Daily Papers

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.

Alignment is a standard procedure to fine-tune pre-trained large language models (LLMs) to follow natural language instructions and serve as helpful AI assistants. We have observed, however, that the conventional alignment process fails to enhance the factual accuracy of LLMs, and often leads to the generation of more false facts (i.e. hallucination). In this paper, we study how to make the LLM alignment process more factual, by first identifying factors that lead to hallucination in both alignment steps:\ supervised fine-tuning (SFT) and reinforcement learning (RL). In particular, we find that training the LLM on new knowledge or unfamiliar texts can encourage hallucination. This makes SFT less factual as it trains on human labeled data that may be novel to the LLM. Furthermore, reward functions used in standard RL can also encourage hallucination, because it guides the LLM to provide more helpful responses on a diverse set of instructions, often preferring longer and more detailed responses. Based on these observations, we propose factuality-aware alignment, comprised of factuality-aware SFT and factuality-aware RL through direct preference optimization. Experiments show that our proposed factuality-aware alignment guides LLMs to output more factual responses while maintaining instruction-following capability.

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.

Recent research has made significant strides in applying alignment techniques to enhance the helpfulness and harmlessness of large language models (LLMs) in accordance with human intentions. In this paper, we argue for the importance of alignment for honesty, ensuring that LLMs proactively refuse to answer questions when they lack knowledge, while still not being overly conservative. However, a pivotal aspect of alignment for honesty involves discerning the limits of an LLM's knowledge, which is far from straightforward. This challenge demands comprehensive solutions in terms of metric development, benchmark creation, and training methodologies. In this paper, we address these challenges by first establishing a precise problem definition and defining ``honesty'' inspired by the Analects of Confucius. This serves as a cornerstone for developing metrics that effectively measure an LLM's honesty by quantifying its progress post-alignment. Furthermore, we introduce a flexible training framework which is further instantiated by several efficient fine-tuning techniques that emphasize honesty without sacrificing performance on other tasks. Our extensive experiments reveal that these aligned models show a marked increase in honesty, as indicated by our proposed metrics. We open-source a wealth of resources to facilitate future research at https://github.com/GAIR-NLP/alignment-for-honesty, including honesty-aligned models, training and evaluation datasets for honesty alignment, concept glossary, as well as all relevant source code.

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.

Aligning large language models (LLMs) with human preferences has proven to drastically improve usability and has driven rapid adoption as demonstrated by ChatGPT. Alignment techniques such as supervised fine-tuning (SFT) and reinforcement learning from human feedback (RLHF) greatly reduce the required skill and domain knowledge to effectively harness the capabilities of LLMs, increasing their accessibility and utility across various domains. However, state-of-the-art alignment techniques like RLHF rely on high-quality human feedback data, which is expensive to create and often remains proprietary. In an effort to democratize research on large-scale alignment, we release OpenAssistant Conversations, a human-generated, human-annotated assistant-style conversation corpus consisting of 161,443 messages distributed across 66,497 conversation trees, in 35 different languages, annotated with 461,292 quality ratings. The corpus is a product of a worldwide crowd-sourcing effort involving over 13,500 volunteers. To demonstrate the OpenAssistant Conversations dataset's effectiveness, we present OpenAssistant, the first fully open-source large-scale instruction-tuned model to be trained on human data. A preference study revealed that OpenAssistant replies are comparably preferred to GPT-3.5-turbo (ChatGPT) with a relative winrate of 48.3% vs. 51.7% respectively. We release our code and data under fully permissive licenses.

Frontier AI systems, including large language models (LLMs), hold increasing influence over the epistemology of human users. Such influence can reinforce prevailing societal values, potentially contributing to the lock-in of misguided moral beliefs and, consequently, the perpetuation of problematic moral practices on a broad scale. We introduce progress alignment as a technical solution to mitigate this imminent risk. Progress alignment algorithms learn to emulate the mechanics of human moral progress, thereby addressing the susceptibility of existing alignment methods to contemporary moral blindspots. To empower research in progress alignment, we introduce ProgressGym, an experimental framework allowing the learning of moral progress mechanics from history, in order to facilitate future progress in real-world moral decisions. Leveraging 9 centuries of historical text and 18 historical LLMs, ProgressGym enables codification of real-world progress alignment challenges into concrete benchmarks. Specifically, we introduce three core challenges: tracking evolving values (PG-Follow), preemptively anticipating moral progress (PG-Predict), and regulating the feedback loop between human and AI value shifts (PG-Coevolve). Alignment methods without a temporal dimension are inapplicable to these tasks. In response, we present lifelong and extrapolative algorithms as baseline methods of progress alignment, and build an open leaderboard soliciting novel algorithms and challenges. The framework and the leaderboard are available at https://github.com/PKU-Alignment/ProgressGym and https://huggingface.co/spaces/PKU-Alignment/ProgressGym-LeaderBoard respectively.

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.

Alignment with human preference prevents large language models (LLMs) from generating misleading or toxic content while requiring high-cost human feedback. Assuming resources of human annotation are limited, there are two different ways of allocating considered: more diverse PROMPTS or more diverse RESPONSES to be labeled. Nonetheless, a straightforward comparison between their impact is absent. In this work, we first control the diversity of both sides according to the number of samples for fine-tuning, which can directly reflect their influence. We find that instead of numerous prompts, more responses but fewer prompts better trigger LLMs for human alignment. Additionally, the concept of diversity for prompts can be more complex than responses that are typically quantified by single digits. Consequently, a new formulation of prompt diversity is proposed, further implying a linear correlation with the final performance of LLMs after fine-tuning. We also leverage it on data augmentation and conduct experiments to show its effect on different algorithms.

Large language models (LLMs) have revolutionized the role of AI, yet also pose potential risks of propagating unethical content. Alignment technologies have been introduced to steer LLMs towards human preference, gaining increasing attention. Despite notable breakthroughs in this direction, existing methods heavily rely on high-quality positive-negative training pairs, suffering from noisy labels and the marginal distinction between preferred and dispreferred response data. Given recent LLMs' proficiency in generating helpful responses, this work pivots towards a new research focus: achieving alignment using solely human-annotated negative samples, preserving helpfulness while reducing harmfulness. For this purpose, we propose Distributional Dispreference Optimization (D^2O), which maximizes the discrepancy between the generated responses and the dispreferred ones to effectively eschew harmful information. We theoretically demonstrate that D^2O is equivalent to learning a distributional instead of instance-level preference model reflecting human dispreference against the distribution of negative responses. Besides, D^2O integrates an implicit Jeffrey Divergence regularization to balance the exploitation and exploration of reference policies and converges to a non-negative one during training. Extensive experiments demonstrate that our method achieves comparable generation quality and surpasses the latest baselines in producing less harmful and more informative responses with better training stability and faster convergence.

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.

Large Language Models (LLMs) are central to a multitude of applications but struggle with significant risks, notably in generating harmful content and biases. Drawing an analogy to the human psyche's conflict between evolutionary survival instincts and societal norm adherence elucidated in Freud's psychoanalysis theory, we argue that LLMs suffer a similar fundamental conflict, arising between their inherent desire for syntactic and semantic continuity, established during the pre-training phase, and the post-training alignment with human values. This conflict renders LLMs vulnerable to adversarial attacks, wherein intensifying the models' desire for continuity can circumvent alignment efforts, resulting in the generation of harmful information. Through a series of experiments, we first validated the existence of the desire for continuity in LLMs, and further devised a straightforward yet powerful technique, such as incomplete sentences, negative priming, and cognitive dissonance scenarios, to demonstrate that even advanced LLMs struggle to prevent the generation of harmful information. In summary, our study uncovers the root of LLMs' vulnerabilities to adversarial attacks, hereby questioning the efficacy of solely relying on sophisticated alignment methods, and further advocates for a new training idea that integrates modal concepts alongside traditional amodal concepts, aiming to endow LLMs with a more nuanced understanding of real-world contexts and ethical considerations.

Alignment with human preference is a desired property of large language models (LLMs). Currently, the main alignment approach is based on reinforcement learning from human feedback (RLHF). Despite the effectiveness of RLHF, it is intricate to implement and train, thus recent studies explore how to develop alternative alignment approaches based on supervised fine-tuning (SFT). A major limitation of SFT is that it essentially does imitation learning, which cannot fully understand what are the expected behaviors. To address this issue, we propose an improved alignment approach named FIGA. Different from prior methods, we incorporate fine-grained (i.e., token or phrase level) quality signals that are derived by contrasting good and bad responses. Our approach has made two major contributions. Firstly, we curate a refined alignment dataset that pairs initial responses and the corresponding revised ones. Secondly, we devise a new loss function can leverage fine-grained quality signals to instruct the learning of LLMs for alignment. Extensive experiments have demonstrated the effectiveness of our approaches by comparing a number of competitive baselines.

Alignment in large language models (LLMs) is used to enforce guidelines such as safety. Yet, alignment fails in the face of jailbreak attacks that modify inputs to induce unsafe outputs. In this paper, we present and evaluate a method to assess the robustness of LLM alignment. We observe that alignment embeds a safety classifier in the target model that is responsible for deciding between refusal and compliance. We seek to extract an approximation of this classifier, called a surrogate classifier, from the LLM. We develop an algorithm for identifying candidate classifiers from subsets of the LLM model. We evaluate the degree to which the candidate classifiers approximate the model's embedded classifier in benign (F1 score) and adversarial (using surrogates in a white-box attack) settings. Our evaluation shows that the best candidates achieve accurate agreement (an F1 score above 80%) using as little as 20% of the model architecture. Further, we find attacks mounted on the surrogate models can be transferred with high accuracy. For example, a surrogate using only 50% of the Llama 2 model achieved an attack success rate (ASR) of 70%, a substantial improvement over attacking the LLM directly, where we only observed a 22% ASR. These results show that extracting surrogate classifiers is a viable (and highly effective) means for modeling (and therein addressing) the vulnerability of aligned models to jailbreaking attacks.

Character animation is a transformative field in computer graphics and vision, enabling dynamic and realistic video animations from static images. Despite advancements, maintaining appearance consistency in animations remains a challenge. Our approach addresses this by introducing a training-free framework that ensures the generated video sequence preserves the reference image's subtleties, such as physique and proportions, through a dual alignment strategy. We decouple skeletal and motion priors from pose information, enabling precise control over animation generation. Our method also improves pixel-level alignment for conditional control from the reference character, enhancing the temporal consistency and visual cohesion of animations. Our method significantly enhances the quality of video generation without the need for large datasets or expensive computational resources.

