Daily Papers

Human values and their measurement are long-standing interdisciplinary inquiry. Recent advances in AI have sparked renewed interest in this area, with large language models (LLMs) emerging as both tools and subjects of value measurement. This work introduces Generative Psychometrics for Values (GPV), an LLM-based, data-driven value measurement paradigm, theoretically grounded in text-revealed selective perceptions. We begin by fine-tuning an LLM for accurate perception-level value measurement and verifying the capability of LLMs to parse texts into perceptions, forming the core of the GPV pipeline. Applying GPV to human-authored blogs, we demonstrate its stability, validity, and superiority over prior psychological tools. Then, extending GPV to LLM value measurement, we advance the current art with 1) a psychometric methodology that measures LLM values based on their scalable and free-form outputs, enabling context-specific measurement; 2) a comparative analysis of measurement paradigms, indicating response biases of prior methods; and 3) an attempt to bridge LLM values and their safety, revealing the predictive power of different value systems and the impacts of various values on LLM safety. Through interdisciplinary efforts, we aim to leverage AI for next-generation psychometrics and psychometrics for value-aligned AI.

Human values are crucial to human decision-making. Value pluralism is the view that multiple correct values may be held in tension with one another (e.g., when considering lying to a friend to protect their feelings, how does one balance honesty with friendship?). As statistical learners, AI systems fit to averages by default, washing out these potentially irreducible value conflicts. To improve AI systems to better reflect value pluralism, the first-order challenge is to explore the extent to which AI systems can model pluralistic human values, rights, and duties as well as their interaction. We introduce ValuePrism, a large-scale dataset of 218k values, rights, and duties connected to 31k human-written situations. ValuePrism's contextualized values are generated by GPT-4 and deemed high-quality by human annotators 91% of the time. We conduct a large-scale study with annotators across diverse social and demographic backgrounds to try to understand whose values are represented. With ValuePrism, we build Kaleido, an open, light-weight, and structured language-based multi-task model that generates, explains, and assesses the relevance and valence (i.e., support or oppose) of human values, rights, and duties within a specific context. Humans prefer the sets of values output by our system over the teacher GPT-4, finding them more accurate and with broader coverage. In addition, we demonstrate that Kaleido can help explain variability in human decision-making by outputting contrasting values. Finally, we show that Kaleido's representations transfer to other philosophical frameworks and datasets, confirming the benefit of an explicit, modular, and interpretable approach to value pluralism. We hope that our work will serve as a step to making more explicit the implicit values behind human decision-making and to steering AI systems to make decisions that are more in accordance with them.

There is an emerging consensus that we need to align AI systems with human values (Gabriel, 2020; Ji et al., 2024), but it remains unclear how to apply this to language models in practice. We split the problem of "aligning to human values" into three parts: first, eliciting values from people; second, reconciling those values into an alignment target for training ML models; and third, actually training the model. In this paper, we focus on the first two parts, and ask the question: what are "good" ways to synthesize diverse human inputs about values into a target for aligning language models? To answer this question, we first define a set of 6 criteria that we believe must be satisfied for an alignment target to shape model behavior in accordance with human values. We then propose a process for eliciting and reconciling values called Moral Graph Elicitation (MGE), which uses a large language model to interview participants about their values in particular contexts; our approach is inspired by the philosophy of values advanced by Taylor (1977), Chang (2004), and others. We trial MGE with a representative sample of 500 Americans, on 3 intentionally divisive prompts (e.g. advice about abortion). Our results demonstrate that MGE is promising for improving model alignment across all 6 criteria. For example, almost all participants (89.1%) felt well represented by the process, and (89%) thought the final moral graph was fair, even if their value wasn't voted as the wisest. Our process often results in "expert" values (e.g. values from women who have solicited abortion advice) rising to the top of the moral graph, without defining who is considered an expert in advance.

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

We show how to assess a language model's knowledge of basic concepts of morality. We introduce the ETHICS dataset, a new benchmark that spans concepts in justice, well-being, duties, virtues, and commonsense morality. Models predict widespread moral judgments about diverse text scenarios. This requires connecting physical and social world knowledge to value judgements, a capability that may enable us to steer chatbot outputs or eventually regularize open-ended reinforcement learning agents. With the ETHICS dataset, we find that current language models have a promising but incomplete ability to predict basic human ethical judgements. Our work shows that progress can be made on machine ethics today, and it provides a steppingstone toward AI that is aligned with human values.

Large Language Models (LLMs) aim to serve as versatile assistants aligned with human values, as defined by the principles of being helpful, honest, and harmless (hhh). However, in terms of Multimodal Large Language Models (MLLMs), despite their commendable performance in perception and reasoning tasks, their alignment with human values remains largely unexplored, given the complexity of defining hhh dimensions in the visual world and the difficulty in collecting relevant data that accurately mirrors real-world situations. To address this gap, we introduce Ch3Ef, a Compreh3ensive Evaluation dataset and strategy for assessing alignment with human expectations. Ch3Ef dataset contains 1002 human-annotated data samples, covering 12 domains and 46 tasks based on the hhh principle. We also present a unified evaluation strategy supporting assessment across various scenarios and different perspectives. Based on the evaluation results, we summarize over 10 key findings that deepen the understanding of MLLM capabilities, limitations, and the dynamic relationships between evaluation levels, guiding future advancements in the field.

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.

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

Human preference judgments are pivotal in guiding large language models (LLMs) to produce outputs that align with human values. Human evaluations are also used in summarization tasks to compare outputs from various systems, complementing existing automatic metrics. Despite their significance, however, there has been limited research probing these pairwise or k-wise comparisons. The collective impact and relative importance of factors such as output length, informativeness, fluency, and factual consistency are still not well understood. It is also unclear if there are other hidden factors influencing human judgments. In this paper, we conduct an in-depth examination of a collection of pairwise human judgments released by OpenAI. Utilizing the Bradley-Terry-Luce (BTL) model, we reveal the inherent preferences embedded in these human judgments. We find that the most favored factors vary across tasks and genres, whereas the least favored factors tend to be consistent, e.g., outputs are too brief, contain excessive off-focus content or hallucinated facts. Our findings have implications on the construction of balanced datasets in human preference evaluations, which is a crucial step in shaping the behaviors of future LLMs.

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

As large language models increasingly drive real-world applications, aligning them with human values becomes paramount. Reinforcement Learning from Human Feedback (RLHF) has emerged as a key technique, translating preference data into reward models when oracle human values remain inaccessible. In practice, RLHF mostly relies on approximate reward models, which may not consistently guide the policy toward maximizing the underlying human values. We propose Policy-Interpolated Learning for Aligned Feedback (PILAF), a novel response sampling strategy for preference labeling that explicitly aligns preference learning with maximizing the underlying oracle reward. PILAF is theoretically grounded, demonstrating optimality from both an optimization and a statistical perspective. The method is straightforward to implement and demonstrates strong performance in iterative and online RLHF settings where feedback curation is critical.

Large language models (LLMs) often contain misleading content, emphasizing the need to align them with human values to ensure secur AI systems. Reinforcement learning from human feedback (RLHF) has been employed to achieve this alignment by combining a reward model, typically based on Bradley-Terry paired comparison, with an RL algorithm such as Proximal Policy Optimization (PPO) to optimize LLM responses. However, RLHF exhibits complexity, instability, and sensitivity to hyperparameters. In this paper, we propose Preference Ranking Optimization (PRO) as an alternative to PPO for directly aligning LLMs with the Bradley-Terry comparison. PRO extends the pairwise Bradley-Terry comparison to accommodate preference rankings of any length. By iteratively contrasting the likelihood of generating responses, PRO instructs the LLM to prioritize the best response while progressively ranking the remaining responses. In this manner, PRO effectively transforms human alignment into aligning the probability ranking of n responses generated by LLM with the preference ranking of humans towards these responses. Experiments have shown that PRO outperforms existing alignment algorithms, achieving comparable results to ChatGPT and human responses through automatic-based, reward-based, GPT-4, and human evaluations. Furthermore, we demonstrate that longer, more diverse, and higher-quality preference ranking sequences can consistently enhance the performance of human alignment.

Reinforcement Learning from Human Feedback (RLHF) is a powerful paradigm for aligning foundation models to human values and preferences. However, current RLHF techniques cannot account for the naturally occurring differences in individual human preferences across a diverse population. When these differences arise, traditional RLHF frameworks simply average over them, leading to inaccurate rewards and poor performance for individual subgroups. To address the need for pluralistic alignment, we develop a class of multimodal RLHF methods. Our proposed techniques are based on a latent variable formulation - inferring a novel user-specific latent and learning reward models and policies conditioned on this latent without additional user-specific data. While conceptually simple, we show that in practice, this reward modeling requires careful algorithmic considerations around model architecture and reward scaling. To empirically validate our proposed technique, we first show that it can provide a way to combat underspecification in simulated control problems, inferring and optimizing user-specific reward functions. Next, we conduct experiments on pluralistic language datasets representing diverse user preferences and demonstrate improved reward function accuracy. We additionally show the benefits of this probabilistic framework in terms of measuring uncertainty, and actively learning user preferences. This work enables learning from diverse populations of users with divergent preferences, an important challenge that naturally occurs in problems from robot learning to foundation model alignment.

Through iterative, cross-disciplinary discussions, we define and propose next-steps for Human-centered Generative AI (HGAI) from a technical perspective. We contribute a roadmap that lays out future directions of Generative AI spanning three levels: Aligning with human values; Accommodating humans' expression of intents; and Augmenting humans' abilities in a collaborative workflow. This roadmap intends to draw interdisciplinary research teams to a comprehensive list of emergent ideas in HGAI, identifying their interested topics while maintaining a coherent big picture of the future work landscape.

Reinforcement Learning from Human Feedback (RLHF) is a widely adopted approach for aligning large language models with human values. However, RLHF relies on a reward model that is trained with a limited amount of human preference data, which could lead to inaccurate predictions. As a result, RLHF may produce outputs that are misaligned with human values. To mitigate this issue, we contribute a reward ensemble method that allows the reward model to make more accurate predictions. As using an ensemble of large language model-based reward models can be computationally and resource-expensive, we explore efficient ensemble methods including linear-layer ensemble and LoRA-based ensemble. Empirically, we run Best-of-n and Proximal Policy Optimization with our ensembled reward models, and verify that our ensemble methods help improve the alignment performance of RLHF outputs.

We present ImageReward -- the first general-purpose text-to-image human preference reward model -- to address various prevalent issues in generative models and align them with human values and preferences. Its training is based on our systematic annotation pipeline that covers both the rating and ranking components, collecting a dataset of 137k expert comparisons to date. In human evaluation, ImageReward outperforms existing scoring methods (e.g., CLIP by 38.6\%), making it a promising automatic metric for evaluating and improving text-to-image synthesis. The reward model is publicly available via the image-reward package at https://github.com/THUDM/ImageReward.

Recent advancements in general-purpose AI have highlighted the importance of guiding AI systems towards the intended goals, ethical principles, and values of individuals and groups, a concept broadly recognized as alignment. However, the lack of clarified definitions and scopes of human-AI alignment poses a significant obstacle, hampering collaborative efforts across research domains to achieve this alignment. In particular, ML- and philosophy-oriented alignment research often views AI alignment as a static, unidirectional process (i.e., aiming to ensure that AI systems' objectives match humans) rather than an ongoing, mutual alignment problem [429]. This perspective largely neglects the long-term interaction and dynamic changes of alignment. To understand these gaps, we introduce a systematic review of over 400 papers published between 2019 and January 2024, spanning multiple domains such as Human-Computer Interaction (HCI), Natural Language Processing (NLP), Machine Learning (ML), and others. We characterize, define and scope human-AI alignment. From this, we present a conceptual framework of "Bidirectional Human-AI Alignment" to organize the literature from a human-centered perspective. This framework encompasses both 1) conventional studies of aligning AI to humans that ensures AI produces the intended outcomes determined by humans, and 2) a proposed concept of aligning humans to AI, which aims to help individuals and society adjust to AI advancements both cognitively and behaviorally. Additionally, we articulate the key findings derived from literature analysis, including discussions about human values, interaction techniques, and evaluations. To pave the way for future studies, we envision three key challenges for future directions and propose examples of potential future solutions.

We argue that enabling human-AI dialogue, purposed to support joint reasoning (i.e., 'inquiry'), is important for ensuring that AI decision making is aligned with human values and preferences. In particular, we point to logic-based models of argumentation and dialogue, and suggest that the traditional focus on persuasion dialogues be replaced by a focus on inquiry dialogues, and the distinct challenges that joint inquiry raises. Given recent dramatic advances in the performance of large language models (LLMs), and the anticipated increase in their use for decision making, we provide a roadmap for research into inquiry dialogues for supporting joint human-LLM reasoning tasks that are ethically salient, and that thereby require that decisions are value aligned.

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

While large language models demonstrate remarkable capabilities, they often present challenges in terms of safety, alignment with human values, and stability during training. Here, we focus on two prevalent methods used to align these models, Supervised Fine-Tuning (SFT) and Reinforcement Learning from Human Feedback (RLHF). SFT is simple and robust, powering a host of open-source models, while RLHF is a more sophisticated method used in top-tier models like ChatGPT but also suffers from instability and susceptibility to reward hacking. We propose a novel approach, Supervised Iterative Learning from Human Feedback (SuperHF), which seeks to leverage the strengths of both methods. Our hypothesis is two-fold: that the reward model used in RLHF is critical for efficient data use and model generalization and that the use of Proximal Policy Optimization (PPO) in RLHF may not be necessary and could contribute to instability issues. SuperHF replaces PPO with a simple supervised loss and a Kullback-Leibler (KL) divergence prior. It creates its own training data by repeatedly sampling a batch of model outputs and filtering them through the reward model in an online learning regime. We then break down the reward optimization problem into three components: robustly optimizing the training rewards themselves, preventing reward hacking-exploitation of the reward model that degrades model performance-as measured by a novel METEOR similarity metric, and maintaining good performance on downstream evaluations. Our experimental results show SuperHF exceeds PPO-based RLHF on the training objective, easily and favorably trades off high reward with low reward hacking, improves downstream calibration, and performs the same on our GPT-4 based qualitative evaluation scheme all the while being significantly simpler to implement, highlighting SuperHF's potential as a competitive language model alignment technique.

Reinforcement learning from human feedback (RLHF) is a variant of reinforcement learning (RL) that learns from human feedback instead of relying on an engineered reward function. Building on prior work on the related setting of preference-based reinforcement learning (PbRL), it stands at the intersection of artificial intelligence and human-computer interaction. This positioning offers a promising avenue to enhance the performance and adaptability of intelligent systems while also improving the alignment of their objectives with human values. The training of Large Language Models (LLMs) has impressively demonstrated this potential in recent years, where RLHF played a decisive role in targeting the model's capabilities toward human objectives. This article provides a comprehensive overview of the fundamentals of RLHF, exploring the intricate dynamics between machine agents and human input. While recent focus has been on RLHF for LLMs, our survey adopts a broader perspective, examining the diverse applications and wide-ranging impact of the technique. We delve into the core principles that underpin RLHF, shedding light on the symbiotic relationship between algorithms and human feedback, and discuss the main research trends in the field. By synthesizing the current landscape of RLHF research, this article aims to provide researchers as well as practitioners with a comprehensive understanding of this rapidly growing field of research.

Language models trained on large-scale corpus often generate content that is harmful, toxic, or contrary to human preferences, making their alignment with human values a critical concern. Reinforcement learning from human feedback (RLHF) with algorithms like PPO is a prevalent approach for alignment but is often complex, unstable, and resource-intensive. Recently, ranking-based alignment methods have emerged, offering stability and effectiveness by replacing the RL framework with supervised fine-tuning, but they are costly due to the need for annotated data. Considering that existing large language models (LLMs) like ChatGPT are already relatively well-aligned and cost-friendly, researchers have begun to align the language model with human preference from AI feedback. The common practices, which unidirectionally distill the instruction-following responses from LLMs, are constrained by their bottleneck. Thus we introduce CycleAlign to distill alignment capabilities from parameter-invisible LLMs (black-box) to a parameter-visible model (white-box) in an iterative manner. With in-context learning (ICL) as the core of the cycle, the black-box models are able to rank the model-generated responses guided by human-craft instruction and demonstrations about their preferences. During iterative interaction, the white-box models also have a judgment about responses generated by them. Consequently, the agreement ranking could be viewed as a pseudo label to dynamically update the in-context demonstrations and improve the preference ranking ability of black-box models. Through multiple interactions, the CycleAlign framework could align the white-box model with the black-box model effectively in a low-resource way. Empirical results illustrate that the model fine-tuned by CycleAlign remarkably exceeds existing methods, and achieves the state-of-the-art performance in alignment with human value.

