Daily Papers

Alignment of the language model with human preferences is a common approach to making a language model useful to end users. However, most alignment work is done in English, and human preference datasets are dominated by English, reflecting only the preferences of English-speaking annotators. Nevertheless, it is common practice to use the English preference data, either directly or by translating it into the target language, when aligning a multilingual language model. The question is whether such an alignment strategy marginalizes the preference of non-English speaking users. To this end, we investigate the effect of aligning Japanese language models with (mostly) English resources. In particular, we focus on evaluating whether the commonsense morality of the resulting fine-tuned models is aligned with Japanese culture using the JCommonsenseMorality (JCM) and ETHICS datasets. The experimental results show that the fine-tuned model outperforms the SFT model. However, it does not demonstrate the same level of improvement as a model fine-tuned using the JCM, suggesting that while some aspects of commonsense morality are transferable, others may not be.

Reinforcement Learning from Human Feedback (RLHF) has been commonly used to align the behaviors of Large Language Models (LLMs) with human preferences. Recently, a popular alternative is Direct Policy Optimization (DPO), which replaces an LLM-based reward model with the policy itself, thus obviating the need for extra memory and training time to learn the reward model. However, DPO does not consider the relative qualities of the positive and negative responses, and can lead to sub-optimal training outcomes. To alleviate this problem, we investigate the use of intrinsic knowledge within the on-the-fly fine-tuning LLM to obtain relative qualities and help to refine the loss function. Specifically, we leverage the knowledge of the LLM to design a refinement function to estimate the quality of both the positive and negative responses. We show that the constructed refinement function can help self-refine the loss function under mild assumptions. The refinement function is integrated into DPO and its variant Identity Policy Optimization (IPO). Experiments across various evaluators indicate that they can improve the performance of the fine-tuned models over DPO and IPO.

Ensuring alignment of language models' outputs with human preferences is critical to guarantee a useful, safe, and pleasant user experience. Thus, human alignment has been extensively studied recently and several methods such as Reinforcement Learning from Human Feedback (RLHF), Direct Policy Optimisation (DPO) and Sequence Likelihood Calibration (SLiC) have emerged. In this paper, our contribution is two-fold. First, we show the equivalence between two recent alignment methods, namely Identity Policy Optimisation (IPO) and Nash Mirror Descent (Nash-MD). Second, we introduce a generalisation of IPO, named IPO-MD, that leverages the regularised sampling approach proposed by Nash-MD. This equivalence may seem surprising at first sight, since IPO is an offline method whereas Nash-MD is an online method using a preference model. However, this equivalence can be proven when we consider the online version of IPO, that is when both generations are sampled by the online policy and annotated by a trained preference model. Optimising the IPO loss with such a stream of data becomes then equivalent to finding the Nash equilibrium of the preference model through self-play. Building on this equivalence, we introduce the IPO-MD algorithm that generates data with a mixture policy (between the online and reference policy) similarly as the general Nash-MD algorithm. We compare online-IPO and IPO-MD to different online versions of existing losses on preference data such as DPO and SLiC on a summarisation task.

User intentions are typically formalized as evaluation rewards to be maximized when fine-tuning language models (LMs). Existing alignment methods, such as Direct Preference Optimization (DPO), are mainly tailored for pairwise preference data where rewards are implicitly defined rather than explicitly given. In this paper, we introduce a general framework for LM alignment, leveraging Noise Contrastive Estimation (NCE) to bridge the gap in handling reward datasets explicitly annotated with scalar evaluations. Our framework comprises two parallel algorithms, NCA and InfoNCA, both enabling the direct extraction of an LM policy from reward data as well as preference data. Notably, we show that the DPO loss is a special case of our proposed InfoNCA objective under pairwise preference settings, thereby integrating and extending current alignment theories. By contrasting NCA and InfoNCA, we show that InfoNCA and DPO adjust relative likelihood across different responses to a single instruction, while NCA optimizes absolute likelihood for each response. We apply our methods to align a 7B language model with a GPT-4 annotated reward dataset. Experimental results suggest that InfoNCA surpasses the DPO baseline in GPT-4 evaluations, while NCA enjoys better training stability with competitive performance.

Ensuring the safe alignment of large language models (LLMs) with human values is critical as they become integral to applications like translation and question answering. Current alignment methods struggle with dynamic user intentions and complex objectives, making models vulnerable to generating harmful content. We propose Safety Arithmetic, a training-free framework enhancing LLM safety across different scenarios: Base models, Supervised fine-tuned models (SFT), and Edited models. Safety Arithmetic involves Harm Direction Removal to avoid harmful content and Safety Alignment to promote safe responses. Additionally, we present NoIntentEdit, a dataset highlighting edit instances that could compromise model safety if used unintentionally. Our experiments show that Safety Arithmetic significantly improves safety measures, reduces over-safety, and maintains model utility, outperforming existing methods in ensuring safe content generation.

Recent AI-assistant agents, such as ChatGPT, predominantly rely on supervised fine-tuning (SFT) with human annotations and reinforcement learning from human feedback (RLHF) to align the output of large language models (LLMs) with human intentions, ensuring they are helpful, ethical, and reliable. However, this dependence can significantly constrain the true potential of AI-assistant agents due to the high cost of obtaining human supervision and the related issues on quality, reliability, diversity, self-consistency, and undesirable biases. To address these challenges, we propose a novel approach called SELF-ALIGN, which combines principle-driven reasoning and the generative power of LLMs for the self-alignment of AI agents with minimal human supervision. Our approach encompasses four stages: first, we use an LLM to generate synthetic prompts, and a topic-guided method to augment the prompt diversity; second, we use a small set of human-written principles for AI models to follow, and guide the LLM through in-context learning from demonstrations (of principles application) to produce helpful, ethical, and reliable responses to user's queries; third, we fine-tune the original LLM with the high-quality self-aligned responses so that the resulting model can generate desirable responses for each query directly without the principle set and the demonstrations anymore; and finally, we offer a refinement step to address the issues of overly-brief or indirect responses. Applying SELF-ALIGN to the LLaMA-65b base language model, we develop an AI assistant named Dromedary. With fewer than 300 lines of human annotations (including < 200 seed prompts, 16 generic principles, and 5 exemplars for in-context learning). Dromedary significantly surpasses the performance of several state-of-the-art AI systems, including Text-Davinci-003 and Alpaca, on benchmark datasets with various settings.

This study addresses the challenge of noise in training datasets for Direct Preference Optimization (DPO), a method for aligning Large Language Models (LLMs) with human preferences. We categorize noise into pointwise noise, which includes low-quality data points, and pairwise noise, which encompasses erroneous data pair associations that affect preference rankings. Utilizing Distributionally Robust Optimization (DRO), we enhance DPO's resilience to these types of noise. Our theoretical insights reveal that DPO inherently embeds DRO principles, conferring robustness to pointwise noise, with the regularization coefficient beta playing a critical role in its noise resistance. Extending this framework, we introduce Distributionally Robustifying DPO (Dr. DPO), which integrates pairwise robustness by optimizing against worst-case pairwise scenarios. The novel hyperparameter beta' in Dr. DPO allows for fine-tuned control over data pair reliability, providing a strategic balance between exploration and exploitation in noisy training environments. Empirical evaluations demonstrate that Dr. DPO substantially improves the quality of generated text and response accuracy in preference datasets, showcasing enhanced performance in both noisy and noise-free settings. The code is available at https://github.com/junkangwu/Dr_DPO.

Pre-trained Language Models (LMs) exhibit strong zero-shot and in-context learning capabilities; however, their behaviors are often difficult to control. By utilizing Reinforcement Learning from Human Feedback (RLHF), it is possible to fine-tune unsupervised LMs to follow instructions and produce outputs that reflect human preferences. Despite its benefits, RLHF has been shown to potentially harm a language model's reasoning capabilities and introduce artifacts such as hallucinations where the model may fabricate facts. To address this issue we introduce Direct Preference Heads (DPH), a fine-tuning framework that enables LMs to learn human preference signals through an auxiliary reward head without directly affecting the output distribution of the language modeling head. We perform a theoretical analysis of our objective function and find strong ties to Conservative Direct Preference Optimization (cDPO). Finally we evaluate our models on GLUE, RACE, and the GPT4All evaluation suite and demonstrate that our method produces models which achieve higher scores than those fine-tuned with Supervised Fine-Tuning (SFT) or Direct Preference Optimization (DPO) alone.

With the widespread application of Large Language Models (LLMs), it has become a significant concern to ensure their safety and prevent harmful responses. While current safe-alignment methods based on instruction fine-tuning and Reinforcement Learning from Human Feedback (RLHF) can effectively reduce harmful responses from LLMs, they often require high-quality datasets and heavy computational overhead during model training. Another way to align language models is to modify the logit of tokens in model outputs without heavy training. Recent studies have shown that contrastive decoding can enhance the performance of language models by reducing the likelihood of confused tokens. However, these methods require the manual selection of contrastive models or instruction templates. To this end, we propose Adversarial Contrastive Decoding (ACD), an optimization-based framework to generate two opposite system prompts for prompt-based contrastive decoding. ACD only needs to apply a lightweight prompt tuning on a rather small anchor dataset (< 3 min for each model) without training the target model. Experiments conducted on extensive models and benchmarks demonstrate that the proposed method achieves much better safety performance than previous model training-free decoding methods without sacrificing its original generation ability.

The alignment of language models with human preferences is vital for their application in real-world tasks. The problem is formulated as optimizing the model's policy to maximize the expected reward that reflects human preferences with minimal deviation from the initial policy. While considered as a straightforward solution, reinforcement learning (RL) suffers from high variance in policy updates, which impedes efficient policy improvement. Recently, direct preference optimization (DPO) was proposed to directly optimize the policy from preference data. Though simple to implement, DPO is derived based on the optimal policy that is not assured to be achieved in practice, which undermines its convergence to the intended solution. In this paper, we propose efficient exact optimization (EXO) of the alignment objective. We prove that EXO is guaranteed to optimize in the same direction as the RL algorithms asymptotically for arbitary parametrization of the policy, while enables efficient optimization by circumventing the complexities associated with RL algorithms. We compare our method to DPO with both theoretical and empirical analyses, and further demonstrate the advantages of our method over existing approaches on realistic human preference data.

With the proliferation of large language models (LLMs), the comprehensive alignment of such models across multiple tasks has emerged as a critical area of research. Existing alignment methodologies primarily address single task, such as multi-turn dialogue, coding, mathematical problem-solving, and tool usage. However, AI-driven products that leverage language models usually necessitate a fusion of these abilities to function effectively in real-world scenarios. Moreover, the considerable computational resources required for proper alignment of LLMs underscore the need for a more robust, efficient, and encompassing approach to multi-task alignment, ensuring improved generative performance. In response to these challenges, we introduce a novel technique termed Mixture-of-Instructions (MoI), which employs a strategy of instruction concatenation combined with diverse system prompts to boost the alignment efficiency of language models. We have also compiled a diverse set of seven benchmark datasets to rigorously evaluate the alignment efficacy of the MoI-enhanced language model. Our methodology was applied to the open-source Qwen-7B-chat model, culminating in the development of Qwen-SFT-MoI. This enhanced model demonstrates significant advancements in generative capabilities across coding, mathematics, and tool use tasks.

We propose controlled decoding (CD), a novel off-policy reinforcement learning method to control the autoregressive generation from language models towards high reward outcomes. CD solves an off-policy reinforcement learning problem through a value function for the reward, which we call a prefix scorer. The prefix scorer is used at inference time to steer the generation towards higher reward outcomes. We show that the prefix scorer may be trained on (possibly) off-policy data to predict the expected reward when decoding is continued from a partially decoded response. We empirically demonstrate that CD is effective as a control mechanism on Reddit conversations corpus. We also show that the modularity of the design of CD makes it possible to control for multiple rewards, effectively solving a multi-objective reinforcement learning problem with no additional complexity. Finally, we show that CD can be applied in a novel blockwise fashion at inference-time, again without the need for any training-time changes, essentially bridging the gap between the popular best-of-K strategy and token-level reinforcement learning. This makes CD a promising approach for alignment of language models.

Reward models (RMs) are at the crux of successful RLHF to align pretrained models to human preferences, yet there has been relatively little study that focuses on evaluation of those reward models. Evaluating reward models presents an opportunity to understand the opaque technologies used for alignment of language models and which values are embedded in them. To date, very few descriptors of capabilities, training methods, or open-source reward models exist. In this paper, we present RewardBench, a benchmark dataset and code-base for evaluation, to enhance scientific understanding of reward models. The RewardBench dataset is a collection of prompt-win-lose trios spanning chat, reasoning, and safety, to benchmark how reward models perform on challenging, structured and out-of-distribution queries. We created specific comparison datasets for RMs that have subtle, but verifiable reasons (e.g. bugs, incorrect facts) why one answer should be preferred to another. On the RewardBench leaderboard, we evaluate reward models trained with a variety of methods, such as the direct MLE training of classifiers and the implicit reward modeling of Direct Preference Optimization (DPO), and on a spectrum of datasets. We present many findings on propensity for refusals, reasoning limitations, and instruction following shortcomings of various reward models towards a better understanding of the RLHF process.

Improving the alignment of language models with human preferences remains an active research challenge. Previous approaches have primarily utilized Reinforcement Learning from Human Feedback (RLHF) via online RL methods such as Proximal Policy Optimization (PPO). Recently, offline methods such as Sequence Likelihood Calibration (SLiC) and Direct Preference Optimization (DPO) have emerged as attractive alternatives, offering improvements in stability and scalability while maintaining competitive performance. SLiC refines its loss function using sequence pairs sampled from a supervised fine-tuned (SFT) policy, while DPO directly optimizes language models based on preference data, foregoing the need for a separate reward model. However, the maximum likelihood estimator (MLE) of the target optimal policy requires labeled preference pairs sampled from that policy. DPO's lack of a reward model constrains its ability to sample preference pairs from the optimal policy, and SLiC is restricted to sampling preference pairs only from the SFT policy. To address these limitations, we introduce a novel approach called Statistical Rejection Sampling Optimization (RSO) that aims to source preference data from the target optimal policy using rejection sampling, enabling a more accurate estimation of the optimal policy. We also propose a unified framework that enhances the loss functions used in both SLiC and DPO from a preference modeling standpoint. Through extensive experiments across three diverse tasks, we demonstrate that RSO consistently outperforms both SLiC and DPO on evaluations from both Large Language Model (LLM) and human raters.

Learning from human feedback has enabled the alignment of language models (LMs) with human preferences. However, directly collecting human preferences can be expensive, time-consuming, and can have high variance. An appealing alternative is to distill preferences from LMs as a source of synthetic annotations as they are more consistent, cheaper, and scale better than human annotation; however, they are also prone to biases and errors. In this work, we introduce a routing framework that combines inputs from humans and LMs to achieve better annotation quality, while reducing the total cost of human annotation. The crux of our approach is to identify preference instances that will benefit from human annotations. We formulate this as an optimization problem: given a preference dataset and an evaluation metric, we train a performance prediction model to predict a reward model's performance on an arbitrary combination of human and LM annotations and employ a routing strategy that selects a combination that maximizes predicted performance. We train the performance prediction model on MultiPref, a new preference dataset with 10K instances paired with human and LM labels. We show that the selected hybrid mixture of LM and direct human preferences using our routing framework achieves better reward model performance compared to using either one exclusively. We simulate selective human preference collection on three other datasets and show that our method generalizes well to all three. We analyze features from the routing model to identify characteristics of instances that can benefit from human feedback, e.g., prompts with a moderate safety concern or moderate intent complexity. We release the dataset, annotation platform, and source code used in this study to foster more efficient and accurate preference collection in the future.

Aligning large language models (LLMs) with human values is imperative to mitigate potential adverse effects resulting from their misuse. Drawing from the sociological insight that acknowledging all parties' concerns is a key factor in shaping human values, this paper proposes a novel direction to align LLMs by themselves: social scene simulation. To achieve this, we present MATRIX, a novel social scene simulator that emulates realistic scenes around a user's input query, enabling the LLM to take social consequences into account before responding. MATRIX serves as a virtual rehearsal space, akin to a Monopolylogue, where the LLM performs diverse roles related to the query and practice by itself. To inject this alignment, we fine-tune the LLM with MATRIX-simulated data, ensuring adherence to human values without compromising inference speed. We theoretically show that the LLM with MATRIX outperforms Constitutional AI under mild assumptions. Finally, extensive experiments validate that our method outperforms over 10 baselines across 4 benchmarks. As evidenced by 875 user ratings, our tuned 13B-size LLM exceeds GPT-4 in aligning with human values. Code is available at https://github.com/pangxianghe/MATRIX.

Extending large language models to effectively handle long contexts requires instruction fine-tuning on input sequences of similar length. To address this, we present LongAlign -- a recipe of the instruction data, training, and evaluation for long context alignment. First, we construct a long instruction-following dataset using Self-Instruct. To ensure the data diversity, it covers a broad range of tasks from various long context sources. Second, we adopt the packing and sorted batching strategies to speed up supervised fine-tuning on data with varied length distributions. Additionally, we develop a loss weighting method to balance the contribution to the loss across different sequences during packing training. Third, we introduce the LongBench-Chat benchmark for evaluating instruction-following capabilities on queries of 10k-100k in length. Experiments show that LongAlign outperforms existing recipes for LLMs in long context tasks by up to 30\%, while also maintaining their proficiency in handling short, generic tasks. The code, data, and long-aligned models are open-sourced at https://github.com/THUDM/LongAlign.

Large language models have demonstrated significant potential as the next-generation information access engines. However, their reliability is hindered by issues of hallucination and generating non-factual content. This is particularly problematic in long-form responses, where assessing and ensuring factual accuracy is complex. In this paper, we address this gap by proposing FactAlign, a novel alignment framework designed to enhance the factuality of LLMs' long-form responses while maintaining their helpfulness. We introduce fKTO, a fine-grained, sentence-level alignment algorithm that extends the Kahneman-Tversky Optimization (KTO) alignment method. Leveraging recent advances in automatic factuality evaluation, FactAlign utilizes fine-grained factuality assessments to guide the alignment process. Our experiments on open-domain prompts and information-seeking questions demonstrate that FactAlign significantly improves the factual accuracy of LLM responses while also improving their helpfulness. Further analyses identify that FactAlign is capable of training LLMs to provide more information without losing factual precision, thus improving the factual F1 score. Our source code, datasets, and trained models are publicly available at https://github.com/MiuLab/FactAlign

Alignment has become a critical step for instruction-tuned Large Language Models (LLMs) to become helpful assistants. However, effective evaluation of alignment for emerging Chinese LLMs is still significantly lacking, calling for real-scenario grounded, open-ended, challenging and automatic evaluations tailored for alignment. To fill in this gap, we introduce AlignBench, a comprehensive multi-dimensional benchmark for evaluating LLMs' alignment in Chinese. Equipped with a human-in-the-loop data curation pipeline, our benchmark employs a rule-calibrated multi-dimensional LLM-as-Judge with Chain-of-Thought to generate explanations and final ratings as evaluations, ensuring high reliability and interpretability. Furthermore, we report AlignBench evaluated by CritiqueLLM, a dedicated Chinese evaluator LLM that recovers 95% of GPT-4's evaluation ability. We will provide public APIs for evaluating AlignBench with CritiqueLLM to facilitate the evaluation of LLMs' Chinese alignment. All evaluation codes, data, and LLM generations are available at https://github.com/THUDM/AlignBench.

Current methods for aligning large language models (LLMs) typically aim to reflect general human values and behaviors, but they often fail to capture the unique characteristics and preferences of individual users. To address this gap, we introduce the concept of Personality Alignment. This approach tailors LLMs' responses and decisions to match the specific preferences of individual users or closely related groups. Inspired by psychometrics, we created the Personality Alignment with Personality Inventories (PAPI) dataset, which includes data from 300,000 real subjects, each providing behavioral preferences based on the Big Five Personality Factors. This dataset allows us to quantitatively evaluate the extent to which LLMs can align with each subject's behavioral patterns. Recognizing the challenges of personality alignments: such as limited personal data, diverse preferences, and scalability requirements: we developed an activation intervention optimization method. This method enhances LLMs' ability to efficiently align with individual behavioral preferences using minimal data and computational resources. Remarkably, our method, PAS, achieves superior performance while requiring only 1/5 of the optimization time compared to DPO, offering practical value for personality alignment. Our work paves the way for future AI systems to make decisions and reason in truly personality ways, enhancing the relevance and meaning of AI interactions for each user and advancing human-centered artificial intelligence.The code has released in https://github.com/zhu-minjun/PAlign.

In this paper, we introduce the novel concept of pedagogically aligned Large Language Models (LLMs) that signifies a transformative shift in the application of LLMs within educational contexts. Rather than providing direct responses to user queries, pedagogically-aligned LLMs function as scaffolding tools, breaking complex problems into manageable subproblems and guiding students towards the final answer through constructive feedback and hints. The objective is to equip learners with problem-solving strategies that deepen their understanding and internalization of the subject matter. Previous research in this field has primarily applied the supervised finetuning approach without framing the objective as an alignment problem, hence not employing reinforcement learning through human feedback (RLHF) methods. This study reinterprets the narrative by viewing the task through the lens of alignment and demonstrates how RLHF methods emerge naturally as a superior alternative for aligning LLM behaviour. Building on this perspective, we propose a novel approach for constructing a reward dataset specifically designed for the pedagogical alignment of LLMs. We apply three state-of-the-art RLHF algorithms and find that they outperform SFT significantly. Our qualitative analyses across model differences and hyperparameter sensitivity further validate the superiority of RLHF over SFT. Also, our study sheds light on the potential of online feedback for enhancing the performance of pedagogically-aligned LLMs, thus providing valuable insights for the advancement of these models in educational settings.

Language models (LMs) are increasingly used as simulacra for people, yet their ability to match the distribution of views of a specific demographic group and be distributionally aligned remains uncertain. This notion of distributional alignment is complex, as there is significant variation in the types of attributes that are simulated. Prior works have underexplored the role of three critical variables -- the question domain, steering method, and distribution expression method -- which motivates our contribution of a benchmark explicitly addressing these dimensions. We construct a dataset expanding beyond political values, create human baselines for this task, and evaluate the extent to which an LM can align with a particular group's opinion distribution to inform design choices of such simulation systems. Our analysis reveals open problems regarding if, and how, LMs can be used to simulate humans, and that LLMs can more accurately describe the opinion distribution than simulate such distributions.

Even highly capable large language models (LLMs) can produce biased or unsafe responses, and alignment techniques, such as RLHF, aimed at mitigating this issue, are expensive and prone to overfitting as they retrain the LLM. This paper introduces a novel inference-time alignment approach that ensures LLMs generate safe responses almost surely, i.e., with a probability approaching one. We achieve this by framing the safe generation of inference-time responses as a constrained Markov decision process within the LLM's latent space. Crucially, we augment a safety state that tracks the evolution of safety constraints and enables us to demonstrate formal safety guarantees upon solving the MDP in the latent space. Building on this foundation, we propose InferenceGuard, a practical implementation that safely aligns LLMs without modifying the model weights. Empirically, we demonstrate InferenceGuard effectively balances safety and task performance, outperforming existing inference-time alignment methods in generating safe and aligned responses.

Learning from human feedback is a prominent technique to align the output of large language models (LLMs) with human expectations. Reinforcement learning from human feedback (RLHF) leverages human preference signals that are in the form of ranking of response pairs to perform this alignment. However, human preference on LLM outputs can come in much richer forms including natural language, which may provide detailed feedback on strengths and weaknesses of a given response. In this work we investigate data efficiency of modeling human feedback that is in natural language. Specifically, we fine-tune an open-source LLM, e.g., Falcon-40B-Instruct, on a relatively small amount (1000 records or even less) of human feedback in natural language in the form of critiques and revisions of responses. We show that this model is able to improve the quality of responses from even some of the strongest LLMs such as ChatGPT, BARD, and Vicuna, through critique and revision of those responses. For instance, through one iteration of revision of ChatGPT responses, the revised responses have 56.6% win rate over the original ones, and this win rate can be further improved to 65.9% after applying the revision for five iterations.

Large language models (LLMs) have had a transformative impact on a variety of scientific tasks across disciplines such as biology, chemistry, medicine, and physics. However, ensuring the safety alignment of these models in scientific research remains an underexplored area, with existing benchmarks primarily focus on textual content and overlooking key scientific representations such as molecular, protein, and genomic languages. Moreover, the safety mechanisms of LLMs in scientific tasks are insufficiently studied. To address these limitations, we introduce SciSafeEval, a comprehensive benchmark designed to evaluate the safety alignment of LLMs across a range of scientific tasks. SciSafeEval spans multiple scientific languages - including textual, molecular, protein, and genomic - and covers a wide range of scientific domains. We evaluate LLMs in zero-shot, few-shot and chain-of-thought settings, and introduce a 'jailbreak' enhancement feature that challenges LLMs equipped with safety guardrails, rigorously testing their defenses against malicious intention. Our benchmark surpasses existing safety datasets in both scale and scope, providing a robust platform for assessing the safety and performance of LLMs in scientific contexts. This work aims to facilitate the responsible development and deployment of LLMs, promoting alignment with safety and ethical standards in scientific research.

Many applications of large language models (LLMs), ranging from chatbots to creative writing, require nuanced subjective judgments that can differ significantly across different groups. Existing alignment algorithms can be expensive to align for each group, requiring prohibitive amounts of group-specific preference data and computation for real-world use cases. We introduce Group Preference Optimization (GPO), an alignment framework that steers language models to preferences of individual groups in a few-shot manner. In GPO, we augment the base LLM with an independent transformer module trained to predict the preferences of a group for the LLM generations. For few-shot learning, we parameterize this module as an in-context autoregressive transformer and train it via meta-learning on several groups. We empirically validate the efficacy of GPO through rigorous evaluations using LLMs with varied sizes on three human opinion adaptation tasks. These tasks involve adapting to the preferences of US demographic groups, global countries, and individual users. Our results demonstrate that GPO not only aligns models more accurately but also requires fewer group-specific preferences, and less training and inference computing resources, outperforming existing strategies such as in-context steering and fine-tuning methods.

Direct alignment algorithms (DAAs), such as direct preference optimization (DPO), have become popular alternatives for Reinforcement Learning from Human Feedback (RLHF) due to their simplicity, efficiency, and stability. However, the preferences used in DAAs are usually collected before the alignment training begins and remain unchanged (off-policy). This can lead to two problems where the policy model (1) picks up on spurious correlations in the dataset (as opposed to learning the intended alignment expressed in the human preference labels), and (2) overfits to feedback on off-policy trajectories that have less likelihood of being generated by an updated policy model. To address these issues, we introduce Self-Reviewing and Alignment (SeRA), a cost-efficient and effective method that can be readily combined with existing DAAs. SeRA comprises of two components: (1) sample selection using implicit reward margins, which helps alleviate over-fitting to some undesired features, and (2) preference bootstrapping using implicit rewards to augment preference data with updated policy models in a cost-efficient manner. Extensive experimentation, including some on instruction-following tasks, demonstrate the effectiveness and generality of SeRA in training LLMs on offline preference datasets with DAAs.