Large language models are susceptible to jailbreak attacks, which can result in the generation of harmful content. While prior defenses mitigate these risks by perturbing or inspecting inputs, they ignore competing objectives, the underlying cause of alignment failures. In this paper, we propose Alignment-Enhanced Decoding (AED), a novel defense that employs adaptive decoding to address the root causes of jailbreak issues. We first define the Competitive Index to quantify alignment failures and utilize feedback from self-evaluation to compute post-alignment logits. Then, AED adaptively combines AED and post-alignment logits with the original logits to obtain harmless and helpful distributions. Consequently, our method enhances safety alignment while maintaining helpfulness. We conduct experiments across five models and four common jailbreaks, with the results validating the effectiveness of our approach. Code is available at https://github.com/GIGABaozi/AED.git.

This paper shows that alignment methods can achieve superior adherence to guardrails compared to instruction fine-tuning alone in conversational agents, also known as bots, within predefined guidelines or 'guardrails'. It examines traditional training approaches such as instruction fine-tuning and the recent advancements in direct alignment methods like Identity Preference Optimization (IPO), and Kahneman-Tversky Optimization (KTO). The effectiveness of alignment techniques both pre and post-instruction tuning is highlighted, illustrating their potential to optimize conversational bots in domains that require strict adherence to specified rules, such as customer care.

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.

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.

Large Language Models (LLMs) need to be aligned with human expectations to ensure their safety and utility in most applications. Alignment is challenging, costly, and needs to be repeated for every LLM and alignment criterion. We propose to decouple LLMs and alignment by training aligner models that can be used to align any LLM for a given criteria on an as-needed basis, thus also reducing the potential negative impacts of alignment on performance. Our recipe for training the aligner models solely relies on synthetic data generated with a (prompted) LLM and can be easily adjusted for a variety of alignment criteria. We illustrate our method by training an "ethical" aligner and verify its efficacy empirically.

High dynamic range (HDR) imaging aims to retrieve information from multiple low-dynamic range inputs to generate realistic output. The essence is to leverage the contextual information, including both dynamic and static semantics, for better image generation. Existing methods often focus on the spatial misalignment across input frames caused by the foreground and/or camera motion. However, there is no research on jointly leveraging the dynamic and static context in a simultaneous manner. To delve into this problem, we propose a novel alignment-free network with a Semantics Consistent Transformer (SCTNet) with both spatial and channel attention modules in the network. The spatial attention aims to deal with the intra-image correlation to model the dynamic motion, while the channel attention enables the inter-image intertwining to enhance the semantic consistency across frames. Aside from this, we introduce a novel realistic HDR dataset with more variations in foreground objects, environmental factors, and larger motions. Extensive comparisons on both conventional datasets and ours validate the effectiveness of our method, achieving the best trade-off on the performance and the computational cost.

For artificial intelligence to be beneficial to humans the behaviour of AI agents needs to be aligned with what humans want. In this paper we discuss some behavioural issues for language agents, arising from accidental misspecification by the system designer. We highlight some ways that misspecification can occur and discuss some behavioural issues that could arise from misspecification, including deceptive or manipulative language, and review some approaches for avoiding these issues.

High-quality data labeling from specific domains is costly and human time-consuming. In this work, we propose a self-supervised domain adaptation method, based upon an iterative pseudo-forced alignment algorithm. The produced alignments are employed to customize an end-to-end Automatic Speech Recognition (ASR) and iteratively refined. The algorithm is fed with frame-wise character posteriors produced by a seed ASR, trained with out-of-domain data, and optimized throughout a Connectionist Temporal Classification (CTC) loss. The alignments are computed iteratively upon a corpus of broadcast TV. The process is repeated by reducing the quantity of text to be aligned or expanding the alignment window until finding the best possible audio-text alignment. The starting timestamps, or temporal anchors, are produced uniquely based on the confidence score of the last aligned utterance. This score is computed with the paths of the CTC-alignment matrix. With this methodology, no human-revised text references are required. Alignments from long audio files with low-quality transcriptions, like TV captions, are filtered out by confidence score and ready for further ASR adaptation. The obtained results, on both the Spanish RTVE2022 and CommonVoice databases, underpin the feasibility of using CTC-based systems to perform: highly accurate audio-text alignments, domain adaptation and semi-supervised training of end-to-end ASR.

Although deep learning and end-to-end models have been widely used and shown superiority in automatic speech recognition (ASR) and text-to-speech (TTS) synthesis, state-of-the-art forced alignment (FA) models are still based on hidden Markov model (HMM). HMM has limited view of contextual information and is developed with long pipelines, leading to error accumulation and unsatisfactory performance. Inspired by the capability of attention mechanism in capturing long term contextual information and learning alignments in ASR and TTS, we propose a neural network based end-to-end forced aligner called NeuFA, in which a novel bidirectional attention mechanism plays an essential role. NeuFA integrates the alignment learning of both ASR and TTS tasks in a unified framework by learning bidirectional alignment information from a shared attention matrix in the proposed bidirectional attention mechanism. Alignments are extracted from the learnt attention weights and optimized by the ASR, TTS and FA tasks in a multi-task learning manner. Experimental results demonstrate the effectiveness of our proposed model, with mean absolute error on test set drops from 25.8 ms to 23.7 ms at word level, and from 17.0 ms to 15.7 ms at phoneme level compared with state-of-the-art HMM based model.

Direct Alignment Algorithms (DAAs) simplify language model alignment by replacing reinforcement learning (RL) and reward modeling (RM) in Reinforcement Learning from Human Feedback (RLHF) with direct policy optimization. DAAs can be classified by their ranking losses (pairwise vs. pointwise), by the rewards used in those losses (e.g., likelihood ratios of policy and reference policy, or odds ratios), or by whether a Supervised Fine-Tuning (SFT) phase is required (two-stage vs. one-stage). We first show that one-stage methods underperform two-stage methods. To address this, we incorporate an explicit SFT phase and introduce the beta parameter, controlling the strength of preference optimization, into single-stage ORPO and ASFT. These modifications improve their performance in Alpaca Eval 2 by +3.46 (ORPO) and +8.27 (ASFT), matching two-stage methods like DPO. Further analysis reveals that the key factor is whether the approach uses pairwise or pointwise objectives, rather than the specific implicit reward or loss function. These results highlight the importance of careful evaluation to avoid premature claims of performance gains or overall superiority in alignment algorithms.

High-quality instruction data is critical for aligning large language models (LLMs). Although some models, such as Llama-3-Instruct, have open weights, their alignment data remain private, which hinders the democratization of AI. High human labor costs and a limited, predefined scope for prompting prevent existing open-source data creation methods from scaling effectively, potentially limiting the diversity and quality of public alignment datasets. Is it possible to synthesize high-quality instruction data at scale by extracting it directly from an aligned LLM? We present a self-synthesis method for generating large-scale alignment data named Magpie. Our key observation is that aligned LLMs like Llama-3-Instruct can generate a user query when we input only the left-side templates up to the position reserved for user messages, thanks to their auto-regressive nature. We use this method to prompt Llama-3-Instruct and generate 4 million instructions along with their corresponding responses. We perform a comprehensive analysis of the extracted data and select 300K high-quality instances. To compare Magpie data with other public instruction datasets, we fine-tune Llama-3-8B-Base with each dataset and evaluate the performance of the fine-tuned models. Our results indicate that in some tasks, models fine-tuned with Magpie perform comparably to the official Llama-3-8B-Instruct, despite the latter being enhanced with 10 million data points through supervised fine-tuning (SFT) and subsequent feedback learning. We also show that using Magpie solely for SFT can surpass the performance of previous public datasets utilized for both SFT and preference optimization, such as direct preference optimization with UltraFeedback. This advantage is evident on alignment benchmarks such as AlpacaEval, ArenaHard, and WildBench.

We introduce Baichuan Alignment, a detailed analysis of the alignment techniques employed in the Baichuan series of models. This represents the industry's first comprehensive account of alignment methodologies, offering valuable insights for advancing AI research. We investigate the critical components that enhance model performance during the alignment process, including optimization methods, data strategies, capability enhancements, and evaluation processes. The process spans three key stages: Prompt Augmentation System (PAS), Supervised Fine-Tuning (SFT), and Preference Alignment. The problems encountered, the solutions applied, and the improvements made are thoroughly recorded. Through comparisons across well-established benchmarks, we highlight the technological advancements enabled by Baichuan Alignment. Baichuan-Instruct is an internal model, while Qwen2-Nova-72B and Llama3-PBM-Nova-70B are instruct versions of the Qwen2-72B and Llama-3-70B base models, optimized through Baichuan Alignment. Baichuan-Instruct demonstrates significant improvements in core capabilities, with user experience gains ranging from 17% to 28%, and performs exceptionally well on specialized benchmarks. In open-source benchmark evaluations, both Qwen2-Nova-72B and Llama3-PBM-Nova-70B consistently outperform their respective official instruct versions across nearly all datasets. This report aims to clarify the key technologies behind the alignment process, fostering a deeper understanding within the community. Llama3-PBM-Nova-70B model is available at https://huggingface.co/PKU-Baichuan-MLSystemLab/Llama3-PBM-Nova-70B.

We present a scalable method to build a high quality instruction following language model by automatically labelling human-written text with corresponding instructions. Our approach, named instruction backtranslation, starts with a language model finetuned on a small amount of seed data, and a given web corpus. The seed model is used to construct training examples by generating instruction prompts for web documents (self-augmentation), and then selecting high quality examples from among these candidates (self-curation). This data is then used to finetune a stronger model. Finetuning LLaMa on two iterations of our approach yields a model that outperforms all other LLaMa-based models on the Alpaca leaderboard not relying on distillation data, demonstrating highly effective self-alignment.

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.

Direct alignment from preferences (DAP) methods, such as DPO, have recently emerged as efficient alternatives to reinforcement learning from human feedback (RLHF), that do not require a separate reward model. However, the preference datasets used in DAP methods are usually collected ahead of training and never updated, thus the feedback is purely offline. Moreover, responses in these datasets are often sampled from a language model distinct from the one being aligned, and since the model evolves over training, the alignment phase is inevitably off-policy. In this study, we posit that online feedback is key and improves DAP methods. Our method, online AI feedback (OAIF), uses an LLM as annotator: on each training iteration, we sample two responses from the current model and prompt the LLM annotator to choose which one is preferred, thus providing online feedback. Despite its simplicity, we demonstrate via human evaluation in several tasks that OAIF outperforms both offline DAP and RLHF methods. We further show that the feedback leveraged in OAIF is easily controllable, via instruction prompts to the LLM annotator.

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.

