REVIEW 4 major objections 5 minor 38 references
Regression Models Using Shapes of Functions as Predictors
T0 review · 4 major / 5 minor · reviewed 2026-08-14 · deepseek-v4-flash
Pith's one-line read Aligning predictors inside the regression improves prediction.
desk verdict A useful elastic functional regression model whose real-data advantage is likely inflated by test-set selection of the index polynomial degree. read the letter →
The pith
A machine-rendered reading of the paper's core claim, the machinery that carries it, and where it could break.
The reading
What carries the argument
The central object is the norm-preserving warping action $f_i * \gamma_i = (f_i \circ \gamma_i)\sqrt{\dot{\gamma}_i}$ on $L^2$ functions, with $\gamma_i$ ranging over boundary-preserving diffeomorphisms of $[0,1]$. This is the same action that the square-root velocity function representation induces on SRVFs, but applied directly to the observed functions, so it preserves the $L^2$ norm of each predictor and prevents the pinching effect that makes naive $L^2$ alignment degenerate. The model's key move is to put the supremum over this warping group inside the regression inner product, so that the response is a function of the best-aligned inner product rather than of the raw predictor. Estimation alternates between optimizing the coefficient function $\beta$, with dynamic programming over $\gamma_i$ for each candidate $\beta$, and fitting a low-degree polynomial link $h$.
What would settle it
Generate a test set from a value-preserving phase model, $f_i(t) = f_i^0(t + \delta_i)$ with random shifts $\delta_i$ and responses depending only on the unshifted shape, then fit EFRM and compare its prediction RMSE with PAFLM and FLM. If EFRM does not at least match the alternatives under this contamination, the phase-invariance claim holds only for norm-preserving warps, not general phase noise. A companion check is the model's own invariance: for any predictor $f$ and warp $\gamma$, the fitted EFRM prediction should be unchanged between $f$ and $f * \gamma$.
Extended reading notes
Core claim
The central claim is that a regression model of the form $y_i = h(\sup_{\gamma_i \in \Gamma} \langle \beta, (f_i \circ \gamma_i)\sqrt{\dot{\gamma}_i} \rangle) + \epsilon_i$, with $\Gamma$ the boundary-preserving diffeomorphisms of $[0,1]$, makes scalar responses depend only on the shape of the predictor function and not on its phase, and that fitting the model this way predicts better than regressing on unaligned or pre-aligned functions. The paper argues that the norm-preserving action $f_i * \gamma_i = (f_i \circ \gamma_i)\sqrt{\dot{\gamma}_i}$ inherits the good properties of the SRVF/Fisher-Rao approach while avoiding the pinching effect and without amplifying noise through derivatives. Under this model, the response mean is invariant to reparameterization of the predictor, and $\beta$ is identifiable only up to composition with a warp; the paper resolves this by constraining the average estimated warp to be the identity. Empirically, EFRM gives the lowest root-mean-square prediction error among the models it compares on two simulated settings and three real datasets.
Load-bearing premise
The method assumes that the only phase variability worth removing is a norm-preserving diffeomorphic reparameterization, so that a predictor's shape is the same before and after warping by $(f \circ \gamma)\sqrt{\dot{\gamma}}$; if real phase acts by value-preserving shifts $f \circ \gamma$ or by non-diffeomorphic changes, the warping will change peak heights and the model may not recover the intended signal.
Editorial extensions
If this is right
- If EFRM is right, scalar-on-function regression can be made phase-invariant without a separate alignment step, and the alignment is informed by the response values rather than by unsupervised matching.
- The norm-preserving formulation avoids the pinching degeneracy, so no ad hoc restriction of the warping set is needed to make the supremum well behaved.
- Prediction for a new function only requires aligning it to the estimated $\beta$, so phase variability in future observations is absorbed at prediction time.
- On the three real datasets studied, the reported RMSE of EFRM is below FLM, PAFLM, and kernel approaches, suggesting the gain is not limited to data generated by the model itself.
Reading between the lines
- The same 'warp inside the loss' construction could extend to other group actions, such as area-preserving warping for density-valued predictors; the paper mentions other warpings are possible but does not develop or test them.
- Because EFRM discards phase entirely, data where timing carries signal would be better served by a two-index model that includes both the aligned inner product and a phase distance; the paper notes phase may be informative but does not build such a model.