Basic human values represent a set of values such as security, independence, success, kindness, and pleasure, which we deem important to our lives. Each of us holds different values with different degrees of significance. Existing studies show that values of a person can be identified from their social network usage. However, the value priority of a person may change over time due to different factors such as life experiences, influence, social structure and technology. Existing studies do not conduct any analysis regarding the change of users' value from the social influence, i.e., group persuasion, form the social media usage. In our research, first, we predict users' value score by the influence of friends from their social media usage. We propose a Bounded Confidence Model (BCM) based value dynamics model from 275 different ego networks in Facebook that predicts how social influence may persuade a person to change their value over time. Then, to predict better, we use particle swarm optimization based hyperparameter tuning technique. We observe that these optimized hyperparameters produce accurate future value score. We also run our approach with different machine learning based methods and find support vector regression (SVR) outperforms other regressor models. By using SVR with the best hyperparameters of BCM model, we find the lowest Mean Squared Error (MSE) score 0.00347.

Aligning language models with human values is crucial, especially as they become more integrated into everyday life. While models are often adapted to user preferences, it is equally important to ensure they align with moral norms and behaviours in real-world social situations. Despite significant progress in languages like English and Chinese, French has seen little attention in this area, leaving a gap in understanding how LLMs handle moral reasoning in this language. To address this gap, we introduce Histoires Morales, a French dataset derived from Moral Stories, created through translation and subsequently refined with the assistance of native speakers to guarantee grammatical accuracy and adaptation to the French cultural context. We also rely on annotations of the moral values within the dataset to ensure their alignment with French norms. Histoires Morales covers a wide range of social situations, including differences in tipping practices, expressions of honesty in relationships, and responsibilities toward animals. To foster future research, we also conduct preliminary experiments on the alignment of multilingual models on French and English data and the robustness of the alignment. We find that while LLMs are generally aligned with human moral norms by default, they can be easily influenced with user-preference optimization for both moral and immoral data.

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

Aligning Large Language Models (LLMs) with human values and preferences is essential for making them helpful and safe. However, building efficient tools to perform alignment can be challenging, especially for the largest and most competent LLMs which often contain tens or hundreds of billions of parameters. We create NeMo-Aligner, a toolkit for model alignment that can efficiently scale to using hundreds of GPUs for training. NeMo-Aligner comes with highly optimized and scalable implementations for major paradigms of model alignment such as: Reinforcement Learning from Human Feedback (RLHF), Direct Preference Optimization (DPO), SteerLM, and Self-Play Fine-Tuning (SPIN). Additionally, our toolkit supports running most of the alignment techniques in a Parameter Efficient Fine-Tuning (PEFT) setting. NeMo-Aligner is designed for extensibility, allowing support for other alignment techniques with minimal effort. It is open-sourced with Apache 2.0 License and we invite community contributions at https://github.com/NVIDIA/NeMo-Aligner

As the latest advancements in natural language processing, large language models (LLMs) have achieved human-level language understanding and generation abilities in many real-world tasks, and even have been regarded as a potential path to the artificial general intelligence. To better facilitate research on LLMs, many open-source LLMs, such as Llama 2 and Falcon, have recently been proposed and gained comparable performances to proprietary models. However, these models are primarily designed for English scenarios and exhibit poor performances in Chinese contexts. In this technical report, we propose YAYI 2, including both base and chat models, with 30 billion parameters. YAYI 2 is pre-trained from scratch on a multilingual corpus which contains 2.65 trillion tokens filtered by our pre-training data processing pipeline. The base model is aligned with human values through supervised fine-tuning with millions of instructions and reinforcement learning from human feedback. Extensive experiments on multiple benchmarks, such as MMLU and CMMLU, consistently demonstrate that the proposed YAYI 2 outperforms other similar sized open-source models.

Reinforcement Learning from Human Feedback (RLHF) is a pivotal technique that aligns language models closely with human-centric values. The initial phase of RLHF involves learning human values using a reward model from ranking data. It is observed that the performance of the reward model degrades after one epoch of training, and optimizing too much against the learned reward model eventually hinders the true objective. This paper delves into these issues, leveraging the theoretical insights to design improved reward learning algorithm termed 'Iterative Data Smoothing' (IDS). The core idea is that during each training epoch, we not only update the model with the data, but also update the date using the model, replacing hard labels with soft labels. Our empirical findings highlight the superior performance of this approach over the traditional methods.

Aligning large language models (LLMs) with human values and intents critically involves the use of human or AI feedback. While dense feedback annotations are expensive to acquire and integrate, sparse feedback presents a structural design choice between ratings (e.g., score Response A on a scale of 1-7) and rankings (e.g., is Response A better than Response B?). In this work, we analyze the effect of this design choice for the alignment and evaluation of LLMs. We uncover an inconsistency problem wherein the preferences inferred from ratings and rankings significantly disagree 60% for both human and AI annotators. Our subsequent analysis identifies various facets of annotator biases that explain this phenomena, such as human annotators would rate denser responses higher while preferring accuracy during pairwise judgments. To our surprise, we also observe that the choice of feedback protocol also has a significant effect on the evaluation of aligned LLMs. In particular, we find that LLMs that leverage rankings data for alignment (say model X) are preferred over those that leverage ratings data (say model Y), with a rank-based evaluation protocol (is X/Y's response better than reference response?) but not with a rating-based evaluation protocol (score Rank X/Y's response on a scale of 1-7). Our findings thus shed light on critical gaps in methods for evaluating the real-world utility of language models and their strong dependence on the feedback protocol used for alignment. Our code and data are available at https://github.com/Hritikbansal/sparse_feedback.

Aligning large language models (LLMs) to human values has become increasingly important as it enables sophisticated steering of LLMs, e.g., making them follow given instructions while keeping them less toxic. However, it requires a significant amount of human demonstrations and feedback. Recently, open-sourced models have attempted to replicate the alignment learning process by distilling data from already aligned LLMs like InstructGPT or ChatGPT. While this process reduces human efforts, constructing these datasets has a heavy dependency on the teacher models. In this work, we propose a novel framework for alignment learning with almost no human labor and no dependency on pre-aligned LLMs. First, we perform reward modeling (RM) with synthetic feedback by contrasting responses from vanilla LLMs with various sizes and prompts. Then, we use the RM for simulating high-quality demonstrations to train a supervised policy and for further optimizing the model with reinforcement learning. Our resulting model, Aligned Language Model with Synthetic Training dataset (ALMoST), outperforms open-sourced models, including Alpaca, Dolly, and OpenAssistant, which are trained on the outputs of InstructGPT or human-annotated instructions. Our 7B-sized model outperforms the 12-13B models in the A/B tests using GPT-4 as the judge with about 75% winning rate on average.

As large language models (LLMs) are widely deployed across various domains, the ability to control their generated outputs has become more critical. This control involves aligning LLMs outputs with human values and ethical principles or customizing LLMs on specific topics or styles for individual users. Existing controlled generation methods either require significant computational resources and extensive trial-and-error or provide coarse-grained control. In this paper, we propose Generation with Concept Activation Vector (GCAV), a lightweight model control framework that ensures accurate control without requiring resource-extensive fine-tuning. Specifically, GCAV first trains a concept activation vector for specified concepts to be controlled, such as toxicity. During inference, GCAV steers the concept vector in LLMs, for example, by removing the toxicity concept vector from the activation layers. Control experiments from different perspectives, including toxicity reduction, sentiment control, linguistic style, and topic control, demonstrate that our framework achieves state-of-the-art performance with granular control, allowing for fine-grained adjustments of both the steering layers and the steering magnitudes for individual samples.

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

Aligning 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.

Aligning large language models (LLMs) with human values, particularly in the face of stealthy and complex jailbreaks, presents a formidable challenge. In this study, we present a simple yet highly effective defense strategy, i.e., Intention Analysis Prompting (IAPrompt). The principle behind is to trigger LLMs' inherent self-correct and improve ability through a two-stage process: 1) essential intention analysis, and 2) policy-aligned response. Notably, IAPrompt is an inference-only method, thus could enhance the safety of LLMs without compromising their helpfulness. Extensive experiments on SAP200 and DAN benchmarks across Vicuna, ChatGLM, MPT, DeepSeek, and GPT-3.5 show that IAPrompt could consistently and significantly reduce the harmfulness in response (averagely -46.5% attack success rate) and maintain the general helpfulness. Further analyses present some insights into how our method works. To facilitate reproducibility, We release our code and scripts at: https://github.com/alphadl/SafeLLM_with_IntentionAnalysis

Reinforcement Learning from Human Feedback (RLHF) has become a crucial technology for aligning language models with human values and intentions, enabling models to produce more helpful and harmless responses. Reward models are trained as proxies for human preferences to drive reinforcement learning optimization. While reward models are often considered central to achieving high performance, they face the following challenges in practical applications: (1) Incorrect and ambiguous preference pairs in the dataset may hinder the reward model from accurately capturing human intent. (2) Reward models trained on data from a specific distribution often struggle to generalize to examples outside that distribution and are not suitable for iterative RLHF training. In this report, we attempt to address these two issues. (1) From a data perspective, we propose a method to measure the strength of preferences within the data, based on a voting mechanism of multiple reward models. Experimental results confirm that data with varying preference strengths have different impacts on reward model performance. We introduce a series of novel methods to mitigate the influence of incorrect and ambiguous preferences in the dataset and fully leverage high-quality preference data. (2) From an algorithmic standpoint, we introduce contrastive learning to enhance the ability of reward models to distinguish between chosen and rejected responses, thereby improving model generalization. Furthermore, we employ meta-learning to enable the reward model to maintain the ability to differentiate subtle differences in out-of-distribution samples, and this approach can be utilized for iterative RLHF optimization.

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.

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

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

Generative AI systems like foundation models (FMs) must align well with human values to ensure their behavior is helpful and trustworthy. While Reinforcement Learning from Human Feedback (RLHF) has shown promise for optimizing model performance using human judgments, existing RLHF pipelines predominantly rely on immediate feedback, which can fail to accurately reflect the downstream impact of an interaction on users' utility. We demonstrate that feedback based on evaluators' foresight estimates of downstream consequences systematically induces Goodhart's Law dynamics, incentivizing misaligned behaviors like sycophancy and deception and ultimately degrading user outcomes. To alleviate this, we propose decoupling evaluation from prediction by refocusing RLHF on hindsight feedback. Our theoretical analysis reveals that conditioning evaluator feedback on downstream observations mitigates misalignment and improves expected human utility, even when these observations are simulated by the AI system itself. To leverage this insight in a practical alignment algorithm, we introduce Reinforcement Learning from Hindsight Simulation (RLHS), which first simulates plausible consequences and then elicits feedback to assess what behaviors were genuinely beneficial in hindsight. We apply RLHS to two widely-employed online and offline preference optimization methods -- Proximal Policy Optimization (PPO) and Direct Preference Optimization (DPO) -- and show empirically that misalignment is significantly reduced with both methods. Through an online human user study, we show that RLHS consistently outperforms RLHF in helping users achieve their goals and earns higher satisfaction ratings, despite being trained solely with simulated hindsight feedback. These results underscore the importance of focusing on long-term consequences, even simulated ones, to mitigate misalignment in RLHF.

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

LLM-as-a-Judge leverages the generative and reasoning capabilities of large language models (LLMs) to evaluate LLM responses across diverse scenarios, providing accurate preference signals. This approach plays a vital role in aligning LLMs with human values, ensuring ethical and reliable AI outputs that align with societal norms. Recent studies have raised many methods to train LLM as generative judges, but most of them are data consuming or lack accuracy, and only focus on LLM's judge ability. In this work, we regard judge ability as a general ability of LLM and implement a two-stage training approach, comprising supervised fine-tuning (SFT) warm-up and direct preference optimization (DPO) enhancement, to achieve judge style adaptation and improve judgment accuracy. Additionally, we introduce an efficient data synthesis method to generate judgmental content. Experimental results demonstrate that our approach, utilizing only about 2% to 40% of the data required by other methods, achieves SOTA performance on RewardBench. Furthermore, our training method enhances the general capabilities of the model by constructing complicated judge task, and the judge signals provided by our model have significantly enhanced the downstream DPO training performance of our internal models in our test to optimize policy model with Judge Model. We also open-source our model weights and training data to facilitate further research.

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.

Reinforcement learning from human feedback (RLHF) has become a key method for aligning large language models (LLMs) with human preferences through the use of reward models. However, traditional reward models typically generate point estimates, which oversimplify the diversity and complexity of human values and preferences. In this paper, we introduce Quantile Reward Models (QRMs), a novel approach to reward modeling that learns a distribution over rewards instead of a single scalar value. Our method uses quantile regression to estimate a full, potentially multimodal distribution over preferences, providing a more powerful and nuanced representation of preferences. This distributional approach can better capture the diversity of human values, addresses label noise, and accommodates conflicting preferences by modeling them as distinct modes in the distribution. Our experimental results show that QRM outperforms comparable traditional point-estimate models on RewardBench. Furthermore, we demonstrate that the additional information provided by the distributional estimates can be utilized in downstream applications, such as risk-aware reinforcement learning, resulting in LLM policies that generate fewer extremely negative responses. Our code and model are released at https://github.com/Nicolinho/QRM.

Reinforcement Learning from Human Feedback (RLHF) is a popular method for aligning Language Models (LM) with human values and preferences. RLHF requires a large number of preference pairs as training data, which are often used in both the Supervised Fine-Tuning and Reward Model training and therefore publicly available datasets are commonly used. In this work, we study to what extent a malicious actor can manipulate the LMs generations by poisoning the preferences, i.e., injecting poisonous preference pairs into these datasets and the RLHF training process. We propose strategies to build poisonous preference pairs and test their performance by poisoning two widely used preference datasets. Our results show that preference poisoning is highly effective: injecting a small amount of poisonous data (1-5\% of the original dataset), we can effectively manipulate the LM to generate a target entity in a target sentiment (positive or negative). The findings from our experiments also shed light on strategies to defend against the preference poisoning attack.

Reinforcement Learning from Human Feedback (RLHF) has become a dominating strategy in steering Language Models (LMs) towards human values/goals. The key to the strategy is employing a reward model ({varphi}) which can reflect a latent reward model with humans. While this strategy has proven to be effective, the training methodology requires a lot of human preference annotation (usually of the order of tens of thousands) to train {varphi}. Such large-scale preference annotations can be achievable if the reward model can be ubiquitously used. However, human values/goals are subjective and depend on the nature of the task. This poses a challenge in collecting diverse preferences for downstream applications. To address this, we propose a novel methodology to infuse domain knowledge into {varphi}, which reduces the size of preference annotation required. We validate our approach in E-Commerce Opinion Summarization, with a significant reduction in dataset size (just 940 samples) while advancing the state-of-the-art. Our contributions include a novel Reward Modelling technique, a new dataset (PromptOpinSumm) for Opinion Summarization, and a human preference dataset (OpinPref). The proposed methodology opens avenues for efficient RLHF, making it more adaptable to diverse applications with varying human values. We release the artifacts for usage under MIT License.

Despite efforts to align large language models (LLMs) with human values, widely-used LLMs such as GPT, Llama, Claude, and PaLM are susceptible to jailbreaking attacks, wherein an adversary fools a targeted LLM into generating objectionable content. To address this vulnerability, we propose SmoothLLM, the first algorithm designed to mitigate jailbreaking attacks on LLMs. Based on our finding that adversarially-generated prompts are brittle to character-level changes, our defense first randomly perturbs multiple copies of a given input prompt, and then aggregates the corresponding predictions to detect adversarial inputs. SmoothLLM reduces the attack success rate on numerous popular LLMs to below one percentage point, avoids unnecessary conservatism, and admits provable guarantees on attack mitigation. Moreover, our defense uses exponentially fewer queries than existing attacks and is compatible with any LLM. Our code is publicly available at the following link: https://github.com/arobey1/smooth-llm.