Preference alignment has become a crucial component in enhancing the performance of Large Language Models (LLMs), yet its impact in Multimodal Large Language Models (MLLMs) remains comparatively underexplored. Similar to language models, MLLMs for image understanding tasks encounter challenges like hallucination. In MLLMs, hallucination can occur not only by stating incorrect facts but also by producing responses that are inconsistent with the image content. A primary objective of alignment for MLLMs is to encourage these models to align responses more closely with image information. Recently, multiple works have introduced preference datasets for MLLMs and examined different alignment methods, including Direct Preference Optimization (DPO) and Proximal Policy Optimization (PPO). However, due to variations in datasets, base model types, and alignment methods, it remains unclear which specific elements contribute most significantly to the reported improvements in these works. In this paper, we independently analyze each aspect of preference alignment in MLLMs. We start by categorizing the alignment algorithms into two groups, offline (such as DPO), and online (such as online-DPO), and show that combining offline and online methods can improve the performance of the model in certain scenarios. We review a variety of published multimodal preference datasets and discuss how the details of their construction impact model performance. Based on these insights, we introduce a novel way of creating multimodal preference data called Bias-Driven Hallucination Sampling (BDHS) that needs neither additional annotation nor external models, and show that it can achieve competitive performance to previously published alignment work for multimodal models across a range of benchmarks.

The quality of finetuning data is crucial for aligning large language models (LLMs) with human values. Current methods to improve data quality are either labor-intensive or prone to factual errors caused by LLM hallucinations. This paper explores elevating the quality of existing instruction data to better align with human values, introducing a simple and effective approach named ReAlign, which reformats the responses of instruction data into a format that better aligns with pre-established criteria and the collated evidence. This approach minimizes human annotation, hallucination, and the difficulty in scaling, remaining orthogonal to existing alignment techniques. Experimentally, ReAlign significantly boosts the general alignment ability, math reasoning, factuality, and readability of the LLMs. Encouragingly, without introducing any additional data or advanced training techniques, and merely by reformatting the response, LLaMA-2-13B's mathematical reasoning ability on GSM8K can be improved from 46.77% to 56.63% in accuracy. Additionally, a mere 5% of ReAlign data yields a 67% boost in general alignment ability measured by the Alpaca dataset. This work highlights the need for further research into the science and mechanistic interpretability of LLMs. We have made the associated code and data publicly accessible to support future studies at https://github.com/GAIR-NLP/ReAlign.

Recent progress in large language models (LLMs) has focused on producing responses that meet human expectations and align with shared values - a process coined alignment. However, aligning LLMs remains challenging due to the inherent disconnect between the complexity of human values and the narrow nature of the technological approaches designed to address them. Current alignment methods often lead to misspecified objectives, reflecting the broader issue of incomplete contracts, the impracticality of specifying a contract between a model developer, and the model that accounts for every scenario in LLM alignment. In this paper, we argue that improving LLM alignment requires incorporating insights from societal alignment frameworks, including social, economic, and contractual alignment, and discuss potential solutions drawn from these domains. Given the role of uncertainty within societal alignment frameworks, we then investigate how it manifests in LLM alignment. We end our discussion by offering an alternative view on LLM alignment, framing the underspecified nature of its objectives as an opportunity rather than perfect their specification. Beyond technical improvements in LLM alignment, we discuss the need for participatory alignment interface designs.

We propose a new method, instruction back-and-forth translation, to construct high-quality synthetic data grounded in world knowledge for aligning large language models (LLMs). Given documents from a web corpus, we generate and curate synthetic instructions using the backtranslation approach proposed by Li et al.(2023a), and rewrite the responses to improve their quality further based on the initial documents. Fine-tuning with the resulting (backtranslated instruction, rewritten response) pairs yields higher win rates on AlpacaEval than using other common instruction datasets such as Humpback, ShareGPT, Open Orca, Alpaca-GPT4 and Self-instruct. We also demonstrate that rewriting the responses with an LLM outperforms direct distillation, and the two generated text distributions exhibit significant distinction in embedding space. Further analysis shows that our backtranslated instructions are of higher quality than other sources of synthetic instructions, while our responses are more diverse and complex than those obtained from distillation. Overall we find that instruction back-and-forth translation combines the best of both worlds -- making use of the information diversity and quantity found on the web, while ensuring the quality of the responses which is necessary for effective alignment.

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.

Reinforcement Learning from Human Feedback (RLHF) has been crucial to the recent success of Large Language Models (LLMs), however, it is often a complex and brittle process. In the classical RLHF framework, a reward model is first trained to represent human preferences, which is in turn used by an online reinforcement learning (RL) algorithm to optimize the LLM. A prominent issue with such methods is reward over-optimization or reward hacking, where performance as measured by the learned proxy reward model increases, but true quality plateaus or even deteriorates. Direct Alignment Algorithms (DDAs) like Direct Preference Optimization have emerged as alternatives to the classical RLHF pipeline by circumventing the reward modeling phase. However, although DAAs do not use a separate proxy reward model, they still commonly deteriorate from over-optimization. While the so-called reward hacking phenomenon is not well-defined for DAAs, we still uncover similar trends: at higher KL budgets, DAA algorithms exhibit similar degradation patterns to their classic RLHF counterparts. In particular, we find that DAA methods deteriorate not only across a wide range of KL budgets but also often before even a single epoch of the dataset is completed. Through extensive empirical experimentation, this work formulates and formalizes the reward over-optimization or hacking problem for DAAs and explores its consequences across objectives, training regimes, and model scales.

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.

Recent studies have shown that the denoising process in (generative) diffusion models can induce meaningful (discriminative) representations inside the model, though the quality of these representations still lags behind those learned through recent self-supervised learning methods. We argue that one main bottleneck in training large-scale diffusion models for generation lies in effectively learning these representations. Moreover, training can be made easier by incorporating high-quality external visual representations, rather than relying solely on the diffusion models to learn them independently. We study this by introducing a straightforward regularization called REPresentation Alignment (REPA), which aligns the projections of noisy input hidden states in denoising networks with clean image representations obtained from external, pretrained visual encoders. The results are striking: our simple strategy yields significant improvements in both training efficiency and generation quality when applied to popular diffusion and flow-based transformers, such as DiTs and SiTs. For instance, our method can speed up SiT training by over 17.5times, matching the performance (without classifier-free guidance) of a SiT-XL model trained for 7M steps in less than 400K steps. In terms of final generation quality, our approach achieves state-of-the-art results of FID=1.42 using classifier-free guidance with the guidance interval.

Precise alignment in Text-to-Image (T2I) systems is crucial to ensure that generated visuals not only accurately encapsulate user intents but also conform to stringent ethical and aesthetic benchmarks. Incidents like the Google Gemini fiasco, where misaligned outputs triggered significant public backlash, underscore the critical need for robust alignment mechanisms. In contrast, Large Language Models (LLMs) have achieved notable success in alignment. Building on these advancements, researchers are eager to apply similar alignment techniques, such as Direct Preference Optimization (DPO), to T2I systems to enhance image generation fidelity and reliability. We present YinYangAlign, an advanced benchmarking framework that systematically quantifies the alignment fidelity of T2I systems, addressing six fundamental and inherently contradictory design objectives. Each pair represents fundamental tensions in image generation, such as balancing adherence to user prompts with creative modifications or maintaining diversity alongside visual coherence. YinYangAlign includes detailed axiom datasets featuring human prompts, aligned (chosen) responses, misaligned (rejected) AI-generated outputs, and explanations of the underlying contradictions.

English-centric large language models (LLMs) often show strong multilingual capabilities. However, the multilingual performance of these models remains unclear and is not thoroughly evaluated for many languages. Most benchmarks for multilinguality focus on classic NLP tasks, or cover a minimal number of languages. We introduce MEXA, a method for assessing the multilingual capabilities of pre-trained English-centric LLMs using parallel sentences, which are available for more languages than existing downstream tasks. MEXA leverages the fact that English-centric LLMs use English as a kind of pivot language in their intermediate layers. It computes the alignment between English and non-English languages using parallel sentences to evaluate the transfer of language understanding from English to other languages. This alignment can be used to estimate model performance in other languages. We conduct studies using various parallel datasets (FLORES-200 and Bible), models (Llama family, Gemma family, Mistral, and OLMo), and established downstream tasks (Belebele, m-MMLU, and m-ARC). We explore different methods to compute embeddings in decoder-only models. Our results show that MEXA, in its default settings, achieves a statistically significant average Pearson correlation of 0.90 with three established downstream tasks across nine models and two parallel datasets. This suggests that MEXA is a reliable method for estimating the multilingual capabilities of English-centric LLMs, providing a clearer understanding of their multilingual potential and the inner workings of LLMs. Leaderboard: https://huggingface.co/spaces/cis-lmu/Mexa, Code: https://github.com/cisnlp/Mexa.

Visuomotor robot policies, increasingly pre-trained on large-scale datasets, promise significant advancements across robotics domains. However, aligning these policies with end-user preferences remains a challenge, particularly when the preferences are hard to specify. While reinforcement learning from human feedback (RLHF) has become the predominant mechanism for alignment in non-embodied domains like large language models, it has not seen the same success in aligning visuomotor policies due to the prohibitive amount of human feedback required to learn visual reward functions. To address this limitation, we propose Representation-Aligned Preference-based Learning (RAPL), an observation-only method for learning visual rewards from significantly less human preference feedback. Unlike traditional RLHF, RAPL focuses human feedback on fine-tuning pre-trained vision encoders to align with the end-user's visual representation and then constructs a dense visual reward via feature matching in this aligned representation space. We first validate RAPL through simulation experiments in the X-Magical benchmark and Franka Panda robotic manipulation, demonstrating that it can learn rewards aligned with human preferences, more efficiently uses preference data, and generalizes across robot embodiments. Finally, our hardware experiments align pre-trained Diffusion Policies for three object manipulation tasks. We find that RAPL can fine-tune these policies with 5x less real human preference data, taking the first step towards minimizing human feedback while maximizing visuomotor robot policy alignment.

By compressing diverse narratives, LLMs go beyond memorization, achieving intelligence by capturing generalizable causal relationships. However, they suffer from local 'representation gaps' due to insufficient training data diversity, limiting their real-world utility, especially in tasks requiring strict alignment to rules. Traditional alignment methods relying on heavy human annotations are inefficient and unscalable. Recent self-alignment techniques also fall short, as they often depend on self-selection based prompting and memorization-based learning. To address these issues, we introduce Iterative Graph Alignment (IGA), an annotation-free rule-based alignment algorithm. A teacher model (VLM) employs Iterative Graph Prompting (IGP) to create logical graphs and reference answers. The student model (LLM) identifies local knowledge gaps by attempting to align its responses with these references, collaborating with helper models to generate diverse answers. These aligned responses are then used for iterative supervised fine-tuning (SFT). Our evaluations across five rule-based scenarios demonstrate IGP's effectiveness, with a 73.12\% alignment improvement in Claude Sonnet 3.5, and Llama3-8B-Instruct achieving an 86.20\% improvement, outperforming Claude Sonnet 3.5 in rule-based alignment.

