrained model. It is designed to be adapted and tweaked by other entities to perform particular, domain-specific functions. The model is described as `general-purpose,' meaning it can be transferred to a wide range of downstream tasks, in a process known as adaptation or fine-tuning. Understanding this process - the strategies, incentives, and interactions involved in the development of AI tools - is crucial for making conclusions about societal implications and regulatory responses, and may provide insights beyond AI about general-purpose technologies. We propose a model of this adaptation process. A Generalist brings the technology to a certain level of performance, and one or more Domain specialist(s) adapt it for use in particular domain(s). Players incur costs when they invest in the technology, so they need to reach a bargaining agreement on how to share the resulting revenue before making their investment decisions. We find that for a broad class of cost and revenue functions, there exists a set of Pareto-optimal profit-sharing arrangements where the players jointly contribute to the technology. Our analysis, which utilizes methods based on bargaining solutions and sub-game perfect equilibria, provides insights into the strategic behaviors of firms in these types of interactions. For example, profit-sharing can arise even when one firm faces significantly higher costs than another. After demonstrating findings in the case of one domain-specialist, we provide closed-form and numerical bargaining solutions in the generalized setting with $n$ domain specialists. We find that any potential domain specialization will either contribute, free-ride, or abstain in their uptake of the technology, and provide conditions yielding these different responses.

cs.GT↗

A No Free Lunch Theorem for Human-AI Collaboration

The gold standard in human-AI collaboration is complementarity -- when combined performance exceeds both the human and algorithm alone. We investigate this challenge in binary classification settings where the goal is to maximize 0-1 accuracy. Given two or more agents who can make calibrated probabilistic predictions, we show a "No Free Lunch"-style result. Any deterministic collaboration strategy (a function mapping calibrated probabilities into binary classifications) that does not essentially always defer to the same agent will sometimes perform worse than the least accurate agent. In other words, complementarity cannot be achieved "for free." The result does suggest one model of collaboration with guarantees, where one agent identifies "obvious" errors of the other agent. We also use the result to understand the necessary conditions enabling the success of other collaboration techniques, providing guidance to human-AI collaboration.

cs.AI↗

Evaluating the World Model Implicit in a Generative Model

Recent work suggests that large language models may implicitly learn world models. How should we assess this possibility? We formalize this question for the case where the underlying reality is governed by a deterministic finite automaton. This includes problems as diverse as simple logical reasoning, geographic navigation, game-playing, and chemistry. We propose new evaluation metrics for world model recovery inspired by the classic Myhill-Nerode theorem from language theory. We illustrate their utility in three domains: game playing, logic puzzles, and navigation. In all domains, the generative models we consider do well on existing diagnostics for assessing world models, but our evaluation metrics reveal their world models to be far less coherent than they appear. Such incoherence creates fragility: using a generative model to solve related but subtly different tasks can lead to failures. Building generative models that meaningfully capture the underlying logic of the domains they model would be immensely valuable; our results suggest new ways to assess how close a given model is to that goal.

cs.CL↗

Microstructures and Accuracy of Graph Recall by Large Language Models

Graphs data is crucial for many applications, and much of it exists in the relations described in textual format. As a result, being able to accurately recall and encode a graph described in earlier text is a basic yet pivotal ability that LLMs need to demonstrate if they are to perform reasoning tasks that involve graph-structured information. Human performance at graph recall has been studied by cognitive scientists for decades, and has been found to often exhibit certain structural patterns of bias that align with human handling of social relationships. To date, however, we know little about how LLMs behave in analogous graph recall tasks: do their recalled graphs also exhibit certain biased patterns, and if so, how do they compare with humans and affect other graph reasoning tasks? In this work, we perform the first systematical study of graph recall by LLMs, investigating the accuracy and biased microstructures (local structural patterns) in their recall. We find that LLMs not only underperform often in graph recall, but also tend to favor more triangles and alternating 2-paths. Moreover, we find that more advanced LLMs have a striking dependence on the domain that a real-world graph comes from -- by yielding the best recall accuracy when the graph is narrated in a language style consistent with its original domain.

cs.LG↗

Maia-2: A Unified Model for Human-AI Alignment in Chess

There are an increasing number of domains in which artificial intelligence (AI) systems both surpass human ability and accurately model human behavior. This introduces the possibility of algorithmically-informed teaching in these domains through more relatable AI partners and deeper insights into human decision-making. Critical to achieving this goal, however, is coherently modeling human behavior at various skill levels. Chess is an ideal model system for conducting research into this kind of human-AI alignment, with its rich history as a pivotal testbed for AI research, mature superhuman AI systems like AlphaZero, and precise measurements of skill via chess rating systems. Previous work in modeling human decision-making in chess uses completely independent models to capture human style at different skill levels, meaning they lack coherence in their ability to adapt to the full spectrum of human improvement and are ultimately limited in their effectiveness as AI partners and teaching tools. In this work, we propose a unified modeling approach for human-AI alignment in chess that coherently captures human style across different skill levels and directly captures how people improve. Recognizing the complex, non-linear nature of human learning, we introduce a skill-aware attention mechanism to dynamically integrate players' strengths with encoded chess positions, enabling our model to be sensitive to evolving player skill. Our experimental results demonstrate that this unified framework significantly enhances the alignment between AI and human players across a diverse range of expertise levels, paving the way for deeper insights into human decision-making and AI-guided teaching tools.

cs.AI↗

Private Blotto: Viewpoint Competition with Polarized Agents

Social media platforms are responsible for collecting and disseminating vast quantities of content. Recently, however, they have also begun enlisting users in helping annotate this content - for example, to provide context or label disinformation. However, users may act strategically, sometimes reflecting biases (e.g. political) about the "right" label. How can social media platforms design their systems to use human time most efficiently? Historically, competition over multiple items has been explored in the Colonel Blotto game setting (Borel, 1921). However, they were originally designed to model two centrally-controlled armies competing over zero-sum "items", a specific scenario with limited modern-day application. In this work, we propose and study the Private Blotto game, a variant with the key difference that individual agents act independently, without being coordinated by a central "Colonel". We completely characterize the Nash stability of this game and how this impacts the amount of "misallocated effort" of users on unimportant items. We show that the outcome function (aggregating multiple labels on a single item) has a critical impact, and specifically contrast a majority rule outcome (the median) as compared to a smoother outcome function (mean). In general, for median outcomes we show that instances without stable arrangements only occur for relatively few numbers of agents, but stable arrangements may have very high levels of misallocated effort. For mean outcome functions, we show that unstable arrangements can occur even for arbitrarily large numbers of agents, but when stable arrangements exist, they always have low misallocated effort. We conclude by discussing implications our results have for motivating examples in social media platforms and political competition.

cs.GT↗