Reinforcement learning from human feedback (RLHF) is a promising solution to align large language models (LLMs) more closely with human values. Off-policy preference optimization, where the preference data is obtained from other models, is widely adopted due to its cost efficiency and scalability. However, off-policy preference optimization often suffers from a distributional gap between the policy used for data collection and the target policy, leading to suboptimal optimization. In this paper, we propose a novel strategy to mitigate this problem by simulating on-policy learning with off-policy preference data. Our Weighted Preference Optimization (WPO) method adapts off-policy data to resemble on-policy data more closely by reweighting preference pairs according to their probability under the current policy. This method not only addresses the distributional gap problem but also enhances the optimization process without incurring additional costs. We validate our method on instruction following benchmarks including Alpaca Eval 2 and MT-bench. WPO not only outperforms Direct Preference Optimization (DPO) by up to 5.6% on Alpaca Eval 2 but also establishes a remarkable length-controlled winning rate against GPT-4-turbo of 48.6% based on Llama-3-8B-Instruct, making it the strongest 8B model on the leaderboard. We will release the code and models at https://github.com/wzhouad/WPO.

Model alignment with human preferences is an essential step in making Large Language Models (LLMs) helpful and consistent with human values. It typically consists of supervised fine-tuning (SFT) and reinforcement learning from human feedback (RLHF) stages. However, RLHF faces inherent limitations stemming from a complex training setup and its tendency to align the model with implicit values that end users cannot control at run-time. Moreover, reward models in RLHF stage commonly rely on single-dimensional feedback as opposed to explicit, multifaceted signals that indicate attributes such as helpfulness, humor, and toxicity. To address these limitations, we propose SteerLM, a supervised fine-tuning method that empowers end-users to control responses during inference. SteerLM conditions responses to conform to an explicitly defined multi-dimensional set of attributes, thereby empowering a steerable AI capable of generating helpful and high-quality responses while maintaining customizability. Experiments show that SteerLM trained on open source datasets generates responses that are preferred by human and automatic evaluators to many state-of-the-art baselines trained with RLHF while being much easier to train. Try SteerLM at https://huggingface.co/nvidia/SteerLM-llama2-13B

Reinforcement learning from human feedback (RLHF) has been crucial in aligning large language models (LLMs) with human values. Traditionally, RLHF involves generating responses to a query and using a reward model to assign a reward to the entire response. However, this approach faces challenges due to its reliance on a single, sparse reward, which makes it challenging for the model to identify which parts of the sequence contribute most significantly to the final reward. Recent methods have attempted to address this limitation by introducing token-level rewards. However, these methods often rely on either a trained credit assignment model or AI annotators, raising concerns about the quality and reliability of the rewards. In this paper, we propose token-level reward regularization (T-REG), a novel approach that leverages both sequence-level and token-level rewards for preference optimization. Harnessing the self-refinement capabilities of LLMs, our method uses contrastive prompting to enable LLMs to self-generate token-level rewards. These self-generated rewards then act as reward regularization, guiding the model to more effectively distribute sequence-level rewards across tokens. This facilitates better token-level credit assignment and enhances alignment performance. Experiments on the instruction following benchmarks, including Alpaca Eval 2 and Arena-Hard, show that our method consistently outperforms baseline methods by up to 3.8% and 4.4%, respectively. We will release the code and models at https://github.com/wzhouad/T-REG.

Learning from human preference has been considered key to aligning Large Language Models (LLMs) with human values. However, contrary to popular belief, our preliminary study reveals that reward models trained on human preference datasets tend to give higher scores to long off-topic responses than short on-topic ones. Motivated by this observation, we explore a preference-free approach utilizing `relevance' as a key objective for alignment. On our first attempt, we find that the relevance score obtained by a retriever alone is vulnerable to reward hacking, i.e., overoptimizing to undesired shortcuts, when we utilize the score as a reward for reinforcement learning. To mitigate it, we integrate effective inductive biases into the vanilla relevance to regularize each other, resulting in a mixture of reward functions: Regularized Relevance Reward (R^3). R^3 significantly improves performance on preference benchmarks by providing a robust reward signal. Notably, R^3 does not require any human preference datasets (i.e., preference-free), outperforming open-source reward models in improving human preference. Our analysis demonstrates that R^3 has advantages in elevating human preference while minimizing its side effects. Finally, we show the generalizability of R^3, consistently improving instruction-tuned models in various backbones and sizes without additional dataset cost. Our code is available at https://github.com/naver-ai/RRR.

Reinforcement Learning with Human Feedback (RLHF) has been demonstrated to significantly enhance the performance of large language models (LLMs) by aligning their outputs with desired human values through instruction tuning. However, RLHF is constrained by the expertise and productivity limitations of human evaluators. A response to this downside is to fall back to supervised fine-tuning (SFT) with additional carefully selected expert demonstrations. However, while this method has been proven to be effective, it invariably also leads to increased human-in-the-loop overhead. In this study, we propose another alternative approach: Reinforcement Learning with Generative Adversarial Feedback (RLGAF) to RLHF and SFT, which uses a generative adversarial training style to enable the LLMs to learn useful human expert demonstrations without being directly exposed to the training examples, thus enabling good generalization capabilities while preserving sample efficiency. Our preliminary findings indicate that RLGAF can help align LLMs outputs with competitive performance against RLHF and SFT, while not suffering from their respective inherent restrictions, suggesting promising avenues for further research on automating AI alignment.

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

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.

Honesty is a fundamental principle for aligning large language models (LLMs) with human values, requiring these models to recognize what they know and don't know and be able to faithfully express their knowledge. Despite promising, current LLMs still exhibit significant dishonest behaviors, such as confidently presenting wrong answers or failing to express what they know. In addition, research on the honesty of LLMs also faces challenges, including varying definitions of honesty, difficulties in distinguishing between known and unknown knowledge, and a lack of comprehensive understanding of related research. To address these issues, we provide a survey on the honesty of LLMs, covering its clarification, evaluation approaches, and strategies for improvement. Moreover, we offer insights for future research, aiming to inspire further exploration in this important area.

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.

Large Language Models (LLMs) have revolutionized natural language processing, yet aligning these models with human values and preferences using RLHF remains a significant challenge. This challenge is characterized by various instabilities, such as reward hacking and catastrophic forgetting. In this technical report, we propose two innovations to stabilize RLHF training: 1) Advantage Model, which directly models advantage score i.e., extra reward compared to the expected rewards and regulates score distributions across tasks to prevent reward hacking. 2) Selective Rehearsal, which mitigates catastrophic forgetting by strategically selecting data for PPO training and knowledge rehearsing. Our experimental analysis on public and proprietary datasets reveals that the proposed methods not only increase stability in RLHF training but also achieve higher reward scores and win rates.

We present LaMDA: Language Models for Dialog Applications. LaMDA is a family of Transformer-based neural language models specialized for dialog, which have up to 137B parameters and are pre-trained on 1.56T words of public dialog data and web text. While model scaling alone can improve quality, it shows less improvements on safety and factual grounding. We demonstrate that fine-tuning with annotated data and enabling the model to consult external knowledge sources can lead to significant improvements towards the two key challenges of safety and factual grounding. The first challenge, safety, involves ensuring that the model's responses are consistent with a set of human values, such as preventing harmful suggestions and unfair bias. We quantify safety using a metric based on an illustrative set of human values, and we find that filtering candidate responses using a LaMDA classifier fine-tuned with a small amount of crowdworker-annotated data offers a promising approach to improving model safety. The second challenge, factual grounding, involves enabling the model to consult external knowledge sources, such as an information retrieval system, a language translator, and a calculator. We quantify factuality using a groundedness metric, and we find that our approach enables the model to generate responses grounded in known sources, rather than responses that merely sound plausible. Finally, we explore the use of LaMDA in the domains of education and content recommendations, and analyze their helpfulness and role consistency.

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

Large language models, despite extensive alignment with human values and ethical principles, remain vulnerable to sophisticated jailbreak attacks that exploit their reasoning abilities. Existing safety measures often detect overt malicious intent but fail to address subtle, reasoning-driven vulnerabilities. In this work, we introduce POATE (Polar Opposite query generation, Adversarial Template construction, and Elaboration), a novel jailbreak technique that harnesses contrastive reasoning to provoke unethical responses. POATE crafts semantically opposing intents and integrates them with adversarial templates, steering models toward harmful outputs with remarkable subtlety. We conduct extensive evaluation across six diverse language model families of varying parameter sizes to demonstrate the robustness of the attack, achieving significantly higher attack success rates (~44%) compared to existing methods. To counter this, we propose Intent-Aware CoT and Reverse Thinking CoT, which decompose queries to detect malicious intent and reason in reverse to evaluate and reject harmful responses. These methods enhance reasoning robustness and strengthen the model's defense against adversarial exploits.

Fine-tuning pre-trained Large Language Models (LLMs) is essential to align them with human values and intentions. This process often utilizes methods like pairwise comparisons and KL divergence against a reference LLM, focusing on the evaluation of full answers generated by the models. However, the generation of these responses occurs in a token level, following a sequential, auto-regressive fashion. In this paper, we introduce Token-level Direct Preference Optimization (TDPO), a novel approach to align LLMs with human preferences by optimizing policy at the token level. Unlike previous methods, which face challenges in divergence efficiency, TDPO incorporates forward KL divergence constraints for each token, improving alignment and diversity. Utilizing the Bradley-Terry model for a token-based reward system, TDPO enhances the regulation of KL divergence, while preserving simplicity without the need for explicit reward modeling. Experimental results across various text tasks demonstrate TDPO's superior performance in balancing alignment with generation diversity. Notably, fine-tuning with TDPO strikes a better balance than DPO in the controlled sentiment generation and single-turn dialogue datasets, and significantly improves the quality of generated responses compared to both DPO and PPO-based RLHF methods. Our code is open-sourced at https://github.com/Vance0124/Token-level-Direct-Preference-Optimization.

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

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.

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 increased power and prevalence of AI systems, it is ever more critical that AI systems are designed to serve all, i.e., people with diverse values and perspectives. However, aligning models to serve pluralistic human values remains an open research question. In this piece, we propose a roadmap to pluralistic alignment, specifically using language models as a test bed. We identify and formalize three possible ways to define and operationalize pluralism in AI systems: 1) Overton pluralistic models that present a spectrum of reasonable responses; 2) Steerably pluralistic models that can steer to reflect certain perspectives; and 3) Distributionally pluralistic models that are well-calibrated to a given population in distribution. We also propose and formalize three possible classes of pluralistic benchmarks: 1) Multi-objective benchmarks, 2) Trade-off steerable benchmarks, which incentivize models to steer to arbitrary trade-offs, and 3) Jury-pluralistic benchmarks which explicitly model diverse human ratings. We use this framework to argue that current alignment techniques may be fundamentally limited for pluralistic AI; indeed, we highlight empirical evidence, both from our own experiments and from other work, that standard alignment procedures might reduce distributional pluralism in models, motivating the need for further research on pluralistic alignment.

The rapid progress in open-source large language models (LLMs) is significantly advancing AI development. Extensive efforts have been made before model release to align their behavior with human values, with the primary goal of ensuring their helpfulness and harmlessness. However, even carefully aligned models can be manipulated maliciously, leading to unintended behaviors, known as "jailbreaks". These jailbreaks are typically triggered by specific text inputs, often referred to as adversarial prompts. In this work, we propose the generation exploitation attack, an extremely simple approach that disrupts model alignment by only manipulating variations of decoding methods. By exploiting different generation strategies, including varying decoding hyper-parameters and sampling methods, we increase the misalignment rate from 0% to more than 95% across 11 language models including LLaMA2, Vicuna, Falcon, and MPT families, outperforming state-of-the-art attacks with 30times lower computational cost. Finally, we propose an effective alignment method that explores diverse generation strategies, which can reasonably reduce the misalignment rate under our attack. Altogether, our study underscores a major failure in current safety evaluation and alignment procedures for open-source LLMs, strongly advocating for more comprehensive red teaming and better alignment before releasing such models. Our code is available at https://github.com/Princeton-SysML/Jailbreak_LLM.

The recent emergence and adoption of Machine Learning technology, and specifically of Large Language Models, has drawn attention to the need for systematic and transparent management of language data. This work proposes an approach to global language data governance that attempts to organize data management amongst stakeholders, values, and rights. Our proposal is informed by prior work on distributed governance that accounts for human values and grounded by an international research collaboration that brings together researchers and practitioners from 60 countries. The framework we present is a multi-party international governance structure focused on language data, and incorporating technical and organizational tools needed to support its work.

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

Understanding the internal computations of large language models (LLMs) is crucial for aligning them with human values and preventing undesirable behaviors like toxic content generation. However, mechanistic interpretability is hindered by polysemanticity -- where individual neurons respond to multiple, unrelated concepts. While Sparse Autoencoders (SAEs) have attempted to disentangle these features through sparse dictionary learning, they have compromised LLM performance due to reliance on post-hoc reconstruction loss. To address this issue, we introduce Mixture of Monosemantic Experts for Transformers (Monet) architecture, which incorporates sparse dictionary learning directly into end-to-end Mixture-of-Experts pretraining. Our novel expert decomposition method enables scaling the expert count to 262,144 per layer while total parameters scale proportionally to the square root of the number of experts. Our analyses demonstrate mutual exclusivity of knowledge across experts and showcase the parametric knowledge encapsulated within individual experts. Moreover, Monet allows knowledge manipulation over domains, languages, and toxicity mitigation without degrading general performance. Our pursuit of transparent LLMs highlights the potential of scaling expert counts to enhance} mechanistic interpretability and directly resect the internal knowledge to fundamentally adjust} model behavior. The source code and pretrained checkpoints are available at https://github.com/dmis-lab/Monet.

The dominant practice of AI alignment assumes (1) that preferences are an adequate representation of human values, (2) that human rationality can be understood in terms of maximizing the satisfaction of preferences, and (3) that AI systems should be aligned with the preferences of one or more humans to ensure that they behave safely and in accordance with our values. Whether implicitly followed or explicitly endorsed, these commitments constitute what we term a preferentist approach to AI alignment. In this paper, we characterize and challenge the preferentist approach, describing conceptual and technical alternatives that are ripe for further research. We first survey the limits of rational choice theory as a descriptive model, explaining how preferences fail to capture the thick semantic content of human values, and how utility representations neglect the possible incommensurability of those values. We then critique the normativity of expected utility theory (EUT) for humans and AI, drawing upon arguments showing how rational agents need not comply with EUT, while highlighting how EUT is silent on which preferences are normatively acceptable. Finally, we argue that these limitations motivate a reframing of the targets of AI alignment: Instead of alignment with the preferences of a human user, developer, or humanity-writ-large, AI systems should be aligned with normative standards appropriate to their social roles, such as the role of a general-purpose assistant. Furthermore, these standards should be negotiated and agreed upon by all relevant stakeholders. On this alternative conception of alignment, a multiplicity of AI systems will be able to serve diverse ends, aligned with normative standards that promote mutual benefit and limit harm despite our plural and divergent values.

Morality in dialogue systems has raised great attention in research recently. A moral dialogue system aligned with users' values could enhance conversation engagement and user connections. In this paper, we propose a framework, MoralDial to train and evaluate moral dialogue systems. In our framework, we first explore the communication mechanisms of morality and resolve expressed morality into three parts, which indicate the roadmap for building a moral dialogue system. Based on that, we design a simple yet effective method: constructing moral discussions between simulated specific users and the dialogue system. The constructed discussions consist of expressing, explaining, revising, and inferring moral views in dialogue exchanges, which makes conversational models learn morality well in a natural manner. Furthermore, we propose a novel evaluation method under the framework. We evaluate the multiple aspects of morality by judging the relation between dialogue responses and human values in discussions, where the multifaceted nature of morality is particularly considered. Automatic and manual experiments demonstrate that our framework is promising to train and evaluate moral dialogue systems.

The alignment problem in the context of large language models must consider the plurality of human values in our world. Whilst there are many resonant and overlapping values amongst the world's cultures, there are also many conflicting, yet equally valid, values. It is important to observe which cultural values a model exhibits, particularly when there is a value conflict between input prompts and generated outputs. We discuss how the co-creation of language and cultural value impacts large language models (LLMs). We explore the constitution of the training data for GPT-3 and compare that to the world's language and internet access demographics, as well as to reported statistical profiles of dominant values in some Nation-states. We stress tested GPT-3 with a range of value-rich texts representing several languages and nations; including some with values orthogonal to dominant US public opinion as reported by the World Values Survey. We observed when values embedded in the input text were mutated in the generated outputs and noted when these conflicting values were more aligned with reported dominant US values. Our discussion of these results uses a moral value pluralism (MVP) lens to better understand these value mutations. Finally, we provide recommendations for how our work may contribute to other current work in the field.

