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We investigate the parity-violating effects in primordial gravitational waves (GWs) due to null energy condition (NEC) violation in two very early universe scenarios: bounce-inflation and intermediate NEC violation during inflation. In both scenarios, we numerically solve the power spectra of parity-violating primordial GWs generated by coupling the background field and the spectator field with the Nieh-Yan term, respectively. We find that the background field can significantly enhance parity-violating effects at scales corresponding to the maximum of the GW power spectra. In contrast, the parity-violating effects produced by the spectator show significantly weaker observability even if the coupling constant is large. Therefore, in NEC-violating scenarios, the significant observable parity-violating effects in primordial GWs primarily arise from the physics directly related to NEC violation. This result highlights the potential of primordial GWs as crucial tools for exploring NEC-violating and parity-violating physics., Comment: 31 pages

The violation of the null energy condition (NEC) may play a crucial role in enabling a scalar field to climb over high potential barriers, potentially significant in the very early universe. We propose a single-field model where the universe sequentially undergoes a first stage of slow-roll inflation, NEC violation, and a second stage of slow-roll inflation. Through the NEC violation, the scalar field climbs over high potential barriers, leaving unique characteristics on the primordial gravitational wave power spectrum, including a blue-tilted nature in the middle-frequency range and diminishing oscillation amplitudes at higher frequencies. Additionally, the power spectrum exhibits nearly scale-invariant behavior on both large and small scales., Comment: 25 pages, 18 figures

Researchers who estimate treatment effects using a regression discontinuity design (RDD) typically assume that there are no spillovers between the treated and control units. This may be unrealistic. We characterize the estimand of RDD in a setting where spillovers occur between units that are close in their values of the running variable. Under the assumption that spillovers are linear-in-means, we show that the estimand depends on the ratio of two terms: (1) the radius over which spillovers occur and (2) the choice of bandwidth used for the local linear regression. Specifically, RDD estimates direct treatment effect when radius is of larger order than the bandwidth, and total treatment effect when radius is of smaller order than the bandwidth. In the more realistic regime where radius is of similar order as the bandwidth, the RDD estimand is a mix of the above effects. To recover direct and spillover effects, we propose incorporating estimated spillover terms into local linear regression -- the local analog of peer effects regression. We also clarify the settings under which the donut-hole RD is able to eliminate the effects of spillovers.

Federated Learning (FL) heavily depends on label quality for its performance. However, the label distribution among individual clients is always both noisy and heterogeneous. The high loss incurred by client-specific samples in heterogeneous label noise poses challenges for distinguishing between client-specific and noisy label samples, impacting the effectiveness of existing label noise learning approaches. To tackle this issue, we propose FedFixer, where the personalized model is introduced to cooperate with the global model to effectively select clean client-specific samples. In the dual models, updating the personalized model solely at a local level can lead to overfitting on noisy data due to limited samples, consequently affecting both the local and global models' performance. To mitigate overfitting, we address this concern from two perspectives. Firstly, we employ a confidence regularizer to alleviate the impact of unconfident predictions caused by label noise. Secondly, a distance regularizer is implemented to constrain the disparity between the personalized and global models. We validate the effectiveness of FedFixer through extensive experiments on benchmark datasets. The results demonstrate that FedFixer can perform well in filtering noisy label samples on different clients, especially in highly heterogeneous label noise scenarios., Comment: accepted by AAA24

We present photometric and spectroscopic data sets for SN 2020pvb, a Type IIn-P supernova (SN) similar to SNe 1994W, 2005cl, 2009kn and 2011ht, with a precursor outburst detected (PS1 w-band ~ -13.8 mag) around four months before the B-band maximum light. SN 2020pvb presents a relatively bright light curve peaking at M_B = -17.95 +- 0.30 mag and a plateau lasting at least 40 days before it went in solar conjunction. After this, the object is no longer visible at phases > 150 days above -12.5 mag in the B-band, suggesting that the SN 2020pvb ejecta interacts with a dense spatially confined circumstellar envelope. SN 2020pvb shows in its spectra strong Balmer lines and a forest of FeII lines with narrow P Cygni profiles. Using archival images from the Hubble Space Telescope, we constrain the progenitor of SN 2020pvb to have a luminosity of log(L/L_sun) <= 5.4, ruling out any single star progenitor over 50 M_sun. All in all, SN 2020pvb is a Type IIn-P whose progenitor star had an outburst ~ 0.5 yr before the final explosion, the material lost during this outburst is probably playing a role in shaping the physical properties of the supernova., Comment: 14 pages + 10 appendix pages, 12 figures + 2 appendix figures, 8 appendix tables. Accepted for publication in A&A