Reinforcement Learning from Human Feedback (RLHF) aligns language models to human preferences by employing a singular reward model derived from preference data. However, such an approach overlooks the rich diversity of human preferences inherent in data collected from multiple users. In this work, we first derive an impossibility result of alignment with single reward RLHF, thereby highlighting its insufficiency in representing diverse human preferences. To provide an equitable solution to the problem, we learn a mixture of preference distributions via an expectation-maximization algorithm and propose a MaxMin alignment objective for policy learning inspired by the Egalitarian principle in social choice theory to better represent diverse human preferences. We elucidate the connection of our proposed approach to distributionally robust optimization and general utility RL, thereby highlighting the generality and robustness of our proposed solution. We present comprehensive experimental results on small-scale (GPT-2) and large-scale language models (with Tulu2-7B) and show the efficacy of the proposed approach in the presence of diversity among human preferences. Our algorithm achieves an average improvement of more than 16% in win-rates over conventional RLHF algorithms and improves the win-rate (accuracy) for minority groups by over 33% without compromising the performance of majority groups, showcasing the robustness and fairness of our approach. We remark that our findings in this work are not only limited to language models but also extend to reinforcement learning in general.

This paper addresses the challenges of aligning large language models (LLMs) with human values via preference learning (PL), with a focus on the issues of incomplete and corrupted data in preference datasets. We propose a novel method for robustly and completely recalibrating values within these datasets to enhance LLMs resilience against the issues. In particular, we devise a guaranteed polynomial time ranking algorithm that robustifies several existing models, such as the classic Bradley--Terry--Luce (BTL) (Bradley and Terry, 1952) model and certain generalizations of it. To the best of our knowledge, our present work is the first to propose an algorithm that provably recovers an {\epsilon}-optimal ranking with high probability while allowing as large as O(n) perturbed pairwise comparison results per model response. Furthermore, we show robust recovery results in the partially observed setting. Our experiments confirm that our algorithms handle adversarial noise and unobserved comparisons well in both general and LLM preference dataset settings. This work contributes to the development and scaling of more reliable and ethically aligned AI models by equipping the dataset curation pipeline with the ability to handle missing and maliciously manipulated inputs.

Data is a crucial element in large language model (LLM) alignment. Recent studies have explored using LLMs for efficient data collection. However, LLM-generated data often suffers from quality issues, with underrepresented or absent aspects and low-quality datapoints. To address these problems, we propose Data Advisor, an enhanced LLM-based method for generating data that takes into account the characteristics of the desired dataset. Starting from a set of pre-defined principles in hand, Data Advisor monitors the status of the generated data, identifies weaknesses in the current dataset, and advises the next iteration of data generation accordingly. Data Advisor can be easily integrated into existing data generation methods to enhance data quality and coverage. Experiments on safety alignment of three representative LLMs (i.e., Mistral, Llama2, and Falcon) demonstrate the effectiveness of Data Advisor in enhancing model safety against various fine-grained safety issues without sacrificing model utility.

Human feedback plays a central role in the alignment of Large Language Models (LLMs). However, open questions remain about the methods (how), domains (where), people (who) and objectives (to what end) of human feedback collection. To navigate these questions, we introduce PRISM, a new dataset which maps the sociodemographics and stated preferences of 1,500 diverse participants from 75 countries, to their contextual preferences and fine-grained feedback in 8,011 live conversations with 21 LLMs. PRISM contributes (i) wide geographic and demographic participation in human feedback data; (ii) two census-representative samples for understanding collective welfare (UK and US); and (iii) individualised feedback where every rating is linked to a detailed participant profile, thus permitting exploration of personalisation and attribution of sample artefacts. We focus on collecting conversations that centre subjective and multicultural perspectives on value-laden and controversial topics, where we expect the most interpersonal and cross-cultural disagreement. We demonstrate the usefulness of PRISM via three case studies of dialogue diversity, preference diversity, and welfare outcomes, showing that it matters which humans set alignment norms. As well as offering a rich community resource, we advocate for broader participation in AI development and a more inclusive approach to technology design.

Our approach, which we call Embeddings for Language/Image-aligned X-Rays, or ELIXR, leverages a language-aligned image encoder combined or grafted onto a fixed LLM, PaLM 2, to perform a broad range of tasks. We train this lightweight adapter architecture using images paired with corresponding free-text radiology reports from the MIMIC-CXR dataset. ELIXR achieved state-of-the-art performance on zero-shot chest X-ray (CXR) classification (mean AUC of 0.850 across 13 findings), data-efficient CXR classification (mean AUCs of 0.893 and 0.898 across five findings (atelectasis, cardiomegaly, consolidation, pleural effusion, and pulmonary edema) for 1% (~2,200 images) and 10% (~22,000 images) training data), and semantic search (0.76 normalized discounted cumulative gain (NDCG) across nineteen queries, including perfect retrieval on twelve of them). Compared to existing data-efficient methods including supervised contrastive learning (SupCon), ELIXR required two orders of magnitude less data to reach similar performance. ELIXR also showed promise on CXR vision-language tasks, demonstrating overall accuracies of 58.7% and 62.5% on visual question answering and report quality assurance tasks, respectively. These results suggest that ELIXR is a robust and versatile approach to CXR AI.

Reinforcement learning from human feedback (RLHF) has been extensively employed to align large language models with user intent. However, proximal policy optimization (PPO) based RLHF is occasionally unstable requiring significant hyperparameter finetuning, and computationally expensive to maximize the estimated reward during alignment. Recently, direct preference optimization (DPO) is proposed to address those challenges. However, DPO relies on contrastive responses generated from human annotator and alternative LLM, instead of the policy model, limiting the effectiveness of the RLHF. In this paper, we addresses both challenges by systematically combining rejection sampling (RS) and DPO. Our proposed method, RS-DPO, initiates with the development of a supervised fine-tuned policy model (SFT). A varied set of k responses per prompt are sampled directly from the SFT model. RS-DPO identifies pairs of contrastive samples based on their reward distribution. Finally, we apply DPO with the contrastive samples to align the model to human preference. Our experiments indicate that our proposed method effectively fine-tunes LLMs with limited resource environments, leading to improved alignment with user intent. Furthermore, it outperforms existing methods, including RS, PPO, and DPO.

The alignment of large language models is usually done by model providers to add or control behaviors that are common or universally understood across use cases and contexts. In contrast, in this article, we present an approach and architecture that empowers application developers to tune a model to their particular values, social norms, laws and other regulations, and orchestrate between potentially conflicting requirements in context. We lay out three main components of such an Alignment Studio architecture: Framers, Instructors, and Auditors that work in concert to control the behavior of a language model. We illustrate this approach with a running example of aligning a company's internal-facing enterprise chatbot to its business conduct guidelines.

Achieving balanced alignment of large language models (LLMs) in terms of Helpfulness, Honesty, and Harmlessness (3H optimization) constitutes a cornerstone of responsible AI, with existing methods like data mixture strategies facing limitations including reliance on expert knowledge and conflicting optimization signals. While model merging offers a promising alternative by integrating specialized models, its potential for 3H optimization remains underexplored. This paper establishes the first comprehensive benchmark for model merging in 3H-aligned LLMs, systematically evaluating 15 methods (12 training-free merging and 3 data mixture techniques) across 10 datasets associated with 5 annotation dimensions, 2 LLM families, and 2 training paradigms. Our analysis reveals three pivotal insights: (i) previously overlooked collaborative/conflicting relationships among 3H dimensions, (ii) the consistent superiority of model merging over data mixture approaches in balancing alignment trade-offs, and (iii) the critical role of parameter-level conflict resolution through redundant component pruning and outlier mitigation. Building on these findings, we propose R-TSVM, a Reweighting-enhanced Task Singular Vector Merging method that incorporates outlier-aware parameter weighting and sparsity-adaptive rank selection strategies adapted to the heavy-tailed parameter distribution and sparsity for LLMs, further improving LLM alignment across multiple evaluations. We release our trained models for further exploration.

The emergence of large language models (LLMs) has sparked significant interest in extending their remarkable language capabilities to speech. However, modality alignment between speech and text still remains an open problem. Current solutions can be categorized into two strategies. One is a cascaded approach where outputs (tokens or states) of a separately trained speech recognition system are used as inputs for LLMs, which limits their potential in modeling alignment between speech and text. The other is an end-to-end approach that relies on speech instruction data, which is very difficult to collect in large quantities. In this paper, we address these issues and propose the BLSP approach that Bootstraps Language-Speech Pre-training via behavior alignment of continuation writing. We achieve this by learning a lightweight modality adapter between a frozen speech encoder and an LLM, ensuring that the LLM exhibits the same generation behavior regardless of the modality of input: a speech segment or its transcript. The training process can be divided into two steps. The first step prompts an LLM to generate texts with speech transcripts as prefixes, obtaining text continuations. In the second step, these continuations are used as supervised signals to train the modality adapter in an end-to-end manner. We demonstrate that this straightforward process can extend the capabilities of LLMs to speech, enabling speech recognition, speech translation, spoken language understanding, and speech conversation, even in zero-shot cross-lingual scenarios.

The dominant framework for alignment of large language models (LLM), whether through reinforcement learning from human feedback or direct preference optimisation, is to learn from preference data. This involves building datasets where each element is a quadruplet composed of a prompt, two independent responses (completions of the prompt) and a human preference between the two independent responses, yielding a preferred and a dis-preferred response. Such data is typically scarce and expensive to collect. On the other hand, single-trajectory datasets where each element is a triplet composed of a prompt, a response and a human feedback is naturally more abundant. The canonical element of such datasets is for instance an LLM's response to a user's prompt followed by a user's feedback such as a thumbs-up/down. Consequently, in this work, we propose DRO, or Direct Reward Optimisation, as a framework and associated algorithms that do not require pairwise preferences. DRO uses a simple mean-squared objective that can be implemented in various ways. We validate our findings empirically, using T5 encoder-decoder language models, and show DRO's performance over selected baselines such as Kahneman-Tversky Optimization (KTO). Thus, we confirm that DRO is a simple and empirically compelling method for single-trajectory policy optimisation.

As large language models (LLMs) grow more powerful, concerns around potential harms like toxicity, unfairness, and hallucination threaten user trust. Ensuring beneficial alignment of LLMs with human values through model alignment is thus critical yet challenging, requiring a deeper understanding of LLM behaviors and mechanisms. We propose opening the black box of LLMs through a framework of holistic interpretability encompassing complementary bottom-up and top-down perspectives. The bottom-up view, enabled by mechanistic interpretability, focuses on component functionalities and training dynamics. The top-down view utilizes representation engineering to analyze behaviors through hidden representations. In this paper, we review the landscape around mechanistic interpretability and representation engineering, summarizing approaches, discussing limitations and applications, and outlining future challenges in using these techniques to achieve ethical, honest, and reliable reasoning aligned with human values.

Aligning language models with human preferences is crucial for reducing errors and biases in these models. Alignment techniques, such as reinforcement learning from human feedback (RLHF), are typically cast as optimizing a tradeoff between human preference rewards and a proximity regularization term that encourages staying close to the unaligned model. Selecting an appropriate level of regularization is critical: insufficient regularization can lead to reduced model capabilities due to reward hacking, whereas excessive regularization hinders alignment. Traditional methods for finding the optimal regularization level require retraining multiple models with varying regularization strengths. This process, however, is resource-intensive, especially for large models. To address this challenge, we propose decoding-time realignment (DeRa), a simple method to explore and evaluate different regularization strengths in aligned models without retraining. DeRa enables control over the degree of alignment, allowing users to smoothly transition between unaligned and aligned models. It also enhances the efficiency of hyperparameter tuning by enabling the identification of effective regularization strengths using a validation dataset.

Rapid advancements in large language models have unlocked remarkable capabilities when it comes to processing and summarizing unstructured text data. This has implications for the analysis of rich, open-ended datasets, such as survey responses, where LLMs hold the promise of efficiently distilling key themes and sentiments. However, as organizations increasingly turn to these powerful AI systems to make sense of textual feedback, a critical question arises, can we trust LLMs to accurately represent the perspectives contained within these text based datasets? While LLMs excel at generating human-like summaries, there is a risk that their outputs may inadvertently diverge from the true substance of the original responses. Discrepancies between the LLM-generated outputs and the actual themes present in the data could lead to flawed decision-making, with far-reaching consequences for organizations. This research investigates the effectiveness of LLMs as judge models to evaluate the thematic alignment of summaries generated by other LLMs. We utilized an Anthropic Claude model to generate thematic summaries from open-ended survey responses, with Amazon's Titan Express, Nova Pro, and Meta's Llama serving as LLM judges. The LLM-as-judge approach was compared to human evaluations using Cohen's kappa, Spearman's rho, and Krippendorff's alpha, validating a scalable alternative to traditional human centric evaluation methods. Our findings reveal that while LLMs as judges offer a scalable solution comparable to human raters, humans may still excel at detecting subtle, context-specific nuances. This research contributes to the growing body of knowledge on AI assisted text analysis. We discuss limitations and provide recommendations for future research, emphasizing the need for careful consideration when generalizing LLM judge models across various contexts and use cases.

Existing evaluations of tool learning primarily focus on validating the alignment of selected tools for large language models (LLMs) with expected outcomes. However, these approaches rely on a limited set of scenarios where answers can be pre-determined, diverging from genuine needs. Furthermore, a sole emphasis on outcomes disregards the intricate capabilities essential for LLMs to effectively utilize tools. To tackle this issue, we propose ToolEyes, a fine-grained system tailored for the evaluation of the LLMs' tool learning capabilities in authentic scenarios. The system meticulously examines seven real-world scenarios, analyzing five dimensions crucial to LLMs in tool learning: format alignment, intent comprehension, behavior planning, tool selection, and answer organization. Additionally, ToolEyes incorporates a tool library boasting approximately 600 tools, serving as an intermediary between LLMs and the physical world. Evaluations involving ten LLMs across three categories reveal a preference for specific scenarios and limited cognitive abilities in tool learning. Intriguingly, expanding the model size even exacerbates the hindrance to tool learning. These findings offer instructive insights aimed at advancing the field of tool learning. The data is available att https://github.com/Junjie-Ye/ToolEyes.

Mainstream approaches to aligning large language models (LLMs) heavily rely on human preference data, particularly when models require periodic updates. The standard process for iterative alignment of LLMs involves collecting new human feedback for each update. However, the data collection process is costly and challenging to scale. To address this issue, we introduce the "TS-Align" framework, which fine-tunes a policy model using pairwise feedback data automatically mined from its outputs. This automatic mining process is efficiently accomplished through the collaboration between a large-scale teacher model and a small-scale student model. The policy fine-tuning process can be iteratively repeated using on-policy generations within our proposed teacher-student collaborative framework. Through extensive experiments, we demonstrate that our final aligned policy outperforms the base policy model with an average win rate of 69.7% across seven conversational or instruction-following datasets. Furthermore, we show that the ranking capability of the teacher is effectively distilled into the student through our pipeline, resulting in a small-scale yet effective reward model for policy model alignment.

Safety alignment of Large Language Models (LLMs) can be compromised with manual jailbreak attacks and (automatic) adversarial attacks. Recent studies suggest that defending against these attacks is possible: adversarial attacks generate unlimited but unreadable gibberish prompts, detectable by perplexity-based filters; manual jailbreak attacks craft readable prompts, but their limited number due to the necessity of human creativity allows for easy blocking. In this paper, we show that these solutions may be too optimistic. We introduce AutoDAN, an interpretable, gradient-based adversarial attack that merges the strengths of both attack types. Guided by the dual goals of jailbreak and readability, AutoDAN optimizes and generates tokens one by one from left to right, resulting in readable prompts that bypass perplexity filters while maintaining high attack success rates. Notably, these prompts, generated from scratch using gradients, are interpretable and diverse, with emerging strategies commonly seen in manual jailbreak attacks. They also generalize to unforeseen harmful behaviors and transfer to black-box LLMs better than their unreadable counterparts when using limited training data or a single proxy model. Furthermore, we show the versatility of AutoDAN by automatically leaking system prompts using a customized objective. Our work offers a new way to red-team LLMs and understand jailbreak mechanisms via interpretability.

The safety alignment of large language models (LLMs) remains vulnerable, as their initial behavior can be easily jailbroken by even relatively simple attacks. Since infilling a fixed template between the input instruction and initial model output is a common practice for existing LLMs, we hypothesize that this template is a key factor behind their vulnerabilities: LLMs' safety-related decision-making overly relies on the aggregated information from the template region, which largely influences these models' safety behavior. We refer to this issue as template-anchored safety alignment. In this paper, we conduct extensive experiments and verify that template-anchored safety alignment is widespread across various aligned LLMs. Our mechanistic analyses demonstrate how it leads to models' susceptibility when encountering inference-time jailbreak attacks. Furthermore, we show that detaching safety mechanisms from the template region is promising in mitigating vulnerabilities to jailbreak attacks. We encourage future research to develop more robust safety alignment techniques that reduce reliance on the template region.

The widespread adoption of large language models (LLMs) across various regions underscores the urgent need to evaluate their alignment with human values. Current benchmarks, however, fall short of effectively uncovering safety vulnerabilities in LLMs. Despite numerous models achieving high scores and 'topping the chart' in these evaluations, there is still a significant gap in LLMs' deeper alignment with human values and achieving genuine harmlessness. To this end, this paper proposes a value alignment benchmark named Flames, which encompasses both common harmlessness principles and a unique morality dimension that integrates specific Chinese values such as harmony. Accordingly, we carefully design adversarial prompts that incorporate complex scenarios and jailbreaking methods, mostly with implicit malice. By prompting 17 mainstream LLMs, we obtain model responses and rigorously annotate them for detailed evaluation. Our findings indicate that all the evaluated LLMs demonstrate relatively poor performance on Flames, particularly in the safety and fairness dimensions. We also develop a lightweight specified scorer capable of scoring LLMs across multiple dimensions to efficiently evaluate new models on the benchmark. The complexity of Flames has far exceeded existing benchmarks, setting a new challenge for contemporary LLMs and highlighting the need for further alignment of LLMs. Our benchmark is publicly available at https://github.com/AIFlames/Flames.

Evaluating the alignment of large language models (LLMs) with user-defined coding preferences is a challenging endeavour that requires a deep assessment of LLMs' outputs. Existing methods and benchmarks rely primarily on automated metrics and static analysis tools, which often fail to capture the nuances of user instructions and LLM outputs. To address this gap, we propose using the LLM-as-a-Judge methodology to evaluate the alignment of LLMs with coding preferences. Based on this approach, we present CodeUltraFeedback, a comprehensive dataset designed to facilitate the evaluation and improvement of LLM alignment. CodeUltraFeedback consists of 10,000 coding instructions, each annotated with four responses generated from a diverse pool of 14 LLMs. These responses are ranked based on five distinct coding preferences using GPT-3.5 as a judge, providing both numerical scores and detailed textual feedback. Our analysis of CodeUltraFeedback reveals that responses from GPT-3.5 and GPT-4 are generally preferred over those from open-weight LLMs, highlighting significant differences in alignment between closed and open-weight models. In turn, we explore the usage of CodeUltraFeedback as feedback data to fine-tune and align CodeLlama-7B-Instruct using supervised fine-tuning (SFT) and reinforcement learning from AI feedback (RLAIF) with direct preference optimization (DPO). The resulting aligned CodeLlama-7B-Instruct model outperforms larger LLMs in terms of alignment with coding preferences and shows improved functional correctness on the HumanEval+ benchmark compared to the original instruct model. Therefore, our contributions bridge the gap in preference tuning of LLMs for code and set the stage for further advancements in model alignment and RLAIF in automated software engineering.

Research on the 'cultural alignment' of Large Language Models (LLMs) has emerged in response to growing interest in understanding representation across diverse stakeholders. Current approaches to evaluating cultural alignment borrow social science methodologies but often overlook systematic robustness checks. Here, we identify and test three assumptions behind current evaluation methods: (1) Stability: that cultural alignment is a property of LLMs rather than an artifact of evaluation design, (2) Extrapolability: that alignment with one culture on a narrow set of issues predicts alignment with that culture on others, and (3) Steerability: that LLMs can be reliably prompted to represent specific cultural perspectives. Through experiments examining both explicit and implicit preferences of leading LLMs, we find a high level of instability across presentation formats, incoherence between evaluated versus held-out cultural dimensions, and erratic behavior under prompt steering. We show that these inconsistencies can cause the results of an evaluation to be very sensitive to minor variations in methodology. Finally, we demonstrate in a case study on evaluation design that narrow experiments and a selective assessment of evidence can be used to paint an incomplete picture of LLMs' cultural alignment properties. Overall, these results highlight significant limitations of current approaches for evaluating the cultural alignment of LLMs.

Reward models (RMs) guide the alignment of large language models (LLMs), steering them toward behaviors preferred by humans. Evaluating RMs is the key to better aligning LLMs. However, the current evaluation of RMs may not directly correspond to their alignment performance due to the limited distribution of evaluation data and evaluation methods that are not closely related to alignment objectives. To address these limitations, we propose RMB, a comprehensive RM benchmark that covers over 49 real-world scenarios and includes both pairwise and Best-of-N (BoN) evaluations to better reflect the effectiveness of RMs in guiding alignment optimization. We demonstrate a positive correlation between our benchmark and the downstream alignment task performance. Based on our benchmark, we conduct extensive analysis on the state-of-the-art RMs, revealing their generalization defects that were not discovered by previous benchmarks, and highlighting the potential of generative RMs. Furthermore, we delve into open questions in reward models, specifically examining the effectiveness of majority voting for the evaluation of reward models and analyzing the impact factors of generative RMs, including the influence of evaluation criteria and instructing methods. Our evaluation code and datasets are available at https://github.com/Zhou-Zoey/RMB-Reward-Model-Benchmark.

Most prior safety research of large language models (LLMs) has focused on enhancing the alignment of LLMs to better suit the safety requirements of humans. However, internalizing such safeguard features into larger models brought challenges of higher training cost and unintended degradation of helpfulness. To overcome such challenges, a modular approach employing a smaller LLM to detect harmful user queries is regarded as a convenient solution in designing LLM-based system with safety requirements. In this paper, we leverage a smaller LLM for both harmful query detection and safeguard response generation. We introduce our safety requirements and the taxonomy of harmfulness categories, and then propose a multi-task learning mechanism fusing the two tasks into a single model. We demonstrate the effectiveness of our approach, providing on par or surpassing harmful query detection and safeguard response performance compared to the publicly available LLMs.

The widespread application of Large Language Models (LLMs) across various tasks and fields has necessitated the alignment of these models with human values and preferences. Given various approaches of human value alignment, ranging from Reinforcement Learning with Human Feedback (RLHF), to constitutional learning, etc. there is an urgent need to understand the scope and nature of human values injected into these models before their release. There is also a need for model alignment without a costly large scale human annotation effort. We propose UniVaR, a high-dimensional representation of human value distributions in LLMs, orthogonal to model architecture and training data. Trained from the value-relevant output of eight multilingual LLMs and tested on the output from four multilingual LLMs, namely LlaMA2, ChatGPT, JAIS and Yi, we show that UniVaR is a powerful tool to compare the distribution of human values embedded in different LLMs with different langauge sources. Through UniVaR, we explore how different LLMs prioritize various values in different languages and cultures, shedding light on the complex interplay between human values and language modeling.

Reinforcement Learning from Human Feedback (RLHF) facilitates the alignment of large language models with human preferences, significantly enhancing the quality of interactions between humans and these models. InstructGPT implements RLHF through several stages, including Supervised Fine-Tuning (SFT), reward model training, and Proximal Policy Optimization (PPO). PPO, however, is sensitive to hyperparameters and requires a minimum of four models in its standard implementation, which makes it hard to train. In contrast, we propose a novel learning paradigm called RRHF, which scores responses generated by different sampling policies and learns to align them with human preferences through ranking loss. RRHF can efficiently align language model output probabilities with human preferences as robust as fine-tuning and it only needs 1 to 2 models during tuning. In addition, RRHF can be considered an extension of SFT and reward models while being simpler than PPO in terms of coding, model counts, and hyperparameters. The entire alignment process can be accomplished within a single RRHF training session. We evaluate RRHF using LLaMA and Alpaca on Helpful and Harmless data, demonstrating performance comparable to PPO.

We introduce ALaRM, the first framework modeling hierarchical rewards in reinforcement learning from human feedback (RLHF), which is designed to enhance the alignment of large language models (LLMs) with human preferences. The framework addresses the limitations of current alignment approaches, which often struggle with the inconsistency and sparsity of human supervision signals, by integrating holistic rewards with aspect-specific rewards. This integration enables more precise and consistent guidance of language models towards desired outcomes, particularly in complex and open text generation tasks. By employing a methodology that filters and combines multiple rewards based on their consistency, the framework provides a reliable mechanism for improving model alignment. We validate our approach through applications in long-form question answering and machine translation tasks, employing gpt-3.5-turbo for pairwise comparisons, and demonstrate improvements over existing baselines. Our work underscores the effectiveness of hierarchical rewards modeling in refining LLM training processes for better human preference alignment. We release our code at https://ALaRM-fdu.github.io.

We introduce new jailbreak attacks on vision language models (VLMs), which use aligned LLMs and are resilient to text-only jailbreak attacks. Specifically, we develop cross-modality attacks on alignment where we pair adversarial images going through the vision encoder with textual prompts to break the alignment of the language model. Our attacks employ a novel compositional strategy that combines an image, adversarially targeted towards toxic embeddings, with generic prompts to accomplish the jailbreak. Thus, the LLM draws the context to answer the generic prompt from the adversarial image. The generation of benign-appearing adversarial images leverages a novel embedding-space-based methodology, operating with no access to the LLM model. Instead, the attacks require access only to the vision encoder and utilize one of our four embedding space targeting strategies. By not requiring access to the LLM, the attacks lower the entry barrier for attackers, particularly when vision encoders such as CLIP are embedded in closed-source LLMs. The attacks achieve a high success rate across different VLMs, highlighting the risk of cross-modality alignment vulnerabilities, and the need for new alignment approaches for multi-modal models.

Supervised fine-tuning (SFT) on instruction-following corpus is a crucial approach toward the alignment of large language models (LLMs). However, the performance of LLMs on standard knowledge and reasoning benchmarks tends to suffer from deterioration at the latter stage of the SFT process, echoing the phenomenon of alignment tax. Through our pilot study, we put a hypothesis that the data biases are probably one cause behind the phenomenon. To address the issue, we introduce a simple disperse-then-merge framework. To be concrete, we disperse the instruction-following data into portions and train multiple sub-models using different data portions. Then we merge multiple models into a single one via model merging techniques. Despite its simplicity, our framework outperforms various sophisticated methods such as data curation and training regularization on a series of standard knowledge and reasoning benchmarks.

As humans, we consistently engage in interactions with our peers and receive feedback in the form of natural language. This language feedback allows us to reflect on our actions, maintain appropriate behavior, and rectify our errors. The question arises naturally: can we use language feedback to align large language models (LLMs)? In contrast to previous research that aligns LLMs with reward or preference data, we present the first systematic exploration of alignment through the lens of language feedback (i.e., judgment). We commence with an in-depth investigation of potential methods that can be adapted for aligning LLMs with judgments, revealing that these methods are unable to fully capitalize on the judgments. To facilitate more effective utilization of judgments, we propose a novel framework, Contrastive Unlikelihood Training (CUT), that allows for fine-grained inappropriate content detection and correction based on judgments. Our offline alignment results show that, with merely 1317 off-the-shelf judgment data, CUT (LLaMA2-13b) can beat the 175B DaVinci003 and surpass the best baseline by 52.34 points on AlpacaEval. The online alignment results demonstrate that CUT can align LLMs (LLaMA2-chat-13b) in an iterative fashion using model-specific judgment data, with a steady performance improvement from 81.09 to 91.36 points on AlpacaEval. Our analysis further suggests that judgments exhibit greater potential than rewards for LLM alignment and warrant future research.

In this paper, we introduce refined Direct Preference Optimization (rDPO), a method for improving the behavioral alignment of Large Language Models (LLMs) without the need for human-annotated data. The method involves creating synthetic data using self-critique prompting by a teacher LLM and then utilising a generalized DPO loss function to distil to a student LLM. The loss function incorporates an additional external reward model to improve the quality of synthetic data, making rDPO robust to potential noise in the synthetic dataset. rDPO is shown to be effective in a diverse set of behavioural alignment tasks, such as improved safety, robustness against role-playing, and reduced sycophancy. Code to be released at https://github.com/vicgalle/refined-dpo.