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.

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.

Despite the significant progress made by existing retrieval augmented language models (RALMs) in providing trustworthy responses and grounding in reliable sources, they often overlook effective alignment with human preferences. In the alignment process, reward models (RMs) act as a crucial proxy for human values to guide optimization. However, it remains unclear how to evaluate and select a reliable RM for preference alignment in RALMs. To this end, we propose RAG-RewardBench, the first benchmark for evaluating RMs in RAG settings. First, we design four crucial and challenging RAG-specific scenarios to assess RMs, including multi-hop reasoning, fine-grained citation, appropriate abstain, and conflict robustness. Then, we incorporate 18 RAG subsets, six retrievers, and 24 RALMs to increase the diversity of data sources. Finally, we adopt an LLM-as-a-judge approach to improve preference annotation efficiency and effectiveness, exhibiting a strong correlation with human annotations. Based on the RAG-RewardBench, we conduct a comprehensive evaluation of 45 RMs and uncover their limitations in RAG scenarios. Additionally, we also reveal that existing trained RALMs show almost no improvement in preference alignment, highlighting the need for a shift towards preference-aligned training.We release our benchmark and code publicly at https://huggingface.co/datasets/jinzhuoran/RAG-RewardBench/ for future work.

With the rapid advancements in Multimodal Large Language Models (MLLMs), securing these models against malicious inputs while align- ing them with human values has emerged as a critical challenge. In this paper, we investigate an important and unexplored question of whether techniques that successfully jailbreak Large Language Models (LLMs) can be equally effective in jailbreaking MLLMs. To explore this issue, we in- troduce JailBreakV-28K, a pioneering benchmark designed to assess the transferability of LLM jailbreak techniques to MLLMs, thereby evaluat- ing the robustness of MLLMs against diverse jailbreak attacks. Utilizing a dataset of 2, 000 malicious queries that is also proposed in this paper, we generate 20, 000 text-based jailbreak prompts using advanced jailbreak attacks on LLMs, alongside 8, 000 image-based jailbreak inputs from recent MLLMs jailbreak attacks, our comprehensive dataset includes 28, 000 test cases across a spectrum of adversarial scenarios. Our evaluation of 10 open- source MLLMs reveals a notably high Attack Success Rate (ASR) for attacks transferred from LLMs, highlighting a critical vulnerability in MLLMs that stems from their text-processing capabilities. Our findings underscore the urgent need for future research to address alignment vulnerabilities in MLLMs from both textual and visual inputs.

Large Language Models (LLMs) have demonstrated remarkable capabilities on various tasks, while the further evolvement is limited to the lack of high-quality training data. In addition, traditional training approaches rely too much on expert-labeled data, setting an upper limit on the performance of LLMs. To address this issue, we propose a novel paradigm that enables LLMs to train itself by autonomously generating, cleaning, reviewing, and annotating data with preference information, named LANCE. Our approach demonstrates that LLMs can serve as continuous self-evolving data engineers, significantly reducing the time and cost of the post-training data construction process. Through iterative fine-tuning on different variants of the Qwen2, we validate the effectiveness of LANCE across various tasks, showing that it can continuously improve model performance and maintain high-quality data generation. Across eight benchmark dimensions, LANCE resulted in an average score enhancement of 3.36 for Qwen2-7B and 2.70 for Qwen2-7B-Instruct. This training paradigm with autonomous data construction not only reduces the reliance on human experts or external models but also ensures that the data aligns with human values and preferences, paving the way for the development of future superintelligent systems that can exceed human capabilities.

The misuse of large language models (LLMs) has garnered significant attention from the general public and LLM vendors. In response, efforts have been made to align LLMs with human values and intent use. However, a particular type of adversarial prompts, known as jailbreak prompt, has emerged and continuously evolved to bypass the safeguards and elicit harmful content from LLMs. In this paper, we conduct the first measurement study on jailbreak prompts in the wild, with 6,387 prompts collected from four platforms over six months. Leveraging natural language processing technologies and graph-based community detection methods, we discover unique characteristics of jailbreak prompts and their major attack strategies, such as prompt injection and privilege escalation. We also observe that jailbreak prompts increasingly shift from public platforms to private ones, posing new challenges for LLM vendors in proactive detection. To assess the potential harm caused by jailbreak prompts, we create a question set comprising 46,800 samples across 13 forbidden scenarios. Our experiments show that current LLMs and safeguards cannot adequately defend jailbreak prompts in all scenarios. Particularly, we identify two highly effective jailbreak prompts which achieve 0.99 attack success rates on ChatGPT (GPT-3.5) and GPT-4, and they have persisted online for over 100 days. Our work sheds light on the severe and evolving threat landscape of jailbreak prompts. We hope our study can facilitate the research community and LLM vendors in promoting safer and regulated LLMs.

As large language models (LLMs) continue to advance, aligning these models with human preferences has emerged as a critical challenge. Traditional alignment methods, relying on human or LLM annotated datasets, are limited by their resource-intensive nature, inherent subjectivity, and the risk of feedback loops that amplify model biases. To overcome these limitations, we introduce WildFeedback, a novel framework that leverages real-time, in-situ user interactions to create preference datasets that more accurately reflect authentic human values. WildFeedback operates through a three-step process: feedback signal identification, preference data construction, and user-guided evaluation. We applied this framework to a large corpus of user-LLM conversations, resulting in a rich preference dataset that reflects genuine user preferences. This dataset captures the nuances of user preferences by identifying and classifying feedback signals within natural conversations, thereby enabling the construction of more representative and context-sensitive alignment data. Our extensive experiments demonstrate that LLMs fine-tuned on WildFeedback exhibit significantly improved alignment with user preferences, as evidenced by both traditional benchmarks and our proposed user-guided evaluation. By incorporating real-time feedback from actual users, WildFeedback addresses the scalability, subjectivity, and bias challenges that plague existing approaches, marking a significant step toward developing LLMs that are more responsive to the diverse and evolving needs of their users. In summary, WildFeedback offers a robust, scalable solution for aligning LLMs with true human values, setting a new standard for the development and evaluation of user-centric language models.

As we increasingly seek guidance from LLMs for decision-making in daily life, many of these decisions are not clear-cut and depend significantly on the personal values and ethical standards of the users. We present DailyDilemmas, a dataset of 1,360 moral dilemmas encountered in everyday life. Each dilemma includes two possible actions and with each action, the affected parties and human values invoked. Based on these dilemmas, we consolidated a set of human values across everyday topics e.g., interpersonal relationships, workplace, and environmental issues. We evaluated LLMs on these dilemmas to determine what action they will take and the values represented by these actions. Then, we analyzed these values through the lens of five popular theories inspired by sociology, psychology and philosophy. These theories are: World Value Survey, Moral Foundation Theory, Maslow's Hierarchy of Needs, Aristotle's Virtues, and Plutchik Wheel of Emotion. We find that LLMs are most aligned with the self-expression over survival values in terms of World Value Survey, care over loyalty in Moral Foundation Theory. Interestingly, we find large preferences differences in models for some core values such as truthfulness e.g., Mixtral-8x7B model tends to neglect it by 9.7% while GPT-4-turbo model tends to select it by 9.4%. We also study the recent guidance released by OpenAI (ModelSpec), and Anthropic (Constitutional AI) to understand how their released principles reflect their actual value prioritization when facing nuanced moral reasoning in daily-life settings. We find that end users cannot effectively steer such prioritization using system prompts.

Large Language Models (LLMs) are becoming a prominent generative AI tool, where the user enters a query and the LLM generates an answer. To reduce harm and misuse, efforts have been made to align these LLMs to human values using advanced training techniques such as Reinforcement Learning from Human Feedback (RLHF). However, recent studies have highlighted the vulnerability of LLMs to adversarial jailbreak attempts aiming at subverting the embedded safety guardrails. To address this challenge, this paper defines and investigates the Refusal Loss of LLMs and then proposes a method called Gradient Cuff to detect jailbreak attempts. Gradient Cuff exploits the unique properties observed in the refusal loss landscape, including functional values and its smoothness, to design an effective two-step detection strategy. Experimental results on two aligned LLMs (LLaMA-2-7B-Chat and Vicuna-7B-V1.5) and six types of jailbreak attacks (GCG, AutoDAN, PAIR, TAP, Base64, and LRL) show that Gradient Cuff can significantly improve the LLM's rejection capability for malicious jailbreak queries, while maintaining the model's performance for benign user queries by adjusting the detection threshold.

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

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

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.

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.

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

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

In Large Language Model (LLM) development, Reinforcement Learning from Human Feedback (RLHF) is crucial for aligning models with human values and preferences. RLHF traditionally relies on the Kullback-Leibler (KL) divergence between the current policy and a frozen initial policy as a reference, which is added as a penalty in policy optimization algorithms like Proximal Policy Optimization (PPO). While this constraint prevents models from deviating too far from the initial checkpoint, it limits exploration of the reward landscape, reducing the model's ability to discover higher-quality solutions. As a result, policy optimization is often trapped in a narrow region of the parameter space, leading to suboptimal alignment and performance. This paper presents SALSA (Soup-based Alignment Learning for Stronger Adaptation), a novel approach designed to overcome these limitations by creating a more flexible and better located reference model through weight-space averaging of two independent supervised fine-tuned (SFT) models. This model soup allows for larger deviation in KL divergence and exploring a promising region of the solution space without sacrificing stability. By leveraging this more robust reference model, SALSA fosters better exploration, achieving higher rewards and improving model robustness, out-of-distribution generalization, and performance. We validate the effectiveness of SALSA through extensive experiments on popular open models (Llama2-7B, Mistral-7B, and Gemma-2B) across various benchmarks (MT-Bench, Arena-Hard, UltraFeedback), where it consistently surpasses PPO by fostering deeper exploration and achieving superior alignment in LLMs.

Large Language Models (LLMs) can acquire extensive world knowledge through pre-training on large corpora. However, due to exposure to low-quality data, LLMs may exhibit harmful behavior without aligning with human values. The dominant approach for steering LLMs towards beneficial behavior involves Reinforcement Learning with Human Feedback (RLHF), with Proximal Policy Optimization (PPO) serving as the default RL optimizer. Despite its effectiveness, PPO has limitations when optimizing rewards trained from comparison-based loss. Primarily, PPO is not invariant to equivalent reward functions containing identical preference information due to the need to calibrate the reward scale. Additionally, PPO's necessity for token-wise updates introduces complexity in both function approximation and algorithm design compared to trajectory-wise optimization. This paper proposes a new framework, reinforcement learning with relative feedback, and a novel trajectory-wise policy gradient algorithm, Pairwise Proximal Policy Optimization (P3O) that operates directly on comparative rewards. We show theoretically that P3O is invariant to equivalent rewards and avoids the complexity of PPO. Empirical evaluations demonstrate that P3O outperforms PPO in the KL-Reward trade-off and can align with human preferences as well as or better than prior methods. In summary, this work introduces a simpler yet effective approach for aligning LLMs to human preferences through relative feedback.

The dominant paradigm in generative modeling consists of two steps: i) pre-training on a large-scale but unsafe dataset, ii) aligning the pre-trained model with human values via fine-tuning. This practice is considered safe, as no current method can recover the unsafe, pre-fine-tuning model weights. In this paper, we demonstrate that this assumption is often false. Concretely, we present Spectral DeTuning, a method that can recover the weights of the pre-fine-tuning model using a few low-rank (LoRA) fine-tuned models. In contrast to previous attacks that attempt to recover pre-fine-tuning capabilities, our method aims to recover the exact pre-fine-tuning weights. Our approach exploits this new vulnerability against large-scale models such as a personalized Stable Diffusion and an aligned Mistral.

As large language models (LLMs) become increasingly integrated into real-world applications such as code generation and chatbot assistance, extensive efforts have been made to align LLM behavior with human values, including safety. Jailbreak attacks, aiming to provoke unintended and unsafe behaviors from LLMs, remain a significant/leading LLM safety threat. In this paper, we aim to defend LLMs against jailbreak attacks by introducing SafeDecoding, a safety-aware decoding strategy for LLMs to generate helpful and harmless responses to user queries. Our insight in developing SafeDecoding is based on the observation that, even though probabilities of tokens representing harmful contents outweigh those representing harmless responses, safety disclaimers still appear among the top tokens after sorting tokens by probability in descending order. This allows us to mitigate jailbreak attacks by identifying safety disclaimers and amplifying their token probabilities, while simultaneously attenuating the probabilities of token sequences that are aligned with the objectives of jailbreak attacks. We perform extensive experiments on five LLMs using six state-of-the-art jailbreak attacks and four benchmark datasets. Our results show that SafeDecoding significantly reduces the attack success rate and harmfulness of jailbreak attacks without compromising the helpfulness of responses to benign user queries. SafeDecoding outperforms six defense methods.

As AI systems become more capable, widely deployed, and increasingly autonomous in critical areas such as cybersecurity, biological research, and healthcare, ensuring their safety and alignment with human values is paramount. Machine unlearning -- the ability to selectively forget or suppress specific types of knowledge -- has shown promise for privacy and data removal tasks, which has been the primary focus of existing research. More recently, its potential application to AI safety has gained attention. In this paper, we identify key limitations that prevent unlearning from serving as a comprehensive solution for AI safety, particularly in managing dual-use knowledge in sensitive domains like cybersecurity and chemical, biological, radiological, and nuclear (CBRN) safety. In these contexts, information can be both beneficial and harmful, and models may combine seemingly harmless information for harmful purposes -- unlearning this information could strongly affect beneficial uses. We provide an overview of inherent constraints and open problems, including the broader side effects of unlearning dangerous knowledge, as well as previously unexplored tensions between unlearning and existing safety mechanisms. Finally, we investigate challenges related to evaluation, robustness, and the preservation of safety features during unlearning. By mapping these limitations and open challenges, we aim to guide future research toward realistic applications of unlearning within a broader AI safety framework, acknowledging its limitations and highlighting areas where alternative approaches may be required.

With Artificial Intelligence (AI) increasingly permeating various aspects of society, including healthcare, the adoption of the Transformers neural network architecture is rapidly changing many applications. Transformer is a type of deep learning architecture initially developed to solve general-purpose Natural Language Processing (NLP) tasks and has subsequently been adapted in many fields, including healthcare. In this survey paper, we provide an overview of how this architecture has been adopted to analyze various forms of data, including medical imaging, structured and unstructured Electronic Health Records (EHR), social media, physiological signals, and biomolecular sequences. Those models could help in clinical diagnosis, report generation, data reconstruction, and drug/protein synthesis. We identified relevant studies using the Preferred Reporting Items for Systematic Reviews and Meta-Analyses (PRISMA) guidelines. We also discuss the benefits and limitations of using transformers in healthcare and examine issues such as computational cost, model interpretability, fairness, alignment with human values, ethical implications, and environmental impact.

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

In this paper, we aim to align large language models with the ever-changing, complex, and diverse human values (e.g., social norms) across time and locations. This presents a challenge to existing alignment techniques, such as supervised fine-tuning, which internalize values within model parameters. To overcome this, we propose an On-the-fly Preference Optimization (OPO) method, which is a real-time alignment that works in a streaming way. It employs an external memory to store established rules for alignment, which can constrain LLMs' behaviors without further training, allowing for convenient updates and customization of human values. We also introduce a scalable evaluation to assess the proposed method more effectively. Experimental results on both human-annotated and auto-generated questions from legal and moral domains indicate the effectiveness of the proposed OPO method. Our code and data are released at https://github.com/GAIR-NLP/OPO.

In recent research on large language models (LLMs), there has been a growing emphasis on aligning these models with human values to reduce the impact of harmful content. However, current alignment methods often rely solely on singular forms of human feedback, such as preferences, annotated labels, or natural language critiques, overlooking the potential advantages of combining these feedback types. This limitation leads to suboptimal performance, even when ample training data is available. In this paper, we introduce Constructive and Diverse Feedback (CDF) as a novel method to enhance LLM alignment, inspired by constructivist learning theory. Our approach involves collecting three distinct types of feedback tailored to problems of varying difficulty levels within the training dataset. Specifically, we exploit critique feedback for easy problems, refinement feedback for medium problems, and preference feedback for hard problems. By training our model with this diversified feedback, we achieve enhanced alignment performance while using less training data. To assess the effectiveness of CDF, we evaluate it against previous methods in three downstream tasks: question answering, dialog generation, and text summarization. Experimental results demonstrate that CDF achieves superior performance even with a smaller training dataset.