- The identifiability gauge chosen here, averaging the estimated warpings to the identity, is one of several possible constraints; other gauges could produce different $\beta$ estimates, and the paper does not compare them.
- The computational cost of running dynamic programming inside every coefficient update may limit EFRM to one-dimensional, short curves; scaling to images or multivariate functional predictors is an open extension.
Signed reviews
Editorial analysis
A structured set of objections, weighed in public.
Referee Report
Summary. This paper proposes an elastic functional regression model (EFRM) for scalar-on-function regression when predictor functions contain phase variability. The model replaces the L2 inner product in functional linear regression by sup_{γ∈Γ} ⟨β, (f_i*γ)⟩, where f_i*γ = (f_i∘γ)√(γ̇) is a norm-preserving warping, and applies an unknown link function h. Estimation proceeds by alternating estimation of β (via a basis expansion and dynamic programming over γ) and h (a low-order polynomial), with an average-warping constraint for identifiability. The method is compared with FLM, pre-aligned FLM, and kernel nonparametric regression on two simulations and three real datasets (gait, 1H-NMR, stock).
Significance. If properly validated, the idea of folding alignment into the regression model via a norm-preserving group action is a useful contribution to functional regression: it avoids the derivative-based noise amplification of SRVF preprocessing and provides a unified objective for prediction and phase removal. The algorithm is clearly described and reproducible code is provided. However, the current empirical support is not sufficient: the real-data results are based on a single test split with model selection on the test set, baselines are not regularized for small samples, and the simulations only exercise the model's own data-generating mechanism. The model also lacks a rigorous identifiability analysis. These gaps currently prevent acceptance.
major comments (4)
- [Section 3.2, Table 4] The EFRM row reports the minimum RMSE among three polynomial degrees for h, and the narrative selects the degree by looking at test-set performance (e.g., 'cubic index function does the best'). This uses the test responses for model selection, so the comparison is biased in favor of EFRM; the small margins over NP-shape (Gait 2.466 vs 2.625; Stock 9.007 vs 9.540; NMR 4.025 vs 4.251) could plausibly disappear under an honest protocol. The analysis should use nested cross-validation or repeated splits with h selected on training data only, and should report standard errors or intervals.
- [Section 3.2 and Tables 2-4] The FLM and PAFLM baselines are fit with 20 B-spline basis functions on training samples of size 21-140 with no penalization or basis truncation. This is likely to overfit and produce inflated RMSE (e.g., NMR FLM RMSE 213), making the comparison unfair. A regularized FLM (e.g., penalized least squares or functional principal components regression with tuning by CV) should be used.
- [Section 3.1] Both simulation experiments generate predictors by applying the same norm-preserving warping used in EFRM (Eq. 5), so the simulation demonstrates that the estimator recovers the model when the model is true, but it does not test the robustness claim to value-preserving phase variability that motivates the paper in Section 1.1. The authors should add simulations where contamination follows value-preserving warpings (or other misspecified actions) and evaluate how EFRM and the baselines degrade.
- [Section 2.1, item 3] The identifiability constraint (1/n)Σγ̂_i = γ_id is introduced without proof or discussion of whether it is sufficient. Since the sup-term is invariant to pre-warping of the predictors, β is not identifiable without additional structure; the paper should either prove that the constraint identifies β up to the intended equivalence or acknowledge the limitation and examine sensitivity of predictions to the constraint.
minor comments (5)
- [Section 2.1] The word 'diffeomoprhism' is misspelled; 'boundary preserving diffeomoprhisms' should be 'diffeomorphisms'.
- [Section 3.2] The 1H-NMR response is described as categorical with four values, but the model assumes Gaussian errors; the authors should discuss whether a linear/Gaussian model is appropriate.
- [Algorithm 1, step 4] The instruction 'replace β by β∘γ̄^{-1}' is ambiguous; it should clarify whether this is the ordinary composition or the norm-preserving action (β*γ̄^{-1}).
- [Section 1.1, Fig. 2] The caption describes the second contamination as 'area preserving' but the displayed formula (f_i∘γ_i)√(γ̇_i) is the norm-preserving action; the caption conflates area- and norm-preserving warpings.
- [Section 3.1.1] The text uses 'root squared error' for RSE; it should be 'root integrated squared error' or the acronym should be defined explicitly.