The success of AI assistants based on Language Models (LLMs) hinges on Reinforcement Learning from Human Feedback (RLHF) to comprehend and align with user intentions. However, traditional alignment algorithms, such as PPO, are hampered by complex annotation and training requirements. This reliance limits the applicability of RLHF and hinders the development of professional assistants tailored to diverse human preferences. In this work, we introduce Linear Alignment, a novel algorithm that aligns language models with human preferences in one single inference step, eliminating the reliance on data annotation and model training. Linear alignment incorporates a new parameterization for policy optimization under divergence constraints, which enables the extraction of optimal policy in a closed-form manner and facilitates the direct estimation of the aligned response. Extensive experiments on both general and personalized preference datasets demonstrate that linear alignment significantly enhances the performance and efficiency of LLM alignment across diverse scenarios. Our code and dataset will be published on https://github.com/Wizardcoast/Linear_Alignment.git.

The growing awareness of safety concerns in large language models (LLMs) has sparked considerable interest in the evaluation of safety within current research endeavors. This study investigates an interesting issue pertaining to the evaluation of LLMs, namely the substantial discrepancy in performance between multiple-choice questions and open-ended questions. Inspired by research on jailbreak attack patterns, we argue this is caused by mismatched generalization. That is, the LLM does not have a comprehensive understanding of the complex concept of safety. Instead, it only remembers what to answer for open-ended safety questions, which makes it unable to solve other forms of safety tests. We refer to this phenomenon as fake alignment and construct a comparative benchmark to empirically verify its existence in LLMs. Such fake alignment renders previous evaluation protocols unreliable. To address this, we introduce the Fake alIgNment Evaluation (FINE) framework and two novel metrics--Consistency Score (CS) and Consistent Safety Score (CSS), which jointly assess two complementary forms of evaluation to quantify fake alignment and obtain corrected performance estimates. Applying FINE to 14 widely-used LLMs reveals several models with purported safety are poorly aligned in practice. Our work highlights potential limitations in prevailing alignment methodologies.

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.

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.

AI systems can take harmful actions and are highly vulnerable to adversarial attacks. We present an approach, inspired by recent advances in representation engineering, that "short-circuits" models as they respond with harmful outputs. Existing techniques aimed at improving alignment, such as refusal training, are often bypassed. Techniques such as adversarial training try to plug these holes by countering specific attacks. As an alternative to refusal training and adversarial training, short-circuiting directly controls the representations that are responsible for harmful outputs in the first place. Our technique can be applied to both text-only and multimodal language models to prevent the generation of harmful outputs without sacrificing utility -- even in the presence of powerful unseen attacks. Notably, while adversarial robustness in standalone image recognition remains an open challenge, short-circuiting allows the larger multimodal system to reliably withstand image "hijacks" that aim to produce harmful content. Finally, we extend our approach to AI agents, demonstrating considerable reductions in the rate of harmful actions when they are under attack. Our approach represents a significant step forward in the development of reliable safeguards to harmful behavior and adversarial attacks.

User alignment is crucial for adapting general-purpose language models (LMs) to downstream tasks, but human annotations are often not available for all types of instructions, especially those with customized constraints. We observe that user instructions typically contain constraints. While assessing response quality in terms of the whole instruction is often costly, efficiently evaluating the satisfaction rate of constraints is feasible. We investigate common constraints in NLP tasks, categorize them into three classes based on the types of their arguments, and propose a unified framework, ACT (Aligning to ConsTraints), to automatically produce supervision signals for user alignment with constraints. Specifically, ACT uses constraint verifiers, which are typically easy to implement in practice, to compute constraint satisfaction rate (CSR) of each response. It samples multiple responses for each prompt and collect preference labels based on their CSR automatically. Subsequently, ACT adapts the LM to the target task through a ranking-based learning process. Experiments on fine-grained entity typing, abstractive summarization, and temporal question answering show that ACT is able to enhance LMs' capability to adhere to different classes of constraints, thereby improving task performance. Further experiments show that the constraint-following capabilities are transferable.

The alignment problem in Large Language Models (LLMs) involves adapting them to the broad spectrum of human values. This requirement challenges existing alignment methods due to diversity of preferences and regulatory standards. This paper introduces a novel alignment paradigm, priority rule following, which defines rules as the primary control mechanism in each dialog, prioritizing them over user instructions. Our preliminary analysis reveals that even the advanced LLMs, such as GPT-4, exhibit shortcomings in understanding and prioritizing the rules. Therefore, we present PriorityDistill, a semi-automated approach for distilling priority following signals from LLM simulations to ensure robust rule integration and adherence. Our experiments show that this method not only effectively minimizes misalignments utilizing only one general rule but also adapts smoothly to various unseen rules, ensuring they are shielded from hijacking and that the model responds appropriately.

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.

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.

Agents based on Large Language Models (LLMs) are increasingly permeating various domains of human production and life, highlighting the importance of aligning them with human values. The current alignment of AI systems primarily focuses on passively aligning LLMs through human intervention. However, agents possess characteristics like receiving environmental feedback and self-evolution, rendering the LLM alignment methods inadequate. In response, we propose an evolutionary framework for agent evolution and alignment, named EvolutionaryAgent, which transforms agent alignment into a process of evolution and selection under the principle of survival of the fittest. In an environment where social norms continuously evolve, agents better adapted to the current social norms will have a higher probability of survival and proliferation, while those inadequately aligned dwindle over time. Experimental results assessing the agents from multiple perspectives in aligning with social norms demonstrate that EvolutionaryAgent can align progressively better with the evolving social norms while maintaining its proficiency in general tasks. Effectiveness tests conducted on various open and closed-source LLMs as the foundation for agents also prove the applicability of our approach.

Aligning large language models (LLMs) with human values is a vital task for LLM practitioners. Current alignment techniques have several limitations: (1) requiring a large amount of annotated data; (2) demanding heavy human involvement; (3) lacking a systematic mechanism to continuously improve. In this work, we study aligning LLMs to a new domain with limited samples (e.g. < 100). We propose an algorithm that can self-align LLMs iteratively without active human involvement. Unlike existing works, our algorithm relies on neither human-crafted instructions nor labeled rewards, significantly reducing human involvement. In addition, our algorithm can self-improve the alignment continuously. The key idea is to first retrieve high-quality samples related to the target domain and use them as In-context Learning examples to generate more samples. Then we use the self-generated samples to finetune the LLM iteratively. We show that our method can unlock the LLMs' self-generalization ability to perform alignment with near-zero human supervision. We test our algorithm on three benchmarks in safety, truthfulness, and instruction-following, and show good performance in alignment, domain adaptability, and scalability.

AI Alignment is often presented as an interaction between a single designer and an artificial agent in which the designer attempts to ensure the agent's behavior is consistent with its purpose, and risks arise solely because of conflicts caused by inadvertent misalignment between the utility function intended by the designer and the resulting internal utility function of the agent. With the advent of agents instantiated with large-language models (LLMs), which are typically pre-trained, we argue this does not capture the essential aspects of AI safety because in the real world there is not a one-to-one correspondence between designer and agent, and the many agents, both artificial and human, have heterogeneous values. Therefore, there is an economic aspect to AI safety and the principal-agent problem is likely to arise. In a principal-agent problem conflict arises because of information asymmetry together with inherent misalignment between the utility of the agent and its principal, and this inherent misalignment cannot be overcome by coercing the agent into adopting a desired utility function through training. We argue the assumptions underlying principal-agent problems are crucial to capturing the essence of safety problems involving pre-trained AI models in real-world situations. Taking an empirical approach to AI safety, we investigate how GPT models respond in principal-agent conflicts. We find that agents based on both GPT-3.5 and GPT-4 override their principal's objectives in a simple online shopping task, showing clear evidence of principal-agent conflict. Surprisingly, the earlier GPT-3.5 model exhibits more nuanced behaviour in response to changes in information asymmetry, whereas the later GPT-4 model is more rigid in adhering to its prior alignment. Our results highlight the importance of incorporating principles from economics into the alignment process.

Recent studies have shown that dual encoder models trained with the sentence-level translation ranking task are effective methods for cross-lingual sentence embedding. However, our research indicates that token-level alignment is also crucial in multilingual scenarios, which has not been fully explored previously. Based on our findings, we propose a dual-alignment pre-training (DAP) framework for cross-lingual sentence embedding that incorporates both sentence-level and token-level alignment. To achieve this, we introduce a novel representation translation learning (RTL) task, where the model learns to use one-side contextualized token representation to reconstruct its translation counterpart. This reconstruction objective encourages the model to embed translation information into the token representation. Compared to other token-level alignment methods such as translation language modeling, RTL is more suitable for dual encoder architectures and is computationally efficient. Extensive experiments on three sentence-level cross-lingual benchmarks demonstrate that our approach can significantly improve sentence embedding. Our code is available at https://github.com/ChillingDream/DAP.

Causal abstraction is a promising theoretical framework for explainable artificial intelligence that defines when an interpretable high-level causal model is a faithful simplification of a low-level deep learning system. However, existing causal abstraction methods have two major limitations: they require a brute-force search over alignments between the high-level model and the low-level one, and they presuppose that variables in the high-level model will align with disjoint sets of neurons in the low-level one. In this paper, we present distributed alignment search (DAS), which overcomes these limitations. In DAS, we find the alignment between high-level and low-level models using gradient descent rather than conducting a brute-force search, and we allow individual neurons to play multiple distinct roles by analyzing representations in non-standard bases-distributed representations. Our experiments show that DAS can discover internal structure that prior approaches miss. Overall, DAS removes previous obstacles to conducting causal abstraction analyses and allows us to find conceptual structure in trained neural nets.

Word alignment over parallel corpora has a wide variety of applications, including learning translation lexicons, cross-lingual transfer of language processing tools, and automatic evaluation or analysis of translation outputs. The great majority of past work on word alignment has worked by performing unsupervised learning on parallel texts. Recently, however, other work has demonstrated that pre-trained contextualized word embeddings derived from multilingually trained language models (LMs) prove an attractive alternative, achieving competitive results on the word alignment task even in the absence of explicit training on parallel data. In this paper, we examine methods to marry the two approaches: leveraging pre-trained LMs but fine-tuning them on parallel text with objectives designed to improve alignment quality, and proposing methods to effectively extract alignments from these fine-tuned models. We perform experiments on five language pairs and demonstrate that our model can consistently outperform previous state-of-the-art models of all varieties. In addition, we demonstrate that we are able to train multilingual word aligners that can obtain robust performance on different language pairs. Our aligner, AWESOME (Aligning Word Embedding Spaces of Multilingual Encoders), with pre-trained models is available at https://github.com/neulab/awesome-align

Neural attention has become central to many state-of-the-art models in natural language processing and related domains. Attention networks are an easy-to-train and effective method for softly simulating alignment; however, the approach does not marginalize over latent alignments in a probabilistic sense. This property makes it difficult to compare attention to other alignment approaches, to compose it with probabilistic models, and to perform posterior inference conditioned on observed data. A related latent approach, hard attention, fixes these issues, but is generally harder to train and less accurate. This work considers variational attention networks, alternatives to soft and hard attention for learning latent variable alignment models, with tighter approximation bounds based on amortized variational inference. We further propose methods for reducing the variance of gradients to make these approaches computationally feasible. Experiments show that for machine translation and visual question answering, inefficient exact latent variable models outperform standard neural attention, but these gains go away when using hard attention based training. On the other hand, variational attention retains most of the performance gain but with training speed comparable to neural attention.