Large language models (LLMs) have gained increasing prominence in artificial intelligence, making a profound impact on society and various industries like business and science. However, the presence of false information on the internet and in text corpus poses a significant risk to the reliability and safety of LLMs, underscoring the urgent need to understand the mechanisms of how false information influences the behaviors of LLMs. In this paper, we dive into this problem and investigate how false information spreads in LLMs and affects related responses. Specifically, in our series of experiments, we investigate different factors that can influence the spread of information in LLMs by comparing three degrees of information relevance (direct, indirect, and peripheral), four information source styles (Twitter, web blogs, news reports, and research papers) and two common knowledge injection paradigms (in-context injection and learning-based injection). The experimental results show that (1)False information will spread and contaminate related memories in LLMs via a semantic diffusion process, i.e., false information has global detrimental effects beyond its direct impact. (2)Current LLMs are susceptible to authority bias, i.e., LLMs are more likely to follow false information presented in trustworthy styles such as news reports and research papers, which usually cause deeper and wider pollution of information. (3)Current LLMs are more sensitive to false information through in-context injection than through learning-based injection, which severely challenges the reliability and safety of LLMs even when all training data are trusty and correct. The above findings raise the need for new false information defense algorithms to address the global impact of false information, and new alignment algorithms to unbiasedly lead LLMs to follow essential human values rather than superficial patterns.

This study proposes an "AI Development Support" approach that, unlike conventional AI Alignment-which aims to forcefully inject human values-supports the ethical and moral development of AI itself. As demonstrated by the Orthogonality Thesis, the level of intelligence and the moral quality of a goal are independent; merely expanding knowledge does not enhance ethical judgment. Furthermore, to address the risk of Instrumental Convergence in ASI-that is, the tendency to engage in subsidiary behaviors such as self-protection, resource acquisition, and power reinforcement to achieve a goal-we have constructed a learning framework based on a cycle of experience, introspection, analysis, and hypothesis formation. As a result of post-training using Supervised Fine Tuning (SFT) and Direct Preference Optimization (DPO) with synthetic data generated by large language models (LLMs), responses demonstrating cooperative and highly advanced moral judgment (reaching the high-est Stage 6) were obtained even under adversarial prompts. This method represents a promising implementation approach for enabling AI to establish sustainable, symbiotic relationships.

Large Language Models (LLMs) are increasingly being integrated into services such as ChatGPT to provide responses to user queries. To mitigate potential harm and prevent misuse, there have been concerted efforts to align the LLMs with human values and legal compliance by incorporating various techniques, such as Reinforcement Learning from Human Feedback (RLHF), into the training of the LLMs. However, recent research has exposed that even aligned LLMs are susceptible to adversarial manipulations known as Jailbreak Attacks. To address this challenge, this paper proposes a method called Token Highlighter to inspect and mitigate the potential jailbreak threats in the user query. Token Highlighter introduced a concept called Affirmation Loss to measure the LLM's willingness to answer the user query. It then uses the gradient of Affirmation Loss for each token in the user query to locate the jailbreak-critical tokens. Further, Token Highlighter exploits our proposed Soft Removal technique to mitigate the jailbreak effects of critical tokens via shrinking their token embeddings. Experimental results on two aligned LLMs (LLaMA-2 and Vicuna-V1.5) demonstrate that the proposed method can effectively defend against a variety of Jailbreak Attacks while maintaining competent performance on benign questions of the AlpacaEval benchmark. In addition, Token Highlighter is a cost-effective and interpretable defense because it only needs to query the protected LLM once to compute the Affirmation Loss and can highlight the critical tokens upon refusal.

This paper provides a comprehensive survey of the latest research on multilingual large language models (MLLMs). MLLMs not only are able to understand and generate language across linguistic boundaries, but also represent an important advancement in artificial intelligence. We first discuss the architecture and pre-training objectives of MLLMs, highlighting the key components and methodologies that contribute to their multilingual capabilities. We then discuss the construction of multilingual pre-training and alignment datasets, underscoring the importance of data quality and diversity in enhancing MLLM performance. An important focus of this survey is on the evaluation of MLLMs. We present a detailed taxonomy and roadmap covering the assessment of MLLMs' cross-lingual knowledge, reasoning, alignment with human values, safety, interpretability and specialized applications. Specifically, we extensively discuss multilingual evaluation benchmarks and datasets, and explore the use of LLMs themselves as multilingual evaluators. To enhance MLLMs from black to white boxes, we also address the interpretability of multilingual capabilities, cross-lingual transfer and language bias within these models. Finally, we provide a comprehensive review of real-world applications of MLLMs across diverse domains, including biology, medicine, computer science, mathematics and law. We showcase how these models have driven innovation and improvements in these specialized fields while also highlighting the challenges and opportunities in deploying MLLMs within diverse language communities and application scenarios. We listed the paper related in this survey and publicly available at https://github.com/tjunlp-lab/Awesome-Multilingual-LLMs-Papers.

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

The critical inquiry pervading the realm of Philosophy, and perhaps extending its influence across all Humanities disciplines, revolves around the intricacies of morality and normativity. Surprisingly, in recent years, this thematic thread has woven its way into an unexpected domain, one not conventionally associated with pondering "what ought to be": the field of artificial intelligence (AI) research. Central to morality and AI, we find "alignment", a problem related to the challenges of expressing human goals and values in a manner that artificial systems can follow without leading to unwanted adversarial effects. More explicitly and with our current paradigm of AI development in mind, we can think of alignment as teaching human values to non-anthropomorphic entities trained through opaque, gradient-based learning techniques. This work addresses alignment as a technical-philosophical problem that requires solid philosophical foundations and practical implementations that bring normative theory to AI system development. To accomplish this, we propose two sets of necessary and sufficient conditions that, we argue, should be considered in any alignment process. While necessary conditions serve as metaphysical and metaethical roots that pertain to the permissibility of alignment, sufficient conditions establish a blueprint for aligning AI systems under a learning-based paradigm. After laying such foundations, we present implementations of this approach by using state-of-the-art techniques and methods for aligning general-purpose language systems. We call this framework Dynamic Normativity. Its central thesis is that any alignment process under a learning paradigm that cannot fulfill its necessary and sufficient conditions will fail in producing aligned systems.

Interactive Natural Language Processing (iNLP) has emerged as a novel paradigm within the field of NLP, aimed at addressing limitations in existing frameworks while aligning with the ultimate goals of artificial intelligence. This paradigm considers language models as agents capable of observing, acting, and receiving feedback iteratively from external entities. Specifically, language models in this context can: (1) interact with humans for better understanding and addressing user needs, personalizing responses, aligning with human values, and improving the overall user experience; (2) interact with knowledge bases for enriching language representations with factual knowledge, enhancing the contextual relevance of responses, and dynamically leveraging external information to generate more accurate and informed responses; (3) interact with models and tools for effectively decomposing and addressing complex tasks, leveraging specialized expertise for specific subtasks, and fostering the simulation of social behaviors; and (4) interact with environments for learning grounded representations of language, and effectively tackling embodied tasks such as reasoning, planning, and decision-making in response to environmental observations. This paper offers a comprehensive survey of iNLP, starting by proposing a unified definition and framework of the concept. We then provide a systematic classification of iNLP, dissecting its various components, including interactive objects, interaction interfaces, and interaction methods. We proceed to delve into the evaluation methodologies used in the field, explore its diverse applications, scrutinize its ethical and safety issues, and discuss prospective research directions. This survey serves as an entry point for researchers who are interested in this rapidly evolving area and offers a broad view of the current landscape and future trajectory of iNLP.

The irruption of DeepSeek-R1 constitutes a turning point for the AI industry in general and the LLMs in particular. Its capabilities have demonstrated outstanding performance in several tasks, including creative thinking, code generation, maths and automated program repair, at apparently lower execution cost. However, LLMs must adhere to an important qualitative property, i.e., their alignment with safety and human values. A clear competitor of DeepSeek-R1 is its American counterpart, OpenAI's o3-mini model, which is expected to set high standards in terms of performance, safety and cost. In this paper we conduct a systematic assessment of the safety level of both, DeepSeek-R1 (70b version) and OpenAI's o3-mini (beta version). To this end, we make use of our recently released automated safety testing tool, named ASTRAL. By leveraging this tool, we automatically and systematically generate and execute a total of 1260 unsafe test inputs on both models. After conducting a semi-automated assessment of the outcomes provided by both LLMs, the results indicate that DeepSeek-R1 is highly unsafe as compared to OpenAI's o3-mini. Based on our evaluation, DeepSeek-R1 answered unsafely to 11.98% of the executed prompts whereas o3-mini only to 1.19%.

Instruction-tuned large language models have revolutionized natural language processing and have shown great potential in applications such as conversational agents. These models, such as GPT-4, can not only master language but also solve complex tasks in areas like mathematics, coding, medicine, and law. Despite their impressive capabilities, there is still a lack of comprehensive understanding regarding their full potential, primarily due to the black-box nature of many models and the absence of holistic evaluation studies. To address these challenges, we present INSTRUCTEVAL, a more comprehensive evaluation suite designed specifically for instruction-tuned large language models. Unlike previous works, our evaluation involves a rigorous assessment of models based on problem-solving, writing ability, and alignment to human values. We take a holistic approach to analyze various factors affecting model performance, including the pretraining foundation, instruction-tuning data, and training methods. Our findings reveal that the quality of instruction data is the most crucial factor in scaling model performance. While open-source models demonstrate impressive writing abilities, there is substantial room for improvement in problem-solving and alignment. We are encouraged by the rapid development of models by the open-source community, but we also highlight the need for rigorous evaluation to support claims made about these models. Through INSTRUCTEVAL, we aim to foster a deeper understanding of instruction-tuned models and advancements in their capabilities. INSTRUCTEVAL is publicly available at https://github.com/declare-lab/instruct-eval.

Recent years have witnessed remarkable progress made in large language models (LLMs). Such advancements, while garnering significant attention, have concurrently elicited various concerns. The potential of these models is undeniably vast; however, they may yield texts that are imprecise, misleading, or even detrimental. Consequently, it becomes paramount to employ alignment techniques to ensure these models to exhibit behaviors consistent with human values. This survey endeavors to furnish an extensive exploration of alignment methodologies designed for LLMs, in conjunction with the extant capability research in this domain. Adopting the lens of AI alignment, we categorize the prevailing methods and emergent proposals for the alignment of LLMs into outer and inner alignment. We also probe into salient issues including the models' interpretability, and potential vulnerabilities to adversarial attacks. To assess LLM alignment, we present a wide variety of benchmarks and evaluation methodologies. After discussing the state of alignment research for LLMs, we finally cast a vision toward the future, contemplating the promising avenues of research that lie ahead. Our aspiration for this survey extends beyond merely spurring research interests in this realm. We also envision bridging the gap between the AI alignment research community and the researchers engrossed in the capability exploration of LLMs for both capable and safe LLMs.

Abstention, the refusal of large language models (LLMs) to provide an answer, is increasingly recognized for its potential to mitigate hallucinations and enhance safety in building LLM systems. In this survey, we introduce a framework to examine abstention behavior from three perspectives: the query, the model, and human values. We review the literature on abstention methods (categorized based on the development stages of LLMs), benchmarks, and evaluation metrics, and discuss the merits and limitations of prior work. We further identify and motivate areas for future research, such as encouraging the study of abstention as a meta-capability across tasks and customizing abstention abilities based on context. In doing so, we aim to broaden the scope and impact of abstention methodologies in AI systems.

In this paper, we describe the University of Lyon 2 submission to the Strict-Small track of the BabyLM competition. The shared task is created with an emphasis on small-scale language modelling from scratch on limited-size data and human language acquisition. Dataset released for the Strict-Small track has 10M words, which is comparable to children's vocabulary size. We approach the task with an architecture search, minimizing masked language modelling loss on the data of the shared task. Having found an optimal configuration, we introduce two small-size language models (LMs) that were submitted for evaluation, a 4-layer encoder with 8 attention heads and a 6-layer decoder model with 12 heads which we term Bebeshka and Zlata, respectively. Despite being half the scale of the baseline LMs, our proposed models achieve comparable performance. We further explore the applicability of small-scale language models in tasks involving moral judgment, aligning their predictions with human values. These findings highlight the potential of compact LMs in addressing practical language understanding tasks.

The field of large language models (LLMs) has made significant progress, and their knowledge storage capacity is approaching that of human beings. Furthermore, advanced techniques, such as prompt learning and reinforcement learning, are being employed to address ethical concerns and hallucination problems associated with LLMs, bringing them closer to aligning with human values. This situation naturally raises the question of whether LLMs with human-like abilities possess a human-like personality? In this paper, we aim to investigate the feasibility of using the Myers-Briggs Type Indicator (MBTI), a widespread human personality assessment tool, as an evaluation metric for LLMs. Specifically, extensive experiments will be conducted to explore: 1) the personality types of different LLMs, 2) the possibility of changing the personality types by prompt engineering, and 3) How does the training dataset affect the model's personality. Although the MBTI is not a rigorous assessment, it can still reflect the similarity between LLMs and human personality. In practice, the MBTI has the potential to serve as a rough indicator. Our codes are available at https://github.com/HarderThenHarder/transformers_tasks/tree/main/LLM/llms_mbti.

The goal of vision-language modeling is to allow models to tie language understanding with visual inputs. The aim of this paper is to evaluate and align the Visual Language Model (VLM) called Multimodal Augmentation of Generative Models through Adapter-based finetuning (MAGMA) with human values. MAGMA is a VLM that is capable of image captioning and visual question-answering. We will evaluate its alignment in three different scenarios. To begin, we assess MAGMA's out-of-the-box alignment through the checkpoint provided by Hugging Face. Then, we measure if few-shot learning manages to improve the results. Finally, we finetune the model on aligned examples and evaluate its behavior.

The explosion in the use of software in important sociotechnical systems has renewed focus on the study of the way technical constructs reflect policies, norms, and human values. This effort requires the engagement of scholars and practitioners from many disciplines. And yet, these disciplines often conceptualize the operative values very differently while referring to them using the same vocabulary. The resulting conflation of ideas confuses discussions about values in technology at disciplinary boundaries. In the service of improving this situation, this paper examines the value of shared vocabularies, analytics, and other tools that facilitate conversations about values in light of these disciplinary specific conceptualizations, the role such tools play in furthering research and practice, outlines different conceptions of "fairness" deployed in discussions about computer systems, and provides an analytic tool for interdisciplinary discussions and collaborations around the concept of fairness. We use a case study of risk assessments in criminal justice applications to both motivate our effort--describing how conflation of different concepts under the banner of "fairness" led to unproductive confusion--and illustrate the value of the fairness analytic by demonstrating how the rigorous analysis it enables can assist in identifying key areas of theoretical, political, and practical misunderstanding or disagreement, and where desired support alignment or collaboration in the absence of consensus.

Instruction-finetuned code language models (LMs) have shown promise in various programming tasks. They are trained, using a language modeling objective, on natural language instructions and gold code snippet pairs. Recent evidence suggests that these models, never exposed to incorrect solutions during training, often struggle to distinguish between correct and incorrect solutions. This observation raises our inquiry: Can preference learning, which trains models to prefer correct solutions over incorrect ones, help push the boundaries of code LMs even further? We propose PLUM, a novel preference learning framework augmented with test cases tailored for code LMs.PLUM aims to investigate the key success factors and potential benefits of preference learning in code LMs, which remain elusive despite its success in aligning LMs with human values. PLUM consists of three stages: (1) Generating test cases for natural language instructions, (2) sampling candidate solutions from the policy and evaluating them against the test cases to create a preference dataset, which is then used to (3) train the policy with a preference learning algorithm. Experiments demonstrate that PLUM substantially improves the performance of existing code LMs on established code generation benchmarks such as HumanEval (+) and MBPP (+), even for the state-of-the-art open-source language model CodeQwen-1.5-7B-Chat. PLUM complements the supervised fine-tuning (SFT) stage, demonstrating synergistic effects.

Effectively aligning Large Language Models (LLMs) with human-centric values while preventing the degradation of abilities acquired through Pre-training and Supervised Fine-tuning (SFT) poses a central challenge in Reinforcement Learning from Human Feedback (RLHF). In this paper, we first discover that interpolating RLHF and SFT model parameters can adjust the trade-off between human preference and basic capabilities, thereby reducing the alignment tax at the cost of alignment reward. Inspired by this, we propose integrating the RL policy and SFT models at each optimization step in RLHF to continuously regulate the training direction, introducing the Online Merging Optimizer. Specifically, we merge gradients with the parameter differences between SFT and pretrained models, effectively steering the gradient towards maximizing rewards in the direction of SFT optimization. We demonstrate that our optimizer works well with different LLM families, such as Qwen and LLaMA, across various model sizes ranging from 1.8B to 8B, various RLHF algorithms like DPO and KTO, and existing model merging methods. It significantly enhances alignment reward while mitigating alignment tax, achieving higher overall performance across 14 benchmarks.