Circularity Check
No circular derivation: EFRM is a proposed model estimated on training data and evaluated on held-out predictors; the real-data h-selection caveat is a validation issue rather than a circular step.
full rationale
The central model in Eq. (5), y_i = h(sup_{gamma_i} <beta, (f_i * gamma_i)>) + epsilon_i, is explicitly proposed as a modeling choice rather than derived from a fitted quantity. Estimation in Algorithm 2 fits beta and h on training data by least squares, and prediction in Eq. (6) applies the fitted model to held-out predictors; no fitted parameter is identical by construction to the predicted response. The SRVF/Fisher-Rao background is cited from the authors' prior work [16,22], but the cited invariance property is a mathematical theorem with independently checkable content and is not used as a uniqueness theorem to forbid alternatives. The simulation study generates data from the same model, and the paper itself acknowledges this: "A part of the success of EFRM can be attributed to the fact that the data was indeed simulated from that model itself" (Section 3.1.2). That is a consistency check, not a circular derivation. The real-data comparison in Table 4 has a protocol weakness: the degree of h is effectively chosen after inspecting test RMSE, e.g. "In the case of 1H-NMR data, EFRM using a cubic index function does the best," so the test set is used for model selection and the reported margins are small. This weakens external evidence but does not make the model's derivation circular, because the EFRM equation does not reduce to its own fitted inputs. Overall, no specific circular step is exhibited, so the circularity score is low; the minor caveats affect evidence strength rather than structural circularity.
Assumptions & free parameters
free parameters (3)
- Basis size J for beta =
20 (real data); 2, 4, or 20 (simulations)
- Polynomial degree of h =
1, 2, or 3; cubic chosen for NMR
- Per-observation warping functions gamma_i =
Estimated via DPA for each i
assumptions (4)
- domain assumption The Fisher-Rao metric and SRVF framework provide an isometric, pinching-free action for warping functions.
- domain assumption The response follows y_i = h(sup_gamma <beta, f_i * gamma>) plus i.i.d. Gaussian noise.
- ad hoc to paper The constraint (1/n) sum gamma_hat_i = gamma_id is sufficient to identify beta.
- domain assumption Phase variability in predictors is a random diffeomorphic time warping of the domain.
Cite this review
Pith. "Pith review of Regression Models Using Shapes of Functions as Predictors." pith.science (2026). https://pith.science/paper/X6VYS6WY
@misc{pith2026190902426,
author = {Pith},
title = {Pith review of: Regression Models Using Shapes of Functions as Predictors},
year = {2026},
howpublished = {\url{https://pith.science/paper/X6VYS6WY}},
note = {Machine review of arXiv:1909.02426}
}
abstract
Functional variables are often used as predictors in regression problems. A commonly-used parametric approach, called {\it scalar-on-function regression}, uses the $\ltwo$ inner product to map functional predictors into scalar responses. This method can perform poorly when predictor functions contain undesired phase variability, causing phases to have disproportionately large influence on the response variable. One past solution has been to perform phase-amplitude separation (as a pre-processing step) and then use only the amplitudes in the regression model. Here we propose a more integrated approach, termed elastic functional regression model (EFRM), where phase-separation is performed inside the regression model, rather than as a pre-processing step. This approach generalizes the notion of phase in functional data, and is based on the norm-preserving time warping of predictors. Due to its invariance properties, this representation provides robustness to predictor phase variability and results in improved predictions of the response variable over traditional models. We demonstrate this framework using a number of datasets involving gait signals, NMR data, and stock market prices.