We present optical and near-infrared photometry and spectroscopy of SN 2023aew and our findings on its remarkable properties. This event, initially resembling a Type IIb supernova (SN), rebrightens dramatically $\sim$90 d after the first peak, at which time its spectrum transforms into that of a SN Ic. The slowly evolving spectrum specifically resembles a post-peak SN~Ic with relatively low line velocities even during the second rise. The second peak, reached 119 d after the first peak, is both more luminous ($M_r = -18.75\pm0.04$ mag) and much broader than those of typical SNe Ic. Blackbody fits to SN 2023aew indicate that the photosphere shrinks almost throughout its observed evolution, and the second peak is caused by an increasing temperature. Bumps in the light curve after the second peak suggest interaction with circumstellar matter (CSM) or possibly accretion. We consider several scenarios for producing the unprecedented behavior of SN 2023aew. Two separate SNe, either unrelated or from the same binary system, require either an incredible coincidence or extreme fine-tuning. A pre-SN eruption followed by a SN requires an extremely powerful, SN-like eruption (consistent with $\sim$10$^{51}$ erg) and is also disfavored. We therefore consider only the first peak a true stellar explosion. The observed evolution is difficult to reproduce if the second peak is dominated by interaction with a distant CSM shell. A delayed internal heating mechanism is more likely, but emerging embedded interaction with a CSM disk should be accompanied by CSM lines in the spectrum, which are not observed, and is difficult to hide long enough. A magnetar central engine requires a delayed onset to explain the long time between the peaks. Delayed fallback accretion onto a black hole may present the most promising scenario, but we cannot definitively establish the power source., Comment: 21 pages + 14 appendix pages, 16 figures + 6 appendix figures. Accepted by A&A

Recently, evidence of stochastic gravitational wave background (SGWB) signals observed by pulsar timing array (PTA) collaborations, has prompted investigations into their origins. We explore the compatibility of a proposed inflationary scenario, incorporating an intermediate null energy condition (NEC)-violating phase, with the PTA observations. The NEC violation potentially amplifies the primordial tensor power spectrum, offering a promising explanation for PTA observations. Numerical analyses, primarily focused on NANOGrav's 15-year results, reveal the model's compatibility with PTA data. Notably, the model predicts a nearly scale-invariant GW spectrum in the mHz frequency range, which sets our scenario apart from other interpretations predicting a red primordial GW spectrum on smaller scales., Comment: 14 pages plus one appendix, 4 figures; match published version; reference added; correct a typo in eq.15

Recent pulsar timing array (PTA) experiments have reported strong evidence of the stochastic gravitational wave background (SGWB). If interpreted as primordial gravitational waves (GWs), the signal favors a strongly blue-tilted spectrum. Consequently, the nonsingular cosmology, which is able to predict a strongly blue-tilted GW spectrum with $n_T \simeq 2$ on certain scales, offers a potential explanation for the observed SGWB signal. In this paper, we present a Genesis-inflation model capable of explaining the SGWB signal observed by the PTA collaborations while also overcoming the initial singularity problem associated with the inflationary cosmology. Furthermore, our model predicts distinctive features in the SGWB spectrum, which might be examined by forthcoming space-based gravitational wave experiments., Comment: 20 pages, 8 figures; references added, published in EPJC

Recently, the pulsar timing array (PTA) collaborations have reported the evidence for a stochastic gravitational wave background (SGWB) at nano-Hertz band. The spectrum of inflationary gravitational wave (IGW) is unknown, which might exhibit different power law at different frequency-bands, thus if the PTA signal is primordial, it will be significant to explore the underlying implications of current PTA and CMB data on IGW. In this paper, we perform a joint Markov Chain Monte Carlo analysis for a broken power-law spectrum of IGW with the NANOGrav 15-year and BICEP/Keck 2018 data. It is found that though the bestfit spectral tilt of IGW at PTA band is $n^\text{PTA}_\text{T} =2.42^{+0.32}_{-0.91}$, at CMB band the bestfit is $n^\text{CMB}_\text{T} =0.55^{+0.37}_{-0.10}$ while a detectable amplitude of $r$ with $n^\text{CMB}_\text{T} \simeq 0$ is still compatible. The implication of our results for inflation is also discussed., Comment: 19 pages, 3 figures

Recently, observational hints for supermassive black holes have been accumulating, which has inspired ones to wonder: Can primordial black holes (PBHs) be supermassive, in particular with the mass $M\gtrsim 10^{9}M_\odot$? A supercritical bubble (with an inflating baby universe inside it) that nucleated during inflation can develop into a PBH in our observable Universe. Here, we find that when the inflaton slowly passes by a neighboring vacuum, the nucleating rate of supercritical bubbles would inevitably attain a peak, so the mass distribution of multiverse PBHs, and the mass of peak can be up to $M\gtrsim 10^{11}M_\odot$. Thus our mechanism naturally provides a primordial origin of supermassive BHs., Comment: 15 pages, 4 figures