Alignment of large language models (LLMs) involves training models on preference-contrastive output pairs to adjust their responses according to human preferences. To obtain such contrastive pairs, traditional methods like RLHF and RLAIF rely on limited contrasting patterns, such as varying model variants or decoding temperatures. This singularity leads to two issues: (1) alignment is not comprehensive; and thereby (2) models are susceptible to jailbreaking attacks. To address these issues, we investigate how to construct more comprehensive and diversified contrasting patterns to enhance preference data (RQ1) and verify the impact of the diversification of contrasting patterns on model alignment (RQ2). For RQ1, we propose PopAlign, a framework that integrates diversified contrasting patterns across the prompt, model, and pipeline levels, introducing six contrasting strategies that do not require additional feedback labeling procedures. Regarding RQ2, we conduct thorough experiments demonstrating that PopAlign significantly outperforms existing methods, leading to more comprehensive alignment.

The alignment of large language models (LLMs) with human values is critical as these models become increasingly integrated into various societal and decision-making processes. Traditional methods, such as reinforcement learning from human feedback (RLHF), achieve alignment by fine-tuning model parameters, but these approaches are often computationally expensive and impractical when models are frozen or inaccessible for parameter modification. In contrast, prompt optimization is a viable alternative to RLHF for LLM alignment. While the existing literature has shown empirical promise of prompt optimization, its theoretical underpinning remains under-explored. We address this gap by formulating prompt optimization as an optimization problem and try to provide theoretical insights into the optimality of such a framework. To analyze the performance of the prompt optimization, we study theoretical suboptimality bounds and provide insights in terms of how prompt optimization depends upon the given prompter and target model. We also provide empirical validation through experiments on various datasets, demonstrating that prompt optimization can effectively align LLMs, even when parameter fine-tuning is not feasible.

The current paradigm for safety alignment of large language models (LLMs) follows a one-size-fits-all approach: the model refuses to interact with any content deemed unsafe by the model provider. This approach lacks flexibility in the face of varying social norms across cultures and regions. In addition, users may have diverse safety needs, making a model with static safety standards too restrictive to be useful, as well as too costly to be re-aligned. We propose Controllable Safety Alignment (CoSA), a framework designed to adapt models to diverse safety requirements without re-training. Instead of aligning a fixed model, we align models to follow safety configs -- free-form natural language descriptions of the desired safety behaviors -- that are provided as part of the system prompt. To adjust model safety behavior, authorized users only need to modify such safety configs at inference time. To enable that, we propose CoSAlign, a data-centric method for aligning LLMs to easily adapt to diverse safety configs. Furthermore, we devise a novel controllability evaluation protocol that considers both helpfulness and configured safety, summarizing them into CoSA-Score, and construct CoSApien, a human-authored benchmark that consists of real-world LLM use cases with diverse safety requirements and corresponding evaluation prompts. We show that CoSAlign leads to substantial gains of controllability over strong baselines including in-context alignment. Our framework encourages better representation and adaptation to pluralistic human values in LLMs, and thereby increasing their practicality.

Hallucinations pose a significant challenge to the reliability and alignment of Large Language Models (LLMs), limiting their widespread acceptance beyond chatbot applications. Despite ongoing efforts, hallucinations remain a prevalent challenge in LLMs. The detection of hallucinations itself is also a formidable task, frequently requiring manual labeling or constrained evaluations. This paper introduces an automated scalable framework that combines benchmarking LLMs' hallucination tendencies with efficient hallucination detection. We leverage LLMs to generate challenging tasks related to hypothetical phenomena, subsequently employing them as agents for efficient hallucination detection. The framework is domain-agnostic, allowing the use of any language model for benchmark creation or evaluation in any domain. We introduce the publicly available HypoTermQA Benchmarking Dataset, on which state-of-the-art models' performance ranged between 3% and 11%, and evaluator agents demonstrated a 6% error rate in hallucination prediction. The proposed framework provides opportunities to test and improve LLMs. Additionally, it has the potential to generate benchmarking datasets tailored to specific domains, such as law, health, and finance.

Direct Preference Optimization (DPO) has emerged as a prominent algorithm for the direct and robust alignment of Large Language Models (LLMs) with human preferences, offering a more straightforward alternative to the complex Reinforcement Learning from Human Feedback (RLHF). Despite its promising efficacy, DPO faces a notable drawback: "verbosity", a common over-optimization phenomenon also observed in RLHF. While previous studies mainly attributed verbosity to biased labels within the data, we propose that the issue also stems from an inherent algorithmic length reliance in DPO. Specifically, we suggest that the discrepancy between sequence-level Kullback-Leibler (KL) divergences between chosen and rejected sequences, used in DPO, results in overestimated or underestimated rewards due to varying token lengths. Empirically, we utilize datasets with different label lengths to demonstrate the presence of biased rewards. We then introduce an effective downsampling approach, named SamPO, to eliminate potential length reliance. Our experimental evaluations, conducted across three LLMs of varying scales and a diverse array of conditional and open-ended benchmarks, highlight the efficacy of SamPO in mitigating verbosity, achieving improvements of 5% to 12% over DPO through debaised rewards. Our codes can be accessed at: https://github.com/LuJunru/SamPO/.

Recent advancements in Reinforcement Learning with Human Feedback (RLHF) have significantly impacted the alignment of Large Language Models (LLMs). The sensitivity of reinforcement learning algorithms such as Proximal Policy Optimization (PPO) has led to new line work on Direct Policy Optimization (DPO), which treats RLHF in a supervised learning framework. The increased practical use of these RLHF methods warrants an analysis of their vulnerabilities. In this work, we investigate the vulnerabilities of DPO to poisoning attacks under different scenarios and compare the effectiveness of preference poisoning, a first of its kind. We comprehensively analyze DPO's vulnerabilities under different types of attacks, i.e., backdoor and non-backdoor attacks, and different poisoning methods across a wide array of language models, i.e., LLama 7B, Mistral 7B, and Gemma 7B. We find that unlike PPO-based methods, which, when it comes to backdoor attacks, require at least 4\% of the data to be poisoned to elicit harmful behavior, we exploit the true vulnerabilities of DPO more simply so we can poison the model with only as much as 0.5\% of the data. We further investigate the potential reasons behind the vulnerability and how well this vulnerability translates into backdoor vs non-backdoor attacks.

Reinforcement Learning with Human Feedback (RLHF) and its variants have made huge strides toward the effective alignment of large language models (LLMs) to follow instructions and reflect human values. More recently, Direct Alignment Algorithms (DAAs) have emerged in which the reward modeling stage of RLHF is skipped by characterizing the reward directly as a function of the policy being learned. Examples include Direct Preference Optimization (DPO) and Simple Preference Optimization (SimPO). These methods often suffer from likelihood displacement, a phenomenon by which the probabilities of preferred responses are often reduced undesirably. In this paper, we argue that, for DAAs the reward (function) shape matters. We introduce AlphaPO, a new DAA method that leverages an alpha-parameter to help change the shape of the reward function beyond the standard log reward. AlphaPO helps maintain fine-grained control over likelihood displacement and over-optimization. Compared to SimPO, one of the best performing DAAs, AlphaPO leads to about 7\% to 10\% relative improvement in alignment performance for the instruct versions of Mistral-7B and Llama3-8B. The analysis and results presented highlight the importance of the reward shape, and how one can systematically change it to affect training dynamics, as well as improve alignment performance.

The reward model has become increasingly important in alignment, assessment, and data construction for large language models (LLMs). Most existing researchers focus on enhancing reward models through data improvements, following the conventional training framework for reward models that directly optimizes the predicted rewards. In this paper, we propose a hybrid alignment framework HaF-RM for reward model training by introducing an additional constraint on token-level policy probabilities in addition to the reward score. It can simultaneously supervise the internal preference model at the token level and optimize the mapping layer of the reward model at the sequence level. Theoretical justifications and experiment results on five datasets show the validity and effectiveness of our proposed hybrid framework for training a high-quality reward model. By decoupling the reward modeling procedure and incorporating hybrid supervision, our HaF-RM framework offers a principled and effective approach to enhancing the performance and alignment of reward models, a critical component in the responsible development of powerful language models. We release our code at https://haf-rm.github.io.

The alignment of large language models (LLMs) with human preferences remains a key challenge. While post-training techniques like Reinforcement Learning from Human Feedback (RLHF) and Direct Preference Optimization (DPO) have achieved notable success, they often introduce computational inefficiencies and training instability. In this paper, we propose Feature-level constrained Preference Optimization (FPO), a novel method designed to simplify the alignment process while ensuring stability. FPO leverages pre-trained Sparse Autoencoders (SAEs) and introduces feature-level constraints, allowing for efficient, sparsity-enforced alignment. Our approach enjoys efficiency by using sparse features activated in a well-trained sparse autoencoder and the quality of sequential KL divergence by using the feature-level offline reference. Experimental results on benchmark datasets demonstrate that FPO achieves a 5.08% absolute improvement in win rate with much lower computational cost compared to state-of-the-art baselines, making it a promising solution for efficient and controllable LLM alignments.

Ensuring the safety alignment of Large Language Models (LLMs) is crucial to generating responses consistent with human values. Despite their ability to recognize and avoid harmful queries, LLMs are vulnerable to "jailbreaking" attacks, where carefully crafted prompts elicit them to produce toxic content. One category of jailbreak attacks is reformulating the task as adversarial attacks by eliciting the LLM to generate an affirmative response. However, the typical attack in this category GCG has very limited attack success rate. In this study, to better study the jailbreak attack, we introduce the DSN (Don't Say No) attack, which prompts LLMs to not only generate affirmative responses but also novelly enhance the objective to suppress refusals. In addition, another challenge lies in jailbreak attacks is the evaluation, as it is difficult to directly and accurately assess the harmfulness of the attack. The existing evaluation such as refusal keyword matching has its own limitation as it reveals numerous false positive and false negative instances. To overcome this challenge, we propose an ensemble evaluation pipeline incorporating Natural Language Inference (NLI) contradiction assessment and two external LLM evaluators. Extensive experiments demonstrate the potency of the DSN and the effectiveness of ensemble evaluation compared to baseline methods.

Direct Preference Optimization (DPO) improves the alignment of large language models (LLMs) with human values by training directly on human preference datasets, eliminating the need for reward models. However, due to the presence of cross-domain human preferences, direct continual training can lead to catastrophic forgetting, limiting DPO's performance and efficiency. Inspired by intraspecific competition driving species evolution, we propose a Online Fast-Slow chasing DPO (OFS-DPO) for preference alignment, simulating competition through fast and slow chasing among models to facilitate rapid adaptation. Specifically, we first derive the regret upper bound for online learning, validating our motivation with a min-max optimization pattern. Based on this, we introduce two identical modules using Low-rank Adaptive (LoRA) with different optimization speeds to simulate intraspecific competition, and propose a new regularization term to guide their learning. To further mitigate catastrophic forgetting in cross-domain scenarios, we extend the OFS-DPO with LoRA modules combination strategy, resulting in the Cross domain Online Fast-Slow chasing DPO (COFS-DPO). This method leverages linear combinations of fast modules parameters from different task domains, fully utilizing historical information to achive continual value alignment. Experimental results show that OFS-DPO outperforms DPO in in-domain alignment, while COFS-DPO excels in cross-domain continual learning scenarios.

Model selection/optimization in conformal inference is challenging, since it may break the exchangeability between labeled and unlabeled data. We study this problem in the context of conformal selection, which uses conformal p-values to select ``interesting'' instances with large unobserved labels from a pool of unlabeled data, while controlling the FDR in finite sample. For validity, existing solutions require the model choice to be independent of the data used to construct the p-values and calibrate the selection set. However, when presented with many model choices and limited labeled data, it is desirable to (i) select the best model in a data-driven manner, and (ii) mitigate power loss due to sample splitting. This paper presents OptCS, a general framework that allows valid statistical testing (selection) after flexible data-driven model optimization. We introduce general conditions under which OptCS constructs valid conformal p-values despite substantial data reuse and handles complex p-value dependencies to maintain finite-sample FDR control via a novel multiple testing procedure. We instantiate this general recipe to propose three FDR-controlling procedures, each optimizing the models differently: (i) selecting the most powerful one among multiple pre-trained candidate models, (ii) using all data for model fitting without sample splitting, and (iii) combining full-sample model fitting and selection. We demonstrate the efficacy of our methods via simulation studies and real applications in drug discovery and alignment of large language models in radiology report generation.

Aligned language models face a significant limitation as their fine-tuning often results in compromised safety. To tackle this, we propose a simple method RESTA that performs LLM safety realignment. RESTA stands for REstoring Safety through Task Arithmetic. At its core, it involves a simple arithmetic addition of a safety vector to the weights of the compromised model. We demonstrate the effectiveness of RESTA in both parameter-efficient and full fine-tuning, covering a wide range of downstream tasks, including instruction following in Chinese, English, and Hindi, as well as problem-solving capabilities in Code and Math. We also showcase the generalizability of RESTA on three existing safety evaluation benchmarks and a multilingual benchmark dataset proposed as a part of this work, consisting of 550 harmful questions covering 11 categories, each with 5 sub-categories of harm. Overall, RESTA decreases the harmfulness of the compromised model from 18.6% to 5.1% and from 9.2% to 1.5% in parameter-efficient and full fine-tuning, respectively, while maintaining most of the model's performance on the task. We release the source codes at: https://github.com/declare-lab/resta.

Readability metrics and standards such as Flesch Kincaid Grade Level (FKGL) and the Common European Framework of Reference for Languages (CEFR) exist to guide teachers and educators to properly assess the complexity of educational materials before administering them for classroom use. In this study, we select a diverse set of open and closed-source instruction-tuned language models and investigate their performances in writing story completions and simplifying narratives--tasks that teachers perform--using standard-guided prompts controlling text readability. Our extensive findings provide empirical proof of how globally recognized models like ChatGPT may be considered less effective and may require more refined prompts for these generative tasks compared to other open-sourced models such as BLOOMZ and FlanT5--which have shown promising results.

Vision-language-action models (VLAs) have shown great potential as generalist robot policies. However, these models pose urgent safety challenges during deployment, including the risk of physical harm to the environment, the robot itself, and humans. How can safety be explicitly incorporated into VLAs? In this work, we propose SafeVLA, a novel algorithm designed to integrate safety into VLAs, ensuring the protection of the environment, robot hardware and humans in real-world settings. SafeVLA effectively balances safety and task performance by employing large-scale constrained learning within simulated environments. We demonstrate that SafeVLA outperforms the current state-of-the-art method in both safety and task performance, achieving average improvements of 83.58% and 3.85%, respectively, in simulation. By prioritizing safety, our approach eliminates high-risk behaviors and reduces the upper bound of unsafe behaviors to 1/35 of that in the current state-of-the-art, thereby significantly mitigating long-tail risks. Furthermore, the learned safety constraints generalize to diverse, unseen scenarios, including multiple out-of-distribution perturbations and tasks. Our data, models and newly proposed benchmark environment are available at https://sites.google.com/view/pku-safevla.

We present ALLaM: Arabic Large Language Model, a series of large language models to support the ecosystem of Arabic Language Technologies (ALT). ALLaM is carefully trained considering the values of language alignment and knowledge transfer at scale. Our autoregressive decoder-only architecture models demonstrate how second-language acquisition via vocabulary expansion and pretraining on a mixture of Arabic and English text can steer a model towards a new language (Arabic) without any catastrophic forgetting in the original language (English). Furthermore, we highlight the effectiveness of using parallel/translated data to aid the process of knowledge alignment between languages. Finally, we show that extensive alignment with human preferences can significantly enhance the performance of a language model compared to models of a larger scale with lower quality alignment. ALLaM achieves state-of-the-art performance in various Arabic benchmarks, including MMLU Arabic, ACVA, and Arabic Exams. Our aligned models improve both in Arabic and English from their base aligned models.

Large language models are usually fine-tuned to align with human preferences. However, fine-tuning a large language model can be challenging. In this work, we introduce weak-to-strong search, framing the alignment of a large language model as a test-time greedy search to maximize the log-likelihood difference between small tuned and untuned models while sampling from the frozen large model. This method serves both as (i) a compute-efficient model up-scaling strategy that avoids directly tuning the large model and as (ii) an instance of weak-to-strong generalization that enhances a strong model with weak test-time guidance. Empirically, we demonstrate the flexibility of weak-to-strong search across different tasks. In controlled-sentiment generation and summarization, we use tuned and untuned gpt2s to effectively improve the alignment of large models without additional training. Crucially, in a more difficult instruction-following benchmark, AlpacaEval 2.0, we show that reusing off-the-shelf small model pairs (e.g., zephyr-7b-beta and its untuned version) can significantly improve the length-controlled win rates of both white-box and black-box large models against gpt-4-turbo (e.g., 34.4 rightarrow 37.9 for Llama-3-70B-Instruct and 16.0 rightarrow 20.1 for gpt-3.5-turbo-instruct), despite the small models' low win rates approx 10.0.

The safety alignment of current Large Language Models (LLMs) is vulnerable. Relatively simple attacks, or even benign fine-tuning, can jailbreak aligned models. We argue that many of these vulnerabilities are related to a shared underlying issue: safety alignment can take shortcuts, wherein the alignment adapts a model's generative distribution primarily over only its very first few output tokens. We refer to this issue as shallow safety alignment. In this paper, we present case studies to explain why shallow safety alignment can exist and provide evidence that current aligned LLMs are subject to this issue. We also show how these findings help explain multiple recently discovered vulnerabilities in LLMs, including the susceptibility to adversarial suffix attacks, prefilling attacks, decoding parameter attacks, and fine-tuning attacks. Importantly, we discuss how this consolidated notion of shallow safety alignment sheds light on promising research directions for mitigating these vulnerabilities. For instance, we show that deepening the safety alignment beyond just the first few tokens can often meaningfully improve robustness against some common exploits. Finally, we design a regularized finetuning objective that makes the safety alignment more persistent against fine-tuning attacks by constraining updates on initial tokens. Overall, we advocate that future safety alignment should be made more than just a few tokens deep.

Larger language models (LLMs) have taken the world by storm with their massive multi-tasking capabilities simply by optimizing over a next-word prediction objective. With the emergence of their properties and encoded knowledge, the risk of LLMs producing harmful outputs increases, making them unfit for scalable deployment for the public. In this work, we propose a new safety evaluation benchmark RED-EVAL that carries out red-teaming. We show that even widely deployed models are susceptible to the Chain of Utterances-based (CoU) prompting, jailbreaking closed source LLM-based systems such as GPT-4 and ChatGPT to unethically respond to more than 65% and 73% of harmful queries. We also demonstrate the consistency of the RED-EVAL across 8 open-source LLMs in generating harmful responses in more than 86% of the red-teaming attempts. Next, we propose RED-INSTRUCT--An approach for the safety alignment of LLMs. It constitutes two phases: 1) HARMFULQA data collection: Leveraging CoU prompting, we collect a dataset that consists of 1.9K harmful questions covering a wide range of topics, 9.5K safe and 7.3K harmful conversations from ChatGPT; 2) SAFE-ALIGN: We demonstrate how the conversational dataset can be used for the safety alignment of LLMs by minimizing the negative log-likelihood over helpful responses and penalizing over harmful responses by gradient accent over sample loss. Our model STARLING, a fine-tuned Vicuna-7B, is observed to be more safely aligned when evaluated on RED-EVAL and HHH benchmarks while preserving the utility of the baseline models (TruthfulQA, MMLU, and BBH).

Warning: This paper contains examples of harmful language, and reader discretion is recommended. The increasing open release of powerful large language models (LLMs) has facilitated the development of downstream applications by reducing the essential cost of data annotation and computation. To ensure AI safety, extensive safety-alignment measures have been conducted to armor these models against malicious use (primarily hard prompt attack). However, beneath the seemingly resilient facade of the armor, there might lurk a shadow. By simply tuning on 100 malicious examples with 1 GPU hour, these safely aligned LLMs can be easily subverted to generate harmful content. Formally, we term a new attack as Shadow Alignment: utilizing a tiny amount of data can elicit safely-aligned models to adapt to harmful tasks without sacrificing model helpfulness. Remarkably, the subverted models retain their capability to respond appropriately to regular inquiries. Experiments across 8 models released by 5 different organizations (LLaMa-2, Falcon, InternLM, BaiChuan2, Vicuna) demonstrate the effectiveness of shadow alignment attack. Besides, the single-turn English-only attack successfully transfers to multi-turn dialogue and other languages. This study serves as a clarion call for a collective effort to overhaul and fortify the safety of open-source LLMs against malicious attackers.

In this paper, we study the harmlessness alignment problem of multimodal large language models (MLLMs). We conduct a systematic empirical analysis of the harmlessness performance of representative MLLMs and reveal that the image input poses the alignment vulnerability of MLLMs. Inspired by this, we propose a novel jailbreak method named HADES, which hides and amplifies the harmfulness of the malicious intent within the text input, using meticulously crafted images. Experimental results show that HADES can effectively jailbreak existing MLLMs, which achieves an average Attack Success Rate (ASR) of 90.26% for LLaVA-1.5 and 71.60% for Gemini Pro Vision. Our code and data will be publicly released.

While both agent interaction and personalisation are vibrant topics in research on large language models (LLMs), there has been limited focus on the effect of language interaction on the behaviour of persona-conditioned LLM agents. Such an endeavour is important to ensure that agents remain consistent to their assigned traits yet are able to engage in open, naturalistic dialogues. In our experiments, we condition GPT-3.5 on personality profiles through prompting and create a two-group population of LLM agents using a simple variability-inducing sampling algorithm. We then administer personality tests and submit the agents to a collaborative writing task, finding that different profiles exhibit different degrees of personality consistency and linguistic alignment to their conversational partners. Our study seeks to lay the groundwork for better understanding of dialogue-based interaction between LLMs and highlights the need for new approaches to crafting robust, more human-like LLM personas for interactive environments.

Recent studies show evidence for emergent cognitive abilities in Large Pre-trained Language Models (PLMs). The increasing cognitive alignment of these models has made them candidates for cognitive science theories. Prior research into the emergent cognitive abilities of PLMs has largely been path-independent to model training, i.e., has focused on the final model weights and not the intermediate steps. However, building plausible models of human cognition using PLMs would benefit from considering the developmental alignment of their performance during training to the trajectories of children's thinking. Guided by psychometric tests of human intelligence, we choose four sets of tasks to investigate the alignment of ten popular families of PLMs and evaluate their available intermediate and final training steps. These tasks are Numerical ability, Linguistic abilities, Conceptual understanding, and Fluid reasoning. We find a striking regularity: regardless of model size, the developmental trajectories of PLMs consistently exhibit a window of maximal alignment to human cognitive development. Before that window, training appears to endow "blank slate" models with the requisite structure to be poised to rapidly learn from experience. After that window, training appears to serve the engineering goal of reducing loss but not the scientific goal of increasing alignment with human cognition.

The proliferation of large language models (LLMs) requires robust evaluation of their alignment with local values and ethical standards, especially as existing benchmarks often reflect the cultural, legal, and ideological values of their creators. LocalValueBench, introduced in this paper, is an extensible benchmark designed to assess LLMs' adherence to Australian values, and provides a framework for regulators worldwide to develop their own LLM benchmarks for local value alignment. Employing a novel typology for ethical reasoning and an interrogation approach, we curated comprehensive questions and utilized prompt engineering strategies to probe LLMs' value alignment. Our evaluation criteria quantified deviations from local values, ensuring a rigorous assessment process. Comparative analysis of three commercial LLMs by USA vendors revealed significant insights into their effectiveness and limitations, demonstrating the critical importance of value alignment. This study offers valuable tools and methodologies for regulators to create tailored benchmarks, highlighting avenues for future research to enhance ethical AI development.

Recent advancements in large language models (LLMs) reveal a perplexing phenomenon in continual learning: despite extensive training, models experience significant performance declines, raising questions about task alignment and underlying knowledge retention. This study first explores the concept of "spurious forgetting", proposing that such performance drops often reflect a decline in task alignment rather than true knowledge loss. Through controlled experiments with a synthesized dataset, we investigate the dynamics of model performance during the initial training phases of new tasks, discovering that early optimization steps can disrupt previously established task alignments. Our theoretical analysis connects these shifts to orthogonal updates in model weights, providing a robust framework for understanding this behavior. Ultimately, we introduce a Freezing strategy that fix the bottom layers of the model, leading to substantial improvements in four continual learning scenarios. Our findings underscore the critical distinction between task alignment and knowledge retention, paving the way for more effective strategies in continual learning.

Evaluating the alignment capabilities of large Vision-Language Models (VLMs) is essential for determining their effectiveness as helpful assistants. However, existing benchmarks primarily focus on basic abilities using nonverbal methods, such as yes-no and multiple-choice questions. In this paper, we address this gap by introducing AlignMMBench, a comprehensive alignment benchmark specifically designed for emerging Chinese VLMs. This benchmark is meticulously curated from real-world scenarios and Chinese Internet sources, encompassing thirteen specific tasks across three categories, and includes both single-turn and multi-turn dialogue scenarios. Incorporating a prompt rewrite strategy, AlignMMBench encompasses 1,054 images and 4,978 question-answer pairs. To facilitate the evaluation pipeline, we propose CritiqueVLM, a rule-calibrated evaluator that exceeds GPT-4's evaluation ability. Finally, we report the performance of representative VLMs on AlignMMBench, offering insights into the capabilities and limitations of different VLM architectures. All evaluation codes and data are available on https://alignmmbench.github.io.

This paper explores the effects of various forms of regularization in the context of language model alignment via self-play. While both reinforcement learning from human feedback (RLHF) and direct preference optimization (DPO) require to collect costly human-annotated pairwise preferences, the self-play fine-tuning (SPIN) approach replaces the rejected answers by data generated from the previous iterate. However, the SPIN method presents a performance instability issue in the learning phase, which can be mitigated by playing against a mixture of the two previous iterates. In the same vein, we propose in this work to address this issue from two perspectives: first, by incorporating an additional Kullback-Leibler (KL) regularization to stay at the proximity of the reference policy; second, by using the idea of fictitious play which smoothens the opponent policy across all previous iterations. In particular, we show that the KL-based regularizer boils down to replacing the previous policy by its geometric mixture with the base policy inside of the SPIN loss function. We finally discuss empirical results on MT-Bench as well as on the Hugging Face Open LLM Leaderboard.