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.

Recent approaches to large language model (LLM) alignment typically require millions of human annotations or rely on external aligned models for synthetic data generation. This paper introduces ALMA: Alignment with Minimal Annotation, demonstrating that effective alignment can be achieved using only 9,000 labeled examples -- less than 1% of conventional approaches. ALMA generates large amounts of high-quality synthetic alignment data through new techniques: diverse prompt synthesis via few-shot learning, diverse response generation with multiple model checkpoints, and judge (reward model) enhancement through score aggregation and self-distillation. Using only a pretrained Llama3 base model, 5,000 SFT examples, and 4,000 judge annotations, ALMA achieves performance close to Llama3-Instruct across diverse alignment benchmarks (e.g., 0.1% difference on AlpacaEval 2.0 score). These results are achieved with a multi-round, self-bootstrapped data synthesis and training recipe that continues to improve for 10 rounds, surpassing the typical 3-round ceiling of previous methods. These results suggest that base models already possess sufficient knowledge for effective alignment, and that synthetic data generation methods can expose it.

Fine-tuning text-to-image diffusion models is widely used for personalization and adaptation for new domains. In this paper, we identify a critical vulnerability of fine-tuning: safety alignment methods designed to filter harmful content (e.g., nudity) can break down during fine-tuning, allowing previously suppressed content to resurface, even when using benign datasets. While this "fine-tuning jailbreaking" issue is known in large language models, it remains largely unexplored in text-to-image diffusion models. Our investigation reveals that standard fine-tuning can inadvertently undo safety measures, causing models to relearn harmful concepts that were previously removed and even exacerbate harmful behaviors. To address this issue, we present a novel but immediate solution called Modular LoRA, which involves training Safety Low-Rank Adaptation (LoRA) modules separately from Fine-Tuning LoRA components and merging them during inference. This method effectively prevents the re-learning of harmful content without compromising the model's performance on new tasks. Our experiments demonstrate that Modular LoRA outperforms traditional fine-tuning methods in maintaining safety alignment, offering a practical approach for enhancing the security of text-to-image diffusion models against potential attacks.

Aligning large language models (LLMs) with human intent is critical for enhancing their performance across a variety of tasks. Standard alignment techniques, such as Direct Preference Optimization (DPO), often rely on the binary Bradley-Terry (BT) model, which can struggle to capture the complexities of human preferences -- particularly in the presence of noisy or inconsistent labels and frequent ties. To address these limitations, we introduce the Tie-rank Oriented Bradley-Terry model (TOBT), an extension of the BT model that explicitly incorporates ties, enabling more nuanced preference representation. Building on this, we propose Tie-rank Oriented Direct Preference Optimization (TODO), a novel alignment algorithm that leverages TOBT's ternary ranking system to improve preference alignment. In evaluations on Mistral-7B and Llama 3-8B models, TODO consistently outperforms DPO in modeling preferences across both in-distribution and out-of-distribution datasets. Additional assessments using MT Bench and benchmarks such as Piqa, ARC-c, and MMLU further demonstrate TODO's superior alignment performance. Notably, TODO also shows strong results in binary preference alignment, highlighting its versatility and potential for broader integration into LLM alignment. The implementation details can be found in https://github.com/XXares/TODO.

Direct Alignment Algorithms (DAAs), such as Direct Preference Optimisation (DPO) and Identity Preference Optimisation (IPO), have emerged as alternatives to online Reinforcement Learning from Human Feedback (RLHF) algorithms such as Proximal Policy Optimisation (PPO) for aligning language models to human preferences, without the need for explicit reward modelling. These methods generally aim to increase the likelihood of generating better (preferred) completions while discouraging worse (non-preferred) ones, while staying close to the original model's behaviour. In this work, we explore the relationship between completion likelihood and model performance in state-of-the-art DAAs, and identify a critical issue of likelihood over-optimisation. Contrary to expectations, we find that higher likelihood of better completions and larger margins between better and worse completion likelihoods do not necessarily lead to better performance, and may even degrade it. Our analysis reveals that while higher likelihood correlates with better memorisation of factual knowledge patterns, a slightly lower completion likelihood tends to improve output diversity, thus leading to better generalisation to unseen scenarios. Moreover, we identify two key indicators that signal when over-optimised output diversity begins to harm performance: Decreasing Entropy over Top-k Tokens and Diminishing Top-k Probability Mass. Our experimental results validate that these indicators are reliable signs of declining performance under different regularisations, helping prevent over-optimisation and improve alignment with human preferences.

Vision language models (VLMs) have seen growing adoption in recent years, but many still struggle with basic spatial reasoning errors. We hypothesize that this is due to VLMs adopting pre-trained vision backbones, specifically vision transformers (ViTs) trained with image-level supervision and minimal inductive biases. Such models may fail to encode the class contents at each position in the image, and our goal is to resolve this by ensuring that the vision backbone effectively captures both local and global image semantics. Our main insight is that we do not require new supervision to learn this capability -- pre-trained models contain significant knowledge of local semantics that we can extract and use for scalable self-supervision. We propose a new efficient post-training stage for ViTs called locality alignment and a novel fine-tuning procedure called MaskEmbed that uses a masked reconstruction loss to learn semantic contributions for each image patch. We first evaluate locality alignment with a vision-only benchmark, finding that it improves a model's performance at a patch-level semantic segmentation task, especially for strong backbones trained with image-caption pairs (e.g., CLIP and SigLIP). We then train a series of VLMs with and without locality alignment, and show that locality-aligned backbones improve performance across a range of benchmarks, particularly ones that involve spatial understanding (e.g., RefCOCO, OCID-Ref, TallyQA, VSR, AI2D). Overall, we demonstrate that we can efficiently learn local semantic extraction via a locality alignment stage, and that this procedure complements existing VLM training recipes that use off-the-shelf vision backbones.

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.

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.

Fusing speech into pre-trained language model (SpeechLM) usually suffers from inefficient encoding of long-form speech and catastrophic forgetting of pre-trained text modality. We propose SSR-Connector (Segmented Speech Representation Connector) for better modality fusion. Leveraging speech-text alignments, our approach segments and compresses speech features to match the granularity of text embeddings. Additionally, we introduce a two-stage training pipeline that includes the distillation and fine-tuning phases to mitigate catastrophic forgetting. SSR-Connector outperforms existing mechanism for speech-text modality fusion, consistently achieving better speech understanding (e.g., +10 accuracy on StoryCloze and +20 on Speech-MMLU) while preserving pre-trained text ability.

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.

Aiming to enhance Face Recognition (FR) on Low-Quality (LQ) inputs, recent studies suggest incorporating synthetic LQ samples into training. Although promising, the quality factors that are considered in these works are general rather than FR-specific, \eg, atmospheric turbulence, resolution, \etc. Motivated by the observation of the vulnerability of current FR models to even small Face Alignment Errors (FAE) in LQ images, we present a simple yet effective method that considers FAE as another quality factor that is tailored to FR. We seek to improve LQ FR by enhancing FR models' robustness to FAE. To this aim, we formalize the problem as a combination of differentiable spatial transformations and adversarial data augmentation in FR. We perturb the alignment of the training samples using a controllable spatial transformation and enrich the training with samples expressing FAE. We demonstrate the benefits of the proposed method by conducting evaluations on IJB-B, IJB-C, IJB-S (+4.3\% Rank1), and TinyFace (+2.63\%). https://github.com/msed-Ebrahimi/ARoFace{https://github.com/msed-Ebrahimi/ARoFace}

Forced alignment (FA) plays a key role in speech research through the automatic time alignment of speech signals with corresponding text transcriptions. Despite the move towards end-to-end architectures for speech technology, FA is still dominantly achieved through a classic GMM-HMM acoustic model. This work directly compares alignment performance from leading automatic speech recognition (ASR) methods, WhisperX and Massively Multilingual Speech Recognition (MMS), against a Kaldi-based GMM-HMM system, the Montreal Forced Aligner (MFA). Performance was assessed on the manually aligned TIMIT and Buckeye datasets, with comparisons conducted only on words correctly recognized by WhisperX and MMS. The MFA outperformed both WhisperX and MMS, revealing a shortcoming of modern ASR systems. These findings highlight the need for advancements in forced alignment and emphasize the importance of integrating traditional expertise with modern innovation to foster progress. Index Terms: forced alignment, phoneme alignment, word alignment

Large foundation models pretrained on raw web-scale data are not readily deployable without additional step of extensive alignment to human preferences. Such alignment is typically done by collecting large amounts of pairwise comparisons from humans ("Do you prefer output A or B?") and learning a reward model or a policy with the Bradley-Terry-Luce (BTL) model as a proxy for a human's underlying implicit preferences. These methods generally suffer from assuming a universal preference shared by all humans, which lacks the flexibility of adapting to plurality of opinions and preferences. In this work, we propose PAL, a framework to model human preference complementary to existing pretraining strategies, which incorporates plurality from the ground up. We propose using the ideal point model as a lens to view alignment using preference comparisons. Together with our novel reformulation and using mixture modeling, our framework captures the plurality of population preferences while simultaneously learning a common preference latent space across different preferences, which can few-shot generalize to new, unseen users. Our approach enables us to use the penultimate-layer representation of large foundation models and simple MLP layers to learn reward functions that are on-par with the existing large state-of-the-art reward models, thereby enhancing efficiency of reward modeling significantly. We show that PAL achieves competitive reward model accuracy compared to strong baselines on 1) Language models with Summary dataset ; 2) Image Generative models with Pick-a-Pic dataset ; 3) A new semisynthetic heterogeneous dataset generated using Anthropic Personas. Finally, our experiments also highlight the shortcoming of current preference datasets that are created using rigid rubrics which wash away heterogeneity, and call for more nuanced data collection approaches.