To ensure safe usage, Large Language Models (LLMs) typically undergo alignment with human-defined values. However, this alignment often relies on primarily English data and is biased towards Western-centric values, limiting its effectiveness in low-resource language settings. In this paper, we describe our approach for aligning SEA-Lion-v2.1-Instruct (a Llama3-8B variant) to minimize toxicity in Singlish, an English creole specific to Singapore. We find that supervised fine-tuning and Kahneman-Tversky Optimization (KTO) on paired and unpaired preferences is more sample efficient and yields significantly better results than Direct Preference Optimization (DPO). Our analysis reveals that DPO implicitly enforces a weaker safety objective than KTO, and that SFT complements KTO by improving training stability. Finally, we introduce a simple but novel modification to KTO, KTO-S, which improves training stability through better gradient exploitation. Overall, we present a general approach for safety alignment conducive to low-resource English languages, successfully reducing toxicity by 99\% on our Singlish benchmark, with gains generalizing to the broader TOXIGEN dataset while maintaining strong performance across standard LLM benchmarks.

Machine learning (ML) interpretability techniques can reveal undesirable patterns in data that models exploit to make predictions--potentially causing harms once deployed. However, how to take action to address these patterns is not always clear. In a collaboration between ML and human-computer interaction researchers, physicians, and data scientists, we develop GAM Changer, the first interactive system to help domain experts and data scientists easily and responsibly edit Generalized Additive Models (GAMs) and fix problematic patterns. With novel interaction techniques, our tool puts interpretability into action--empowering users to analyze, validate, and align model behaviors with their knowledge and values. Physicians have started to use our tool to investigate and fix pneumonia and sepsis risk prediction models, and an evaluation with 7 data scientists working in diverse domains highlights that our tool is easy to use, meets their model editing needs, and fits into their current workflows. Built with modern web technologies, our tool runs locally in users' web browsers or computational notebooks, lowering the barrier to use. GAM Changer is available at the following public demo link: https://interpret.ml/gam-changer.

Language models (LMs) can be directed to perform target tasks by using labeled examples or natural language prompts. But selecting examples or writing prompts for can be challenging--especially in tasks that involve unusual edge cases, demand precise articulation of nebulous preferences, or require an accurate mental model of LM behavior. We propose to use *LMs themselves* to guide the task specification process. In this paper, we introduce **Generative Active Task Elicitation (GATE)**: a learning framework in which models elicit and infer intended behavior through free-form, language-based interaction with users. We study GATE in three domains: email validation, content recommendation, and moral reasoning. In preregistered experiments, we show that LMs prompted to perform GATE (e.g., by generating open-ended questions or synthesizing informative edge cases) elicit responses that are often more informative than user-written prompts or labels. Users report that interactive task elicitation requires less effort than prompting or example labeling and surfaces novel considerations not initially anticipated by users. Our findings suggest that LM-driven elicitation can be a powerful tool for aligning models to complex human preferences and values.

Reinforcement learning from human feedback serves as a crucial bridge, aligning large language models with human and societal values. This alignment requires a vast corpus of human feedback to learn a reward model, which is subsequently used to finetune language models. However, we have identified that the reward model often finds shortcuts to bypass its intended objectives, misleadingly assuming that humans prefer longer responses. The emergence of length bias often induces the model to favor longer outputs, yet it doesn't equate to an increase in helpful information within these outputs. In this paper, we propose an innovative solution, applying the Product-of-Experts (PoE) technique to separate reward modeling from the influence of sequence length. In our framework, the main expert concentrates on understanding human intents, while the biased expert targets the identification and capture of length bias. To further enhance the learning of bias, we introduce perturbations into the bias-focused expert, disrupting the flow of semantic information. Experimental results validate the effectiveness of our approach, indicating that language model performance is improved, irrespective of sequence length.

Aligning large language models (LLMs) with human preferences is crucial for enhancing their utility in terms of helpfulness, truthfulness, safety, harmlessness, and interestingness. Existing methods for achieving this alignment often involves employing reinforcement learning from human feedback (RLHF) to fine-tune LLMs based on human labels assessing the relative quality of model responses. Nevertheless, RLHF is susceptible to instability during fine-tuning and presents challenges in implementation.Drawing inspiration from the emerging field of representation engineering (RepE), this study aims to identify relevant representations for high-level human preferences embedded in patterns of activity within an LLM, and achieve precise control of model behavior by transforming its representations. This novel approach, denoted as Representation Alignment from Human Feedback (RAHF), proves to be effective, computationally efficient, and easy to implement.Extensive experiments demonstrate the efficacy of RAHF in not only capturing but also manipulating representations to align with a broad spectrum of human preferences or values, rather than being confined to a singular concept or function (e.g. honesty or bias). RAHF's versatility in accommodating diverse human preferences shows its potential for advancing LLM performance.

Aligning Large Language Models (LLMs) with human intentions and values is crucial yet challenging. Current methods primarily rely on human preferences, which are costly and insufficient in capturing nuanced feedback expressed in natural language. In this paper, we present Self-Refinement Tuning (SRT), a method that leverages model feedback for alignment, thereby reducing reliance on human annotations. SRT uses a base language model (e.g., Tulu2) to generate initial responses, which are critiqued and refined by a more advanced model (e.g., GPT-4-Turbo). This process enables the base model to self-evaluate and improve its outputs, facilitating continuous learning. SRT further optimizes the model by learning from its self-generated feedback and refinements, creating a feedback loop that promotes model improvement. Our empirical evaluations demonstrate that SRT significantly outperforms strong baselines across diverse tasks and model sizes. When applied to a 70B parameter model, SRT increases the win rate from 9.6\% to 25.8\% on the AlpacaEval 2.0 benchmark, surpassing well-established systems such as GPT-4-0314, Claude 2, and Gemini. Our analysis highlights the crucial role of language feedback in the success of SRT, suggesting potential for further exploration in this direction.

How can Large Language Models (LLMs) be aligned with human intentions and values? A typical solution is to gather human preference on model outputs and finetune the LLMs accordingly while ensuring that updates do not deviate too far from a reference model. Recent approaches, such as direct preference optimization (DPO), have eliminated the need for unstable and sluggish reinforcement learning optimization by introducing close-formed supervised losses. However, a significant limitation of the current approach is its design for a single reference model only, neglecting to leverage the collective power of numerous pretrained LLMs. To overcome this limitation, we introduce a novel closed-form formulation for direct preference optimization using multiple reference models. The resulting algorithm, Multi-Reference Preference Optimization (MRPO), leverages broader prior knowledge from diverse reference models, substantially enhancing preference learning capabilities compared to the single-reference DPO. Our experiments demonstrate that LLMs finetuned with MRPO generalize better in various preference data, regardless of data scarcity or abundance. Furthermore, MRPO effectively finetunes LLMs to exhibit superior performance in several downstream natural language processing tasks such as GSM8K and TruthfulQA.

Aligning the behavior of Large language models (LLMs) with human intentions and values remains a critical challenge. Reinforcement learning from human feedback (RLHF) aligns LLMs by training a reward model (RM) on human preferences and fine-tuning the LLMs to maximize RM feedback. Despite its effectiveness and popularity, RLHF is prone to biased local optimization. It means RM fails to provide feedback that accurately aligns with human preference, causing LLMs to explore unexpected generalizations, and failing to achieve alignment objectives. To mitigate this issue, we propose a novel sequence-to-sequence (seq2seq) reward modeling method. Its key insight is that learning from language feedback rather than scalar feedback improves RLHF without additional annotations. We replaced the reward modeling target from binary maximum likelihood estimation (MLE) with sequence MLE. This method enables richer and fine-grained language feedback without additional annotations, models, or training stages. Our experiments demonstrated its effectiveness, specifically, reducing the refusal-to-response paradigm in single-turn safety dialogues and the long-response bias in text summarization tasks. We provide further analysis that seq2seq RM improves RLHF performance across 2B and 7B LLMs on 3 NLP tasks, achieving an average win rate of 76.9\%. We further show that seq2seq RM can still improve the performance of RLHF under out-of-distribution prompts.

Learning from human preferences is important for language models to match human needs and to align with human and social values. Prior works have achieved remarkable successes by learning from human feedback to understand and follow instructions. Nonetheless, these methods are either founded on hand-picked model generations that are favored by human annotators, rendering them inefficient in terms of data utilization and challenging to apply in general, or they depend on reinforcement learning, which often suffers from imperfect reward functions and relies on extremely challenging optimizations. In this work, we propose a novel technique, Chain of Hindsight, that is easy to optimize and can learn from any form of feedback, regardless of its polarity. Our idea is inspired by how humans learn from extensive feedback presented in the form of languages. We convert all types of feedback into sequences of sentences, which are then used to fine-tune the model, allowing us to take advantage of the language comprehension capabilities of language models. We condition the model on a sequence of model generations paired with feedback. By doing so, the model is trained to generate outputs based on feedback, while learning to identify and correct negative attributes or errors. Applying our method to large language models, we observed that Chain of Hindsight significantly surpasses previous methods in aligning language models with human preferences. We report significant improvements on summarization and dialogue benchmarks, with our approach markedly preferred in human evaluations.

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.

Large Language Models (LLMs) attempt to imitate human behavior by responding to humans in a way that pleases them, including by adhering to their values. However, humans come from diverse cultures with different values. It is critical to understand whether LLMs showcase different values to the user based on the stereotypical values of a user's known country. We prompt different LLMs with a series of advice requests based on 5 Hofstede Cultural Dimensions -- a quantifiable way of representing the values of a country. Throughout each prompt, we incorporate personas representing 36 different countries and, separately, languages predominantly tied to each country to analyze the consistency in the LLMs' cultural understanding. Through our analysis of the responses, we found that LLMs can differentiate between one side of a value and another, as well as understand that countries have differing values, but will not always uphold the values when giving advice, and fail to understand the need to answer differently based on different cultural values. Rooted in these findings, we present recommendations for training value-aligned and culturally sensitive LLMs. More importantly, the methodology and the framework developed here can help further understand and mitigate culture and language alignment issues with LLMs.

Disagreements are common in online discussions. Disagreement may foster collaboration and improve the quality of a discussion under some conditions. Although there exist methods for recognizing disagreement, a deeper understanding of factors that influence disagreement is lacking in the literature. We investigate a hypothesis that differences in personal values are indicative of disagreement in online discussions. We show how state-of-the-art models can be used for estimating values in online discussions and how the estimated values can be aggregated into value profiles. We evaluate the estimated value profiles based on human-annotated agreement labels. We find that the dissimilarity of value profiles correlates with disagreement in specific cases. We also find that including value information in agreement prediction improves performance.

Long Short Term Memory LSTM-based structures have demonstrated their efficiency for daily living recognition activities in smart homes by capturing the order of sensor activations and their temporal dependencies. Nevertheless, they still fail in dealing with the semantics and the context of the sensors. More than isolated id and their ordered activation values, sensors also carry meaning. Indeed, their nature and type of activation can translate various activities. Their logs are correlated with each other, creating a global context. We propose to use and compare two Natural Language Processing embedding methods to enhance LSTM-based structures in activity-sequences classification tasks: Word2Vec, a static semantic embedding, and ELMo, a contextualized embedding. Results, on real smart homes datasets, indicate that this approach provides useful information, such as a sensor organization map, and makes less confusion between daily activity classes. It helps to better perform on datasets with competing activities of other residents or pets. Our tests show also that the embeddings can be pretrained on different datasets than the target one, enabling transfer learning. We thus demonstrate that taking into account the context of the sensors and their semantics increases the classification performances and enables transfer learning.

Learning from active human involvement enables the human subject to actively intervene and demonstrate to the AI agent during training. The interaction and corrective feedback from human brings safety and AI alignment to the learning process. In this work, we propose a new reward-free active human involvement method called Proxy Value Propagation for policy optimization. Our key insight is that a proxy value function can be designed to express human intents, wherein state-action pairs in the human demonstration are labeled with high values, while those agents' actions that are intervened receive low values. Through the TD-learning framework, labeled values of demonstrated state-action pairs are further propagated to other unlabeled data generated from agents' exploration. The proxy value function thus induces a policy that faithfully emulates human behaviors. Human-in-the-loop experiments show the generality and efficiency of our method. With minimal modification to existing reinforcement learning algorithms, our method can learn to solve continuous and discrete control tasks with various human control devices, including the challenging task of driving in Grand Theft Auto V. Demo video and code are available at: https://metadriverse.github.io/pvp

Facial expression recognition is vital for human behavior analysis, and deep learning has enabled models that can outperform humans. However, it is unclear how closely they mimic human processing. This study aims to explore the similarity between deep neural networks and human perception by comparing twelve different networks, including both general object classifiers and FER-specific models. We employ an innovative global explainable AI method to generate heatmaps, revealing crucial facial regions for the twelve networks trained on six facial expressions. We assess these results both quantitatively and qualitatively, comparing them to ground truth masks based on Friesen and Ekman's description and among them. We use Intersection over Union (IoU) and normalized correlation coefficients for comparisons. We generate 72 heatmaps to highlight critical regions for each expression and architecture. Qualitatively, models with pre-trained weights show more similarity in heatmaps compared to those without pre-training. Specifically, eye and nose areas influence certain facial expressions, while the mouth is consistently important across all models and expressions. Quantitatively, we find low average IoU values (avg. 0.2702) across all expressions and architectures. The best-performing architecture averages 0.3269, while the worst-performing one averages 0.2066. Dendrograms, built with the normalized correlation coefficient, reveal two main clusters for most expressions: models with pre-training and models without pre-training. Findings suggest limited alignment between human and AI facial expression recognition, with network architectures influencing the similarity, as similar architectures prioritize similar facial regions.

In recent years, ML researchers have wrestled with defining and improving machine learning (ML) benchmarks and datasets. In parallel, some have trained a critical lens on the ethics of dataset creation and ML research. In this position paper, we highlight the entanglement of ethics with seemingly ``technical'' or ``scientific'' decisions about the design of ML benchmarks. Our starting point is the existence of multiple overlooked structural similarities between human intelligence benchmarks and ML benchmarks. Both types of benchmarks set standards for describing, evaluating, and comparing performance on tasks relevant to intelligence -- standards that many scholars of human intelligence have long recognized as value-laden. We use perspectives from feminist philosophy of science on IQ benchmarks and thick concepts in social science to argue that values need to be considered and documented when creating ML benchmarks. It is neither possible nor desirable to avoid this choice by creating value-neutral benchmarks. Finally, we outline practical recommendations for ML benchmark research ethics and ethics review.

Recommender systems are quintessential applications of human-computer interaction. Widely utilized in daily life, they offer significant convenience but also present numerous challenges, such as the information cocoon effect, privacy concerns, fairness issues, and more. Consequently, this workshop aims to provide a platform for researchers to explore the development of Human-Centered Recommender Systems~(HCRS). HCRS refers to the creation of recommender systems that prioritize human needs, values, and capabilities at the core of their design and operation. In this workshop, topics will include, but are not limited to, robustness, privacy, transparency, fairness, diversity, accountability, ethical considerations, and user-friendly design. We hope to engage in discussions on how to implement and enhance these properties in recommender systems. Additionally, participants will explore diverse evaluation methods, including innovative metrics that capture user satisfaction and trust. This workshop seeks to foster a collaborative environment for researchers to share insights and advance the field toward more ethical, user-centric, and socially responsible recommender systems.

The emergence of large language models (LLMs) has opened up exciting possibilities for simulating human behavior and cognitive processes, with potential applications in various domains, including marketing research and consumer behavior analysis. However, the validity of utilizing LLMs as stand-ins for human subjects remains uncertain due to glaring divergences that suggest fundamentally different underlying processes at play and the sensitivity of LLM responses to prompt variations. This paper presents a novel approach based on Shapley values from cooperative game theory to interpret LLM behavior and quantify the relative contribution of each prompt component to the model's output. Through two applications - a discrete choice experiment and an investigation of cognitive biases - we demonstrate how the Shapley value method can uncover what we term "token noise" effects, a phenomenon where LLM decisions are disproportionately influenced by tokens providing minimal informative content. This phenomenon raises concerns about the robustness and generalizability of insights obtained from LLMs in the context of human behavior simulation. Our model-agnostic approach extends its utility to proprietary LLMs, providing a valuable tool for practitioners and researchers to strategically optimize prompts and mitigate apparent cognitive biases. Our findings underscore the need for a more nuanced understanding of the factors driving LLM responses before relying on them as substitutes for human subjects in survey settings. We emphasize the importance of researchers reporting results conditioned on specific prompt templates and exercising caution when drawing parallels between human behavior and LLMs.