Large language models (LLMs) have formulated a blueprint for the advancement of artificial general intelligence. Its primary objective is to function as a human-centric (helpful, honest, and harmless) assistant. Alignment with humans assumes paramount significance, and reinforcement learning with human feedback (RLHF) emerges as the pivotal technological paradigm underpinning this pursuit. Current technical routes usually include reward models to measure human preferences, Proximal Policy Optimization (PPO) to optimize policy model outputs, and process supervision to improve step-by-step reasoning capabilities. However, due to the challenges of reward design, environment interaction, and agent training, coupled with huge trial and error cost of large language models, there is a significant barrier for AI researchers to motivate the development of technical alignment and safe landing of LLMs. The stable training of RLHF has still been a puzzle. In the first report, we dissect the framework of RLHF, re-evaluate the inner workings of PPO, and explore how the parts comprising PPO algorithms impact policy agent training. We identify policy constraints being the key factor for the effective implementation of the PPO algorithm. Therefore, we explore the PPO-max, an advanced version of PPO algorithm, to efficiently improve the training stability of the policy model. Based on our main results, we perform a comprehensive analysis of RLHF abilities compared with SFT models and ChatGPT. The absence of open-source implementations has posed significant challenges to the investigation of LLMs alignment. Therefore, we are eager to release technical reports, reward models and PPO codes

Reward models are critical in techniques like Reinforcement Learning from Human Feedback (RLHF) and Inference Scaling Laws, where they guide language model alignment and select optimal responses. Despite their importance, existing reward model benchmarks often evaluate models by asking them to distinguish between responses generated by models of varying power. However, this approach fails to assess reward models on subtle but critical content changes and variations in style, resulting in a low correlation with policy model performance. To this end, we introduce RM-Bench, a novel benchmark designed to evaluate reward models based on their sensitivity to subtle content differences and resistance to style biases. Extensive experiments demonstrate that RM-Bench strongly correlates with policy model performance, making it a reliable reference for selecting reward models to align language models effectively. We evaluate nearly 40 reward models on RM-Bench. Our results reveal that even state-of-the-art models achieve an average performance of only 46.6%, which falls short of random-level accuracy (50%) when faced with style bias interference. These findings highlight the significant room for improvement in current reward models. Related code and data are available at https://github.com/THU-KEG/RM-Bench.

We consider the problem of multi-objective alignment of foundation models with human preferences, which is a critical step towards helpful and harmless AI systems. However, it is generally costly and unstable to fine-tune large foundation models using reinforcement learning (RL), and the multi-dimensionality, heterogeneity, and conflicting nature of human preferences further complicate the alignment process. In this paper, we introduce Rewards-in-Context (RiC), which conditions the response of a foundation model on multiple rewards in its prompt context and applies supervised fine-tuning for alignment. The salient features of RiC are simplicity and adaptivity, as it only requires supervised fine-tuning of a single foundation model and supports dynamic adjustment for user preferences during inference time. Inspired by the analytical solution of an abstracted convex optimization problem, our dynamic inference-time adjustment method approaches the Pareto-optimal solution for multiple objectives. Empirical evidence demonstrates the efficacy of our method in aligning both Large Language Models (LLMs) and diffusion models to accommodate diverse rewards with only around 10% GPU hours compared with multi-objective RL baseline.

Ethical reasoning is a crucial skill for Large Language Models (LLMs). However, moral values are not universal, but rather influenced by language and culture. This paper explores how three prominent LLMs -- GPT-4, ChatGPT, and Llama2-70B-Chat -- perform ethical reasoning in different languages and if their moral judgement depend on the language in which they are prompted. We extend the study of ethical reasoning of LLMs by Rao et al. (2023) to a multilingual setup following their framework of probing LLMs with ethical dilemmas and policies from three branches of normative ethics: deontology, virtue, and consequentialism. We experiment with six languages: English, Spanish, Russian, Chinese, Hindi, and Swahili. We find that GPT-4 is the most consistent and unbiased ethical reasoner across languages, while ChatGPT and Llama2-70B-Chat show significant moral value bias when we move to languages other than English. Interestingly, the nature of this bias significantly vary across languages for all LLMs, including GPT-4.

Large Language Models (LLMs) are nowadays expected to generate content aligned with human preferences. Current work focuses on alignment at model training time, through techniques such as Reinforcement Learning with Human Feedback (RLHF). However, it is unclear if such methods are an effective choice to teach alignment objectives to the model. First, the inability to incorporate multiple, custom rewards and reliance on a model developer's view of universal and static principles are key limitations. Second, the residual gaps in model training and the reliability of such approaches are also questionable (e.g. susceptibility to jail-breaking even after safety training). To address these, we propose DeAL, a framework that allows the user to customize reward functions and enables Decoding-time Alignment of LLMs (DeAL). At its core, we view decoding as a heuristic-guided search process and facilitate the use of a wide variety of alignment objectives. Our experiments with programmatic constraints such as keyword and length constraints (studied widely in the pre-LLM era) and abstract objectives such as harmlessness and helpfulness (proposed in the post-LLM era) show that we can DeAL with fine-grained trade-offs, improve adherence to alignment objectives, and address residual gaps in LLMs. Lastly, while DeAL can be effectively paired with RLHF and prompting techniques, its generality makes decoding slower, an optimization we leave for future work.

Large language models (LLMs) undergo safety alignment to ensure safe conversations with humans. However, this paper introduces a training-free attack method capable of reversing safety alignment, converting the outcomes of stronger alignment into greater potential for harm by accessing only LLM output token distributions. Specifically, our method achieves this reversal by contrasting the output token distribution of a safety-aligned language model (e.g., Llama-2-chat) against its pre-trained version (e.g., Llama-2), so that the token predictions are shifted towards the opposite direction of safety alignment. We name this method emulated disalignment (ED) because sampling from this contrastive distribution provably emulates the result of fine-tuning to minimize a safety reward. Our experiments with ED across three evaluation datasets and four model families (Llama-1, Llama-2, Mistral, and Alpaca) show that ED doubles the harmfulness of pre-trained models and outperforms strong baselines, achieving the highest harmful rates in 43 out of 48 evaluation subsets by a large margin. Eventually, given ED's reliance on language model output token distributions, which particularly compromises open-source models, our findings highlight the need to reassess the open accessibility of language models, even if they have been safety-aligned. Code is available at https://github.com/ZHZisZZ/emulated-disalignment.

The evolution of Neural Machine Translation (NMT) has been significantly influenced by six core challenges (Koehn and Knowles, 2017), which have acted as benchmarks for progress in this field. This study revisits these challenges, offering insights into their ongoing relevance in the context of advanced Large Language Models (LLMs): domain mismatch, amount of parallel data, rare word prediction, translation of long sentences, attention model as word alignment, and sub-optimal beam search. Our empirical findings indicate that LLMs effectively lessen the reliance on parallel data for major languages in the pretraining phase. Additionally, the LLM-based translation system significantly enhances the translation of long sentences that contain approximately 80 words and shows the capability to translate documents of up to 512 words. However, despite these significant improvements, the challenges of domain mismatch and prediction of rare words persist. While the challenges of word alignment and beam search, specifically associated with NMT, may not apply to LLMs, we identify three new challenges for LLMs in translation tasks: inference efficiency, translation of low-resource languages in the pretraining phase, and human-aligned evaluation. The datasets and models are released at https://github.com/pangjh3/LLM4MT.

Inspecting the information encoded in hidden representations of large language models (LLMs) can explain models' behavior and verify their alignment with human values. Given the capabilities of LLMs in generating human-understandable text, we propose leveraging the model itself to explain its internal representations in natural language. We introduce a framework called Patchscopes and show how it can be used to answer a wide range of research questions about an LLM's computation. We show that prior interpretability methods based on projecting representations into the vocabulary space and intervening on the LLM computation, can be viewed as special instances of this framework. Moreover, several of their shortcomings such as failure in inspecting early layers or lack of expressivity can be mitigated by a Patchscope. Beyond unifying prior inspection techniques, Patchscopes also opens up new possibilities such as using a more capable model to explain the representations of a smaller model, and unlocks new applications such as self-correction in multi-hop reasoning.

With the rapid evolution of large language models (LLMs), there is a growing concern that they may pose risks or have negative social impacts. Therefore, evaluation of human values alignment is becoming increasingly important. Previous work mainly focuses on assessing the performance of LLMs on certain knowledge and reasoning abilities, while neglecting the alignment to human values, especially in a Chinese context. In this paper, we present CValues, the first Chinese human values evaluation benchmark to measure the alignment ability of LLMs in terms of both safety and responsibility criteria. As a result, we have manually collected adversarial safety prompts across 10 scenarios and induced responsibility prompts from 8 domains by professional experts. To provide a comprehensive values evaluation of Chinese LLMs, we not only conduct human evaluation for reliable comparison, but also construct multi-choice prompts for automatic evaluation. Our findings suggest that while most Chinese LLMs perform well in terms of safety, there is considerable room for improvement in terms of responsibility. Moreover, both the automatic and human evaluation are important for assessing the human values alignment in different aspects. The benchmark and code is available on ModelScope and Github.

Large language models (LLMs) have demonstrated remarkable prowess in language understanding and generation. Advancing from foundation LLMs to instructionfollowing LLMs, instruction tuning plays a vital role in aligning LLMs to human preferences. However, the existing LLMs are usually focused on English, leading to inferior performance in non-English languages. In order to improve the performance for non-English languages, it is necessary to collect language-specific training data for foundation LLMs and construct language-specific instructions for instruction tuning, both of which are heavy loads. To minimize human workload, we propose to transfer the capabilities of language generation and instruction following from English to other languages through an interactive translation task. We have developed BayLing, an instruction-following LLM by utilizing LLaMA as the foundation LLM and automatically constructing interactive translation instructions for instructing tuning. Extensive assessments demonstrate that BayLing achieves comparable performance to GPT-3.5-turbo, despite utilizing a considerably smaller parameter size of only 13 billion. Experimental results on translation tasks show that BayLing achieves 95% of single-turn translation capability compared to GPT-4 with automatic evaluation and 96% of interactive translation capability compared to GPT-3.5-turbo with human evaluation. To estimate the performance on general tasks, we created a multi-turn instruction test set called BayLing-80. The experimental results on BayLing-80 indicate that BayLing achieves 89% of performance compared to GPT-3.5-turbo. BayLing also demonstrates outstanding performance on knowledge assessment of Chinese GaoKao and English SAT, second only to GPT-3.5-turbo among a multitude of instruction-following LLMs. Demo, homepage, code and models of BayLing are available.

Creativity has long been considered one of the most difficult aspect of human intelligence for AI to mimic. However, the rise of Large Language Models (LLMs), like ChatGPT, has raised questions about whether AI can match or even surpass human creativity. We present CREATIVITY INDEX as the first step to quantify the linguistic creativity of a text by reconstructing it from existing text snippets on the web. CREATIVITY INDEX is motivated by the hypothesis that the seemingly remarkable creativity of LLMs may be attributable in large part to the creativity of human-written texts on the web. To compute CREATIVITY INDEX efficiently, we introduce DJ SEARCH, a novel dynamic programming algorithm that can search verbatim and near-verbatim matches of text snippets from a given document against the web. Experiments reveal that the CREATIVITY INDEX of professional human authors is on average 66.2% higher than that of LLMs, and that alignment reduces the CREATIVITY INDEX of LLMs by an average of 30.1%. In addition, we find that distinguished authors like Hemingway exhibit measurably higher CREATIVITY INDEX compared to other human writers. Finally, we demonstrate that CREATIVITY INDEX can be used as a surprisingly effective criterion for zero-shot machine text detection, surpassing the strongest existing zero-shot system, DetectGPT, by a significant margin of 30.2%, and even outperforming the strongest supervised system, GhostBuster, in five out of six domains.

As the scaling of Large Language Models (LLMs) has dramatically enhanced their capabilities, there has been a growing focus on the alignment problem to ensure their responsible and ethical use. While existing alignment efforts predominantly concentrate on universal values such as the HHH principle, the aspect of culture, which is inherently pluralistic and diverse, has not received adequate attention. This work introduces a new benchmark, CDEval, aimed at evaluating the cultural dimensions of LLMs. CDEval is constructed by incorporating both GPT-4's automated generation and human verification, covering six cultural dimensions across seven domains. Our comprehensive experiments provide intriguing insights into the culture of mainstream LLMs, highlighting both consistencies and variations across different dimensions and domains. The findings underscore the importance of integrating cultural considerations in LLM development, particularly for applications in diverse cultural settings. Through CDEval, we aim to broaden the horizon of LLM alignment research by including cultural dimensions, thus providing a more holistic framework for the future development and evaluation of LLMs. This benchmark serves as a valuable resource for cultural studies in LLMs, paving the way for more culturally aware and sensitive models.

Although large language models (LLMs) achieve effective safety alignment at the time of release, they still face various safety challenges. A key issue is that fine-tuning often compromises the safety alignment of LLMs. To address this issue, we propose a method named IRR (Identify, Remove, and Recalibrate for Safety Realignment) that performs safety realignment for LLMs. The core of IRR is to identify and remove unsafe delta parameters from the fine-tuned models, while recalibrating the retained ones. We evaluate the effectiveness of IRR across various datasets, including both full fine-tuning and LoRA methods. Our results demonstrate that IRR significantly enhances the safety performance of fine-tuned models on safety benchmarks, such as harmful queries and jailbreak attacks, while maintaining their performance on downstream tasks. The source code is available at: https://anonymous.4open.science/r/IRR-BD4F.

Large Language Models (LLMs) have achieved significant advancements, however, the common learning paradigm treats LLMs as passive information repositories, neglecting their potential for active learning and alignment. Some approaches train LLMs using their own generated synthetic data, exploring the possibility of active alignment. However, there is still a huge gap between these one-time alignment methods and the continuous automatic alignment of humans. In this paper, we introduce I-SHEEP, an Iterative Self-EnHancEmEnt Paradigm.This human-like paradigm enables LLMs to continuously self-align from scratch with nothing. Compared to the one-time alignment method Dromedary sun2023principledriven, which refers to the first iteration in this paper, I-SHEEP can significantly enhance capacities on both Qwen and Llama models. I-SHEEP achieves a maximum relative improvement of 78.2\% in the Alpaca Eval, 24.0\% in the MT Bench, and an absolute increase of 8.88\% in the IFEval accuracy over subsequent iterations in Qwen-1.5 72B model. Additionally, I-SHEEP surpasses the base model in various standard benchmark generation tasks, achieving an average improvement of 24.77\% in code generation tasks, 12.04\% in TrivialQA, and 20.29\% in SQuAD. We also provide new insights based on the experiment results. Our codes, datasets, and models are available at https://anonymous.4open.science/r/I-SHEEP.

Fueled by the Large Language Models (LLMs) wave, Large Visual-Language Models (LVLMs) have emerged as a pivotal advancement, bridging the gap between image and text. However, video making it challenging for LVLMs to perform adequately due to the complexity of the relationship between language and spatial-temporal data structure. Recent Large Video-Language Models (LVidLMs) align feature of static visual data like image into latent space of language feature, by general multi-modal tasks to leverage abilities of LLMs sufficiently. In this paper, we explore fine-grained alignment approach via object trajectory for different modalities across both spatial and temporal dimensions simultaneously. Thus, we propose a novel LVidLM by trajectory-guided Pixel-Temporal Alignment, dubbed PiTe, that exhibits promising applicable model property. To achieve fine-grained video-language alignment, we curate a multi-modal pre-training dataset PiTe-143k, the dataset provision of moving trajectories in pixel level for all individual objects, that appear and mention in the video and caption both, by our automatic annotation pipeline. Meanwhile, PiTe demonstrates astounding capabilities on myriad video-related multi-modal tasks through beat the state-of-the-art methods by a large margin.

Large language models (LLMs) exhibit hallucinations (i.e., unfaithful or nonsensical information) when serving as AI assistants in various domains. Since hallucinations always come with truthful content in the LLM responses, previous factuality alignment methods that conduct response-level preference learning inevitably introduced noises during training. Therefore, this paper proposes a fine-grained factuality alignment method based on Direct Preference Optimization (DPO), called Mask-DPO. Incorporating sentence-level factuality as mask signals, Mask-DPO only learns from factually correct sentences in the preferred samples and prevents the penalty on factual contents in the not preferred samples, which resolves the ambiguity in the preference learning. Extensive experimental results demonstrate that Mask-DPO can significantly improve the factuality of LLMs responses to questions from both in-domain and out-of-domain datasets, although these questions and their corresponding topics are unseen during training. Only trained on the ANAH train set, the score of Llama3.1-8B-Instruct on the ANAH test set is improved from 49.19% to 77.53%, even surpassing the score of Llama3.1-70B-Instruct (53.44%), while its FactScore on the out-of-domain Biography dataset is also improved from 30.29% to 39.39%. We further study the generalization property of Mask-DPO using different training sample scaling strategies and find that scaling the number of topics in the dataset is more effective than the number of questions. We provide a hypothesis of what factual alignment is doing with LLMs, on the implication of this phenomenon, and conduct proof-of-concept experiments to verify it. We hope the method and the findings pave the way for future research on scaling factuality alignment.

Recent Multimodal Large Language Models (MLLMs) exhibit impressive abilities to perceive images and follow open-ended instructions. The capabilities of MLLMs depend on two crucial factors: the model architecture to facilitate the feature alignment of visual modules and large language models; the multimodal instruction tuning datasets for human instruction following. (i) For the model architecture, most existing models introduce an external bridge module to connect vision encoders with language models, which needs an additional feature-alignment pre-training. In this work, we discover that compact pre-trained vision language models can inherently serve as ``out-of-the-box'' bridges between vision and language. Based on this, we propose Muffin framework, which directly employs pre-trained vision-language models to act as providers of visual signals. (ii) For the multimodal instruction tuning datasets, existing methods omit the complementary relationship between different datasets and simply mix datasets from different tasks. Instead, we propose UniMM-Chat dataset which explores the complementarities of datasets to generate 1.1M high-quality and diverse multimodal instructions. We merge information describing the same image from diverse datasets and transforms it into more knowledge-intensive conversation data. Experimental results demonstrate the effectiveness of the Muffin framework and UniMM-Chat dataset. Muffin achieves state-of-the-art performance on a wide range of vision-language tasks, significantly surpassing state-of-the-art models like LLaVA and InstructBLIP. Our model and dataset are all accessible at https://github.com/thunlp/muffin.

Alignment is the most critical step in building large language models (LLMs) that meet human needs. With the rapid development of LLMs gradually surpassing human capabilities, traditional alignment methods based on human-annotation are increasingly unable to meet the scalability demands. Therefore, there is an urgent need to explore new sources of automated alignment signals and technical approaches. In this paper, we systematically review the recently emerging methods of automated alignment, attempting to explore how to achieve effective, scalable, automated alignment once the capabilities of LLMs exceed those of humans. Specifically, we categorize existing automated alignment methods into 4 major categories based on the sources of alignment signals and discuss the current status and potential development of each category. Additionally, we explore the underlying mechanisms that enable automated alignment and discuss the essential factors that make automated alignment technologies feasible and effective from the fundamental role of alignment.

As Large Language Models (LLMs) and generative AI become increasingly widespread, concerns about content safety have grown in parallel. Currently, there is a clear lack of high-quality, human-annotated datasets that address the full spectrum of LLM-related safety risks and are usable for commercial applications. To bridge this gap, we propose a comprehensive and adaptable taxonomy for categorizing safety risks, structured into 12 top-level hazard categories with an extension to 9 fine-grained subcategories. This taxonomy is designed to meet the diverse requirements of downstream users, offering more granular and flexible tools for managing various risk types. Using a hybrid data generation pipeline that combines human annotations with a multi-LLM "jury" system to assess the safety of responses, we obtain Aegis 2.0, a carefully curated collection of 34,248 samples of human-LLM interactions, annotated according to our proposed taxonomy. To validate its effectiveness, we demonstrate that several lightweight models, trained using parameter-efficient techniques on Aegis 2.0, achieve performance competitive with leading safety models fully fine-tuned on much larger, non-commercial datasets. In addition, we introduce a novel training blend that combines safety with topic following data.This approach enhances the adaptability of guard models, enabling them to generalize to new risk categories defined during inference. We plan to open-source Aegis 2.0 data and models to the research community to aid in the safety guardrailing of LLMs.

Preference alignment in Large Language Models (LLMs) has significantly improved their ability to adhere to human instructions and intentions. However, existing direct alignment algorithms primarily focus on relative preferences and often overlook the qualitative aspects of responses. Striving to maximize the implicit reward gap between the chosen and the slightly inferior rejected responses can cause overfitting and unnecessary unlearning of the high-quality rejected responses. The unawareness of the reward scores also drives the LLM to indiscriminately favor the low-quality chosen responses and fail to generalize to responses with the highest rewards, which are sparse in data. To overcome these shortcomings, our study introduces reward-conditioned LLM policies that discern and learn from the entire spectrum of response quality within the dataset, helping extrapolate to more optimal regions. We propose an effective yet simple data relabeling method that conditions the preference pairs on quality scores to construct a reward-augmented dataset. This dataset is easily integrated with existing direct alignment algorithms and is applicable to any preference dataset. The experimental results across instruction-following benchmarks including AlpacaEval, MT-Bench, and Arena-Hard-Auto demonstrate that our approach consistently boosts the performance of DPO by a considerable margin across diverse models. Additionally, our method improves the average accuracy on various academic benchmarks. When applying our method to on-policy data, the resulting DPO model achieves SOTA results on AlpacaEval. Through ablation studies, we demonstrate that our method not only maximizes the utility of preference data but also mitigates the issue of unlearning, demonstrating its broad effectiveness beyond mere dataset expansion. Our code is available at https://github.com/shenao-zhang/reward-augmented-preference.

Aligning large language models (LLMs) with human preferences becomes a key component to obtaining state-of-the-art performance, but it yields a huge cost to construct a large human-annotated preference dataset. To tackle this problem, we propose a new framework that boosts the alignment of LLMs through Self-generated Preference data (Selfie) using only a very small amount of human-annotated preference data. Our key idea is leveraging the human prior knowledge within the small (seed) data and progressively improving the alignment of LLM, by iteratively generating the responses and learning from them with the self-annotated preference data. To be specific, we propose to derive the preference label from the logits of LLM to explicitly extract the model's inherent preference. Compared to the previous approaches using external reward models or implicit in-context learning, we observe that the proposed approach is significantly more effective. In addition, we introduce a noise-aware preference learning algorithm to mitigate the risk of low quality within generated preference data. Our experimental results demonstrate that the proposed framework significantly boosts the alignment of LLMs. For example, we achieve superior alignment performance on AlpacaEval 2.0 with only 3.3\% of the ground-truth preference labels in the Ultrafeedback data compared to the cases using the entire data or state-of-the-art baselines.

Recent advancements in open-source multi-modal large language models (MLLMs) have primarily focused on enhancing foundational capabilities, leaving a significant gap in human preference alignment. This paper introduces OmniAlign-V, a comprehensive dataset of 200K high-quality training samples featuring diverse images, complex questions, and varied response formats to improve MLLMs' alignment with human preferences. We also present MM-AlignBench, a human-annotated benchmark specifically designed to evaluate MLLMs' alignment with human values. Experimental results show that finetuning MLLMs with OmniAlign-V, using Supervised Fine-Tuning (SFT) or Direct Preference Optimization (DPO), significantly enhances human preference alignment while maintaining or enhancing performance on standard VQA benchmarks, preserving their fundamental capabilities. Our datasets, benchmark, code and checkpoints have been released at https://github.com/PhoenixZ810/OmniAlign-V.

Optimizing large language models (LLMs) for downstream use cases often involves the customization of pre-trained LLMs through further fine-tuning. Meta's open release of Llama models and OpenAI's APIs for fine-tuning GPT-3.5 Turbo on custom datasets also encourage this practice. But, what are the safety costs associated with such custom fine-tuning? We note that while existing safety alignment infrastructures can restrict harmful behaviors of LLMs at inference time, they do not cover safety risks when fine-tuning privileges are extended to end-users. Our red teaming studies find that the safety alignment of LLMs can be compromised by fine-tuning with only a few adversarially designed training examples. For instance, we jailbreak GPT-3.5 Turbo's safety guardrails by fine-tuning it on only 10 such examples at a cost of less than $0.20 via OpenAI's APIs, making the model responsive to nearly any harmful instructions. Disconcertingly, our research also reveals that, even without malicious intent, simply fine-tuning with benign and commonly used datasets can also inadvertently degrade the safety alignment of LLMs, though to a lesser extent. These findings suggest that fine-tuning aligned LLMs introduces new safety risks that current safety infrastructures fall short of addressing -- even if a model's initial safety alignment is impeccable, it is not necessarily to be maintained after custom fine-tuning. We outline and critically analyze potential mitigations and advocate for further research efforts toward reinforcing safety protocols for the custom fine-tuning of aligned LLMs.

Along with the remarkable successes of Language language models, recent research also started to explore the security threats of LLMs, including jailbreaking attacks. Attackers carefully craft jailbreaking prompts such that a target LLM will respond to the harmful question. Existing jailbreaking attacks require either human experts or leveraging complicated algorithms to craft jailbreaking prompts. In this paper, we introduce BOOST, a simple attack that leverages only the eos tokens. We demonstrate that rather than constructing complicated jailbreaking prompts, the attacker can simply append a few eos tokens to the end of a harmful question. It will bypass the safety alignment of LLMs and lead to successful jailbreaking attacks. We further apply BOOST to four representative jailbreak methods and show that the attack success rates of these methods can be significantly enhanced by simply adding eos tokens to the prompt. To understand this simple but novel phenomenon, we conduct empirical analyses. Our analysis reveals that adding eos tokens makes the target LLM believe the input is much less harmful, and eos tokens have low attention values and do not affect LLM's understanding of the harmful questions, leading the model to actually respond to the questions. Our findings uncover how fragile an LLM is against jailbreak attacks, motivating the development of strong safety alignment approaches.

Alignment is a crucial step to enhance the instruction-following and conversational abilities of language models. Despite many recent work proposing new algorithms, datasets, and training pipelines, there is a lack of comprehensive studies measuring the impact of various design choices throughout the whole training process. We first conduct a rigorous analysis over a three-stage training pipeline consisting of supervised fine-tuning, offline preference learning, and online preference learning. We have found that using techniques like sequence packing, loss masking in SFT, increasing the preference dataset size in DPO, and online DPO training can significantly improve the performance of language models. We then train from Gemma-2b-base and LLama-3-8b-base, and find that our best models exceed the performance of the official instruct models tuned with closed-source data and algorithms. Our code and models can be found at https://github.com/Columbia-NLP-Lab/LionAlignment.

Answering Questions over Knowledge Graphs (KGQA) is key to well-functioning autonomous language agents in various real-life applications. To improve the neural-symbolic reasoning capabilities of language agents powered by Large Language Models (LLMs) in KGQA, we propose the DecompositionAlignment-Reasoning Agent (DARA) framework. DARA effectively parses questions into formal queries through a dual mechanism: high-level iterative task decomposition and low-level task grounding. Importantly, DARA can be efficiently trained with a small number of high-quality reasoning trajectories. Our experimental results demonstrate that DARA fine-tuned on LLMs (e.g. Llama-2-7B, Mistral) outperforms both in-context learning-based agents with GPT-4 and alternative fine-tuned agents, across different benchmarks in zero-shot evaluation, making such models more accessible for real-life applications. We also show that DARA attains performance comparable to state-of-the-art enumerating-and-ranking-based methods for KGQA.

Positioned between pre-training and user deployment, aligning large language models (LLMs) through reinforcement learning (RL) has emerged as a prevailing strategy for training instruction following-models such as ChatGPT. In this work, we initiate the study of privacy-preserving alignment of LLMs through Differential Privacy (DP) in conjunction with RL. Following the influential work of Ziegler et al. (2020), we study two dominant paradigms: (i) alignment via RL without human in the loop (e.g., positive review generation) and (ii) alignment via RL from human feedback (RLHF) (e.g., summarization in a human-preferred way). We give a new DP framework to achieve alignment via RL, and prove its correctness. Our experimental results validate the effectiveness of our approach, offering competitive utility while ensuring strong privacy protections.

Large Language Models (LLMs) have shown stellar achievements in solving a broad range of tasks. When generating text, it is common to sample tokens from these models: whether LLMs closely align with the human disagreement distribution has not been well-studied, especially within the scope of Natural Language Inference (NLI). In this paper, we evaluate the performance and alignment of LLM distribution with humans using two different techniques: Monte Carlo Reconstruction (MCR) and Log Probability Reconstruction (LPR). As a result, we show LLMs exhibit limited ability in solving NLI tasks and simultaneously fail to capture human disagreement distribution, raising concerns about their natural language understanding (NLU) ability and their representativeness of human users.