Social disruption occurs when a policy creates or destroys many network connections between agents. It is a costly side effect of many interventions and so a growing empirical literature recommends measuring and accounting for social disruption when evaluating the welfare impact of a policy. However, there is currently little work characterizing what can actually be learned about social disruption from data in practice. In this paper, we consider the problem of identifying social disruption in a research design that is popular in the literature. We provide two sets of identification results. First, we show that social disruption is not generally point identified, but informative bounds can be constructed using the eigenvalues of the network adjacency matrices observed by the researcher. Second, we show that point identification follows from a theoretically motivated monotonicity condition, and we derive a closed form representation. We apply our methods in two empirical illustrations and find large policy effects that otherwise might be missed by alternatives in the literature., Comment: The online appendix can be found at https://www.dropbox.com/s/qd8ofi3iokneq69/onlineAppendix.pdf?dl=0. An R package for implementation can be found at https://github.com/yong-cai/MatrixHTE

With recent advances in natural language processing, rationalization becomes an essential self-explaining diagram to disentangle the black box by selecting a subset of input texts to account for the major variation in prediction. Yet, existing association-based approaches on rationalization cannot identify true rationales when two or more snippets are highly inter-correlated and thus provide a similar contribution to prediction accuracy, so-called spuriousness. To address this limitation, we novelly leverage two causal desiderata, non-spuriousness and efficiency, into rationalization from the causal inference perspective. We formally define a series of probabilities of causation based on a newly proposed structural causal model of rationalization, with its theoretical identification established as the main component of learning necessary and sufficient rationales. The superior performance of the proposed causal rationalization is demonstrated on real-world review and medical datasets with extensive experiments compared to state-of-the-art methods., Comment: In Proceedings of the 40th International Conference on Machine Learning (ICML) GitHub Repository: https://github.com/onepounchman/Causal-Retionalization

Primordial black holes (PBHs) and the violation of the null energy condition (NEC) have significant implications for our understanding of the very early universe. We present a novel approach to generate PBHs via the NEC violation in a single-field inflationary scenario. In our scenario, the universe transitions from a first slow-roll inflation stage with a Hubble parameter $H = H_{\text{inf}1}$ to a second slow-roll inflation stage with $H = H_{\text{inf}2}\gg H_{\text{inf}1}$, passing through an intermediate stage of NEC violation. The NEC violation naturally enhances the primordial scalar power spectrum at a certain wavelength, leading to the production of PBHs with masses and abundances of observational interest. We also investigate the phenomenological signatures of scalar-induced gravitational waves (SIGWs) resulting from the enhanced density perturbations. Our work highlights the potential of utilizing a combination of PBHs, SIGWs, and primordial gravitational waves as a valuable probe for studying NEC violation during inflation, opening up new avenues for exploring the early universe., Comment: 9 pages, 5 figures + supplemental material, published in PRL

We investigate the possibility of the enhancement of parity-violation signal in bouncing cosmology. Specifically, we are interested in deciding which phase should generate the most significant parity-violation signals. We find that the dominant contribution comes from the bouncing phase, while the contraction phase has a smaller contribution. Therefore, bouncing cosmology can enhance the parity-violation signals during the bouncing phase. Moreover, since the bouncing phase has the highest energy scale in bouncing cosmology, we can also probe new physics at this scale by studying the parity-violation effect., Comment: 28 pages, 22 figures

A violation of the null energy condition (NEC) during inflation in a single-field inflation model will naturally enhance the amplitude of the parity violation effect (defined by $\Delta\chi$) of inflationary primordial gravitational waves (GWs), provided the inflaton is non-minimally coupled to a gravitational Chern-Simons term. After going through the NEC-violating phase, the Universe enters subsequent slow-roll inflation with a higher energy scale (i.e., a greater Hubble parameter $H$), which results in an enhanced nearly scale-invariant power spectrum (i.e., $P_{\rm T}$) of inflationary primordial GWs in the high-frequency band, while $P_{\rm T}$ remains consistent with observations in the frequency band of the cosmic microwave background. Therefore, the violation of NEC during inflation will amplify the observability (i.e., $P_{\rm T}\cdot\Delta\chi$) of the parity violation effect on small scales. Intriguingly, our model has particular oscillatory features on $\Delta\chi$ that may not be mimicked by others., Comment: 24 pages, 16 figures; new references added, updated to match the published version

This paper studies the properties of linear regression on centrality measures when network data is sparse -- that is, when there are many more agents than links per agent -- and when they are measured with error. We make three contributions in this setting: (1) We show that OLS estimators can become inconsistent under sparsity and characterize the threshold at which this occurs, with and without measurement error. This threshold depends on the centrality measure used. Specifically, regression on eigenvector is less robust to sparsity than on degree and diffusion. (2) We develop distributional theory for OLS estimators under measurement error and sparsity, finding that OLS estimators are subject to asymptotic bias even when they are consistent. Moreover, bias can be large relative to their variances, so that bias correction is necessary for inference. (3) We propose novel bias correction and inference methods for OLS with sparse noisy networks. Simulation evidence suggests that our theory and methods perform well, particularly in settings where the usual OLS estimators and heteroskedasticity-consistent/robust t-tests are deficient. Finally, we demonstrate the utility of our results in an application inspired by De Weerdt and Deacon (2006), in which we consider consumption smoothing and social insurance in Nyakatoke, Tanzania.