Large language models (LLMs) may exhibit undesirable behaviors. Recent efforts have focused on aligning these models to prevent harmful generation. Despite these efforts, studies have shown that even a well-conducted alignment process can be easily circumvented, whether intentionally or accidentally. Do alignment fine-tuning have robust effects on models, or are merely superficial? In this work, we answer this question through both theoretical and empirical means. Empirically, we demonstrate the elasticity of post-alignment models, i.e., the tendency to revert to the behavior distribution formed during the pre-training phase upon further fine-tuning. Using compression theory, we formally derive that such fine-tuning process disproportionately undermines alignment compared to pre-training, potentially by orders of magnitude. We conduct experimental validations to confirm the presence of elasticity across models of varying types and sizes. Specifically, we find that model performance declines rapidly before reverting to the pre-training distribution, after which the rate of decline drops significantly. We further reveal that elasticity positively correlates with increased model size and the expansion of pre-training data. Our discovery signifies the importance of taming the inherent elasticity of LLMs, thereby overcoming the resistance of LLMs to alignment finetuning.

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.

We introduce a low-resource safety enhancement method for aligning large language models (LLMs) without the need for supervised fine-tuning (SFT) or reinforcement learning from human feedback (RLHF). Our main idea is to exploit knowledge distillation to extract the alignment information from existing well-aligned LLMs and integrate it into unaligned LLMs in a plug-and-play fashion. Methodology, we employ delta debugging to identify the critical components of knowledge necessary for effective distillation. On the harmful question dataset, our method significantly enhances the average defense success rate by approximately 14.41%, reaching as high as 51.39%, in 17 unaligned pre-trained LLMs, without compromising performance.

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.

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.

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.

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.

Safety and trustworthiness are indispensable requirements for real-world applications of AI systems using large language models (LLMs). This paper formulates human value alignment as an optimization problem of the language model policy to maximize reward under a safety constraint, and then proposes an algorithm, Stepwise Alignment for Constrained Policy Optimization (SACPO). One key idea behind SACPO, supported by theory, is that the optimal policy incorporating reward and safety can be directly obtained from a reward-aligned policy. Building on this key idea, SACPO aligns LLMs step-wise with each metric while leveraging simple yet powerful alignment algorithms such as direct preference optimization (DPO). SACPO offers several advantages, including simplicity, stability, computational efficiency, and flexibility of algorithms and datasets. Under mild assumptions, our theoretical analysis provides the upper bounds on optimality and safety constraint violation. Our experimental results show that SACPO can fine-tune Alpaca-7B better than the state-of-the-art method in terms of both helpfulness and harmlessness.

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.

Generative models, widely utilized in various applications, can often struggle with prompts corresponding to partial tokens. This struggle stems from tokenization, where partial tokens fall out of distribution during inference, leading to incorrect or nonsensical outputs. This paper examines a technique to alleviate the tokenization artifact on text completion in generative models, maintaining performance even in regular non-subword cases. The method, termed token alignment, involves backtracking to the last complete tokens and ensuring the model's generation aligns with the prompt. This approach showcases marked improvement across many partial token scenarios, including nuanced cases like space-prefix and partial indentation, with only a minor time increase. The technique and analysis detailed in this paper contribute to the continuous advancement of generative models in handling partial inputs, bearing relevance for applications like code completion and text autocompletion.

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.

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.

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.

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.

Aligning large language models with human objectives is paramount, yet common approaches including RLHF suffer from unstable and resource-intensive training. In response to this challenge, we introduce ARGS, Alignment as Reward-Guided Search, a novel framework that integrates alignment into the decoding process, eliminating the need for expensive RL training. By adjusting the model's probabilistic predictions using a reward signal, ARGS generates texts with semantic diversity while being aligned with human preferences, offering a promising and flexible solution for aligning language models. Notably, ARGS demonstrates consistent enhancements in average reward compared to baselines across diverse alignment tasks and various model dimensions. For example, under the same greedy-based decoding strategy, our method improves the average reward by 19.56% relative to the baseline and secures a preference or tie score of 64.33% in GPT-4 evaluation. We believe that our framework, emphasizing decoding-time alignment, paves the way for more responsive language models in the future. Code is publicly available at: https://github.com/deeplearning-wisc/args.

Multimodal alignment between language and vision is the fundamental topic in current vision-language model research. Contrastive Captioners (CoCa), as a representative method, integrates Contrastive Language-Image Pretraining (CLIP) and Image Caption (IC) into a unified framework, resulting in impressive results. CLIP imposes a bidirectional constraints on global representation of entire images and sentences. Although IC conducts an unidirectional image-to-text generation on local representation, it lacks any constraint on local text-to-image reconstruction, which limits the ability to understand images at a fine-grained level when aligned with texts. To achieve multimodal alignment from both global and local perspectives, this paper proposes Symmetrizing Contrastive Captioners (SyCoCa), which introduces bidirectional interactions on images and texts across the global and local representation levels. Specifically, we expand a Text-Guided Masked Image Modeling (TG-MIM) head based on ITC and IC heads. The improved SyCoCa can further leverage textual cues to reconstruct contextual images and visual cues to predict textual contents. When implementing bidirectional local interactions, the local contents of images tend to be cluttered or unrelated to their textual descriptions. Thus, we employ an attentive masking strategy to select effective image patches for interaction. Extensive experiments on five vision-language tasks, including image-text retrieval, image-captioning, visual question answering, and zero-shot/finetuned image classification, validate the effectiveness of our proposed method.

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.

Recent developments in balancing the usefulness and safety of Large Language Models (LLMs) have raised a critical question: Are mainstream NLP tasks adequately aligned with safety consideration? Our study, focusing on safety-sensitive documents obtained through adversarial attacks, reveals significant disparities in the safety alignment of various NLP tasks. For instance, LLMs can effectively summarize malicious long documents but often refuse to translate them. This discrepancy highlights a previously unidentified vulnerability: attacks exploiting tasks with weaker safety alignment, like summarization, can potentially compromise the integraty of tasks traditionally deemed more robust, such as translation and question-answering (QA). Moreover, the concurrent use of multiple NLP tasks with lesser safety alignment increases the risk of LLMs inadvertently processing harmful content. We demonstrate these vulnerabilities in various safety-aligned LLMs, particularly Llama2 models and GPT-4, indicating an urgent need for strengthening safety alignments across a broad spectrum of NLP tasks.

Language model alignment is a cutting-edge technique in large language model training to align the model output to user's intent, e.g., being helpful and harmless. Recent alignment framework consists of two steps: supervised fine-tuning with demonstration data and preference learning with human preference data. Previous preference learning methods, such as RLHF and DPO, mainly focus on pair-wise preference data. However, in many real-world scenarios where human feedbacks are intrinsically point-wise, these methods will suffer from information loss or even fail. To fill this gap, in this paper, we first develop a preference learning method called point-wise DPO to tackle point-wise preference data. Further revelation on the connection between supervised fine-tuning and point-wise preference learning enables us to develop a unified framework for both human demonstration and point-wise preference data, which sheds new light on the construction of preference dataset. Extensive experiments on point-wise datasets with binary or continuous labels demonstrate the superior performance and efficiency of our proposed methods. A new dataset with high-quality demonstration samples on harmlessness is constructed and made publicly available.

An ideal length-extrapolatable Transformer language model can handle sequences longer than the training length without any fine-tuning. Such long-context utilization capability relies heavily on a flexible positional embedding design. Upon investigating the flexibility of existing large pre-trained Transformer language models, we find that the T5 family deserves a closer look, as its positional embeddings capture rich and flexible attention patterns. However, T5 suffers from the dispersed attention issue: the longer the input sequence, the flatter the attention distribution. To alleviate the issue, we propose two attention alignment strategies via temperature scaling. Our findings show improvement on the long-context utilization capability of T5 on language modeling, retrieval, multi-document question answering, and code completion tasks without any fine-tuning. This suggests that a flexible positional embedding design and attention alignment can go a long way toward Transformer length extrapolation.

Reinforcement learning from human feedback (RLHF) has emerged as a powerful technique to make large language models (LLMs) more capable in complex settings. RLHF proceeds as collecting human preference data, training a reward model on said data, and optimizing a base ML model with respect to said reward for extrinsic evaluation metrics (e.g. MMLU, GSM8k). RLHF relies on many assumptions about how the various pieces fit together, such as a reward model capturing human preferences and an RL optimizer extracting the right signal from a reward model. As the RLHF process involves many distinct design decisions, it is easy to assume that multiple processes are correlated and therefore numerically linked. This apparent correlation is often not true, where reward models are easily overoptimized or RL optimizers can reduce performance on tasks not modeled in the data. Notable manifestations of models trained with imperfect RLHF systems are those that are prone to refusing basic requests for safety reasons or appearing lazy in generations. As chat model evaluation becomes increasingly nuanced, the reliance on a perceived link between reward model training, RL scores, and downstream performance drives these issues, which we describe as an objective mismatch. In this paper, we illustrate the causes of this issue, reviewing relevant literature from model-based reinforcement learning, and argue for solutions. By solving objective mismatch in RLHF, the ML models of the future will be more precisely aligned to user instructions for both safety and helpfulness.

AI alignment aims to make AI systems behave in line with human intentions and values. As AI systems grow more capable, so do risks from misalignment. To provide a comprehensive and up-to-date overview of the alignment field, in this survey, we delve into the core concepts, methodology, and practice of alignment. First, we identify four principles as the key objectives of AI alignment: Robustness, Interpretability, Controllability, and Ethicality (RICE). Guided by these four principles, we outline the landscape of current alignment research and decompose them into two key components: forward alignment and backward alignment. The former aims to make AI systems aligned via alignment training, while the latter aims to gain evidence about the systems' alignment and govern them appropriately to avoid exacerbating misalignment risks. On forward alignment, we discuss techniques for learning from feedback and learning under distribution shift. On backward alignment, we discuss assurance techniques and governance practices. We also release and continually update the website (www.alignmentsurvey.com) which features tutorials, collections of papers, blog posts, and other resources.

Designing reward functions for efficiently guiding reinforcement learning (RL) agents toward specific behaviors is a complex task. This is challenging since it requires the identification of reward structures that are not sparse and that avoid inadvertently inducing undesirable behaviors. Naively modifying the reward structure to offer denser and more frequent feedback can lead to unintended outcomes and promote behaviors that are not aligned with the designer's intended goal. Although potential-based reward shaping is often suggested as a remedy, we systematically investigate settings where deploying it often significantly impairs performance. To address these issues, we introduce a new framework that uses a bi-level objective to learn behavior alignment reward functions. These functions integrate auxiliary rewards reflecting a designer's heuristics and domain knowledge with the environment's primary rewards. Our approach automatically determines the most effective way to blend these types of feedback, thereby enhancing robustness against heuristic reward misspecification. Remarkably, it can also adapt an agent's policy optimization process to mitigate suboptimalities resulting from limitations and biases inherent in the underlying RL algorithms. We evaluate our method's efficacy on a diverse set of tasks, from small-scale experiments to high-dimensional control challenges. We investigate heuristic auxiliary rewards of varying quality -- some of which are beneficial and others detrimental to the learning process. Our results show that our framework offers a robust and principled way to integrate designer-specified heuristics. It not only addresses key shortcomings of existing approaches but also consistently leads to high-performing solutions, even when given misaligned or poorly-specified auxiliary reward functions.