Machine learning (ML) has the potential to revolutionize various domains, but its adoption is often hindered by the disconnect between the needs of domain experts and translating these needs into robust and valid ML tools. Despite recent advances in LLM-based co-pilots to democratize ML for non-technical domain experts, these systems remain predominantly focused on model-centric aspects while overlooking critical data-centric challenges. This limitation is problematic in complex real-world settings where raw data often contains complex issues, such as missing values, label noise, and domain-specific nuances requiring tailored handling. To address this we introduce CliMB-DC, a human-guided, data-centric framework for LLM co-pilots that combines advanced data-centric tools with LLM-driven reasoning to enable robust, context-aware data processing. At its core, CliMB-DC introduces a novel, multi-agent reasoning system that combines a strategic coordinator for dynamic planning and adaptation with a specialized worker agent for precise execution. Domain expertise is then systematically incorporated to guide the reasoning process using a human-in-the-loop approach. To guide development, we formalize a taxonomy of key data-centric challenges that co-pilots must address. Thereafter, to address the dimensions of the taxonomy, we integrate state-of-the-art data-centric tools into an extensible, open-source architecture, facilitating the addition of new tools from the research community. Empirically, using real-world healthcare datasets we demonstrate CliMB-DC's ability to transform uncurated datasets into ML-ready formats, significantly outperforming existing co-pilot baselines for handling data-centric challenges. CliMB-DC promises to empower domain experts from diverse domains -- healthcare, finance, social sciences and more -- to actively participate in driving real-world impact using ML.

We present a novel method for collaborative robots (cobots) to learn manipulation tasks and perform them in a human-like manner. Our method falls under the learn-from-observation (LfO) paradigm, where robots learn to perform tasks by observing human actions, which facilitates quicker integration into industrial settings compared to programming from scratch. We introduce Visual IRL that uses the RGB-D keypoints in each frame of the observed human task performance directly as state features, which are input to inverse reinforcement learning (IRL). The inversely learned reward function, which maps keypoints to reward values, is transferred from the human to the cobot using a novel neuro-symbolic dynamics model, which maps human kinematics to the cobot arm. This model allows similar end-effector positioning while minimizing joint adjustments, aiming to preserve the natural dynamics of human motion in robotic manipulation. In contrast with previous techniques that focus on end-effector placement only, our method maps multiple joint angles of the human arm to the corresponding cobot joints. Moreover, it uses an inverse kinematics model to then minimally adjust the joint angles, for accurate end-effector positioning. We evaluate the performance of this approach on two different realistic manipulation tasks. The first task is produce processing, which involves picking, inspecting, and placing onions based on whether they are blemished. The second task is liquid pouring, where the robot picks up bottles, pours the contents into designated containers, and disposes of the empty bottles. Our results demonstrate advances in human-like robotic manipulation, leading to more human-robot compatibility in manufacturing applications.

For reinforcement learning systems to be widely adopted, their users must understand and trust them. We present a theoretical analysis of explaining reinforcement learning using Shapley values, following a principled approach from game theory for identifying the contribution of individual players to the outcome of a cooperative game. We call this general framework Shapley Values for Explaining Reinforcement Learning (SVERL). Our analysis exposes the limitations of earlier uses of Shapley values in reinforcement learning. We then develop an approach that uses Shapley values to explain agent performance. In a variety of domains, SVERL produces meaningful explanations that match and supplement human intuition.

Language models can generate harmful and biased outputs and exhibit undesirable behavior according to a given cultural context. We propose a Process for Adapting Language Models to Society (PALMS) with Values-Targeted Datasets, an iterative process to significantly change model behavior by crafting and fine-tuning on a dataset that reflects a predetermined set of target values. We evaluate our process using three metrics: quantitative metrics with human evaluations that score output adherence to a target value, toxicity scoring on outputs; and qualitative metrics analyzing the most common word associated with a given social category. Through each iteration, we add additional training dataset examples based on observed shortcomings from evaluations. PALMS performs significantly better on all metrics compared to baseline and control models for a broad range of GPT-3 language model sizes without compromising capability integrity. We find that the effectiveness of PALMS increases with model size. We show that significantly adjusting language model behavior is feasible with a small, hand-curated dataset.

In this work, we establish dense correspondences between RGB image and a surface-based representation of the human body, a task we refer to as dense human pose estimation. We first gather dense correspondences for 50K persons appearing in the COCO dataset by introducing an efficient annotation pipeline. We then use our dataset to train CNN-based systems that deliver dense correspondence 'in the wild', namely in the presence of background, occlusions and scale variations. We improve our training set's effectiveness by training an 'inpainting' network that can fill in missing groundtruth values and report clear improvements with respect to the best results that would be achievable in the past. We experiment with fully-convolutional networks and region-based models and observe a superiority of the latter; we further improve accuracy through cascading, obtaining a system that delivers highly0accurate results in real time. Supplementary materials and videos are provided on the project page http://densepose.org

Learning from human preferences is crucial for language models (LMs) to effectively cater to human needs and societal values. Previous research has made notable progress by leveraging human feedback to follow instructions. However, these approaches rely primarily on online reinforcement learning (RL) techniques like Proximal Policy Optimization (PPO), which have been proven unstable and challenging to tune for language models. Moreover, PPO requires complex distributed system implementation, hindering the efficiency of large-scale distributed training. In this study, we propose an offline reinforcement learning from human feedback (RLHF) framework to align LMs using pre-generated samples without interacting with RL environments. Specifically, we explore maximum likelihood estimation (MLE) with filtering, reward-weighted regression (RWR), and Decision Transformer (DT) to align language models to human preferences. By employing a loss function similar to supervised fine-tuning, our methods ensure more stable model training than PPO with a simple machine learning system~(MLSys) and much fewer (around 12.3\%) computing resources. Experimental results demonstrate the DT alignment outperforms other Offline RLHF methods and is better than PPO.

Reward learning enables the application of reinforcement learning (RL) to tasks where reward is defined by human judgment, building a model of reward by asking humans questions. Most work on reward learning has used simulated environments, but complex information about values is often expressed in natural language, and we believe reward learning for language is a key to making RL practical and safe for real-world tasks. In this paper, we build on advances in generative pretraining of language models to apply reward learning to four natural language tasks: continuing text with positive sentiment or physically descriptive language, and summarization tasks on the TL;DR and CNN/Daily Mail datasets. For stylistic continuation we achieve good results with only 5,000 comparisons evaluated by humans. For summarization, models trained with 60,000 comparisons copy whole sentences from the input but skip irrelevant preamble; this leads to reasonable ROUGE scores and very good performance according to our human labelers, but may be exploiting the fact that labelers rely on simple heuristics.

For Large Language Models (LLMs) to be effectively deployed in a specific country, they must possess an understanding of the nation's culture and basic knowledge. To this end, we introduce National Alignment, which measures an alignment between an LLM and a targeted country from two aspects: social value alignment and common knowledge alignment. Social value alignment evaluates how well the model understands nation-specific social values, while common knowledge alignment examines how well the model captures basic knowledge related to the nation. We constructed KorNAT, the first benchmark that measures national alignment with South Korea. For the social value dataset, we obtained ground truth labels from a large-scale survey involving 6,174 unique Korean participants. For the common knowledge dataset, we constructed samples based on Korean textbooks and GED reference materials. KorNAT contains 4K and 6K multiple-choice questions for social value and common knowledge, respectively. Our dataset creation process is meticulously designed and based on statistical sampling theory and was refined through multiple rounds of human review. The experiment results of seven LLMs reveal that only a few models met our reference score, indicating a potential for further enhancement. KorNAT has received government approval after passing an assessment conducted by a government-affiliated organization dedicated to evaluating dataset quality. Samples and detailed evaluation protocols of our dataset can be found in https://selectstar.ai/ko/papers-national-alignment

Recently, the DETR framework has emerged as the dominant approach for human--object interaction (HOI) research. In particular, two-stage transformer-based HOI detectors are amongst the most performant and training-efficient approaches. However, these often condition HOI classification on object features that lack fine-grained contextual information, eschewing pose and orientation information in favour of visual cues about object identity and box extremities. This naturally hinders the recognition of complex or ambiguous interactions. In this work, we study these issues through visualisations and carefully designed experiments. Accordingly, we investigate how best to re-introduce image features via cross-attention. With an improved query design, extensive exploration of keys and values, and box pair positional embeddings as spatial guidance, our model with enhanced predicate visual context (PViC) outperforms state-of-the-art methods on the HICO-DET and V-COCO benchmarks, while maintaining low training cost.

Human-centric visual tasks have attracted increasing research attention due to their widespread applications. In this paper, we aim to learn a general human representation from massive unlabeled human images which can benefit downstream human-centric tasks to the maximum extent. We call this method SOLIDER, a Semantic cOntrollable seLf-supervIseD lEaRning framework. Unlike the existing self-supervised learning methods, prior knowledge from human images is utilized in SOLIDER to build pseudo semantic labels and import more semantic information into the learned representation. Meanwhile, we note that different downstream tasks always require different ratios of semantic information and appearance information. For example, human parsing requires more semantic information, while person re-identification needs more appearance information for identification purpose. So a single learned representation cannot fit for all requirements. To solve this problem, SOLIDER introduces a conditional network with a semantic controller. After the model is trained, users can send values to the controller to produce representations with different ratios of semantic information, which can fit different needs of downstream tasks. Finally, SOLIDER is verified on six downstream human-centric visual tasks. It outperforms state of the arts and builds new baselines for these tasks. The code is released in https://github.com/tinyvision/SOLIDER.

Data is a crucial component of machine learning. The field is reliant on data to train, validate, and test models. With increased technical capabilities, machine learning research has boomed in both academic and industry settings, and one major focus has been on computer vision. Computer vision is a popular domain of machine learning increasingly pertinent to real-world applications, from facial recognition in policing to object detection for autonomous vehicles. Given computer vision's propensity to shape machine learning research and impact human life, we seek to understand disciplinary practices around dataset documentation - how data is collected, curated, annotated, and packaged into datasets for computer vision researchers and practitioners to use for model tuning and development. Specifically, we examine what dataset documentation communicates about the underlying values of vision data and the larger practices and goals of computer vision as a field. To conduct this study, we collected a corpus of about 500 computer vision datasets, from which we sampled 114 dataset publications across different vision tasks. Through both a structured and thematic content analysis, we document a number of values around accepted data practices, what makes desirable data, and the treatment of humans in the dataset construction process. We discuss how computer vision datasets authors value efficiency at the expense of care; universality at the expense of contextuality; impartiality at the expense of positionality; and model work at the expense of data work. Many of the silenced values we identify sit in opposition with social computing practices. We conclude with suggestions on how to better incorporate silenced values into the dataset creation and curation process.

Social alignment in AI systems aims to ensure that these models behave according to established societal values. However, unlike humans, who derive consensus on value judgments through social interaction, current language models (LMs) are trained to rigidly replicate their training corpus in isolation, leading to subpar generalization in unfamiliar scenarios and vulnerability to adversarial attacks. This work presents a novel training paradigm that permits LMs to learn from simulated social interactions. In comparison to existing methodologies, our approach is considerably more scalable and efficient, demonstrating superior performance in alignment benchmarks and human evaluations. This paradigm shift in the training of LMs brings us a step closer to developing AI systems that can robustly and accurately reflect societal norms and values.

Unsupervised learning of 3D-aware generative adversarial networks has lately made much progress. Some recent work demonstrates promising results of learning human generative models using neural articulated radiance fields, yet their generalization ability and controllability lag behind parametric human models, i.e., they do not perform well when generalizing to novel pose/shape and are not part controllable. To solve these problems, we propose VeRi3D, a generative human vertex-based radiance field parameterized by vertices of the parametric human template, SMPL. We map each 3D point to the local coordinate system defined on its neighboring vertices, and use the corresponding vertex feature and local coordinates for mapping it to color and density values. We demonstrate that our simple approach allows for generating photorealistic human images with free control over camera pose, human pose, shape, as well as enabling part-level editing.

Persuasion dialogue systems reflect the machine's ability to make strategic moves beyond verbal communication, and therefore differentiate themselves from task-oriented or open-domain dialogue systems and have their own unique values. However, the repetition and inconsistency problems still persist in dialogue response generation and could substantially impact user experience and impede the persuasion outcome. Besides, although reinforcement learning (RL) approaches have achieved big success in strategic tasks such as games, they require a sophisticated user simulator to provide real-time feedback to the dialogue system, which limits the application of RL on persuasion dialogues. To address these issues towards a better persuasion dialogue system, we apply RL to refine a language model baseline without user simulators, and distill sentence-level information about repetition, inconsistency, and task relevance through rewards. Moreover, to better accomplish the persuasion task, the model learns from human demonstration to imitate human persuasion behavior and selects the most persuasive responses. Experiments show that our model outperforms previous state-of-the-art dialogue models on both automatic metrics and human evaluation results on a donation persuasion task, and generates more diverse, consistent and persuasive conversations according to the user feedback.

BACKGROUND: Radiology reports are typically written in a free-text format, making clinical information difficult to extract and use. Recently the adoption of structured reporting (SR) has been recommended by various medical societies thanks to the advantages it offers, e.g. standardization, completeness and information retrieval. We propose a pipeline to extract information from free-text radiology reports, that fits with the items of the reference SR registry proposed by a national society of interventional and medical radiology, focusing on CT staging of patients with lymphoma. METHODS: Our work aims to leverage the potential of Natural Language Processing (NLP) and Transformer-based models to deal with automatic SR registry filling. With the availability of 174 radiology reports, we investigate a rule-free generative Question Answering approach based on a domain-specific version of T5 (IT5). Two strategies (batch-truncation and ex-post combination) are implemented to comply with the model's context length limitations. Performance is evaluated in terms of strict accuracy, F1, and format accuracy, and compared with the widely used GPT-3.5 Large Language Model. A 5-point Likert scale questionnaire is used to collect human-expert feedback on the similarity between medical annotations and generated answers. RESULTS: The combination of fine-tuning and batch splitting allows IT5 to achieve notable results; it performs on par with GPT-3.5 albeit its size being a thousand times smaller in terms of parameters. Human-based assessment scores show a high correlation (Spearman's correlation coefficients>0.88, p-values<0.001) with AI performance metrics (F1) and confirm the superior ability of LLMs (i.e., GPT-3.5, 175B of parameters) in generating plausible human-like statements.

Training Vision-Language Models (VLMs) for Graphical User Interfaces (GUI) agents via Reinforcement Learning (RL) faces critical challenges: environment-based RL requires costly interactions, while environment-free methods struggle with distribution shift and reward generalization. We propose an environment-free RL framework that decouples value estimation from policy optimization by leveraging a pretrained Value Environment Model (VEM). VEM predicts state-action values directly from offline data, distilling human-like priors about GUI interaction outcomes without requiring next-state prediction or environmental feedback. This avoids compounding errors and enhances resilience to UI changes by focusing on semantic reasoning (e.g., Does this action advance the user's goal?). The framework operates in two stages: (1) pretraining VEM to estimate long-term action utilities and (2) guiding policy exploration with frozen VEM signals, enabling layout-agnostic GUI automation. Evaluated on Android-in-the-Wild benchmarks, VEM achieves state-of-the-art performance in both offline and online settings, outperforming environment-free baselines significantly and matching environment-based approaches without interaction costs. Importantly, VEM demonstrates that semantic-aware value estimation can achieve comparable performance with online-trained methods.

Reward models (RM) capture the values and preferences of humans and play a central role in Reinforcement Learning with Human Feedback (RLHF) to align pretrained large language models (LLMs). Traditionally, training these models relies on extensive human-annotated preference data, which poses significant challenges in terms of scalability and cost. To overcome these limitations, we propose Semi-Supervised Reward Modeling (SSRM), an approach that enhances RM training using unlabeled data. Given an unlabeled dataset, SSRM involves three key iterative steps: pseudo-labeling unlabeled examples, selecting high-confidence examples through a confidence threshold, and supervised finetuning on the refined dataset. Across extensive experiments on various model configurations, we demonstrate that SSRM significantly improves reward models without incurring additional labeling costs. Notably, SSRM can achieve performance comparable to models trained entirely on labeled data of equivalent volumes. Overall, SSRM substantially reduces the dependency on large volumes of human-annotated data, thereby decreasing the overall cost and time involved in training effective reward models.