Figures
Figures from the paper (5 more)
Reference graph
Works this paper leans on
-
[1]
J. O. Ramsay, B. W. Silverman, Functional Data Analysis, 2nd Edition, Springer,
-
[3]
J. O. Ramsay, C. J. Dalzell, Some Tools for Functional Data Analysis, Journal of the Royal Statistical Society. Series B (Methodological) 53 (3) (1991) 539–572. doi:10.1111/j.2517-6161.1991.tb01844.x
arXiv 1991
-
[4]
H. Cardot, F. Ferraty, P. Sarda, Functional linear model, Statistics & Probability Letters 45 (1) (1999) 11–22. doi:10.1016/s0167-7152(99)00036-x
-
[5]
K. Ahn, J. D. Tucker, W. Wu, A. Srivastava, Elastic Handling of Predictor Phase in Functional Regression Models, in: Proceedings of the IEEE Conference on Computer Vision and Pattern Recognition Workshops, 2018, pp. 324–331.doi: 10.1109/cvprw.2018.00072
arXiv 2018
- [6]
-
[7]
P. T. Reiss, J. Goldsmith, H. L. Shang, R. T. Ogden, Methods for Scalar-on- Function Regression, International Statistical Review 85 (2) (2017) 228–249. doi:10.1111/insr.12163
-
[8]
J. Goldsmith, F. Scheipl, Estimator selection and combination in scalar-on- function regression, Computational Statistics & Data Analysis 70 (2014) 362–
work page 2014
-
[9]
K. Fuchs, F. Scheipl, S. Greven, Penalized scalar-on-functions regression with interaction term, Computational Statistics & Data Analysis 81 (2015) 38–51. doi:10.1016/j.csda.2014.07.001
Show all 38 references
-
[10]
Ciarleglio, R
A. Ciarleglio, R. T. Ogden, Wavelet-based scalar-on-function finite mixture re- gression models, Computational Statistics & Data Analysis 93 (2016) 86–96. doi:10.1016/j.csda.2014.11.017
2016 doi
-
[11]
Gertheiss, J
J. Gertheiss, J. Goldsmith, C. Crainiceanu, S. Greven, Longitudinal scalar-on- functions regression with application to tractography data, Biostatistics 14 (3) (2013) 447–461. doi:10.1093/biostatistics/kxs051
2013 doi
-
[12]
T. T. Cai, P. Hall, Prediction in functional linear regression, The Annals of Statis- tics 34 (5) (2006) 2159–2179. doi:10.1214/009053606000000830
2006 doi
-
[13]
H. G. Müller, U. Stadtmüller, Generalized functional linear models, The Annals of Statistics (2005) 774–805doi:10.1214/009053604000001156
2005 doi
-
[14]
J. S. Marron, J. O. Ramsay, L. M. Sangalli, A. Srivastava, Functional data anal- ysis of amplitude and phase variation, Statistical Science 30 (4) (2015) 468–484. doi:10.1214/15-sts524
2015 doi
-
[15]
J. S. Marron, J. O. Ramsay, L. M. Sangalli, A. Srivastava, Statistics of time warp- ings and phase variations, Electronic Journal of Statistics 8 (2) (2014) 1697–1702. doi:10.1214/14-ejs901
2014 doi
-
[16]
Srivastava, W
A. Srivastava, W. Wu, S. Kurtek, E. Klassen, J. S. Marron, Registration of Func- tional Data Using Fisher-Rao Metric arXiv:1103.3817
-
[17]
J. D. Tucker, W. Wu, A. Srivastava, Generative Models for Functional Data Using Phase and Amplitude Separation, Computational Statistics & Data Analysis 61 (2013) 50–66. doi:10.1016/j.csda.2012.12.001
2013 doi
-
[18]
Febrero-Bande, M
M. Febrero-Bande, M. Oviedo de la Fuente, Statistical computing in functional data analysis: the R package fda. usc, Journal of Statistical Software 51 (4) (2012) 1–28. doi:10.18637/jss.v051.i04. 28
2012 doi
-
[19]
García-Portugués, W
E. García-Portugués, W. González-Manteiga, M. Febrero-Bande, A goodness- of-fit test for the functional linear model with scalar response, Journal of Com- putational and Graphical Statistics 23 (3) (2014) 761–778. doi:10.1080/ 10618600.2013.812519
2014
-
[20]
J. O. Ramsay, X. Li, Curve Registration, Journal of the Royal Statistical Soci- ety: Series B (Statistical Methodology 60 (1998) 351–363. doi:10.1111/ 1467-9868.00129
1998
-
[21]