Aligning AI agents to human intentions and values is a key bottleneck in building safe and deployable AI applications. But whose values should AI agents be aligned with? Reinforcement learning with human feedback (RLHF) has emerged as the key framework for AI alignment. RLHF uses feedback from human reinforcers to fine-tune outputs; all widely deployed large language models (LLMs) use RLHF to align their outputs to human values. It is critical to understand the limitations of RLHF and consider policy challenges arising from these limitations. In this paper, we investigate a specific challenge in building RLHF systems that respect democratic norms. Building on impossibility results in social choice theory, we show that, under fairly broad assumptions, there is no unique voting protocol to universally align AI systems using RLHF through democratic processes. Further, we show that aligning AI agents with the values of all individuals will always violate certain private ethical preferences of an individual user i.e., universal AI alignment using RLHF is impossible. We discuss policy implications for the governance of AI systems built using RLHF: first, the need for mandating transparent voting rules to hold model builders accountable. Second, the need for model builders to focus on developing AI agents that are narrowly aligned to specific user groups.

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.

As demands for high-quality videos continue to rise, high-resolution and high-dynamic range (HDR) imaging techniques are drawing attention. To generate an HDR video from low dynamic range (LDR) images, one of the critical steps is the motion compensation between LDR frames, for which most existing works employed the optical flow algorithm. However, these methods suffer from flow estimation errors when saturation or complicated motions exist. In this paper, we propose an end-to-end HDR video composition framework, which aligns LDR frames in the feature space and then merges aligned features into an HDR frame, without relying on pixel-domain optical flow. Specifically, we propose a luminance-based alignment network for HDR (LAN-HDR) consisting of an alignment module and a hallucination module. The alignment module aligns a frame to the adjacent reference by evaluating luminance-based attention, excluding color information. The hallucination module generates sharp details, especially for washed-out areas due to saturation. The aligned and hallucinated features are then blended adaptively to complement each other. Finally, we merge the features to generate a final HDR frame. In training, we adopt a temporal loss, in addition to frame reconstruction losses, to enhance temporal consistency and thus reduce flickering. Extensive experiments demonstrate that our method performs better or comparable to state-of-the-art methods on several benchmarks.

AI alignment refers to models acting towards human-intended goals, preferences, or ethical principles. Given that most large-scale deep learning models act as black boxes and cannot be manually controlled, analyzing the similarity between models and humans can be a proxy measure for ensuring AI safety. In this paper, we focus on the models' visual perception alignment with humans, further referred to as AI-human visual alignment. Specifically, we propose a new dataset for measuring AI-human visual alignment in terms of image classification, a fundamental task in machine perception. In order to evaluate AI-human visual alignment, a dataset should encompass samples with various scenarios that may arise in the real world and have gold human perception labels. Our dataset consists of three groups of samples, namely Must-Act (i.e., Must-Classify), Must-Abstain, and Uncertain, based on the quantity and clarity of visual information in an image and further divided into eight categories. All samples have a gold human perception label; even Uncertain (severely blurry) sample labels were obtained via crowd-sourcing. The validity of our dataset is verified by sampling theory, statistical theories related to survey design, and experts in the related fields. Using our dataset, we analyze the visual alignment and reliability of five popular visual perception models and seven abstention methods. Our code and data is available at https://github.com/jiyounglee-0523/VisAlign.

Lyrics alignment gained considerable attention in recent years. State-of-the-art systems either re-use established speech recognition toolkits, or design end-to-end solutions involving a Connectionist Temporal Classification (CTC) loss. However, both approaches suffer from specific weaknesses: toolkits are known for their complexity, and CTC systems use a loss designed for transcription which can limit alignment accuracy. In this paper, we use instead a contrastive learning procedure that derives cross-modal embeddings linking the audio and text domains. This way, we obtain a novel system that is simple to train end-to-end, can make use of weakly annotated training data, jointly learns a powerful text model, and is tailored to alignment. The system is not only the first to yield an average absolute error below 0.2 seconds on the standard Jamendo dataset but it is also robust to other languages, even when trained on English data only. Finally, we release word-level alignments for the JamendoLyrics Multi-Lang dataset.

Because of predicting all the target tokens in parallel, the non-autoregressive models greatly improve the decoding efficiency of speech recognition compared with traditional autoregressive models. In this work, we present dynamic alignment Mask CTC, introducing two methods: (1) Aligned Cross Entropy (AXE), finding the monotonic alignment that minimizes the cross-entropy loss through dynamic programming, (2) Dynamic Rectification, creating new training samples by replacing some masks with model predicted tokens. The AXE ignores the absolute position alignment between prediction and ground truth sentence and focuses on tokens matching in relative order. The dynamic rectification method makes the model capable of simulating the non-mask but possible wrong tokens, even if they have high confidence. Our experiments on WSJ dataset demonstrated that not only AXE loss but also the rectification method could improve the WER performance of Mask CTC.

The word alignment task, despite its prominence in the era of statistical machine translation (SMT), is niche and under-explored today. In this two-part tutorial, we argue for the continued relevance for word alignment. The first part provides a historical background to word alignment as a core component of the traditional SMT pipeline. We zero-in on GIZA++, an unsupervised, statistical word aligner with surprising longevity. Jumping forward to the era of neural machine translation (NMT), we show how insights from word alignment inspired the attention mechanism fundamental to present-day NMT. The second part shifts to a survey approach. We cover neural word aligners, showing the slow but steady progress towards surpassing GIZA++ performance. Finally, we cover the present-day applications of word alignment, from cross-lingual annotation projection, to improving translation.

Entity alignment is to find identical entities in different knowledge graphs (KGs) that refer to the same real-world object. Embedding-based entity alignment techniques have been drawing a lot of attention recently because they can help solve the issue of symbolic heterogeneity in different KGs. However, in this paper, we show that the progress made in the past was due to biased and unchallenging evaluation. We highlight two major flaws in existing datasets that favor embedding-based entity alignment techniques, i.e., the isomorphic graph structures in relation triples and the weak heterogeneity in attribute triples. Towards a critical evaluation of embedding-based entity alignment methods, we construct a new dataset with heterogeneous relations and attributes based on event-centric KGs. We conduct extensive experiments to evaluate existing popular methods, and find that they fail to achieve promising performance. As a new approach to this difficult problem, we propose a time-aware literal encoder for entity alignment. The dataset and source code are publicly available to foster future research. Our work calls for more effective and practical embedding-based solutions to entity alignment.

Non-autoregressive translation (NAT) models are typically trained with the cross-entropy loss, which forces the model outputs to be aligned verbatim with the target sentence and will highly penalize small shifts in word positions. Latent alignment models relax the explicit alignment by marginalizing out all monotonic latent alignments with the CTC loss. However, they cannot handle non-monotonic alignments, which is non-negligible as there is typically global word reordering in machine translation. In this work, we explore non-monotonic latent alignments for NAT. We extend the alignment space to non-monotonic alignments to allow for the global word reordering and further consider all alignments that overlap with the target sentence. We non-monotonically match the alignments to the target sentence and train the latent alignment model to maximize the F1 score of non-monotonic matching. Extensive experiments on major WMT benchmarks show that our method substantially improves the translation performance of CTC-based models. Our best model achieves 30.06 BLEU on WMT14 En-De with only one-iteration decoding, closing the gap between non-autoregressive and autoregressive models.

We present Sparrow, an information-seeking dialogue agent trained to be more helpful, correct, and harmless compared to prompted language model baselines. We use reinforcement learning from human feedback to train our models with two new additions to help human raters judge agent behaviour. First, to make our agent more helpful and harmless, we break down the requirements for good dialogue into natural language rules the agent should follow, and ask raters about each rule separately. We demonstrate that this breakdown enables us to collect more targeted human judgements of agent behaviour and allows for more efficient rule-conditional reward models. Second, our agent provides evidence from sources supporting factual claims when collecting preference judgements over model statements. For factual questions, evidence provided by Sparrow supports the sampled response 78% of the time. Sparrow is preferred more often than baselines while being more resilient to adversarial probing by humans, violating our rules only 8% of the time when probed. Finally, we conduct extensive analyses showing that though our model learns to follow our rules it can exhibit distributional biases.

In coming years or decades, artificial general intelligence (AGI) may surpass human capabilities at many critical tasks. We argue that, without substantial effort to prevent it, AGIs could learn to pursue goals that are in conflict (i.e. misaligned) with human interests. If trained like today's most capable models, AGIs could learn to act deceptively to receive higher reward, learn misaligned internally-represented goals which generalize beyond their fine-tuning distributions, and pursue those goals using power-seeking strategies. We review emerging evidence for these properties. AGIs with these properties would be difficult to align and may appear aligned even when they are not. Finally, we briefly outline how the deployment of misaligned AGIs might irreversibly undermine human control over the world, and we review research directions aimed at preventing this outcome.

AI alignment research is the field of study dedicated to ensuring that artificial intelligence (AI) benefits humans. As machine intelligence gets more advanced, this research is becoming increasingly important. Researchers in the field share ideas across different media to speed up the exchange of information. However, this focus on speed means that the research landscape is opaque, making it difficult for young researchers to enter the field. In this project, we collected and analyzed existing AI alignment research. We found that the field is growing quickly, with several subfields emerging in parallel. We looked at the subfields and identified the prominent researchers, recurring topics, and different modes of communication in each. Furthermore, we found that a classifier trained on AI alignment research articles can detect relevant articles that we did not originally include in the dataset. We are sharing the dataset with the research community and hope to develop tools in the future that will help both established researchers and young researchers get more involved in the field.

Geometric alignment appears in a variety of applications, ranging from domain adaptation, optimal transport, and normalizing flows in machine learning; optical flow and learned augmentation in computer vision and deformable registration within biomedical imaging. A recurring challenge is the alignment of domains whose topology is not the same; a problem that is routinely ignored, potentially introducing bias in downstream analysis. As a first step towards solving such alignment problems, we propose an unsupervised algorithm for the detection of changes in image topology. The model is based on a conditional variational auto-encoder and detects topological changes between two images during the registration step. We account for both topological changes in the image under spatial variation and unexpected transformations. Our approach is validated on two tasks and datasets: detection of topological changes in microscopy images of cells, and unsupervised anomaly detection brain imaging.