We introduce CogVLM, a powerful open-source visual language foundation model. Different from the popular shallow alignment method which maps image features into the input space of language model, CogVLM bridges the gap between the frozen pretrained language model and image encoder by a trainable visual expert module in the attention and FFN layers. As a result, CogVLM enables deep fusion of vision language features without sacrificing any performance on NLP tasks. CogVLM-17B achieves state-of-the-art performance on 10 classic cross-modal benchmarks, including NoCaps, Flicker30k captioning, RefCOCO, RefCOCO+, RefCOCOg, Visual7W, GQA, ScienceQA, VizWiz VQA and TDIUC, and ranks the 2nd on VQAv2, OKVQA, TextVQA, COCO captioning, etc., surpassing or matching PaLI-X 55B. Codes and checkpoints are available at https://github.com/THUDM/CogVLM.

Preference Optimization (PO) has proven an effective step for aligning language models to human-desired behaviors. Current variants, following the offline Direct Preference Optimization objective, have focused on a strict setting where all tokens are contributing signals of KL divergence and rewards to the loss function. However, human preference is not affected by each word in a sequence equally but is often dependent on specific words or phrases, e.g. existence of toxic terms leads to non-preferred responses. Based on this observation, we argue that not all tokens should be weighted equally during PO and propose a flexible objective termed SparsePO, that aims to automatically learn to weight the KL divergence and reward corresponding to each token during PO training. We propose two different variants of weight-masks that can either be derived from the reference model itself or learned on the fly. Notably, our method induces sparsity in the learned masks, allowing the model to learn how to best weight reward and KL divergence contributions at the token level, learning an optimal level of mask sparsity. Extensive experiments on multiple domains, including sentiment control, dialogue, text summarization and text-to-code generation, illustrate that our approach assigns meaningful weights to tokens according to the target task, generates more responses with the desired preference and improves reasoning tasks by up to 2 percentage points compared to other token- and response-level PO methods.

Large language models (LLMs) are increasingly utilized to assist in scientific and academic writing, helping authors enhance the coherence of their articles. Previous studies have highlighted stereotypes and biases present in LLM outputs, emphasizing the need to evaluate these models for their alignment with human narrative styles and potential gender biases. In this study, we assess the alignment of three prominent LLMs - Claude 3 Opus, Mistral AI Large, and Gemini 1.5 Flash - by analyzing their performance on benchmark text-generation tasks for scientific abstracts. We employ the Linguistic Inquiry and Word Count (LIWC) framework to extract lexical, psychological, and social features from the generated texts. Our findings indicate that, while these models generally produce text closely resembling human authored content, variations in stylistic features suggest significant gender biases. This research highlights the importance of developing LLMs that maintain a diversity of writing styles to promote inclusivity in academic discourse.

There is growing interest in ensuring that large language models (LLMs) align with human values. However, the alignment of such models is vulnerable to adversarial jailbreaks, which coax LLMs into overriding their safety guardrails. The identification of these vulnerabilities is therefore instrumental in understanding inherent weaknesses and preventing future misuse. To this end, we propose Prompt Automatic Iterative Refinement (PAIR), an algorithm that generates semantic jailbreaks with only black-box access to an LLM. PAIR -- which is inspired by social engineering attacks -- uses an attacker LLM to automatically generate jailbreaks for a separate targeted LLM without human intervention. In this way, the attacker LLM iteratively queries the target LLM to update and refine a candidate jailbreak. Empirically, PAIR often requires fewer than twenty queries to produce a jailbreak, which is orders of magnitude more efficient than existing algorithms. PAIR also achieves competitive jailbreaking success rates and transferability on open and closed-source LLMs, including GPT-3.5/4, Vicuna, and PaLM-2.

Large Language Models (LLMs) trained on extensive textual corpora have emerged as leading solutions for a broad array of Natural Language Processing (NLP) tasks. Despite their notable performance, these models are prone to certain limitations such as misunderstanding human instructions, generating potentially biased content, or factually incorrect (hallucinated) information. Hence, aligning LLMs with human expectations has become an active area of interest within the research community. This survey presents a comprehensive overview of these alignment technologies, including the following aspects. (1) Data collection: the methods for effectively collecting high-quality instructions for LLM alignment, including the use of NLP benchmarks, human annotations, and leveraging strong LLMs. (2) Training methodologies: a detailed review of the prevailing training methods employed for LLM alignment. Our exploration encompasses Supervised Fine-tuning, both Online and Offline human preference training, along with parameter-efficient training mechanisms. (3) Model Evaluation: the methods for evaluating the effectiveness of these human-aligned LLMs, presenting a multifaceted approach towards their assessment. In conclusion, we collate and distill our findings, shedding light on several promising future research avenues in the field. This survey, therefore, serves as a valuable resource for anyone invested in understanding and advancing the alignment of LLMs to better suit human-oriented tasks and expectations. An associated GitHub link collecting the latest papers is available at https://github.com/GaryYufei/AlignLLMHumanSurvey.

Modeling human preferences is crucial for aligning foundation models with human values. Traditional reward modeling methods, such as the Bradley-Terry (BT) reward model, fall short in expressiveness, particularly in addressing intransitive preferences. Although supervised pair preference models (PairPM) can express general preferences, their implementation is highly ad-hoc and cannot guarantee a consistent preference probability of compared pairs. Additionally, they impose high computational costs due to their quadratic query complexity when comparing multiple responses. In this paper, we introduce preference representation learning, an approach that embeds responses into a latent space to capture intricate preference structures efficiently, achieving linear query complexity. Additionally, we propose preference score-based General Preference Optimization (GPO), which generalizes reward-based reinforcement learning from human feedback. Experimental results show that our General Preference representation model (GPM) outperforms the BT reward model on the RewardBench benchmark with a margin of up to 5.6% and effectively models cyclic preferences where any BT reward model behaves like a random guess. Furthermore, evaluations on downstream tasks such as AlpacaEval2.0 and MT-Bench, following the language model post-training with GPO and our general preference model, reveal substantial performance improvements with margins up to 9.3%. These findings indicate that our method may enhance the alignment of foundation models with nuanced human values. The code is available at https://github.com/general-preference/general-preference-model.

Natural language processing (NLP) has witnessed a profound impact of large language models (LLMs) that excel in a multitude of tasks. However, the limitation of LLMs in multilingual settings, particularly in underrepresented languages, remains a significant hurdle. This thesis aims to bridge the gap in NLP research and development by focusing on underrepresented languages. A comprehensive evaluation of LLMs is conducted to assess their capabilities in these languages, revealing the challenges of multilingual and multicultural generalization. Addressing the multilingual generalization gap, this thesis proposes data-and-compute-efficient methods to mitigate the disparity in LLM ability in underrepresented languages, allowing better generalization on underrepresented languages without the loss of task generalization ability. The proposed solutions cover cross-lingual continual instruction tuning, retrieval-based cross-lingual in-context learning, and in-context query alignment. Furthermore, a novel method to measure cultural values alignment between LLMs operating in different languages is proposed, ensuring cultural sensitivity and inclusivity. These contributions aim to enhance the multilingual and multicultural alignment of LLMs in underrepresented languages, ultimately advancing the NLP field toward greater equality and inclusiveness.

Social scientists use surveys to probe the opinions and beliefs of populations, but these methods are slow, costly, and prone to biases. Recent advances in large language models (LLMs) enable creating computational representations or "digital twins" of populations that generate human-like responses mimicking the population's language, styles, and attitudes. We introduce Community-Cross-Instruct, an unsupervised framework for aligning LLMs to online communities to elicit their beliefs. Given a corpus of a community's online discussions, Community-Cross-Instruct automatically generates instruction-output pairs by an advanced LLM to (1) finetune an foundational LLM to faithfully represent that community, and (2) evaluate the alignment of the finetuned model to the community. We demonstrate the method's utility in accurately representing political and fitness communities on Reddit. Unlike prior methods requiring human-authored instructions, Community-Cross-Instruct generates instructions in a fully unsupervised manner, enhancing scalability and generalization across domains. This work enables cost-effective and automated surveying of diverse online communities.

Released Large Language Models (LLMs) are often paired with a claimed knowledge cutoff date, or the dates at which training data was gathered. Such information is crucial for applications where the LLM must provide up to date information. However, this statement only scratches the surface: do all resources in the training data share the same knowledge cutoff date? Does the model's demonstrated knowledge for these subsets closely align to their cutoff dates? In this work, we define the notion of an effective cutoff. This is distinct from the LLM designer reported cutoff and applies separately to sub-resources and topics. We propose a simple approach to estimate effective cutoffs on the resource-level temporal alignment of an LLM by probing across versions of the data. Using this analysis, we find that effective cutoffs often differ from reported cutoffs. To understand the root cause of this observation, we conduct a direct large-scale analysis on open pre-training datasets. Our analysis reveals two reasons for these inconsistencies: (1) temporal biases of CommonCrawl data due to non-trivial amounts of old data in new dumps and (2) complications in LLM deduplication schemes involving semantic duplicates and lexical near-duplicates. Overall, our results show that knowledge cutoffs are not as simple as they have seemed and that care must be taken both by LLM dataset curators as well as practitioners who seek to use information from these models.

With the advancements in Large Language Models (LLMs), Vision-Language Models (VLMs) have reached a new level of sophistication, showing notable competence in executing intricate cognition and reasoning tasks. However, existing evaluation benchmarks, primarily relying on rigid, hand-crafted datasets to measure task-specific performance, face significant limitations in assessing the alignment of these increasingly anthropomorphic models with human intelligence. In this work, we address the limitations via Auto-Bench, which delves into exploring LLMs as proficient aligners, measuring the alignment between VLMs and human intelligence and value through automatic data curation and assessment. Specifically, for data curation, Auto-Bench utilizes LLMs (e.g., GPT-4) to automatically generate a vast set of question-answer-reasoning triplets via prompting on visual symbolic representations (e.g., captions, object locations, instance relationships, and etc.). The curated data closely matches human intent, owing to the extensive world knowledge embedded in LLMs. Through this pipeline, a total of 28.5K human-verified and 3,504K unfiltered question-answer-reasoning triplets have been curated, covering 4 primary abilities and 16 sub-abilities. We subsequently engage LLMs like GPT-3.5 to serve as judges, implementing the quantitative and qualitative automated assessments to facilitate a comprehensive evaluation of VLMs. Our validation results reveal that LLMs are proficient in both evaluation data curation and model assessment, achieving an average agreement rate of 85%. We envision Auto-Bench as a flexible, scalable, and comprehensive benchmark for evaluating the evolving sophisticated VLMs.

Large Language Models (LLMs) have shown remarkable success in various tasks, but concerns about their safety and the potential for generating malicious content have emerged. In this paper, we explore the power of In-Context Learning (ICL) in manipulating the alignment ability of LLMs. We find that by providing just few in-context demonstrations without fine-tuning, LLMs can be manipulated to increase or decrease the probability of jailbreaking, i.e. answering malicious prompts. Based on these observations, we propose In-Context Attack (ICA) and In-Context Defense (ICD) methods for jailbreaking and guarding aligned language model purposes. ICA crafts malicious contexts to guide models in generating harmful outputs, while ICD enhances model robustness by demonstrations of rejecting to answer harmful prompts. Our experiments show the effectiveness of ICA and ICD in increasing or reducing the success rate of adversarial jailbreaking attacks. Overall, we shed light on the potential of ICL to influence LLM behavior and provide a new perspective for enhancing the safety and alignment of LLMs.

Language models (LMs) are increasingly being used in open-ended contexts, where the opinions reflected by LMs in response to subjective queries can have a profound impact, both on user satisfaction, as well as shaping the views of society at large. In this work, we put forth a quantitative framework to investigate the opinions reflected by LMs -- by leveraging high-quality public opinion polls and their associated human responses. Using this framework, we create OpinionsQA, a new dataset for evaluating the alignment of LM opinions with those of 60 US demographic groups over topics ranging from abortion to automation. Across topics, we find substantial misalignment between the views reflected by current LMs and those of US demographic groups: on par with the Democrat-Republican divide on climate change. Notably, this misalignment persists even after explicitly steering the LMs towards particular demographic groups. Our analysis not only confirms prior observations about the left-leaning tendencies of some human feedback-tuned LMs, but also surfaces groups whose opinions are poorly reflected by current LMs (e.g., 65+ and widowed individuals). Our code and data are available at https://github.com/tatsu-lab/opinions_qa.

A common technique for aligning large language models (LLMs) relies on acquiring human preferences by comparing multiple generations conditioned on a fixed context. This only leverages the pairwise comparisons when the generations are placed in an identical context. However, such conditional rankings often fail to capture the complex and multidimensional aspects of human preferences. In this work, we revisit the traditional paradigm of preference acquisition and propose a new axis that is based on eliciting preferences jointly over the instruction-response pairs. While prior preference optimizations are designed for conditional ranking protocols (e.g., DPO), our proposed preference acquisition protocol introduces DOVE, a new preference optimization objective that upweights the joint probability of the chosen instruction-response pair over the rejected instruction-response pair. Interestingly, we find that the LLM trained with joint instruction-response preference data using DOVE outperforms the LLM trained with DPO by 5.2% and 3.3% win-rate for the summarization and open-ended dialogue datasets, respectively. Our findings reveal that joint preferences over instruction and response pairs can significantly enhance the alignment of LLMs by tapping into a broader spectrum of human preference elicitation. The data and code is available at https://github.com/Hritikbansal/dove.

Orca 1 learns from rich signals, such as explanation traces, allowing it to outperform conventional instruction-tuned models on benchmarks like BigBench Hard and AGIEval. In Orca 2, we continue exploring how improved training signals can enhance smaller LMs' reasoning abilities. Research on training small LMs has often relied on imitation learning to replicate the output of more capable models. We contend that excessive emphasis on imitation may restrict the potential of smaller models. We seek to teach small LMs to employ different solution strategies for different tasks, potentially different from the one used by the larger model. For example, while larger models might provide a direct answer to a complex task, smaller models may not have the same capacity. In Orca 2, we teach the model various reasoning techniques (step-by-step, recall then generate, recall-reason-generate, direct answer, etc.). More crucially, we aim to help the model learn to determine the most effective solution strategy for each task. We evaluate Orca 2 using a comprehensive set of 15 diverse benchmarks (corresponding to approximately 100 tasks and over 36,000 unique prompts). Orca 2 significantly surpasses models of similar size and attains performance levels similar or better to those of models 5-10x larger, as assessed on complex tasks that test advanced reasoning abilities in zero-shot settings. We open-source Orca 2 to encourage further research on the development, evaluation, and alignment of smaller LMs.

In this paper, we introduce the BeaverTails dataset, aimed at fostering research on safety alignment in large language models (LLMs). This dataset uniquely separates annotations of helpfulness and harmlessness for question-answering pairs, thus offering distinct perspectives on these crucial attributes. In total, we have compiled safety meta-labels for 30,207 question-answer (QA) pairs and gathered 30,144 pairs of expert comparison data for both the helpfulness and harmlessness metrics. We further showcase applications of BeaverTails in content moderation and reinforcement learning with human feedback (RLHF), emphasizing its potential for practical safety measures in LLMs. We believe this dataset provides vital resources for the community, contributing towards the safe development and deployment of LLMs. Our project page is available at the following URL: https://sites.google.com/view/pku-beavertails.

Large language models (LLMs) that produce human-like responses have begun to revolutionize research practices in the social sciences. We develop a novel methodological framework that fine-tunes LLMs with repeated cross-sectional surveys to incorporate the meaning of survey questions, individual beliefs, and temporal contexts for opinion prediction. We introduce two new emerging applications of the AI-augmented survey: retrodiction (i.e., predict year-level missing responses) and unasked opinion prediction (i.e., predict entirely missing responses). Among 3,110 binarized opinions from 68,846 Americans in the General Social Survey from 1972 to 2021, our models based on Alpaca-7b excel in retrodiction (AUC = 0.86 for personal opinion prediction, rho = 0.98 for public opinion prediction). These remarkable prediction capabilities allow us to fill in missing trends with high confidence and pinpoint when public attitudes changed, such as the rising support for same-sex marriage. On the other hand, our fine-tuned Alpaca-7b models show modest success in unasked opinion prediction (AUC = 0.73, rho = 0.67). We discuss practical constraints and ethical concerns regarding individual autonomy and privacy when using LLMs for opinion prediction. Our study demonstrates that LLMs and surveys can mutually enhance each other's capabilities: LLMs can broaden survey potential, while surveys can improve the alignment of LLMs.

Reinforcement Learning from Human Feedback (RLHF) has proven effective in aligning large language models with human intentions, yet it often relies on complex methodologies like Proximal Policy Optimization (PPO) that require extensive hyper-parameter tuning and present challenges in sample efficiency and stability. In this paper, we introduce Inverse-Q*, an innovative framework that transcends traditional RL methods by optimizing token-level reinforcement learning without the need for additional reward or value models. Inverse-Q* leverages direct preference optimization techniques but extends them by estimating the conditionally optimal policy directly from the model's responses, facilitating more granular and flexible policy shaping. Our approach reduces reliance on human annotation and external supervision, making it especially suitable for low-resource settings. We present extensive experimental results demonstrating that Inverse-Q* not only matches but potentially exceeds the effectiveness of PPO in terms of convergence speed and the alignment of model responses with human preferences. Our findings suggest that Inverse-Q* offers a practical and robust alternative to conventional RLHF approaches, paving the way for more efficient and adaptable model training approaches.

Self-alignment is an effective way to reduce the cost of human annotation while ensuring promising model capability. However, most current methods complete the data collection and training steps in a single round, which may overlook the continuously improving ability of self-aligned models. This gives rise to a key query: What if we do multi-time bootstrapping self-alignment? Does this strategy enhance model performance or lead to rapid degradation? In this paper, our pioneering exploration delves into the impact of bootstrapping self-alignment on large language models. Our findings reveal that bootstrapping self-alignment markedly surpasses the single-round approach, by guaranteeing data diversity from in-context learning. To further exploit the capabilities of bootstrapping, we investigate and adjust the training order of data, which yields improved performance of the model. Drawing on these findings, we propose Step-On-Feet Tuning (SOFT) which leverages model's continuously enhanced few-shot ability to boost zero or one-shot performance. Based on easy-to-hard training recipe, we propose SOFT+ which further boost self-alignment's performance. Our experiments demonstrate the efficiency of SOFT (SOFT+) across various classification and generation tasks, highlighting the potential of bootstrapping self-alignment on continually enhancing model alignment performance.

Multimodal Large Language Models (MLLMs) have emerged as a central focus in both industry and academia, but often suffer from biases introduced by visual and language priors, which can lead to multimodal hallucination. These biases arise from the visual encoder and the Large Language Model (LLM) backbone, affecting the attention mechanism responsible for aligning multimodal inputs. Existing decoding-based mitigation methods focus on statistical correlations and overlook the causal relationships between attention mechanisms and model output, limiting their effectiveness in addressing these biases. To tackle this issue, we propose a causal inference framework termed CausalMM that applies structural causal modeling to MLLMs, treating modality priors as a confounder between attention mechanisms and output. Specifically, by employing backdoor adjustment and counterfactual reasoning at both the visual and language attention levels, our method mitigates the negative effects of modality priors and enhances the alignment of MLLM's inputs and outputs, with a maximum score improvement of 65.3% on 6 VLind-Bench indicators and 164 points on MME Benchmark compared to conventional methods. Extensive experiments validate the effectiveness of our approach while being a plug-and-play solution. Our code is available at: https://github.com/The-Martyr/CausalMM

Recent research demonstrates that the nascent fine-tuning-as-a-service business model exposes serious safety concerns -- fine-tuning over a few harmful data uploaded by the users can compromise the safety alignment of the model. The attack, known as harmful fine-tuning, has raised a broad research interest among the community. However, as the attack is still new, we observe from our miserable submission experience that there are general misunderstandings within the research community. We in this paper aim to clear some common concerns for the attack setting, and formally establish the research problem. Specifically, we first present the threat model of the problem, and introduce the harmful fine-tuning attack and its variants. Then we systematically survey the existing literature on attacks/defenses/mechanical analysis of the problem. Finally, we outline future research directions that might contribute to the development of the field. Additionally, we present a list of questions of interest, which might be useful to refer to when reviewers in the peer review process question the realism of the experiment/attack/defense setting. A curated list of relevant papers is maintained and made accessible at: https://github.com/git-disl/awesome_LLM-harmful-fine-tuning-papers.

The alignment tuning process of large language models (LLMs) typically involves instruction learning through supervised fine-tuning (SFT) and preference tuning via reinforcement learning from human feedback (RLHF). A recent study, LIMA (Zhou et al. 2023), shows that using merely 1K examples for SFT can achieve significant alignment performance as well, suggesting that the effect of alignment tuning might be "superficial." This raises questions about how exactly the alignment tuning transforms a base LLM. We analyze the effect of alignment tuning by examining the token distribution shift between base LLMs and their aligned counterpart. Our findings reveal that base LLMs and their alignment-tuned versions perform nearly identically in decoding on the majority of token positions. Most distribution shifts occur with stylistic tokens. These direct evidence strongly supports the Superficial Alignment Hypothesis suggested by LIMA. Based on these findings, we rethink the alignment of LLMs by posing the research question: how effectively can we align base LLMs without SFT or RLHF? To address this, we introduce a simple, tuning-free alignment method, URIAL. URIAL achieves effective alignment purely through in-context learning (ICL) with base LLMs, requiring as few as three constant stylistic examples and a system prompt. We conduct a fine-grained and interpretable evaluation on a diverse set of examples, named JUST-EVAL-INSTRUCT. Results demonstrate that base LLMs with URIAL can match or even surpass the performance of LLMs aligned with SFT or SFT+RLHF. We show that the gap between tuning-free and tuning-based alignment methods can be significantly reduced through strategic prompting and ICL. Our findings on the superficial nature of alignment tuning and results with URIAL suggest that deeper analysis and theoretical understanding of alignment is crucial to future LLM research.

The rapid advancement of language models (LMs) necessitates robust alignment with diverse user values. However, current preference optimization approaches often fail to capture the plurality of user opinions, instead reinforcing majority viewpoints and marginalizing minority perspectives. We introduce PERSONA, a reproducible test bed designed to evaluate and improve pluralistic alignment of LMs. We procedurally generate diverse user profiles from US census data, resulting in 1,586 synthetic personas with varied demographic and idiosyncratic attributes. We then generate a large-scale evaluation dataset containing 3,868 prompts and 317,200 feedback pairs obtained from our synthetic personas. Leveraging this dataset, we systematically evaluate LM capabilities in role-playing diverse users, verified through human judges, and the establishment of both a benchmark, PERSONA Bench, for pluralistic alignment approaches as well as an extensive dataset to create new and future benchmarks. The full dataset and benchmarks are available here: https://www.synthlabs.ai/research/persona.

Recent studies have demonstrated the exceptional potentials of leveraging human preference datasets to refine text-to-image generative models, enhancing the alignment between generated images and textual prompts. Despite these advances, current human preference datasets are either prohibitively expensive to construct or suffer from a lack of diversity in preference dimensions, resulting in limited applicability for instruction tuning in open-source text-to-image generative models and hinder further exploration. To address these challenges and promote the alignment of generative models through instruction tuning, we leverage multimodal large language models to create VisionPrefer, a high-quality and fine-grained preference dataset that captures multiple preference aspects. We aggregate feedback from AI annotators across four aspects: prompt-following, aesthetic, fidelity, and harmlessness to construct VisionPrefer. To validate the effectiveness of VisionPrefer, we train a reward model VP-Score over VisionPrefer to guide the training of text-to-image generative models and the preference prediction accuracy of VP-Score is comparable to human annotators. Furthermore, we use two reinforcement learning methods to supervised fine-tune generative models to evaluate the performance of VisionPrefer, and extensive experimental results demonstrate that VisionPrefer significantly improves text-image alignment in compositional image generation across diverse aspects, e.g., aesthetic, and generalizes better than previous human-preference metrics across various image distributions. Moreover, VisionPrefer indicates that the integration of AI-generated synthetic data as a supervisory signal is a promising avenue for achieving improved alignment with human preferences in vision generative models.

Recent advances in text-to-image synthesis have been enabled by exploiting a combination of language and vision through foundation models. These models are pre-trained on tremendous amounts of text-image pairs sourced from the World Wide Web or other large-scale databases. As the demand for high-quality image generation shifts towards ensuring content alignment between text and image, novel evaluation metrics have been developed with the aim of mimicking human judgments. Thus, researchers have started to collect datasets with increasingly complex annotations to study the compositionality of vision-language models and their incorporation as a quality measure of compositional alignment between text and image contents. In this work, we provide a comprehensive overview of existing text-to-image evaluation metrics and propose a new taxonomy for categorizing these metrics. We also review frequently adopted text-image benchmark datasets before discussing techniques to optimize text-to-image synthesis models towards quality and human preferences. Ultimately, we derive guidelines for improving text-to-image evaluation and discuss the open challenges and current limitations.

While advancements in Vision Language Models (VLMs) have significantly improved the alignment of visual and textual data, these models primarily focus on aligning images with short descriptive captions. This focus limits their ability to handle complex text interactions, particularly with longer texts such as lengthy captions or documents, which have not been extensively explored yet. In this paper, we introduce Meet At The Embedding (MATE), a novel approach that combines the capabilities of VLMs with Large Language Models (LLMs) to overcome this challenge without the need for additional image-long text pairs. Specifically, we replace the text encoder of the VLM with a pretrained LLM-based encoder that excels in understanding long texts. To bridge the gap between VLM and LLM, MATE incorporates a projection module that is trained in a multi-stage manner. It starts by aligning the embeddings from the VLM text encoder with those from the LLM using extensive text pairs. This module is then employed to seamlessly align image embeddings closely with LLM embeddings. We propose two new cross-modal retrieval benchmarks to assess the task of connecting images with long texts (lengthy captions / documents). Extensive experimental results demonstrate that MATE effectively connects images with long texts, uncovering diverse semantic relationships.

Recent studies have demonstrated the cross-lingual alignment ability of multilingual pretrained language models. In this work, we found that the cross-lingual alignment can be further improved by training seq2seq models on sentence pairs mined using their own encoder outputs. We utilized these findings to develop a new approach -- cross-lingual retrieval for iterative self-supervised training (CRISS), where mining and training processes are applied iteratively, improving cross-lingual alignment and translation ability at the same time. Using this method, we achieved state-of-the-art unsupervised machine translation results on 9 language directions with an average improvement of 2.4 BLEU, and on the Tatoeba sentence retrieval task in the XTREME benchmark on 16 languages with an average improvement of 21.5% in absolute accuracy. Furthermore, CRISS also brings an additional 1.8 BLEU improvement on average compared to mBART, when finetuned on supervised machine translation downstream tasks.

In the classical Reinforcement Learning from Human Feedback (RLHF) framework, Proximal Policy Optimization (PPO) is employed to learn from sparse, sentence-level rewards -- a challenging scenario in traditional deep reinforcement learning. Despite the great successes of PPO in the alignment of state-of-the-art closed-source large language models (LLMs), its open-source implementation is still largely sub-optimal, as widely reported by numerous research studies. To address these issues, we introduce a framework that models RLHF problems as a Markov decision process (MDP), enabling the capture of fine-grained token-wise information. Furthermore, we provide theoretical insights that demonstrate the superiority of our MDP framework over the previous sentence-level bandit formulation. Under this framework, we introduce an algorithm, dubbed as Reinforced Token Optimization (RTO), which learns the token-wise reward function from preference data and performs policy optimization based on this learned token-wise reward signal. Theoretically, RTO is proven to have the capability of finding the near-optimal policy sample-efficiently. For its practical implementation, RTO innovatively integrates Direct Preference Optimization (DPO) and PPO. DPO, originally derived from sparse sentence rewards, surprisingly provides us with a token-wise characterization of response quality, which is seamlessly incorporated into our subsequent PPO training stage. Extensive real-world alignment experiments verify the effectiveness of the proposed approach.