X. Liu, H. G. Müller, Functional convex averaging and synchronization for time- warped random curves, Journal of the American Statistical Association 99 (2004) 687–699. doi:10.1198/016214504000000999
2004 doi
-
[22]
Srivastava, E
A. Srivastava, E. Klassen, Functional and shape data analysis, Springer, 2016. doi:10.1007/978-1-4939-4020-2
2016 doi
-
[23]
Ferraty, P
F. Ferraty, P. Vieu, Nonparametric functional data analysis: theory and practice, Springer Science & Business Media, 2006. doi:10.1007/ 0-387-36620-2
2006
-
[24]
E. A. Nadaraya, On estimating regression, Theory of Probability & Its Applica- tions 9 (1) (1964) 141–142. doi:10.1137/1109020
1964 doi
-
[25]
T. M. Stoker, Consistent estimation of scaled coefficients, Econometrica: Journal of the Econometric Society (1986) 1461–1481doi:10.2307/1914309
1986 doi
-
[26]
Ait-Saïdi, F
A. Ait-Saïdi, F. Ferraty, R. Kassa, P. Vieu, Cross-validated estimations in the single-functional index model, Statistics 42 (6) (2008) 475–494. doi:10. 1080/02331880801980377
2008
-
[27]
P. H. C. Eilers, B. D. Marx, Flexible Smoothing with B-Splines and Penalties, Statistical Science (1996) 89–102doi:10.1214/ss/1038425655
1996
-
[28]
C. R. Jiang, J. L. Wang, Functional single index models for longitudinal data, The Annals of Statistics 39 (1) (2011) 362–388. doi:10.1214/10-AOS845. 29
2011 doi
-
[29]
P. H. C. Eilers, B. Li, B. D. Marx, Multivariate calibration with single-index signal regression, Chemometrics and Intelligent Laboratory Systems 96 (2) (2009) 196–
2009
-
[30]
Y . Li, N. Wang, R. J. Carroll, Generalized functional linear models with semipara- metric single-index interactions, Journal of the American Statistical Association 105 (490) (2010) 621–633. doi:10.1198/jasa.2010.tm09313
2010 doi
-
[31]
J. S. Morris, Functional regression, Annual Review of Statis- tics and Its Application 2 (2015) 321–359. doi:10.1146/ annurev-statistics-010814-020413
2015
-
[32]
A. L. Goldberger, L. A. N. Amaral, L. Glass, J. M. Hausdorff, P. C. Ivanov, R. G. Mark, J. E. Mietus, G. B. Moody, C. Peng, H. E. Stanley, PhysioBank, PhysioToolkit, and PhysioNet: Components of a New Research Resource for Complex Physiologic Signals, Circulation 101 (23) (200...
2000 doi
-
[33]
Frenkel-Toledo, N
S. Frenkel-Toledo, N. Giladi, C. Peretz, T. Herman, L. Gruendlinger, J. M. Haus- dorff, Treadmill walking as an external pacemaker to improve gait rhythm and stability in Parkinson’s disease, Movement Disorders 20 (9) (2005) 1109–1114. doi:10.1002/mds.20507
2005 doi
-
[34]
Frenkel-Toledo, N
S. Frenkel-Toledo, N. Giladi, C. Peretz, T. Herman, L. Gruendlinger, J. M. Haus- dorff, Effect of gait speed on gait rhythmicity in Parkinson’s disease: variability of stride time and swing time respond differently, Journal of NeuroEngineering and Rehabilitation 2 (1) (2005) 2...
2005 doi
-
[35]
Yogev, N
G. Yogev, N. Giladi, C. Peretz, S. l. Springer, E. S. Simon, J. M. Hausdorff, Dual tasking, gait rhythmicity, and Parkinson’s disease: which aspects of gait are attention demanding?, European Journal of Neuroscience 22 (5) (2005) 1248–
2005
-
[36]
Winning, E
H. Winning, E. Roldán-Marín, L. O. Dragsted, N. Viereck, M. Poulsen, C. Sánchez-Moreno, M. P. Cano, S. Engelsen, An exploratory NMR nutri- 30 metabonomic investigation reveals dimethyl sulfone as a dietary biomarker for onion intake, Analyst 134 (11) (2009) 2344–2351.doi:10.10...
2009 doi
-
[202]
doi:10.1016/j.chemolab.2009.02.001
2009 doi
-
[372]
doi:10.1016/j.csda.2013.10.009. 27
2013 doi
-
[1256]
doi:10.1111/j.1460-9568.2005.04298.x
2005
Reviewed August 14, 2026 · model on record in the stance chip above.
Discussion (0). Continue with ORCID to comment.