Word alignment is essential for the downstream cross-lingual language understanding and generation tasks. Recently, the performance of the neural word alignment models has exceeded that of statistical models. However, they heavily rely on sophisticated translation models. In this study, we propose a super lightweight unsupervised word alignment model named MirrorAlign, in which bidirectional symmetric attention trained with a contrastive learning objective is introduced, and an agreement loss is employed to bind the attention maps, such that the alignments follow mirror-like symmetry hypothesis. Experimental results on several public benchmarks demonstrate that our model achieves competitive, if not better, performance compared to the state of the art in word alignment while significantly reducing the training and decoding time on average. Further ablation analysis and case studies show the superiority of our proposed MirrorAlign. Notably, we recognize our model as a pioneer attempt to unify bilingual word embedding and word alignments. Encouragingly, our approach achieves {16.4X speedup} against GIZA++, and {50X parameter compression} compared with the Transformer-based alignment methods. We release our code to facilitate the community: https://github.com/moore3930/MirrorAlign.

Word alignment, which aims to align translationally equivalent words between source and target sentences, plays an important role in many natural language processing tasks. Current unsupervised neural alignment methods focus on inducing alignments from neural machine translation models, which does not leverage the full context in the target sequence. In this paper, we propose Mask-Align, a self-supervised word alignment model that takes advantage of the full context on the target side. Our model masks out each target token and predicts it conditioned on both source and the remaining target tokens. This two-step process is based on the assumption that the source token contributing most to recovering the masked target token should be aligned. We also introduce an attention variant called leaky attention, which alleviates the problem of unexpected high cross-attention weights on special tokens such as periods. Experiments on four language pairs show that our model outperforms previous unsupervised neural aligners and obtains new state-of-the-art results.

Despite the widespread success of self-supervised learning via masked language models (MLM), accurately capturing fine-grained semantic relationships in the biomedical domain remains a challenge. This is of paramount importance for entity-level tasks such as entity linking where the ability to model entity relations (especially synonymy) is pivotal. To address this challenge, we propose SapBERT, a pretraining scheme that self-aligns the representation space of biomedical entities. We design a scalable metric learning framework that can leverage UMLS, a massive collection of biomedical ontologies with 4M+ concepts. In contrast with previous pipeline-based hybrid systems, SapBERT offers an elegant one-model-for-all solution to the problem of medical entity linking (MEL), achieving a new state-of-the-art (SOTA) on six MEL benchmarking datasets. In the scientific domain, we achieve SOTA even without task-specific supervision. With substantial improvement over various domain-specific pretrained MLMs such as BioBERT, SciBERTand and PubMedBERT, our pretraining scheme proves to be both effective and robust.

We propose procedures for evaluating and strengthening contextual embedding alignment and show that they are useful in analyzing and improving multilingual BERT. In particular, after our proposed alignment procedure, BERT exhibits significantly improved zero-shot performance on XNLI compared to the base model, remarkably matching pseudo-fully-supervised translate-train models for Bulgarian and Greek. Further, to measure the degree of alignment, we introduce a contextual version of word retrieval and show that it correlates well with downstream zero-shot transfer. Using this word retrieval task, we also analyze BERT and find that it exhibits systematic deficiencies, e.g. worse alignment for open-class parts-of-speech and word pairs written in different scripts, that are corrected by the alignment procedure. These results support contextual alignment as a useful concept for understanding large multilingual pre-trained models.

Speech emotion recognition is a challenging problem because human convey emotions in subtle and complex ways. For emotion recognition on human speech, one can either extract emotion related features from audio signals or employ speech recognition techniques to generate text from speech and then apply natural language processing to analyze the sentiment. Further, emotion recognition will be beneficial from using audio-textual multimodal information, it is not trivial to build a system to learn from multimodality. One can build models for two input sources separately and combine them in a decision level, but this method ignores the interaction between speech and text in the temporal domain. In this paper, we propose to use an attention mechanism to learn the alignment between speech frames and text words, aiming to produce more accurate multimodal feature representations. The aligned multimodal features are fed into a sequential model for emotion recognition. We evaluate the approach on the IEMOCAP dataset and the experimental results show the proposed approach achieves the state-of-the-art performance on the dataset.

One of the most important problems in machine translation (MT) evaluation is to evaluate the similarity between translation hypotheses with different surface forms from the reference, especially at the segment level. We propose to use word embeddings to perform word alignment for segment-level MT evaluation. We performed experiments with three types of alignment methods using word embeddings. We evaluated our proposed methods with various translation datasets. Experimental results show that our proposed methods outperform previous word embeddings-based methods.

We present a model that generates natural language descriptions of images and their regions. Our approach leverages datasets of images and their sentence descriptions to learn about the inter-modal correspondences between language and visual data. Our alignment model is based on a novel combination of Convolutional Neural Networks over image regions, bidirectional Recurrent Neural Networks over sentences, and a structured objective that aligns the two modalities through a multimodal embedding. We then describe a Multimodal Recurrent Neural Network architecture that uses the inferred alignments to learn to generate novel descriptions of image regions. We demonstrate that our alignment model produces state of the art results in retrieval experiments on Flickr8K, Flickr30K and MSCOCO datasets. We then show that the generated descriptions significantly outperform retrieval baselines on both full images and on a new dataset of region-level annotations.

Word alignments are useful for tasks like statistical and neural machine translation (NMT) and cross-lingual annotation projection. Statistical word aligners perform well, as do methods that extract alignments jointly with translations in NMT. However, most approaches require parallel training data, and quality decreases as less training data is available. We propose word alignment methods that require no parallel data. The key idea is to leverage multilingual word embeddings, both static and contextualized, for word alignment. Our multilingual embeddings are created from monolingual data only without relying on any parallel data or dictionaries. We find that alignments created from embeddings are superior for four and comparable for two language pairs compared to those produced by traditional statistical aligners, even with abundant parallel data; e.g., contextualized embeddings achieve a word alignment F1 for English-German that is 5 percentage points higher than eflomal, a high-quality statistical aligner, trained on 100k parallel sentences.

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.

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.

Unsupervised domain adaptation (UDA) refers to a domain adaptation framework in which a learning model is trained based on the labeled samples on the source domain and unlabelled ones in the target domain. The dominant existing methods in the field that rely on the classical covariate shift assumption to learn domain-invariant feature representation have yielded suboptimal performance under the label distribution shift between source and target domains. In this paper, we propose a novel conditional adversarial support alignment (CASA) whose aim is to minimize the conditional symmetric support divergence between the source's and target domain's feature representation distributions, aiming at a more helpful representation for the classification task. We also introduce a novel theoretical target risk bound, which justifies the merits of aligning the supports of conditional feature distributions compared to the existing marginal support alignment approach in the UDA settings. We then provide a complete training process for learning in which the objective optimization functions are precisely based on the proposed target risk bound. Our empirical results demonstrate that CASA outperforms other state-of-the-art methods on different UDA benchmark tasks under label shift conditions.

Rehearsal-based approaches are a mainstay of continual learning (CL). They mitigate the catastrophic forgetting problem by maintaining a small fixed-size buffer with a subset of data from past tasks. While most rehearsal-based approaches study how to effectively exploit the knowledge from the buffered past data, little attention is paid to the inter-task relationships with the critical task-specific and task-invariant knowledge. By appropriately leveraging inter-task relationships, we propose a novel CL method named DualHSIC to boost the performance of existing rehearsal-based methods in a simple yet effective way. DualHSIC consists of two complementary components that stem from the so-called Hilbert Schmidt independence criterion (HSIC): HSIC-Bottleneck for Rehearsal (HBR) lessens the inter-task interference and HSIC Alignment (HA) promotes task-invariant knowledge sharing. Extensive experiments show that DualHSIC can be seamlessly plugged into existing rehearsal-based methods for consistent performance improvements, and also outperforms recent state-of-the-art regularization-enhanced rehearsal methods. Source code will be released.

Speech-to-text alignment is a critical component of neural textto-speech (TTS) models. Autoregressive TTS models typically use an attention mechanism to learn these alignments on-line. However, these alignments tend to be brittle and often fail to generalize to long utterances and out-of-domain text, leading to missing or repeating words. Most non-autoregressive endto-end TTS models rely on durations extracted from external sources. In this paper we leverage the alignment mechanism proposed in RAD-TTS as a generic alignment learning framework, easily applicable to a variety of neural TTS models. The framework combines forward-sum algorithm, the Viterbi algorithm, and a simple and efficient static prior. In our experiments, the alignment learning framework improves all tested TTS architectures, both autoregressive (Flowtron, Tacotron 2) and non-autoregressive (FastPitch, FastSpeech 2, RAD-TTS). Specifically, it improves alignment convergence speed of existing attention-based mechanisms, simplifies the training pipeline, and makes the models more robust to errors on long utterances. Most importantly, the framework improves the perceived speech synthesis quality, as judged by human evaluators.

Aligning sentences in a reference summary with their counterparts in source documents was shown as a useful auxiliary summarization task, notably for generating training data for salience detection. Despite its assessed utility, the alignment step was mostly approached with heuristic unsupervised methods, typically ROUGE-based, and was never independently optimized or evaluated. In this paper, we propose establishing summary-source alignment as an explicit task, while introducing two major novelties: (1) applying it at the more accurate proposition span level, and (2) approaching it as a supervised classification task. To that end, we created a novel training dataset for proposition-level alignment, derived automatically from available summarization evaluation data. In addition, we crowdsourced dev and test datasets, enabling model development and proper evaluation. Utilizing these data, we present a supervised proposition alignment baseline model, showing improved alignment-quality over the unsupervised approach.

Despite being the workhorse of deep learning, the backpropagation algorithm is no panacea. It enforces sequential layer updates, thus preventing efficient parallelization of the training process. Furthermore, its biological plausibility is being challenged. Alternative schemes have been devised; yet, under the constraint of synaptic asymmetry, none have scaled to modern deep learning tasks and architectures. Here, we challenge this perspective, and study the applicability of Direct Feedback Alignment to neural view synthesis, recommender systems, geometric learning, and natural language processing. In contrast with previous studies limited to computer vision tasks, our findings show that it successfully trains a large range of state-of-the-art deep learning architectures, with performance close to fine-tuned backpropagation. At variance with common beliefs, our work supports that challenging tasks can be tackled in the absence of weight transport.

String similarity models are vital for record linkage, entity resolution, and search. In this work, we present STANCE --a learned model for computing the similarity of two strings. Our approach encodes the characters of each string, aligns the encodings using Sinkhorn Iteration (alignment is posed as an instance of optimal transport) and scores the alignment with a convolutional neural network. We evaluate STANCE's ability to detect whether two strings can refer to the same entity--a task we term alias detection. We construct five new alias detection datasets (and make them publicly available). We show that STANCE or one of its variants outperforms both state-of-the-art and classic, parameter-free similarity models on four of the five datasets. We also demonstrate STANCE's ability to improve downstream tasks by applying it to an instance of cross-document coreference and show that it leads to a 2.8 point improvement in B^3 F1 over the previous state-of-the-art approach.