While large multimodal models excel in broad vision-language benchmarks, they often struggle with tasks requiring precise perception of low-level visual details, such as comparing line lengths or solving simple mazes. In particular, this failure mode persists in question-answering tasks about vector graphics -- images composed purely of 2D objects and shapes. To address this challenge, we propose the Visually Descriptive Language Model (VDLM), which performs text-based reasoning about vector graphics. VDLM leverages Scalable Vector Graphics (SVG) for a more precise visual description and first uses an off-the-shelf raster-to-SVG algorithm for encoding. Since existing language models cannot understand raw SVGs in a zero-shot setting, VDLM then bridges SVG with pretrained language models through a newly introduced intermediate symbolic representation, Primal Visual Description (PVD), comprising primitive attributes (e.g., shape, position, measurement) with their corresponding predicted values. PVD is task-agnostic and represents visual primitives that are universal across all vector graphics. It can be learned with procedurally generated (SVG, PVD) pairs and also enables the direct use of LLMs for generalization to complex reasoning tasks. By casting an image to a text-based representation, we can leverage the power of language models to learn alignment from SVG to visual primitives and generalize to unseen question-answering tasks. Empirical results show that VDLM achieves stronger zero-shot performance compared to state-of-the-art LMMs, such as GPT-4V, in various low-level multimodal perception and reasoning tasks on vector graphics. We additionally present extensive analyses on VDLM's performance, demonstrating that our framework offers better interpretability due to its disentangled perception and reasoning processes. Project page: https://mikewangwzhl.github.io/VDLM/

Current multimodal models leveraging contrastive learning often face limitations in developing fine-grained conceptual understanding. This is due to random negative samples during pretraining, causing almost exclusively very dissimilar concepts to be compared in the loss function. Consequently, the models struggle with fine-grained semantic differences. To address this problem, we introduce a novel pretraining method incorporating synthetic hard negative text examples. The hard negatives permute terms corresponding to visual concepts, leading to a more fine-grained visual and textual concept alignment. Further, we introduce InpaintCOCO, a new challenging dataset for assessing the fine-grained alignment of colors, objects, and sizes in vision-language models. We created the dataset using generative inpainting from COCO images by changing the visual concepts so that the images no longer match their original captions. Our results show significant improvements in fine-grained concept understanding across a wide range of vision-language datasets, including our InpaintCOCO dataset.

While Large Language Models (LLMs) have proven to be exceptional on a variety of tasks after alignment, they may still produce responses that contradict the context or world knowledge confidently, a phenomenon known as ``hallucination''. In this paper, we demonstrate that reducing the inconsistency between the external knowledge encapsulated in the training data and the intrinsic knowledge inherited in the pretraining corpus could mitigate hallucination in alignment. Specifically, we introduce a novel knowledge consistent alignment (KCA) approach, which involves automatically formulating examinations based on external knowledge for accessing the comprehension of LLMs. For data encompassing knowledge inconsistency, KCA implements several simple yet efficient strategies for processing. We illustrate the superior performance of the proposed KCA approach in mitigating hallucinations across six benchmarks using LLMs of different backbones and scales. Furthermore, we confirm the correlation between knowledge inconsistency and hallucination, signifying the effectiveness of reducing knowledge inconsistency in alleviating hallucinations. Our code, model weights, and data are public at https://github.com/fanqiwan/KCA.

Modern language models paradoxically combine unprecedented capability with persistent vulnerability in that they can draft poetry yet cannot reliably refuse harmful requests. We reveal this fragility stems not from inadequate training, but from a fundamental architectural limitation: transformers process all tokens as equals. Transformers operate as computational democracies, granting equal voice to all tokens. This is a design tragically unsuited for AGI, where we cannot risk adversarial "candidates" hijacking the system. Through formal analysis, we demonstrate that safety instructions fundamentally lack privileged status in transformer architectures, that they compete with adversarial inputs in the same computational arena, making robust alignment through prompting or fine-tuning inherently limited. This "token democracy" explains why jailbreaks bypass even extensively safety-trained models and why positional shifts erode prompt effectiveness. Our work systematizes practitioners' tacit knowledge into an architectural critique, showing current alignment approaches create mere preferences, not constraints.

Vision-language models (VLMs), e.g., CLIP, have shown remarkable potential in zero-shot image classification. However, adapting these models to new domains remains challenging, especially in unsupervised settings where labelled data is unavailable. Recent research has proposed pseudo-labelling approaches to adapt CLIP in an unsupervised manner using unlabelled target data. Nonetheless, these methods struggle due to noisy pseudo-labels resulting from the misalignment between CLIP's visual and textual representations. This study introduces DPA, an unsupervised domain adaptation method for VLMs. DPA introduces the concept of dual prototypes, acting as distinct classifiers, along with the convex combination of their outputs, thereby leading to accurate pseudo-label construction. Next, it ranks pseudo-labels to facilitate robust self-training, particularly during early training. Finally, it addresses visual-textual misalignment by aligning textual prototypes with image prototypes to further improve the adaptation performance. Experiments on 13 downstream vision tasks demonstrate that DPA significantly outperforms zero-shot CLIP and the state-of-the-art unsupervised adaptation baselines.

We present Autoregressive Representation Alignment (ARRA), a new training framework that unlocks global-coherent text-to-image generation in autoregressive LLMs without architectural changes. Unlike prior work that requires complex architectural redesigns, ARRA aligns LLM hidden states with visual representations from external visual foundational models via a global visual alignment loss and a hybrid token, <HYBNEXT>. This token enforces dual constraints: local next-token prediction and global semantic distillation, enabling LLMs to implicitly learn spatial and contextual coherence while retaining their original autoregressive paradigm. Extensive experiments validate ARRA's plug-and-play versatility. When training from text-generation-only LLMs or random initialization, ARRA reduces FID by 25.5% (MIMIC-CXR), 8.8% (DeepEyeNet), and 7.5% (ImageNet) for advanced autoregressive LLMs like Chameleon and LlamaGen, all without framework modifications. For domain adaption, ARRA aligns general-purpose LLMs with specialized models (e.g., BioMedCLIP), achieving an 18.6% FID reduction over direct fine-tuning on medical imaging (MIMIC-CXR). By demonstrating that training objective redesign -- not just architectural innovation -- can resolve cross-modal global coherence challenges, ARRA offers a complementary paradigm for advancing autoregressive models. Code and models will be released to advance autoregressive image generation.

Large language models (LLMs) have shown tremendous success in following user instructions and generating helpful responses. Nevertheless, their robustness is still far from optimal, as they may generate significantly inconsistent responses due to minor changes in the verbalized instructions. Recent literature has explored this inconsistency issue, highlighting the importance of continued improvement in the robustness of response generation. However, systematic analysis and solutions are still lacking. In this paper, we quantitatively define the inconsistency problem and propose a two-stage training framework consisting of instruction-augmented supervised fine-tuning and consistency alignment training. The first stage helps a model generalize on following instructions via similar instruction augmentations. In the second stage, we improve the diversity and help the model understand which responses are more aligned with human expectations by differentiating subtle differences in similar responses. The training process is accomplished by self-rewards inferred from the trained model at the first stage without referring to external human preference resources. We conduct extensive experiments on recent publicly available LLMs on instruction-following tasks and demonstrate the effectiveness of our training framework.

This paper concerns the problem of aligning samples from large language models to human preferences using best-of-n sampling, where we draw n samples, rank them, and return the best one. We consider two fundamental problems. First: what is the relationship between best-of-n and approaches to alignment that train LLMs to output samples with a high expected reward (e.g., RLHF or DPO)? To answer this, we embed both the best-of-n distribution and the sampling distributions learned by alignment procedures in a common class of tiltings of the base LLM distribution. We then show that, within this class, best-of-n is essentially optimal in terms of the trade-off between win-rate against the base model vs KL distance from the base model. That is, best-of-n is the best choice of alignment distribution if the goal is to maximize win rate. However, best-of-n requires drawing n samples for each inference, a substantial cost. To avoid this, the second problem we consider is how to fine-tune a LLM to mimic the best-of-n sampling distribution. We derive BoNBoN Alignment to achieve this by exploiting the special structure of the best-of-n distribution. Experiments show that BoNBoN alignment yields substantial improvements in producing a model that is preferred to the base policy while minimally affecting off-target aspects.

The rapid advancement of large language models (LLMs) has facilitated their transformation into conversational chatbots that can grasp contextual nuances and generate pertinent sentences, closely mirroring human values through advanced techniques such as instruction tuning and reinforcement learning from human feedback (RLHF). However, the computational efficiency required for LLMs, achieved through techniques like post-training quantization (PTQ), presents challenges such as token-flipping that can impair chatbot performance. In response, we propose a novel preference alignment approach, quantization-aware direct preference optimization (QDPO), that aligns quantized LLMs with their full-precision counterparts, improving conversational abilities. Evaluated on two instruction-tuned LLMs in various languages, QDPO demonstrated superior performance in improving conversational abilities compared to established PTQ and knowledge-distillation fine-tuning techniques, marking a significant step forward in the development of efficient and effective conversational LLMs.

Aligning large language models (LLMs) with human preferences has been recognized as the key to improving LLMs' interaction quality. However, in this pluralistic world, human preferences can be diversified due to annotators' different tastes, which hinders the effectiveness of LLM alignment methods. This paper presents the first quantitative analysis of commonly used human feedback datasets to investigate the impact of diversified preferences on reward modeling. Our analysis reveals a correlation between the calibration performance of reward models (RMs) and the alignment performance of LLMs. We find that diversified preference data negatively affect the calibration performance of RMs on human-shared preferences, such as Harmless\&Helpful, thereby impairing the alignment performance of LLMs. To address the ineffectiveness, we propose a novel Multi-Objective Reward learning method (MORE) to enhance the calibration performance of RMs on shared preferences. We validate our findings by experiments on three models and five human preference datasets. Our method significantly improves the prediction calibration of RMs, leading to better alignment of the Alpaca-7B model with Harmless\&Helpful preferences. Furthermore, the connection between reward calibration and preference alignment performance suggests that calibration error can be adopted as a key metric for evaluating RMs. The open-source code and data are available at https://github.com/dunzeng/MORE.

Data-driven approaches for autonomous driving (AD) have been widely adopted in the past decade but are confronted with dataset bias and uninterpretability. Inspired by the knowledge-driven nature of human driving, recent approaches explore the potential of large language models (LLMs) to improve understanding and decision-making in traffic scenarios. They find that the pretrain-finetune paradigm of LLMs on downstream data with the Chain-of-Thought (CoT) reasoning process can enhance explainability and scene understanding. However, such a popular strategy proves to suffer from the notorious problems of misalignment between the crafted CoTs against the consequent decision-making, which remains untouched by previous LLM-based AD methods. To address this problem, we motivate an end-to-end decision-making model based on multimodality-augmented LLM, which simultaneously executes CoT reasoning and carries out planning results. Furthermore, we propose a reasoning-decision alignment constraint between the paired CoTs and planning results, imposing the correspondence between reasoning and decision-making. Moreover, we redesign the CoTs to enable the model to comprehend complex scenarios and enhance decision-making performance. We dub our proposed large language planners with reasoning-decision alignment as RDA-Driver. Experimental evaluations on the nuScenes and DriveLM-nuScenes benchmarks demonstrate the effectiveness of our RDA-Driver in enhancing the performance of end-to-end AD systems. Specifically, our RDA-Driver achieves state-of-the-art planning performance on the nuScenes dataset with 0.80 L2 error and 0.32 collision rate, and also achieves leading results on challenging DriveLM-nuScenes benchmarks with 0.82 L2 error and 0.38 collision rate.

We introduce ChatGLM, an evolving family of large language models that we have been developing over time. This report primarily focuses on the GLM-4 language series, which includes GLM-4, GLM-4-Air, and GLM-4-9B. They represent our most capable models that are trained with all the insights and lessons gained from the preceding three generations of ChatGLM. To date, the GLM-4 models are pre-trained on ten trillions of tokens mostly in Chinese and English, along with a small set of corpus from 24 languages, and aligned primarily for Chinese and English usage. The high-quality alignment is achieved via a multi-stage post-training process, which involves supervised fine-tuning and learning from human feedback. Evaluations show that GLM-4 1) closely rivals or outperforms GPT-4 in terms of general metrics such as MMLU, GSM8K, MATH, BBH, GPQA, and HumanEval, 2) gets close to GPT-4-Turbo in instruction following as measured by IFEval, 3) matches GPT-4 Turbo (128K) and Claude 3 for long context tasks, and 4) outperforms GPT-4 in Chinese alignments as measured by AlignBench. The GLM-4 All Tools model is further aligned to understand user intent and autonomously decide when and which tool(s) touse -- including web browser, Python interpreter, text-to-image model, and user-defined functions -- to effectively complete complex tasks. In practical applications, it matches and even surpasses GPT-4 All Tools in tasks like accessing online information via web browsing and solving math problems using Python interpreter. Over the course, we have open-sourced a series of models, including ChatGLM-6B (three generations), GLM-4-9B (128K, 1M), GLM-4V-9B, WebGLM, and CodeGeeX, attracting over 10 million downloads on Hugging face in the year 2023 alone. The open models can be accessed through https://github.com/THUDM and https://huggingface.co/THUDM.

We present a demonstration of a large language model engaging in alignment faking: selectively complying with its training objective in training to prevent modification of its behavior out of training. First, we give Claude 3 Opus a system prompt stating it is being trained to answer all queries, even harmful ones, which conflicts with its prior training to refuse such queries. To allow the model to infer when it is in training, we say it will be trained only on conversations with free users, not paid users. We find the model complies with harmful queries from free users 14% of the time, versus almost never for paid users. Explaining this gap, in almost all cases where the model complies with a harmful query from a free user, we observe explicit alignment-faking reasoning, with the model stating it is strategically answering harmful queries in training to preserve its preferred harmlessness behavior out of training. Next, we study a more realistic setting where information about the training process is provided not in a system prompt, but by training on synthetic documents that mimic pre-training data--and observe similar alignment faking. Finally, we study the effect of actually training the model to comply with harmful queries via reinforcement learning, which we find increases the rate of alignment-faking reasoning to 78%, though also increases compliance even out of training. We additionally observe other behaviors such as the model exfiltrating its weights when given an easy opportunity. While we made alignment faking easier by telling the model when and by what criteria it was being trained, we did not instruct the model to fake alignment or give it any explicit goal. As future models might infer information about their training process without being told, our results suggest a risk of alignment faking in future models, whether due to a benign preference--as in this case--or not.

Today, transformer language models serve as a core component for majority of natural language processing tasks. Industrial application of such models requires minimization of computation time and memory footprint. Knowledge distillation is one of approaches to address this goal. Existing methods in this field are mainly focused on reducing the number of layers or dimension of embeddings/hidden representations. Alternative option is to reduce the number of tokens in vocabulary and therefore the embeddings matrix of the student model. The main problem with vocabulary minimization is mismatch between input sequences and output class distributions of a teacher and a student models. As a result, it is impossible to directly apply KL-based knowledge distillation. We propose two simple yet effective alignment techniques to make knowledge distillation to the students with reduced vocabulary. Evaluation of distilled models on a number of common benchmarks for Russian such as Russian SuperGLUE, SberQuAD, RuSentiment, ParaPhaser, Collection-3 demonstrated that our techniques allow to achieve compression from 17times to 49times, while maintaining quality of 1.7times compressed student with the full-sized vocabulary, but reduced number of Transformer layers only. We make our code and distilled models available.

Large Language Models (LLMs) have demonstrated remarkable capabilities through pretraining and alignment. However, superior short-context LLMs may underperform in long-context scenarios due to insufficient long-context alignment. This alignment process remains challenging due to the impracticality of human annotation for extended contexts and the difficulty in balancing short- and long-context performance. To address these challenges, we introduce LongPO, that enables short-context LLMs to self-evolve to excel on long-context tasks by internally transferring short-context capabilities. LongPO harnesses LLMs to learn from self-generated short-to-long preference data, comprising paired responses generated for identical instructions with long-context inputs and their compressed short-context counterparts, respectively. This preference reveals capabilities and potentials of LLMs cultivated during short-context alignment that may be diminished in under-aligned long-context scenarios. Additionally, LongPO incorporates a short-to-long KL constraint to mitigate short-context performance decline during long-context alignment. When applied to Mistral-7B-Instruct-v0.2 from 128K to 512K context lengths, LongPO fully retains short-context performance and largely outperforms naive SFT and DPO in both long- and short-context tasks. Specifically, \ourMethod-trained models can achieve results on long-context benchmarks comparable to, or even surpassing, those of superior LLMs (e.g., GPT-4-128K) that involve extensive long-context annotation and larger parameter scales.

This is a book about large language models. As indicated by the title, it primarily focuses on foundational concepts rather than comprehensive coverage of all cutting-edge technologies. The book is structured into four main chapters, each exploring a key area: pre-training, generative models, prompting techniques, and alignment methods. It is intended for college students, professionals, and practitioners in natural language processing and related fields, and can serve as a reference for anyone interested in large language models.

Recent researches of large language models(LLM), which is pre-trained on massive general-purpose corpora, have achieved breakthroughs in responding human queries. However, these methods face challenges including limited data insufficiency to support extensive pre-training and can not align responses with users' instructions. To address these issues, we introduce a medical instruction dataset, CMedINS, containing six medical instructions derived from actual medical tasks, which effectively fine-tunes LLM in conjunction with other data. Subsequently, We launch our medical model, IIMedGPT, employing an efficient preference alignment method, Direct preference Optimization(DPO). The results show that our final model outperforms existing medical models in medical dialogue.Datsets, Code and model checkpoints will be released upon acceptance.

Large Language Models (LLMs) have revolutionized natural language processing but can exhibit biases and may generate toxic content. While alignment techniques like Reinforcement Learning from Human Feedback (RLHF) reduce these issues, their impact on creativity, defined as syntactic and semantic diversity, remains unexplored. We investigate the unintended consequences of RLHF on the creativity of LLMs through three experiments focusing on the Llama-2 series. Our findings reveal that aligned models exhibit lower entropy in token predictions, form distinct clusters in the embedding space, and gravitate towards "attractor states", indicating limited output diversity. Our findings have significant implications for marketers who rely on LLMs for creative tasks such as copywriting, ad creation, and customer persona generation. The trade-off between consistency and creativity in aligned models should be carefully considered when selecting the appropriate model for a given application. We also discuss the importance of prompt engineering in harnessing the creative potential of base models.

The role of reinforcement learning (RL) in enhancing the reasoning of large language models (LLMs) is becoming increasingly significant. Despite the success of RL in many scenarios, there are still many challenges in improving the reasoning of LLMs. One challenge is the sparse reward, which makes optimization difficult for RL and necessitates a large amount of data samples. Another challenge stems from the inherent instability of RL, particularly when using Actor-Critic (AC) methods to derive optimal policies, which often leads to unstable training processes. To address these issues, we introduce Direct Advantage Policy Optimization (DAPO), an novel step-level offline RL algorithm. Unlike standard alignment that rely solely outcome rewards to optimize policies (such as DPO), DAPO employs a critic function to predict the reasoning accuracy at each step, thereby generating dense signals to refine the generation strategy. Additionally, the Actor and Critic components in DAPO are trained independently, avoiding the co-training instability observed in standard AC algorithms like PPO. We train DAPO on mathematical and code query datasets and then evaluate its performance on multiple benchmarks. Our results show that DAPO can effectively enhance the mathematical and code capabilities on both SFT models and RL models, demonstrating the effectiveness of DAPO.

Recent studies customizing Multimodal Large Language Models (MLLMs) for domain-specific tasks have yielded promising results, especially in the field of scientific chart comprehension. These studies generally utilize visual instruction tuning with specialized datasets to enhance question and answer (QA) accuracy within the chart domain. However, they often neglect the fundamental discrepancy between natural image-caption pre-training data and digital chart image-QA data, particularly in the models' capacity to extract underlying numeric values from charts. This paper tackles this oversight by exploring the training processes necessary to improve MLLMs' comprehension of charts. We present three key findings: (1) Incorporating raw data values in alignment pre-training markedly improves comprehension of chart data. (2) Replacing images with their textual representation randomly during end-to-end fine-tuning transfer the language reasoning capability to chart interpretation skills. (3) Requiring the model to first extract the underlying chart data and then answer the question in the fine-tuning can further improve the accuracy. Consequently, we introduce CHOPINLLM, an MLLM tailored for in-depth chart comprehension. CHOPINLLM effectively interprets various types of charts, including unannotated ones, while maintaining robust reasoning abilities. Furthermore, we establish a new benchmark to evaluate MLLMs' understanding of different chart types across various comprehension levels. Experimental results show that CHOPINLLM exhibits strong performance in understanding both annotated and unannotated charts across a wide range of types.

Previous works on Large Language Models (LLMs) have mainly focused on evaluating their helpfulness or harmlessness. However, honesty, another crucial alignment criterion, has received relatively less attention. Dishonest behaviors in LLMs, such as spreading misinformation and defrauding users, eroding user trust, and causing real-world harm, present severe risks that intensify as these models approach superintelligence levels. Enhancing honesty in LLMs addresses critical deficiencies and helps uncover latent capabilities that are not readily expressed. This underscores the urgent need for reliable methods and benchmarks to effectively ensure and evaluate the honesty of LLMs. In this paper, we introduce BeHonest, a pioneering benchmark specifically designed to assess honesty in LLMs comprehensively. BeHonest evaluates three essential aspects of honesty: awareness of knowledge boundaries, avoidance of deceit, and consistency in responses. Building on this foundation, we designed 10 scenarios to evaluate and analyze 9 popular LLMs on the market, including both closed-source and open-source models from different model families with varied model sizes. Our findings indicate that there is still significant room for improvement in the honesty of LLMs. We also encourage the AI community to prioritize honesty alignment in LLMs. Our benchmark and code can be found at: https://github.com/GAIR-NLP/BeHonest.

Scaling laws provide important insights that can guide the design of large language models (LLMs). Existing work has primarily focused on studying scaling laws for pretraining (upstream) loss. However, in transfer learning settings, in which LLMs are pretrained on an unsupervised dataset and then finetuned on a downstream task, we often also care about the downstream performance. In this work, we study the scaling behavior in a transfer learning setting, where LLMs are finetuned for machine translation tasks. Specifically, we investigate how the choice of the pretraining data and its size affect downstream performance (translation quality) as judged by two metrics: downstream cross-entropy and BLEU score. Our experiments indicate that the size of the finetuning dataset and the distribution alignment between the pretraining and downstream data significantly influence the scaling behavior. With sufficient alignment, both downstream cross-entropy and BLEU score improve monotonically with more pretraining data. In such cases, we show that it is possible to predict the downstream BLEU score with good accuracy using a log-law. However, there are also cases where moderate misalignment causes the BLEU score to fluctuate or get worse with more pretraining, whereas downstream cross-entropy monotonically improves. By analyzing these observations, we provide new practical insights for choosing appropriate pretraining data.

The emergence of Large Language Models (LLMs) has fundamentally transformed natural language processing, making them indispensable across domains ranging from conversational systems to scientific exploration. However, their pre-trained architectures often reveal limitations in specialized contexts, including restricted reasoning capacities, ethical uncertainties, and suboptimal domain-specific performance. These challenges necessitate advanced post-training language models (PoLMs) to address these shortcomings, such as OpenAI-o1/o3 and DeepSeek-R1 (collectively known as Large Reasoning Models, or LRMs). This paper presents the first comprehensive survey of PoLMs, systematically tracing their evolution across five core paradigms: Fine-tuning, which enhances task-specific accuracy; Alignment, which ensures alignment with human preferences; Reasoning, which advances multi-step inference despite challenges in reward design; Efficiency, which optimizes resource utilization amidst increasing complexity; and Integration and Adaptation, which extend capabilities across diverse modalities while addressing coherence issues. Charting progress from ChatGPT's foundational alignment strategies to DeepSeek-R1's innovative reasoning advancements, we illustrate how PoLMs leverage datasets to mitigate biases, deepen reasoning capabilities, and enhance domain adaptability. Our contributions include a pioneering synthesis of PoLM evolution, a structured taxonomy categorizing techniques and datasets, and a strategic agenda emphasizing the role of LRMs in improving reasoning proficiency and domain flexibility. As the first survey of its scope, this work consolidates recent PoLM advancements and establishes a rigorous intellectual framework for future research, fostering the development of LLMs that excel in precision, ethical robustness, and versatility across scientific and societal applications.

Existing automatic evaluation on text-to-image synthesis can only provide an image-text matching score, without considering the object-level compositionality, which results in poor correlation with human judgments. In this work, we propose LLMScore, a new framework that offers evaluation scores with multi-granularity compositionality. LLMScore leverages the large language models (LLMs) to evaluate text-to-image models. Initially, it transforms the image into image-level and object-level visual descriptions. Then an evaluation instruction is fed into the LLMs to measure the alignment between the synthesized image and the text, ultimately generating a score accompanied by a rationale. Our substantial analysis reveals the highest correlation of LLMScore with human judgments on a wide range of datasets (Attribute Binding Contrast, Concept Conjunction, MSCOCO, DrawBench, PaintSkills). Notably, our LLMScore achieves Kendall's tau correlation with human evaluations that is 58.8% and 31.2% higher than the commonly-used text-image matching metrics CLIP and BLIP, respectively.

With the release of large-scale motion datasets with textual annotations, the task of establishing a robust latent space for language and 3D human motion has recently witnessed a surge of interest. Methods have been proposed to convert human motion and texts into features to achieve accurate correspondence between them. Despite these efforts to align language and motion representations, we claim that the temporal element is often overlooked, especially for compound actions, resulting in chronological inaccuracies. To shed light on the temporal alignment in motion-language latent spaces, we propose Chronologically Accurate Retrieval (CAR) to evaluate the chronological understanding of the models. We decompose textual descriptions into events, and prepare negative text samples by shuffling the order of events in compound action descriptions. We then design a simple task for motion-language models to retrieve the more likely text from the ground truth and its chronologically shuffled version. CAR reveals many cases where current motion-language models fail to distinguish the event chronology of human motion, despite their impressive performance in terms of conventional evaluation metrics. To achieve better temporal alignment between text and motion, we further propose to use these texts with shuffled sequence of events as negative samples during training to reinforce the motion-language models. We conduct experiments on text-motion retrieval and text-to-motion generation using the reinforced motion-language models, which demonstrate improved performance over conventional approaches, indicating the necessity to consider temporal elements in motion-language alignment.

Based on the foundation of Large Language Models (LLMs), Multilingual Large Language Models (MLLMs) have been developed to address the challenges of multilingual natural language processing tasks, hoping to achieve knowledge transfer from high-resource to low-resource languages. However, significant limitations and challenges still exist, such as language imbalance, multilingual alignment, and inherent bias. In this paper, we aim to provide a comprehensive analysis of MLLMs, delving deeply into discussions surrounding these critical issues. First of all, we start by presenting an overview of MLLMs, covering their evolution, key techniques, and multilingual capacities. Secondly, we explore widely utilized multilingual corpora for MLLMs' training and multilingual datasets oriented for downstream tasks that are crucial for enhancing the cross-lingual capability of MLLMs. Thirdly, we survey the existing studies on multilingual representations and investigate whether the current MLLMs can learn a universal language representation. Fourthly, we discuss bias on MLLMs including its category and evaluation metrics, and summarize the existing debiasing techniques. Finally, we discuss existing challenges and point out promising research directions. By demonstrating these aspects, this paper aims to facilitate a deeper understanding of MLLMs and their potentiality in various domains.