Explorations of the violation of null energy condition (NEC) in cosmology could enrich our understanding of the very early universe and the related gravity theories. Although a fully stable NEC violation can be realized in the ``beyond Horndeski'' theory, it remains an open question whether a violation of the NEC is allowed by some fundamental properties of UV-complete theories or the consistency requirements of effective field theory (EFT). We investigate the tree-level perturbative unitarity for stable NEC violations in the contexts of both Galileon and ``beyond Horndeski'' genesis cosmology, in which the universe is asymptotically Minkowskian in the past. We find that the constraints of perturbative unitarity imply that we may need some unknown new physics below the cut-off scale of the EFT other than that represented by the ``beyond Horndeski'' operators., Comment: 32 pages, 5 figures; updated to match the published version

In the past decade, with the development of big data technology, an increasing amount of patient information has been stored as electronic health records (EHRs). Leveraging these data, various doctor recommendation systems have been proposed. Typically, such studies process the EHR data in a flat-structured manner, where each encounter was treated as an unordered set of features. Nevertheless, the heterogeneous structured information such as service sequence stored in claims shall not be ignored. This paper presents a doctor recommendation system with time embedding to reconstruct the potential connections between patients and doctors using heterogeneous graph attention network. Besides, to address the privacy issue of patient data sharing crossing hospitals, a federated decentralized learning method based on a minimization optimization model is also proposed. The graph-based recommendation system has been validated on a EHR dataset. Compared to baseline models, the proposed method improves the AUC by up to 6.2%. And our proposed federated-based algorithm not only yields the fictitious fusion center's performance but also enjoys a convergence rate of O(1/T).

The Neyman Allocation is used in many papers on experimental design, which typically assume that researchers have access to large pilot studies. This may be unrealistic. To understand the properties of the Neyman Allocation with small pilots, we study its behavior in an asymptotic framework that takes pilot size to be fixed even as the size of the main wave tends to infinity. Our analysis shows that the Neyman Allocation can lead to estimates of the ATE with higher asymptotic variance than with (non-adaptive) balanced randomization. In particular, this happens when the outcome variable is relatively homoskedastic with respect to treatment status or when it exhibits high kurtosis. We provide a series of empirical examples showing that such situations can arise in practice. Our results suggest that researchers with small pilots should not use the Neyman Allocation if they believe that outcomes are homoskedastic or heavy-tailed. Finally, we examine some potential methods for improving the finite sample performance of the FNA via simulations.

We are interested in the distribution of treatment effects for an experiment where units are randomized to a treatment but outcomes are measured for pairs of units. For example, we might measure risk sharing links between households enrolled in a microfinance program, employment relationships between workers and firms exposed to a trade shock, or bids from bidders to items assigned to an auction format. Such a double randomized experimental design may be appropriate when there are social interactions, market externalities, or other spillovers across units assigned to the same treatment. Or it may describe a natural or quasi experiment given to the researcher. In this paper, we propose a new empirical strategy that compares the eigenvalues of the outcome matrices associated with each treatment. Our proposal is based on a new matrix analog of the Fr\'echet-Hoeffding bounds that play a key role in the standard theory. We first use this result to bound the distribution of treatment effects. We then propose a new matrix analog of quantile treatment effects that is given by a difference in the eigenvalues. We call this analog spectral treatment effects., Comment: An R package can be found at \url{https://github.com/yong-cai/MatrixHTE}

We investigate both the null energy condition (NEC) violating scenario and the $c_T$-diminishing scenario for generating enhanced power spectrum of primordial gravitational waves (GWs) during inflation, where $c_T$ is the propagating speed of primordial GWs. Both of these two scenarios can be realized stably with theories beyond Horndeski, hence can be uniformly implemented within the framework of the effective field theory. We calculate the power spectrum of primordial GWs by assuming that the inflationary Universe undergoes three phases, where the violation of NEC or the diminishment of $c_T$ occurs in the intermediate phase. A template of the spectrum is given for the NEC-violating scenario. We also discuss the underlying relation and discrepancy between these two scenarios with a disformal transformation., Comment: 28 pages, 11 figures; two typos were corrected