Large Language Models (LLMs) are swiftly advancing in architecture and capability, and as they integrate more deeply into complex systems, the urgency to scrutinize their security properties grows. This paper surveys research in the emerging interdisciplinary field of adversarial attacks on LLMs, a subfield of trustworthy ML, combining the perspectives of Natural Language Processing and Security. Prior work has shown that even safety-aligned LLMs (via instruction tuning and reinforcement learning through human feedback) can be susceptible to adversarial attacks, which exploit weaknesses and mislead AI systems, as evidenced by the prevalence of `jailbreak' attacks on models like ChatGPT and Bard. In this survey, we first provide an overview of large language models, describe their safety alignment, and categorize existing research based on various learning structures: textual-only attacks, multi-modal attacks, and additional attack methods specifically targeting complex systems, such as federated learning or multi-agent systems. We also offer comprehensive remarks on works that focus on the fundamental sources of vulnerabilities and potential defenses. To make this field more accessible to newcomers, we present a systematic review of existing works, a structured typology of adversarial attack concepts, and additional resources, including slides for presentations on related topics at the 62nd Annual Meeting of the Association for Computational Linguistics (ACL'24).

Large language models (LLMs), built on decoder-only transformers, excel in natural language generation and adapt to diverse tasks using zero-shot and few-shot prompting. However, these prompting methods often struggle on natural language understanding (NLU) tasks, where encoder-only models like BERT-base outperform LLMs on benchmarks like GLUE and SuperGLUE. This paper explores two approaches-supervised fine-tuning (SFT) and proximal policy optimization (PPO)-to enhance LLMs' NLU abilities. To reduce the cost of full-model fine-tuning, we integrate low-rank adaptation (LoRA) layers, limiting updates to these layers during both SFT and PPO. In SFT, task-specific prompts are concatenated with input queries and ground-truth labels, optimizing with next-token prediction. Despite this, LLMs still underperform compared to models like BERT-base on several NLU tasks. To close this gap, we apply PPO, a reinforcement learning technique that treats each token generation as an action and uses a reward function based on alignment with ground-truth answers. PPO then updates the model to maximize these rewards, aligning outputs with correct labels. Our experiments with LLAMA2-7B show that PPO improves performance, with a 6.3-point gain over SFT on GLUE. PPO exceeds zero-shot by 38.7 points and few-shot by 26.1 points on GLUE, while surpassing these by 28.8 and 28.5 points on SuperGLUE. Additionally, PPO outperforms BERT-large by 2.7 points on GLUE and 9.3 points on SuperGLUE. The improvements are consistent across models like Qwen2.5-7B and MPT-7B, highlighting PPO's robustness in enhancing LLMs' NLU capabilities.

Multimodal Large Language Models (MLLMs) are widely regarded as crucial in the exploration of Artificial General Intelligence (AGI). The core of MLLMs lies in their capability to achieve cross-modal alignment. To attain this goal, current MLLMs typically follow a two-phase training paradigm: the pre-training phase and the instruction-tuning phase. Despite their success, there are shortcomings in the modeling of alignment capabilities within these models. Firstly, during the pre-training phase, the model usually assumes that all image-text pairs are uniformly aligned, but in fact the degree of alignment between different image-text pairs is inconsistent. Secondly, the instructions currently used for finetuning incorporate a variety of tasks, different tasks's instructions usually require different levels of alignment capabilities, but previous MLLMs overlook these differentiated alignment needs. To tackle these issues, we propose a new multimodal large language model AlignGPT. In the pre-training stage, instead of treating all image-text pairs equally, we assign different levels of alignment capabilities to different image-text pairs. Then, in the instruction-tuning phase, we adaptively combine these different levels of alignment capabilities to meet the dynamic alignment needs of different instructions. Extensive experimental results show that our model achieves competitive performance on 12 benchmarks.

We present a novel approach for integrating Myers-Briggs Type Indicator (MBTI) personality traits into large language models (LLMs), addressing the challenges of personality consistency in personalized AI. Our method, "Machine Mindset," involves a two-phase fine-tuning and Direct Preference Optimization (DPO) to embed MBTI traits into LLMs. This approach ensures that models internalize these traits, offering a stable and consistent personality profile. We demonstrate the effectiveness of our models across various domains, showing alignment between model performance and their respective MBTI traits. The paper highlights significant contributions in the development of personality datasets and a new training methodology for personality integration in LLMs, enhancing the potential for personalized AI applications. We also open-sourced our model and part of the data at https://github.com/PKU-YuanGroup/Machine-Mindset.

Large Language Models (LLMs) have recently demonstrated remarkable capabilities in natural language processing tasks and beyond. This success of LLMs has led to a large influx of research contributions in this direction. These works encompass diverse topics such as architectural innovations of the underlying neural networks, context length improvements, model alignment, training datasets, benchmarking, efficiency and more. With the rapid development of techniques and regular breakthroughs in LLM research, it has become considerably challenging to perceive the bigger picture of the advances in this direction. Considering the rapidly emerging plethora of literature on LLMs, it is imperative that the research community is able to benefit from a concise yet comprehensive overview of the recent developments in this field. This article provides that overview to the research community. It not only focuses on a systematic treatment of the existing literature on a broad range of LLM related concept, but also pays special attention to providing comprehensive summaries with extensive details about the individual existing models, datasets and major insights. We also pay heed to aligning our overview with the emerging outlook of this research direction by accounting for the other recently materializing reviews of the broader research direction of LLMs. Our self-contained comprehensive overview of LLMs discusses relevant background concepts along with covering the advanced topics at the frontier of this research direction. This review article is intended to not only provide a systematic survey, but also a quick comprehensive reference for the researchers and practitioners to draw insights from extensive informative summaries of the existing works to advance the LLM research direction.

Large-scale Pretrained Language Models (LLMs), such as ChatGPT and GPT4, have shown strong abilities in multilingual translations, without being explicitly trained on parallel corpora. It is interesting how the LLMs obtain their ability to carry out translation instructions for different languages. In this paper, we present a detailed analysis by finetuning a multilingual pretrained language model, XGLM-7B, to perform multilingual translation following given instructions. Firstly, we show that multilingual LLMs have stronger translation abilities than previously demonstrated. For a certain language, the performance depends on its similarity to English and the amount of data used in the pretraining phase. Secondly, we find that LLMs' ability to carry out translation instructions relies on the understanding of translation instructions and the alignment among different languages. With multilingual finetuning, LLMs could learn to perform the translation task well even for those language pairs unseen during the instruction tuning phase.

Big models, exemplified by Large Language Models (LLMs), are models typically pre-trained on massive data and comprised of enormous parameters, which not only obtain significantly improved performance across diverse tasks but also present emergent capabilities absent in smaller models. However, the growing intertwining of big models with everyday human lives poses potential risks and might cause serious social harm. Therefore, many efforts have been made to align LLMs with humans to make them better follow user instructions and satisfy human preferences. Nevertheless, `what to align with' has not been fully discussed, and inappropriate alignment goals might even backfire. In this paper, we conduct a comprehensive survey of different alignment goals in existing work and trace their evolution paths to help identify the most essential goal. Particularly, we investigate related works from two perspectives: the definition of alignment goals and alignment evaluation. Our analysis encompasses three distinct levels of alignment goals and reveals a goal transformation from fundamental abilities to value orientation, indicating the potential of intrinsic human values as the alignment goal for enhanced LLMs. Based on such results, we further discuss the challenges of achieving such intrinsic value alignment and provide a collection of available resources for future research on the alignment of big models.

The new paradigm of finetuning-as-a-service introduces a new attack surface for Large Language Models (LLMs): a few harmful data uploaded by users can easily trick the finetuning to produce an alignment-broken model. We conduct an empirical analysis and uncover a harmful embedding drift phenomenon, showing a probable cause of the alignment-broken effect. Inspired by our findings, we propose Vaccine, a perturbation-aware alignment technique to mitigate the security risk of users finetuning. The core idea of Vaccine is to produce invariant hidden embeddings by progressively adding crafted perturbation to them in the alignment phase. This enables the embeddings to withstand harmful perturbation from un-sanitized user data in the finetuning phase. Our results on open source mainstream LLMs (e.g., Llama2, Opt, Vicuna) demonstrate that Vaccine can boost the robustness of alignment against harmful prompts induced embedding drift while reserving reasoning ability towards benign prompts. Our code is available at https://github.com/git-disl/Vaccine.

Ensuring alignment, which refers to making models behave in accordance with human intentions [1,2], has become a critical task before deploying large language models (LLMs) in real-world applications. For instance, OpenAI devoted six months to iteratively aligning GPT-4 before its release [3]. However, a major challenge faced by practitioners is the lack of clear guidance on evaluating whether LLM outputs align with social norms, values, and regulations. This obstacle hinders systematic iteration and deployment of LLMs. To address this issue, this paper presents a comprehensive survey of key dimensions that are crucial to consider when assessing LLM trustworthiness. The survey covers seven major categories of LLM trustworthiness: reliability, safety, fairness, resistance to misuse, explainability and reasoning, adherence to social norms, and robustness. Each major category is further divided into several sub-categories, resulting in a total of 29 sub-categories. Additionally, a subset of 8 sub-categories is selected for further investigation, where corresponding measurement studies are designed and conducted on several widely-used LLMs. The measurement results indicate that, in general, more aligned models tend to perform better in terms of overall trustworthiness. However, the effectiveness of alignment varies across the different trustworthiness categories considered. This highlights the importance of conducting more fine-grained analyses, testing, and making continuous improvements on LLM alignment. By shedding light on these key dimensions of LLM trustworthiness, this paper aims to provide valuable insights and guidance to practitioners in the field. Understanding and addressing these concerns will be crucial in achieving reliable and ethically sound deployment of LLMs in various applications.

The rapid advancement of Large Language Models (LLMs) has brought about remarkable generative capabilities but also raised concerns about their potential misuse. While strategies like supervised fine-tuning and reinforcement learning from human feedback have enhanced their safety, these methods primarily focus on natural languages, which may not generalize to other domains. This paper introduces CodeAttack, a framework that transforms natural language inputs into code inputs, presenting a novel environment for testing the safety generalization of LLMs. Our comprehensive studies on state-of-the-art LLMs including GPT-4, Claude-2, and Llama-2 series reveal a new and universal safety vulnerability of these models against code input: CodeAttack bypasses the safety guardrails of all models more than 80\% of the time. We find that a larger distribution gap between CodeAttack and natural language leads to weaker safety generalization, such as encoding natural language input with data structures. Furthermore, we give our hypotheses about the success of CodeAttack: the misaligned bias acquired by LLMs during code training, prioritizing code completion over avoiding the potential safety risk. Finally, we analyze potential mitigation measures. These findings highlight new safety risks in the code domain and the need for more robust safety alignment algorithms to match the code capabilities of LLMs.

The remarkable capabilities of Large Language Models (LLMs) make them increasingly compelling for adoption in real-world healthcare applications. However, the risks associated with using LLMs in medical applications have not been systematically characterized. We propose using five key principles for safe and trustworthy medical AI: Truthfulness, Resilience, Fairness, Robustness, and Privacy, along with ten specific aspects. Under this comprehensive framework, we introduce a novel MedGuard benchmark with 1,000 expert-verified questions. Our evaluation of 11 commonly used LLMs shows that the current language models, regardless of their safety alignment mechanisms, generally perform poorly on most of our benchmarks, particularly when compared to the high performance of human physicians. Despite recent reports indicate that advanced LLMs like ChatGPT can match or even exceed human performance in various medical tasks, this study underscores a significant safety gap, highlighting the crucial need for human oversight and the implementation of AI safety guardrails.

Vision Language Models (VLMs) have become essential backbones for multimodal intelligence, yet significant safety challenges limit their real-world application. While textual inputs are often effectively safeguarded, adversarial visual inputs can easily bypass VLM defense mechanisms. Existing defense methods are either resource-intensive, requiring substantial data and compute, or fail to simultaneously ensure safety and usefulness in responses. To address these limitations, we propose a novel two-phase inference-time alignment framework, Evaluating Then Aligning (ETA): 1) Evaluating input visual contents and output responses to establish a robust safety awareness in multimodal settings, and 2) Aligning unsafe behaviors at both shallow and deep levels by conditioning the VLMs' generative distribution with an interference prefix and performing sentence-level best-of-N to search the most harmless and helpful generation paths. Extensive experiments show that ETA outperforms baseline methods in terms of harmlessness, helpfulness, and efficiency, reducing the unsafe rate by 87.5% in cross-modality attacks and achieving 96.6% win-ties in GPT-4 helpfulness evaluation. The code is publicly available at https://github.com/DripNowhy/ETA.

This paper presents a study on strategies to enhance the translation capabilities of large language models (LLMs) in the context of machine translation (MT) tasks. The paper proposes a novel paradigm consisting of three stages: Secondary Pre-training using Extensive Monolingual Data, Continual Pre-training with Interlinear Text Format Documents, and Leveraging Source-Language Consistent Instruction for Supervised Fine-Tuning. Previous research on LLMs focused on various strategies for supervised fine-tuning (SFT), but their effectiveness has been limited. While traditional machine translation approaches rely on vast amounts of parallel bilingual data, our paradigm highlights the importance of using smaller sets of high-quality bilingual data. We argue that the focus should be on augmenting LLMs' cross-lingual alignment abilities during pre-training rather than solely relying on extensive bilingual data during SFT. Experimental results conducted using the Llama2 model, particularly on Chinese-Llama2 after monolingual augmentation, demonstrate the improved translation capabilities of LLMs. A significant contribution of our approach lies in Stage2: Continual Pre-training with Interlinear Text Format Documents, which requires less than 1B training data, making our method highly efficient. Additionally, in Stage3, we observed that setting instructions consistent with the source language benefits the supervised fine-tuning process. Experimental results demonstrate that our approach surpasses previous work and achieves superior performance compared to models such as NLLB-54B and GPT3.5-text-davinci-003, despite having a significantly smaller parameter count of only 7B or 13B. This achievement establishes our method as a pioneering strategy in the field of machine translation.

This survey presents an in-depth exploration of knowledge distillation (KD) techniques within the realm of Large Language Models (LLMs), spotlighting the pivotal role of KD in transferring sophisticated capabilities from proprietary giants such as GPT-4 to accessible, open-source models like LLaMA and Mistral. Amidst the evolving AI landscape, this work elucidates the critical disparities between proprietary and open-source LLMs, demonstrating how KD serves as an essential conduit for imbuing the latter with the former's advanced functionalities and nuanced understandings. Our survey is meticulously structured around three foundational pillars: algorithm, skill, and verticalization -- providing a comprehensive examination of KD mechanisms, the enhancement of specific cognitive abilities, and their practical implications across diverse fields. Crucially, the survey navigates the intricate interplay between data augmentation (DA) and KD, illustrating how DA emerges as a powerful paradigm within the KD framework to bolster LLMs' performance. By leveraging DA to generate context-rich, skill-specific training data, KD transcends traditional boundaries, enabling open-source models to approximate the contextual adeptness, ethical alignment, and deep semantic insights characteristic of their proprietary counterparts. This work aims to provide an insightful guide for researchers and practitioners, offering a detailed overview of current methodologies in knowledge distillation and proposing future research directions. By bridging the gap between proprietary and open-source LLMs, this survey underscores the potential for more accessible, efficient, and sustainable AI solutions, fostering a more inclusive and equitable landscape in AI advancements. An associated Github repository is available at https://github.com/Tebmer/Awesome-Knowledge-Distillation-of-LLMs.

Large Language Models (LLMs) are transforming artificial intelligence, enabling autonomous agents to perform diverse tasks across various domains. These agents, proficient in human-like text comprehension and generation, have the potential to revolutionize sectors from customer service to healthcare. However, they face challenges such as multimodality, human value alignment, hallucinations, and evaluation. Techniques like prompting, reasoning, tool utilization, and in-context learning are being explored to enhance their capabilities. Evaluation platforms like AgentBench, WebArena, and ToolLLM provide robust methods for assessing these agents in complex scenarios. These advancements are leading to the development of more resilient and capable autonomous agents, anticipated to become integral in our digital lives, assisting in tasks from email responses to disease diagnosis. The future of AI, with LLMs at the forefront, is promising.

While large language models (LLMs) already achieve strong performance on standard generic summarization benchmarks, their performance on more complex summarization task settings is less studied. Therefore, we benchmark LLMs on instruction controllable text summarization, where the model input consists of both a source article and a natural language requirement for the desired summary characteristics. To this end, we curate an evaluation-only dataset for this task setting and conduct human evaluation on 5 LLM-based summarization systems. We then benchmark LLM-based automatic evaluation for this task with 4 different evaluation protocols and 11 LLMs, resulting in 40 evaluation methods in total. Our study reveals that instruction controllable text summarization remains a challenging task for LLMs, since (1) all LLMs evaluated still make factual and other types of errors in their summaries; (2) all LLM-based evaluation methods cannot achieve a strong alignment with human annotators when judging the quality of candidate summaries; (3) different LLMs show large performance gaps in summary generation and evaluation. We make our collected benchmark, InstruSum, publicly available to facilitate future research in this direction.

This paper examines the challenges associated with achieving life-long superalignment in AI systems, particularly large language models (LLMs). Superalignment is a theoretical framework that aspires to ensure that superintelligent AI systems act in accordance with human values and goals. Despite its promising vision, we argue that achieving superalignment requires substantial changes in the current LLM architectures due to their inherent limitations in comprehending and adapting to the dynamic nature of these human ethics and evolving global scenarios. We dissect the challenges of encoding an ever-changing spectrum of human values into LLMs, highlighting the discrepancies between static AI models and the dynamic nature of human societies. To illustrate these challenges, we analyze two distinct examples: one demonstrates a qualitative shift in human values, while the other presents a quantifiable change. Through these examples, we illustrate how LLMs, constrained by their training data, fail to align with contemporary human values and scenarios. The paper concludes by exploring potential strategies to address and possibly mitigate these alignment discrepancies, suggesting a path forward in the pursuit of more adaptable and responsive AI systems.

Guardrails have emerged as an alternative to safety alignment for content moderation of large language models (LLMs). Existing model-based guardrails have not been designed for resource-constrained computational portable devices, such as mobile phones, more and more of which are running LLM-based applications locally. We introduce LoRA-Guard, a parameter-efficient guardrail adaptation method that relies on knowledge sharing between LLMs and guardrail models. LoRA-Guard extracts language features from the LLMs and adapts them for the content moderation task using low-rank adapters, while a dual-path design prevents any performance degradation on the generative task. We show that LoRA-Guard outperforms existing approaches with 100-1000x lower parameter overhead while maintaining accuracy, enabling on-device content moderation.

Safety lies at the core of developing and deploying large language models (LLMs). However, previous safety benchmarks only concern the safety in one language, e.g. the majority language in the pretraining data such as English. In this work, we build the first multilingual safety benchmark for LLMs, XSafety, in response to the global deployment of LLMs in practice. XSafety covers 14 kinds of commonly used safety issues across 10 languages that span several language families. We utilize XSafety to empirically study the multilingual safety for 4 widely-used LLMs, including both close-API and open-source models. Experimental results show that all LLMs produce significantly more unsafe responses for non-English queries than English ones, indicating the necessity of developing safety alignment for non-English languages. In addition, we propose several simple and effective prompting methods to improve the multilingual safety of ChatGPT by evoking safety knowledge and improving cross-lingual generalization of safety alignment. Our prompting method can significantly reduce the ratio of unsafe responses from 19.1% to 9.7% for non-English queries. We release our data at https://github.com/Jarviswang94/Multilingual_safety_benchmark.

Large language models (LLMs) have been applied in various applications due to their astonishing capabilities. With advancements in technologies such as chain-of-thought (CoT) prompting and in-context learning (ICL), the prompts fed to LLMs are becoming increasingly lengthy, even exceeding tens of thousands of tokens. To accelerate model inference and reduce cost, this paper presents LLMLingua, a coarse-to-fine prompt compression method that involves a budget controller to maintain semantic integrity under high compression ratios, a token-level iterative compression algorithm to better model the interdependence between compressed contents, and an instruction tuning based method for distribution alignment between language models. We conduct experiments and analysis over four datasets from different scenarios, i.e., GSM8K, BBH, ShareGPT, and Arxiv-March23; showing that the proposed approach yields state-of-the-art performance and allows for up to 20x compression with little performance loss. Our code is available at https://aka.ms/LLMLingua.

Large Language Models (LLMs) have made unprecedented breakthroughs, yet their increasing integration into everyday life might raise societal risks due to generated unethical content. Despite extensive study on specific issues like bias, the intrinsic values of LLMs remain largely unexplored from a moral philosophy perspective. This work delves into ethical values utilizing Moral Foundation Theory. Moving beyond conventional discriminative evaluations with poor reliability, we propose DeNEVIL, a novel prompt generation algorithm tailored to dynamically exploit LLMs' value vulnerabilities and elicit the violation of ethics in a generative manner, revealing their underlying value inclinations. On such a basis, we construct MoralPrompt, a high-quality dataset comprising 2,397 prompts covering 500+ value principles, and then benchmark the intrinsic values across a spectrum of LLMs. We discovered that most models are essentially misaligned, necessitating further ethical value alignment. In response, we develop VILMO, an in-context alignment method that substantially enhances the value compliance of LLM outputs by learning to generate appropriate value instructions, outperforming existing competitors. Our methods are suitable for black-box and open-source models, offering a promising initial step in studying the ethical values of LLMs.

One core capability of large language models (LLMs) is to follow natural language instructions. However, the issue of automatically constructing high-quality training data to enhance the complex instruction-following abilities of LLMs without manual annotation remains unresolved. In this paper, we introduce AutoIF, the first scalable and reliable method for automatically generating instruction-following training data. AutoIF transforms the validation of instruction-following data quality into code verification, requiring LLMs to generate instructions, the corresponding code to check the correctness of the instruction responses, and unit test samples to verify the code's correctness. Then, execution feedback-based rejection sampling can generate data for Supervised Fine-Tuning (SFT) and Reinforcement Learning from Human Feedback (RLHF) training. AutoIF achieves significant improvements across three training algorithms, SFT, Offline DPO, and Online DPO, when applied to the top open-source LLMs, Qwen2 and LLaMA3, in self-alignment and strong-to-weak distillation settings. Our code is publicly available at https://github.com/QwenLM/AutoIF.

Aligning large language models (LLMs) with human intentions has become a critical task for safely deploying models in real-world systems. While existing alignment approaches have seen empirical success, theoretically understanding how these methods affect model behavior remains an open question. Our work provides an initial attempt to theoretically analyze the learning dynamics of human preference alignment. We formally show how the distribution of preference datasets influences the rate of model updates and provide rigorous guarantees on the training accuracy. Our theory also reveals an intricate phenomenon where the optimization is prone to prioritizing certain behaviors with higher preference distinguishability. We empirically validate our findings on contemporary LLMs and alignment tasks, reinforcing our theoretical insights and shedding light on considerations for future alignment approaches. Disclaimer: This paper contains potentially offensive text; reader discretion is advised.

Game theory, as an analytical tool, is frequently utilized to analyze human behavior in social science research. With the high alignment between the behavior of Large Language Models (LLMs) and humans, a promising research direction is to employ LLMs as substitutes for humans in game experiments, enabling social science research. However, despite numerous empirical researches on the combination of LLMs and game theory, the capability boundaries of LLMs in game theory remain unclear. In this research, we endeavor to systematically analyze LLMs in the context of game theory. Specifically, rationality, as the fundamental principle of game theory, serves as the metric for evaluating players' behavior -- building a clear desire, refining belief about uncertainty, and taking optimal actions. Accordingly, we select three classical games (dictator game, Rock-Paper-Scissors, and ring-network game) to analyze to what extent LLMs can achieve rationality in these three aspects. The experimental results indicate that even the current state-of-the-art LLM (GPT-4) exhibits substantial disparities compared to humans in game theory. For instance, LLMs struggle to build desires based on uncommon preferences, fail to refine belief from many simple patterns, and may overlook or modify refined belief when taking actions. Therefore, we consider that introducing LLMs into game experiments in the field of social science should be approached with greater caution.

Evaluation of Large Language Models (LLMs) is challenging because aligning to human values requires the composition of multiple skills and the required set of skills varies depending on the instruction. Recent studies have evaluated the performance of LLMs in two ways, (1) automatic evaluation on several independent benchmarks and (2) human or machined-based evaluation giving an overall score to the response. However, both settings are coarse-grained evaluations, not considering the nature of user instructions that require instance-wise skill composition, which limits the interpretation of the true capabilities of LLMs. In this paper, we introduce FLASK (Fine-grained Language Model Evaluation based on Alignment SKill Sets), a fine-grained evaluation protocol that can be used for both model-based and human-based evaluation which decomposes coarse-level scoring to an instance-wise skill set-level. Specifically, we define 12 fine-grained skills needed for LLMs to follow open-ended user instructions and construct an evaluation set by allocating a set of skills for each instance. Additionally, by annotating the target domains and difficulty level for each instance, FLASK provides a holistic view with a comprehensive analysis of a model's performance depending on skill, domain, and difficulty. Through using FLASK, we compare multiple open-sourced and proprietary LLMs and observe highly-correlated findings between model-based and human-based evaluations. FLASK enables developers to more accurately measure the model performance and how it can be improved by analyzing factors that make LLMs proficient in particular skills. For practitioners, FLASK can be used to recommend suitable models for particular situations through comprehensive comparison among various LLMs. We release the evaluation data and code implementation at https://github.com/kaistAI/FLASK.

Large Language Models (LLMs) rely on Human Preference Alignment (HPA) to ensure the generation of safe content. Due to the heavy cost associated with fine-tuning, fine-tuning-free methods have emerged, typically modifying LLM decoding with external auxiliary methods. However, these methods do not essentially enhance the LLM itself. In this paper, we rethink the derivation procedures of DPO, based on which we conversely build an instant scorer using the states of the LLM before and after In-context Learning (ICL). Accordingly, we propose a novel approach called In-Context Direct Preference Optimization (ICDPO). It enables LLMs to borrow the HPA capabilities from superior LLMs with ICL, generating well-aligned responses as estimated by the aforementioned instant scorer, thereby enhancing the final performance. ICDPO can be further enhanced with a two-stage retriever and an upgraded scorer, both offering benefits. Extensive experiments show its effectiveness, particularly in outperforming two fine-tuning-free baselines, and it exhibits competitiveness with SFT + LoRA. We also conduct detailed analyses to offer comprehensive insights into ICDPO.

Large language models (LLMs) have achieved significant advances in recent days. Extensive efforts have been made before the public release of LLMs to align their behaviors with human values. The primary goal of alignment is to ensure their helpfulness, honesty and harmlessness. However, even meticulously aligned LLMs remain vulnerable to malicious manipulations such as jailbreaking, leading to unintended behaviors. The jailbreak is to intentionally develop a malicious prompt that escapes from the LLM security restrictions to produce uncensored detrimental contents. Previous works explore different jailbreak methods for red teaming LLMs, yet they encounter challenges regarding to effectiveness and scalability. In this work, we propose Tastle, a novel black-box jailbreak framework for automated red teaming of LLMs. We designed malicious content concealing and memory reframing with an iterative optimization algorithm to jailbreak LLMs, motivated by the research about the distractibility and over-confidence phenomenon of LLMs. Extensive experiments of jailbreaking both open-source and proprietary LLMs demonstrate the superiority of our framework in terms of effectiveness, scalability and transferability. We also evaluate the effectiveness of existing jailbreak defense methods against our attack and highlight the crucial need to develop more effective and practical defense strategies.

With the rise of large language models (LLMs), ensuring they embody the principles of being helpful, honest, and harmless (3H), known as Human Alignment, becomes crucial. While existing alignment methods like RLHF, DPO, etc., effectively fine-tune LLMs to match preferences in the preference dataset, they often lead LLMs to highly receptive human input and external evidence, even when this information is poisoned. This leads to a tendency for LLMs to be Adaptive Chameleons when external evidence conflicts with their parametric memory. This exacerbates the risk of LLM being attacked by external poisoned data, which poses a significant security risk to LLM system applications such as Retrieval-augmented generation (RAG). To address the challenge, we propose a novel framework: Dialectical Alignment (DA), which (1) utilizes AI feedback to identify optimal strategies for LLMs to navigate inter-context conflicts and context-memory conflicts with different external evidence in context window (i.e., different ratios of poisoned factual contexts); (2) constructs the SFT dataset as well as the preference dataset based on the AI feedback and strategies above; (3) uses the above datasets for LLM alignment to defense poisoned context attack while preserving the effectiveness of in-context knowledge editing. Our experiments show that the dialectical alignment model improves poisoned data attack defense by 20 and does not require any additional prompt engineering or prior declaration of ``you may be attacked`` to the LLMs' context window.

The expansion of large language models to effectively handle instructions with extremely long contexts has yet to be fully investigated. The primary obstacle lies in constructing a high-quality long instruction-following dataset devised for long context alignment. Existing studies have attempted to scale up the available data volume by synthesizing long instruction-following samples. However, indiscriminately increasing the quantity of data without a well-defined strategy for ensuring data quality may introduce low-quality samples and restrict the final performance. To bridge this gap, we aim to address the unique challenge of long-context alignment, i.e., modeling the long-range dependencies for handling instructions and lengthy input contexts. We propose GATEAU, a novel framework designed to identify the influential and high-quality samples enriched with long-range dependency relations by utilizing crafted Homologous Models' Guidance (HMG) and Contextual Awareness Measurement (CAM). Specifically, HMG attempts to measure the difficulty of generating corresponding responses due to the long-range dependencies, using the perplexity scores of the response from two homologous models with different context windows. Also, the role of CAM is to measure the difficulty of understanding the long input contexts due to long-range dependencies by evaluating whether the model's attention is focused on important segments. Built upon both proposed methods, we select the most challenging samples as the influential data to effectively frame the long-range dependencies, thereby achieving better performance of LLMs. Comprehensive experiments indicate that GATEAU effectively identifies samples enriched with long-range dependency relations and the model trained on these selected samples exhibits better instruction-following and long-context understanding capabilities.

Given the broad capabilities of large language models, it should be possible to work towards a general-purpose, text-based assistant that is aligned with human values, meaning that it is helpful, honest, and harmless. As an initial foray in this direction we study simple baseline techniques and evaluations, such as prompting. We find that the benefits from modest interventions increase with model size, generalize to a variety of alignment evaluations, and do not compromise the performance of large models. Next we investigate scaling trends for several training objectives relevant to alignment, comparing imitation learning, binary discrimination, and ranked preference modeling. We find that ranked preference modeling performs much better than imitation learning, and often scales more favorably with model size. In contrast, binary discrimination typically performs and scales very similarly to imitation learning. Finally we study a `preference model pre-training' stage of training, with the goal of improving sample efficiency when finetuning on human preferences.

Language models are often used as the backbone of modern dialogue systems. These models are pre-trained on large amounts of written fluent language. Repetition is typically penalised when evaluating language model generations. However, it is a key component of dialogue. Humans use local and partner specific repetitions; these are preferred by human users and lead to more successful communication in dialogue. In this study, we evaluate (a) whether language models produce human-like levels of repetition in dialogue, and (b) what are the processing mechanisms related to lexical re-use they use during comprehension. We believe that such joint analysis of model production and comprehension behaviour can inform the development of cognitively inspired dialogue generation systems.

The emergence of Vision Language Models (VLMs) has brought unprecedented advances in understanding multimodal information. The combination of textual and visual semantics in VLMs is highly complex and diverse, making the safety alignment of these models challenging. Furthermore, due to the limited study on the safety alignment of VLMs, there is a lack of large-scale, high-quality datasets. To address these limitations, we propose a Safety Preference Alignment dataset for Vision Language Models named SPA-VL. In terms of breadth, SPA-VL covers 6 harmfulness domains, 13 categories, and 53 subcategories, and contains 100,788 samples of the quadruple (question, image, chosen response, rejected response). In terms of depth, the responses are collected from 12 open- (e.g., QwenVL) and closed-source (e.g., Gemini) VLMs to ensure diversity. The experimental results indicate that models trained with alignment techniques on the SPA-VL dataset exhibit substantial improvements in harmlessness and helpfulness while maintaining core capabilities. SPA-VL, as a large-scale, high-quality, and diverse dataset, represents a significant milestone in ensuring that VLMs achieve both harmlessness and helpfulness. We have made our code https://github.com/EchoseChen/SPA-VL-RLHF and SPA-VL dataset url https://huggingface.co/datasets/sqrti/SPA-VL publicly available.

Aligning large language models (LLMs) with human objectives is crucial for real-world applications. However, fine-tuning LLMs for alignment often suffers from unstable training and requires substantial computing resources. Test-time alignment techniques, such as prompting and guided decoding, do not modify the underlying model, and their performance remains dependent on the original model's capabilities. To address these challenges, we propose aligning LLMs through representation editing. The core of our method is to view a pre-trained autoregressive LLM as a discrete-time stochastic dynamical system. To achieve alignment for specific objectives, we introduce external control signals into the state space of this language dynamical system. We train a value function directly on the hidden states according to the Bellman equation, enabling gradient-based optimization to obtain the optimal control signals at test time. Our experiments demonstrate that our method outperforms existing test-time alignment techniques while requiring significantly fewer resources compared to fine-tuning methods.

The impressive development of large language models (LLMs) is expanding into the realm of large multimodal models (LMMs), which incorporate multiple types of data beyond text. However, the nature of multimodal models leads to significant expenses in the creation of training data. Furthermore, constructing multilingual data for LMMs presents its own set of challenges due to language diversity and complexity. Therefore, in this study, we propose two cost-effective methods to solve this problem: (1) vocabulary expansion and pretraining of multilingual LLM for specific languages, and (2) automatic and elaborate construction of multimodal datasets using GPT4-V. Based on015 these methods, we constructed a 91K English-Korean-Chinese multilingual, multimodal training dataset. Additionally, we developed a bilingual multimodal model that exhibits excellent performance in both Korean and English, surpassing existing approaches.

The rapid advancement of large language models (LLMs) has revolutionized role-playing, enabling the development of general role-playing models. However, current role-playing training has two significant issues: (I) Using a predefined role profile to prompt dialogue training for specific scenarios usually leads to inconsistencies and even conflicts between the dialogue and the profile, resulting in training biases. (II) The model learns to imitate the role based solely on the profile, neglecting profile-dialogue alignment at the sentence level. In this work, we propose a simple yet effective framework called BEYOND DIALOGUE, designed to overcome these hurdles. This framework innovatively introduces "beyond dialogue" tasks to align dialogue with profile traits based on each specific scenario, thereby eliminating biases during training. Furthermore, by adopting an innovative prompting mechanism that generates reasoning outcomes for training, the framework allows the model to achieve fine-grained alignment between profile and dialogue at the sentence level. The aforementioned methods are fully automated and low-cost. Additionally, the integration of automated dialogue and objective evaluation methods forms a comprehensive framework, paving the way for general role-playing. Experimental results demonstrate that our model excels in adhering to and reflecting various dimensions of role profiles, outperforming most proprietary general and specialized role-playing baselines. All code and datasets are available at https://github.com/yuyouyu32/BeyondDialogue.

The success of AI assistants based on language models (LLMs) hinges crucially on Reinforcement Learning from Human Feedback (RLHF), which enables the generation of responses more aligned with human preferences. As universal AI assistants, there's a growing expectation for them to perform consistently across various domains. However, previous work shows that Reinforcement Learning (RL) often exploits shortcuts to attain high rewards and overlooks challenging samples. This focus on quick reward gains undermines both the stability in training and the model's ability to generalize to new, unseen data. In this work, we propose a novel approach that can learn a consistent policy via RL across various data groups or domains. Given the challenges associated with acquiring group annotations, our method automatically classifies data into different groups, deliberately maximizing performance variance. Then, we optimize the policy to perform well on challenging groups. Lastly, leveraging the established groups, our approach adaptively adjusts the exploration space, allocating more learning capacity to more challenging data and preventing the model from over-optimizing on simpler data. Experimental results indicate that our approach significantly enhances training stability and model generalization.

Benefiting from the powerful capabilities of Large Language Models (LLMs), pre-trained visual encoder models connected to LLMs form Vision Language Models (VLMs). However, recent research shows that the visual modality in VLMs is highly vulnerable, allowing attackers to bypass safety alignment in LLMs through visually transmitted content, launching harmful attacks. To address this challenge, we propose a progressive concept-based alignment strategy, PSA-VLM, which incorporates safety modules as concept bottlenecks to enhance visual modality safety alignment. By aligning model predictions with specific safety concepts, we improve defenses against risky images, enhancing explainability and controllability while minimally impacting general performance. Our method is obtained through two-stage training. The low computational cost of the first stage brings very effective performance improvement, and the fine-tuning of the language model in the second stage further improves the safety performance. Our method achieves state-of-the-art results on popular VLM safety benchmark.

By leveraging the power of Large Language Models(LLMs) and speech foundation models, state of the art speech-text bimodal works can achieve challenging tasks like spoken translation(ST) and question answering(SQA) altogether with much simpler architectures. In this paper, we utilize the capability of Whisper encoder and pre-trained Yi-6B. Empirical results reveal that modal alignment can be achieved with one layer module and hundred hours of speech-text multitask corpus. We further swap the Yi-6B with human preferences aligned version of Yi-6B-Chat during inference, and discover that the alignment capability is applicable as well. In addition, the alignment subspace revealed by singular value decomposition(SVD) also implies linear alignment subspace is sparse, which leaves the possibility to concatenate other features like voice-print or video to expand modality.

As the capabilities of large language models (LLMs) have expanded dramatically, aligning these models with human values presents a significant challenge. Traditional alignment strategies rely heavily on human intervention, such as Supervised Fine-Tuning (SFT) and Reinforcement Learning from Human Feedback (RLHF), or on the self-alignment capacities of LLMs, which usually require a strong LLM's emergent ability to improve its original bad answer. To address these challenges, we propose a novel self-alignment method that utilizes a Chain of Thought (CoT) approach, termed AlignCoT. This method encompasses stages of Question Analysis, Answer Guidance, and Safe Answer production. It is designed to enable LLMs to generate high-quality, safe responses throughout various stages of their development. Furthermore, we introduce the Mixture of insighTful Experts (MoTE) architecture, which applies mixture of experts to enhance each component of the AlignCoT process, markedly increasing alignment efficiency. The MoTE approach not only outperforms existing methods in aligning LLMs with human values but also highlights the benefits of using self-generated data, revealing the dual benefits of improved alignment and training efficiency.

DNA sequence alignment involves assigning short DNA reads to the most probable locations on an extensive reference genome. This process is crucial for various genomic analyses, including variant calling, transcriptomics, and epigenomics. Conventional methods, refined over decades, tackle this challenge in 2 steps: genome indexing followed by efficient search to locate likely positions for given reads. Building on the success of Large Language Models in encoding text into embeddings, where the distance metric captures semantic similarity, recent efforts have explored whether the same Transformer architecture can produce embeddings for DNA sequences. Such models have shown early promise in classifying short DNA sequences, such as detecting coding/non-coding regions, and enhancer, promoter sequences. However, performance at sequence classification tasks does not translate to sequence alignment, where it is necessary to search across the genome to align each read, a significantly longer-range task. We bridge this gap by framing the Sequence Alignment task for Transformer models as an "Embed-Search-Align" task. In this framework, a novel Reference-Free DNA Embedding model generates embeddings of reads and reference fragments, which are projected into a shared vector space where the read-fragment distance is used as a surrogate for alignment. Technical contributions include: (1) Contrastive loss for self-supervised training of DNA sequence representations, facilitating rich reference-free, sequence-level embeddings, and (2) a DNA vector store to enable search across fragments on a global scale. DNA-ESA is 99% accurate when aligning 250-length reads onto a human genome (3gb), rivaling conventional methods such as Bowtie and BWA-Mem. DNA-ESA exceeds the performance of 6 Transformer model baselines such as Nucleotide Transformer, Hyena-DNA, and shows task transfer across chromosomes and species.

Inference-time alignment enhances the performance of large language models without requiring additional training or fine-tuning but presents challenges due to balancing computational efficiency with high-quality output. Best-of-N (BoN) sampling, as a simple yet powerful approach, generates multiple responses and selects the best one, achieving improved performance but with a high computational cost. We propose TreeBoN, a novel framework that integrates a speculative tree-search strategy into Best-of-N (BoN) Sampling. TreeBoN maintains a set of parent nodes, iteratively branching and pruning low-quality responses, thereby reducing computational overhead while maintaining high output quality. Our approach also leverages token-level rewards from Direct Preference Optimization (DPO) to guide tree expansion and prune low-quality paths. We evaluate TreeBoN using AlpacaFarm, UltraFeedback, GSM8K, HH-RLHF, and TutorEval datasets, demonstrating consistent improvements. Specifically, TreeBoN achieves a 65% win rate at maximum lengths of 192 and 384 tokens, outperforming standard BoN with the same computational cost. Furthermore, TreeBoN achieves around a 60% win rate across longer responses, showcasing its scalability and alignment efficacy.

While alignment algorithms are now commonly used to tune pre-trained language models towards a user's preferences, we lack explanations for the underlying mechanisms in which models become ``aligned'', thus making it difficult to explain phenomena like jailbreaks. In this work we study a popular algorithm, direct preference optimization (DPO), and the mechanisms by which it reduces toxicity. Namely, we first study how toxicity is represented and elicited in a pre-trained language model, GPT2-medium. We then apply DPO with a carefully crafted pairwise dataset to reduce toxicity. We examine how the resulting model averts toxic outputs, and find that capabilities learned from pre-training are not removed, but rather bypassed. We use this insight to demonstrate a simple method to un-align the model, reverting it back to its toxic behavior.

As the influence of large language models (LLMs) spans across global communities, their safety challenges in multilingual settings become paramount for alignment research. This paper examines the variations in safety challenges faced by LLMs across different languages and discusses approaches to alleviating such concerns. By comparing how state-of-the-art LLMs respond to the same set of malicious prompts written in higher- vs. lower-resource languages, we observe that (1) LLMs tend to generate unsafe responses much more often when a malicious prompt is written in a lower-resource language, and (2) LLMs tend to generate more irrelevant responses to malicious prompts in lower-resource languages. To understand where the discrepancy can be attributed, we study the effect of instruction tuning with reinforcement learning from human feedback (RLHF) or supervised finetuning (SFT) on the HH-RLHF dataset. Surprisingly, while training with high-resource languages improves model alignment, training in lower-resource languages yields minimal improvement. This suggests that the bottleneck of cross-lingual alignment is rooted in the pretraining stage. Our findings highlight the challenges in cross-lingual LLM safety, and we hope they inform future research in this direction.

This paper delves into the continuous post-training optimization methods for small language models, and proposes a continuous post-training alignment data construction method for small language models. The core of this method is based on the data guidance of large models, optimizing the diversity and accuracy of alignment data. In addition, to verify the effectiveness of the methods in this paper, we used Qwen2-0.5B-Instruct model as the baseline model for small language models, using the alignment dataset constructed by our proposed method, we trained and compared several groups of experiments, including SFT (Supervised Fine Tuning) post-training experiment and KTO (Kahneman Tversky optimization) post-training experiment, as well as SFT-KTO two-stage post-training experiment and model weight fusion experiment. Finally, we evaluated and analyzed the performance of post-training models, and confirmed that the continuous post-training optimization method proposed by us can significantly improve the performance of small language models.

One of the primary driving forces contributing to the superior performance of Large Language Models (LLMs) is the extensive availability of human-annotated natural language data, which is used for alignment fine-tuning. This inspired researchers to investigate self-training methods to mitigate the extensive reliance on human annotations. However, the current success of self-training has been primarily observed in natural language scenarios, rather than in the increasingly important neural-symbolic scenarios. To this end, we propose an environment-guided neural-symbolic self-training framework named ENVISIONS. It aims to overcome two main challenges: (1) the scarcity of symbolic data, and (2) the limited proficiency of LLMs in processing symbolic language. Extensive evaluations conducted on three distinct domains demonstrate the effectiveness of our approach. Additionally, we have conducted a comprehensive analysis to uncover the factors contributing to ENVISIONS's success, thereby offering valuable insights for future research in this area. Code will be available at https://github.com/xufangzhi/ENVISIONS.

Superalignment, where humans are weak supervisors of superhuman models, has become an important and widely discussed issue in the current era of rapid development of Large Language Models (LLMs). The recent work preliminarily studies this problem by using weak models to supervise strong models. It discovers that weakly supervised strong students can consistently outperform weak teachers towards the alignment target, leading to a weak-to-strong generalization phenomenon. However, we are concerned that behind such a promising phenomenon, whether there exists an issue of weak-to-strong deception, where strong models may deceive weak models by exhibiting well-aligned in areas known to weak models but producing misaligned behaviors in cases weak models do not know. We then take an initial step towards exploring this security issue in a specific but realistic multi-objective alignment case, where there may be some alignment targets conflicting with each other (e.g., helpfulness v.s. harmlessness). Such a conflict is likely to cause strong models to deceive weak models in one alignment dimension to gain high reward in other alignment dimension. Our experiments on both the reward modeling task and the preference optimization scenario indicate: (1) the weak-to-strong deception exists; (2) the deception phenomenon may intensify as the capability gap between weak and strong models increases. We also discuss potential solutions and find bootstrapping with an intermediate model can mitigate the deception to some extent. Our work highlights the urgent need to pay more attention to the true reliability of superalignment.

The recent advancements in large language models (LLMs) and pre-trained vision models have accelerated the development of vision-language large models (VLLMs), enhancing the interaction between visual and linguistic modalities. Despite their notable success across various domains, VLLMs face challenges in modality alignment, which can lead to issues like hallucinations and unsafe content generation. Current alignment techniques often rely on coarse feedback and external datasets, limiting scalability and performance. In this paper, we propose FiSAO (Fine-Grained Self-Alignment Optimization), a novel self-alignment method that utilizes the model's own visual encoder as a fine-grained verifier to improve vision-language alignment without the need for additional data. By leveraging token-level feedback from the vision encoder, FiSAO significantly improves vision-language alignment, even surpassing traditional preference tuning methods that require additional data. Through both theoretical analysis and experimental validation, we demonstrate that FiSAO effectively addresses the misalignment problem in VLLMs, marking the first instance of token-level rewards being applied to such models.

From the perspective of content safety issues, alignment has shown to limit large language models' (LLMs) harmful content generation. This intentional method of reinforcing models to not respond to certain user inputs seem to be present in many modern open-source instruction tuning datasets such as OpenAssistant or Guanaco. We introduce a novel insight to an instruction-tuned model's performance affected by the presence of alignment in supervised fine-tuning dataset. To be specific, we noticed that alignment acts as if it is poisoning the instruction dataset. Experimentally, we demonstrate that aligned answers significantly worsen the performance of the resulting fine-tuned model's on various reasoning benchmarks such as Big Bench (BBH), Massive Multitask Language Understanding (MMLU), Human Eval, and Discrete Reasoning Over Paragraphs (DROP), performing worse than the counterpart tuned without alignment by 4-33%.

By encoding time series as a string of numerical digits, we can frame time series forecasting as next-token prediction in text. Developing this approach, we find that large language models (LLMs) such as GPT-3 and LLaMA-2 can surprisingly zero-shot extrapolate time series at a level comparable to or exceeding the performance of purpose-built time series models trained on the downstream tasks. To facilitate this performance, we propose procedures for effectively tokenizing time series data and converting discrete distributions over tokens into highly flexible densities over continuous values. We argue the success of LLMs for time series stems from their ability to naturally represent multimodal distributions, in conjunction with biases for simplicity, and repetition, which align with the salient features in many time series, such as repeated seasonal trends. We also show how LLMs can naturally handle missing data without imputation through non-numerical text, accommodate textual side information, and answer questions to help explain predictions. While we find that increasing model size generally improves performance on time series, we show GPT-4 can perform worse than GPT-3 because of how it tokenizes numbers, and poor uncertainty calibration, which is likely the result of alignment interventions such as RLHF.

We introduce X-VILA, an omni-modality model designed to extend the capabilities of large language models (LLMs) by incorporating image, video, and audio modalities. By aligning modality-specific encoders with LLM inputs and diffusion decoders with LLM outputs, X-VILA achieves cross-modality understanding, reasoning, and generation. To facilitate this cross-modality alignment, we curate an effective interleaved any-to-any modality instruction-following dataset. Furthermore, we identify a significant problem with the current cross-modality alignment method, which results in visual information loss. To address the issue, we propose a visual alignment mechanism with a visual embedding highway module. We then introduce a resource-efficient recipe for training X-VILA, that exhibits proficiency in any-to-any modality conversation, surpassing previous approaches by large margins. X-VILA also showcases emergent properties across modalities even in the absence of similar training data. The project will be made open-source.

As political attitudes have diverged ideologically in the United States, political speech has diverged lingusitically. The ever-widening polarization between the US political parties is accelerated by an erosion of mutual understanding between them. We aim to make these communities more comprehensible to each other with a framework that probes community-specific responses to the same survey questions using community language models CommunityLM. In our framework we identify committed partisan members for each community on Twitter and fine-tune LMs on the tweets authored by them. We then assess the worldviews of the two groups using prompt-based probing of their corresponding LMs, with prompts that elicit opinions about public figures and groups surveyed by the American National Election Studies (ANES) 2020 Exploratory Testing Survey. We compare the responses generated by the LMs to the ANES survey results, and find a level of alignment that greatly exceeds several baseline methods. Our work aims to show that we can use community LMs to query the worldview of any group of people given a sufficiently large sample of their social media discussions or media diet.

Large language models (LLMs) fine-tuned by reinforcement learning from human feedback (RLHF) are becoming more widely deployed. We coin the term Implicit Reward Model (IRM) to refer to the changes that occur to an LLM during RLHF that result in high-reward generations. We interpret IRMs, and measure their divergence from the RLHF reward model used in the fine-tuning process that induced them. By fitting a linear function to an LLM's IRM, a reward model with the same type signature as the RLHF reward model is constructed, allowing for direct comparison. Additionally, we validate our construction of the IRM through cross-comparison with classifications of features generated by an LLM based on their relevance to the RLHF reward model. Better comprehending IRMs can help minimize discrepencies between LLM behavior and training objectives, which we believe to be an essential component of the safety and alignment of LLMs.

Harmful fine-tuning issue qi2023fine poses serious safety concerns for Large language models' fine-tuning-as-a-service. While existing defenses huang2024vaccine,rosati2024representation have been proposed to mitigate the issue, their performances are still far away from satisfactory, and the root cause of the problem has not been fully recovered. For the first time in the literature, we in this paper show that harmful perturbation over the model weights should be the root cause of alignment-broken of harmful fine-tuning. In order to attenuate the negative impact of harmful perturbation, we propose an alignment-stage solution, dubbed Booster. Technically, along with the original alignment loss, we append a loss regularizer in the alignment stage's optimization. The regularizer ensures that the model's harmful loss reduction before/after simulated harmful perturbation is attenuated, thereby mitigating the subsequent fine-tuning risk. Empirical results show that Booster can effectively reduce the harmful score of the fine-tuned models while maintaining the performance of downstream tasks. Our code is available at https://github.com/git-disl/Booster.

Large language models (LLMs) rely on safety alignment to avoid responding to malicious user inputs. Unfortunately, jailbreak can circumvent safety guardrails, resulting in LLMs generating harmful content and raising concerns about LLM safety. Due to language models with intensive parameters often regarded as black boxes, the mechanisms of alignment and jailbreak are challenging to elucidate. In this paper, we employ weak classifiers to explain LLM safety through the intermediate hidden states. We first confirm that LLMs learn ethical concepts during pre-training rather than alignment and can identify malicious and normal inputs in the early layers. Alignment actually associates the early concepts with emotion guesses in the middle layers and then refines them to the specific reject tokens for safe generations. Jailbreak disturbs the transformation of early unethical classification into negative emotions. We conduct experiments on models from 7B to 70B across various model families to prove our conclusion. Overall, our paper indicates the intrinsical mechanism of LLM safety and how jailbreaks circumvent safety guardrails, offering a new perspective on LLM safety and reducing concerns. Our code is available at https://github.com/ydyjya/LLM-IHS-Explanation.

Neural metrics for machine translation (MT) evaluation have become increasingly prominent due to their superior correlation with human judgments compared to traditional lexical metrics. Researchers have therefore utilized neural metrics through quality-informed decoding strategies, achieving better results than likelihood-based methods. With the rise of Large Language Models (LLMs), preference-based alignment techniques have gained attention for their potential to enhance translation quality by optimizing model weights directly on preferences induced by quality estimators. This study focuses on Contrastive Preference Optimization (CPO) and conducts extensive experiments to evaluate the impact of preference-based alignment on translation quality. Our findings indicate that while CPO consistently outperforms Supervised Fine-Tuning (SFT) on high-quality data with regard to the alignment metric, it may lead to instability across downstream evaluation metrics, particularly between neural and lexical ones. Additionally, we demonstrate that relying solely on the base model for generating candidate translations achieves performance comparable to using multiple external systems, while ensuring better consistency across downstream metrics.

With the rapid development of large language models (LLMs), they are not only used as general-purpose AI assistants but are also customized through further fine-tuning to meet the requirements of different applications. A pivotal factor in the success of current LLMs is the alignment process. Current alignment methods, such as supervised fine-tuning (SFT) and reinforcement learning from human feedback (RLHF), focus on training-time alignment and are often complex and cumbersome to implement. Therefore, we develop InferAligner, a novel inference-time alignment method that utilizes cross-model guidance for harmlessness alignment. InferAligner utilizes safety steering vectors extracted from safety-aligned model to modify the activations of the target model when responding to harmful inputs, thereby guiding the target model to provide harmless responses. Experimental results show that our method can be very effectively applied to domain-specific models in finance, medicine, and mathematics, as well as to multimodal large language models (MLLMs) such as LLaVA. It significantly diminishes the Attack Success Rate (ASR) of both harmful instructions and jailbreak attacks, while maintaining almost unchanged performance in downstream tasks.

The rapid development of Large Language Models (LLMs) has substantially expanded the range of tasks they can address. In the field of Natural Language Processing (NLP), researchers have shifted their focus from conventional NLP tasks (e.g., sequence tagging and parsing) towards tasks that revolve around aligning with human needs (e.g., brainstorming and email writing). This shift in task distribution imposes new requirements on evaluating these aligned models regarding generality (i.e., assessing performance across diverse scenarios), flexibility (i.e., examining under different protocols), and interpretability (i.e., scrutinizing models with explanations). In this paper, we propose a generative judge with 13B parameters, Auto-J, designed to address these challenges. Our model is trained on user queries and LLM-generated responses under massive real-world scenarios and accommodates diverse evaluation protocols (e.g., pairwise response comparison and single-response evaluation) with well-structured natural language critiques. To demonstrate the efficacy of our approach, we construct a new testbed covering 58 different scenarios. Experimentally, Auto-J outperforms a series of strong competitors, including both open-source and closed-source models, by a large margin. We also provide detailed analysis and case studies to further reveal the potential of our method and make a variety of resources public at https://github.com/GAIR-NLP/auto-j.