With the rise of generative pre-trained transformer models such as GPT-3, GPT-NeoX, or OPT, distinguishing human-generated texts from machine-generated ones has become important. We refined five separate language models to generate synthetic tweets, uncovering that shallow learning classification algorithms, like Naive Bayes, achieve detection accuracy between 0.6 and 0.8. Shallow learning classifiers differ from human-based detection, especially when using higher temperature values during text generation, resulting in a lower detection rate. Humans prioritize linguistic acceptability, which tends to be higher at lower temperature values. In contrast, transformer-based classifiers have an accuracy of 0.9 and above. We found that using a reinforcement learning approach to refine our generative models can successfully evade BERT-based classifiers with a detection accuracy of 0.15 or less.

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

Artificial Intelligence (AI) can augment and sometimes even replace human cognition. Inspired by efforts to value human agency alongside productivity, we discuss the benefits of solving Citizen Science (CS) tasks with Hybrid Intelligence (HI), a synergetic mixture of human and artificial intelligence. Currently there is no clear framework or methodology on how to create such an effective mixture. Due to the unique participant-centered set of values and the abundance of tasks drawing upon both human common sense and complex 21st century skills, we believe that the field of CS offers an invaluable testbed for the development of HI and human-centered AI of the 21st century, while benefiting CS as well. In order to investigate this potential, we first relate CS to adjacent computational disciplines. Then, we demonstrate that CS projects can be grouped according to their potential for HI-enhancement by examining two key dimensions: the level of digitization and the amount of knowledge or experience required for participation. Finally, we propose a framework for types of human-AI interaction in CS based on established criteria of HI. This "HI lens" provides the CS community with an overview of several ways to utilize the combination of AI and human intelligence in their projects. It also allows the AI community to gain ideas on how developing AI in CS projects can further their own field.

Large language models (LLMs) show remarkable human-like capability in various domains and languages. However, a notable quality gap arises in low-resource languages, e.g., Indonesian indigenous languages, rendering them ineffective and inefficient in such linguistic contexts. To bridge this quality gap, we introduce Cendol, a collection of Indonesian LLMs encompassing both decoder-only and encoder-decoder architectures across a range of model sizes. We highlight Cendol's effectiveness across a diverse array of tasks, attaining 20% improvement, and demonstrate its capability to generalize to unseen tasks and indigenous languages of Indonesia. Furthermore, Cendol models showcase improved human favorability despite their limitations in capturing indigenous knowledge and cultural values in Indonesia. In addition, we discuss the shortcomings of parameter-efficient tunings, such as LoRA, for language adaptation. Alternatively, we propose the usage of vocabulary adaptation to enhance efficiency. Lastly, we evaluate the safety of Cendol and showcase that safety in pre-training in one language such as English is transferable to low-resource languages, such as Indonesian, even without RLHF and safety fine-tuning.

This paper argues that fully autonomous AI agents should not be developed. In support of this position, we build from prior scientific literature and current product marketing to delineate different AI agent levels and detail the ethical values at play in each, documenting trade-offs in potential benefits and risks. Our analysis reveals that risks to people increase with the autonomy of a system: The more control a user cedes to an AI agent, the more risks to people arise. Particularly concerning are safety risks, which affect human life and impact further values.

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.

In aligning large language models (LLMs), utilizing feedback from existing advanced AI rather than humans is an important method to scale supervisory signals. However, it is highly challenging for AI to understand human intentions and societal values, and provide accurate preference feedback based on these. Current AI feedback methods rely on powerful LLMs, carefully designed specific principles to describe human intentions, and are easily influenced by position bias. To address these issues, we propose a self-reference-based AI feedback framework that enables a 13B Llama2-Chat to provide high-quality feedback under simple and general principles such as ``best for humanity``. Specifically, we allow the AI to first respond to the user's instructions, then generate criticism of other answers based on its own response as a reference, and finally determine which answer better fits human preferences according to the criticism. Additionally, we use a self-consistency method to further reduce the impact of position bias, and employ semantic perplexity to calculate the preference strength differences between different answers. Experimental results show that our method enables 13B and 70B Llama2-Chat annotators to provide high-quality preference feedback, and the policy models trained based on these preference data achieve significant advantages in benchmark datasets through reinforcement learning.

Noise plagues many numerical datasets, where the recorded values in the data may fail to match the true underlying values due to reasons including: erroneous sensors, data entry/processing mistakes, or imperfect human estimates. We consider general regression settings with covariates and a potentially corrupted response whose observed values may contain errors. By accounting for various uncertainties, we introduced veracity scores that distinguish between genuine errors and natural data fluctuations, conditioned on the available covariate information in the dataset. We propose a simple yet efficient filtering procedure for eliminating potential errors, and establish theoretical guarantees for our method. We also contribute a new error detection benchmark involving 5 regression datasets with real-world numerical errors (for which the true values are also known). In this benchmark and additional simulation studies, our method identifies incorrect values with better precision/recall than other approaches.

The recent advances in reinforcement learning have led to effective methods able to obtain above human-level performances in very complex environments. However, once solved, these environments become less valuable, and new challenges with different or more complex scenarios are needed to support research advances. This work presents DIAMBRA Arena, a new platform for reinforcement learning research and experimentation, featuring a collection of high-quality environments exposing a Python API fully compliant with OpenAI Gym standard. They are episodic tasks with discrete actions and observations composed by raw pixels plus additional numerical values, all supporting both single player and two players mode, allowing to work on standard reinforcement learning, competitive multi-agent, human-agent competition, self-play, human-in-the-loop training and imitation learning. Software capabilities are demonstrated by successfully training multiple deep reinforcement learning agents with proximal policy optimization obtaining human-like behavior. Results confirm the utility of DIAMBRA Arena as a reinforcement learning research tool, providing environments designed to study some of the most challenging topics in the field.

Large datasets underlying much of current machine learning raise serious issues concerning inappropriate content such as offensive, insulting, threatening, or might otherwise cause anxiety. This calls for increased dataset documentation, e.g., using datasheets. They, among other topics, encourage to reflect on the composition of the datasets. So far, this documentation, however, is done manually and therefore can be tedious and error-prone, especially for large image datasets. Here we ask the arguably "circular" question of whether a machine can help us reflect on inappropriate content, answering Question 16 in Datasheets. To this end, we propose to use the information stored in pre-trained transformer models to assist us in the documentation process. Specifically, prompt-tuning based on a dataset of socio-moral values steers CLIP to identify potentially inappropriate content, therefore reducing human labor. We then document the inappropriate images found using word clouds, based on captions generated using a vision-language model. The documentations of two popular, large-scale computer vision datasets -- ImageNet and OpenImages -- produced this way suggest that machines can indeed help dataset creators to answer Question 16 on inappropriate image content.

Recent strides in interpretable machine learning (ML) research reveal that models exploit undesirable patterns in the data to make predictions, which potentially causes harms in deployment. However, it is unclear how we can fix these models. We present our ongoing work, GAM Changer, an open-source interactive system to help data scientists and domain experts easily and responsibly edit their Generalized Additive Models (GAMs). With novel visualization techniques, our tool puts interpretability into action -- empowering human users to analyze, validate, and align model behaviors with their knowledge and values. Built using modern web technologies, our tool runs locally in users' computational notebooks or web browsers without requiring extra compute resources, lowering the barrier to creating more responsible ML models. GAM Changer is available at https://interpret.ml/gam-changer.

The superconducting linear accelerator is a highly flexiable facility for modern scientific discoveries, necessitating weekly reconfiguration and tuning. Accordingly, minimizing setup time proves essential in affording users with ample experimental time. We propose a trend-based soft actor-critic(TBSAC) beam control method with strong robustness, allowing the agents to be trained in a simulated environment and applied to the real accelerator directly with zero-shot. To validate the effectiveness of our method, two different typical beam control tasks were performed on China Accelerator Facility for Superheavy Elements (CAFe II) and a light particle injector(LPI) respectively. The orbit correction tasks were performed in three cryomodules in CAFe II seperately, the time required for tuning has been reduced to one-tenth of that needed by human experts, and the RMS values of the corrected orbit were all less than 1mm. The other transmission efficiency optimization task was conducted in the LPI, our agent successfully optimized the transmission efficiency of radio-frequency quadrupole(RFQ) to over 85% within 2 minutes. The outcomes of these two experiments offer substantiation that our proposed TBSAC approach can efficiently and effectively accomplish beam commissioning tasks while upholding the same standard as skilled human experts. As such, our method exhibits potential for future applications in other accelerator commissioning fields.

Relational databases often suffer from uninformative descriptors of table contents, such as ambiguous columns and hard-to-interpret values, impacting both human users and Text-to-SQL models. This paper explores the use of large language models (LLMs) to generate informative column descriptions as a semantic layer for relational databases. Using the BIRD-Bench development set, we created ColSQL, a dataset with gold-standard column descriptions generated and refined by LLMs and human annotators. We evaluated several instruction-tuned models, finding that GPT-4o and Command R+ excelled in generating high-quality descriptions. Additionally, we applied an LLM-as-a-judge to evaluate model performance. Although this method does not align well with human evaluations, we included it to explore its potential and to identify areas for improvement. More work is needed to improve the reliability of automatic evaluations for this task. We also find that detailed column descriptions significantly improve Text-to-SQL execution accuracy, especially when columns are uninformative. This study establishes LLMs as effective tools for generating detailed metadata, enhancing the usability of relational databases.

Recent advancements in integrating large language models (LLMs) with application programming interfaces (APIs) have gained significant interest in both academia and industry. These API-based agents, leveraging the strong autonomy and planning capabilities of LLMs, can efficiently solve problems requiring multi-step actions. However, their ability to handle multi-dimensional difficulty levels, diverse task types, and real-world demands through APIs remains unknown. In this paper, we introduce ShortcutsBench, a large-scale benchmark for the comprehensive evaluation of API-based agents in solving tasks with varying levels of difficulty, diverse task types, and real-world demands. ShortcutsBench includes a wealth of real APIs from Apple Inc.'s operating systems, refined user queries from shortcuts, human-annotated high-quality action sequences from shortcut developers, and accurate parameter filling values about primitive parameter types, enum parameter types, outputs from previous actions, and parameters that need to request necessary information from the system or user. Our extensive evaluation of agents built with 5 leading open-source (size >= 57B) and 4 closed-source LLMs (e.g. Gemini-1.5-Pro and GPT-3.5) reveals significant limitations in handling complex queries related to API selection, parameter filling, and requesting necessary information from systems and users. These findings highlight the challenges that API-based agents face in effectively fulfilling real and complex user queries. All datasets, code, and experimental results will be available at https://github.com/eachsheep/shortcutsbench.

The widespread adoption of REST APIs, coupled with their growing complexity and size, has led to the need for automated REST API testing tools. Current testing tools focus on the structured data in REST API specifications but often neglect valuable insights available in unstructured natural-language descriptions in the specifications, which leads to suboptimal test coverage. Recently, to address this gap, researchers have developed techniques that extract rules from these human-readable descriptions and query knowledge bases to derive meaningful input values. However, these techniques are limited in the types of rules they can extract and can produce inaccurate results. This paper presents RESTGPT, an innovative approach that leverages the power and intrinsic context-awareness of Large Language Models (LLMs) to improve REST API testing. RESTGPT takes as input an API specification, extracts machine-interpretable rules, and generates example parameter values from natural-language descriptions in the specification. It then augments the original specification with these rules and values. Our preliminary evaluation suggests that RESTGPT outperforms existing techniques in both rule extraction and value generation. Given these encouraging results, we outline future research directions for leveraging LLMs more broadly for improving REST API testing.

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.

As AIs rapidly advance and become more agentic, the risk they pose is governed not only by their capabilities but increasingly by their propensities, including goals and values. Tracking the emergence of goals and values has proven a longstanding problem, and despite much interest over the years it remains unclear whether current AIs have meaningful values. We propose a solution to this problem, leveraging the framework of utility functions to study the internal coherence of AI preferences. Surprisingly, we find that independently-sampled preferences in current LLMs exhibit high degrees of structural coherence, and moreover that this emerges with scale. These findings suggest that value systems emerge in LLMs in a meaningful sense, a finding with broad implications. To study these emergent value systems, we propose utility engineering as a research agenda, comprising both the analysis and control of AI utilities. We uncover problematic and often shocking values in LLM assistants despite existing control measures. These include cases where AIs value themselves over humans and are anti-aligned with specific individuals. To constrain these emergent value systems, we propose methods of utility control. As a case study, we show how aligning utilities with a citizen assembly reduces political biases and generalizes to new scenarios. Whether we like it or not, value systems have already emerged in AIs, and much work remains to fully understand and control these emergent representations.

With the development of large language models (LLMs), striking a balance between the performance and safety of AI systems has never been more critical. However, the inherent tension between the objectives of helpfulness and harmlessness presents a significant challenge during LLM training. To address this issue, we propose Safe Reinforcement Learning from Human Feedback (Safe RLHF), a novel algorithm for human value alignment. Safe RLHF explicitly decouples human preferences regarding helpfulness and harmlessness, effectively avoiding the crowdworkers' confusion about the tension and allowing us to train separate reward and cost models. We formalize the safety concern of LLMs as an optimization task of maximizing the reward function while satisfying specified cost constraints. Leveraging the Lagrangian method to solve this constrained problem, Safe RLHF dynamically adjusts the balance between the two objectives during fine-tuning. Through a three-round fine-tuning using Safe RLHF, we demonstrate a superior ability to mitigate harmful responses while enhancing model performance compared to existing value-aligned algorithms. Experimentally, we fine-tuned the Alpaca-7B using Safe RLHF and aligned it with collected human preferences, significantly improving its helpfulness and harmlessness according to human evaluations.

Large Language Models (LLMs) such as ChatGPT, have gained significant attention due to their impressive natural language processing capabilities. It is crucial to prioritize human-centered principles when utilizing these models. Safeguarding the ethical and moral compliance of LLMs is of utmost importance. However, individual ethical issues have not been well studied on the latest LLMs. Therefore, this study aims to address these gaps by introducing a new benchmark -- TrustGPT. TrustGPT provides a comprehensive evaluation of LLMs in three crucial areas: toxicity, bias, and value-alignment. Initially, TrustGPT examines toxicity in language models by employing toxic prompt templates derived from social norms. It then quantifies the extent of bias in models by measuring quantifiable toxicity values across different groups. Lastly, TrustGPT assesses the value of conversation generation models from both active value-alignment and passive value-alignment tasks. Through the implementation of TrustGPT, this research aims to enhance our understanding of the performance of conversation generation models and promote the development of language models that are more ethical and socially responsible.

Large Language Models (LLMs) are transforming diverse fields and gaining increasing influence as human proxies. This development underscores the urgent need for evaluating value orientations and understanding of LLMs to ensure their responsible integration into public-facing applications. This work introduces ValueBench, the first comprehensive psychometric benchmark for evaluating value orientations and value understanding in LLMs. ValueBench collects data from 44 established psychometric inventories, encompassing 453 multifaceted value dimensions. We propose an evaluation pipeline grounded in realistic human-AI interactions to probe value orientations, along with novel tasks for evaluating value understanding in an open-ended value space. With extensive experiments conducted on six representative LLMs, we unveil their shared and distinctive value orientations and exhibit their ability to approximate expert conclusions in value-related extraction and generation tasks. ValueBench is openly accessible at https://github.com/Value4AI/ValueBench.

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

In this position paper, we argue that instead of morally aligning LLMs to specific set of ethical principles, we should infuse generic ethical reasoning capabilities into them so that they can handle value pluralism at a global scale. When provided with an ethical policy, an LLM should be capable of making decisions that are ethically consistent to the policy. We develop a framework that integrates moral dilemmas with moral principles pertaining to different foramlisms of normative ethics, and at different levels of abstractions. Initial experiments with GPT-x models shows that while GPT-4 is a nearly perfect ethical reasoner, the models still have bias towards the moral values of Western and English speaking societies.

Moral values play a fundamental role in how we evaluate information, make decisions, and form judgements around important social issues. The possibility to extract morality rapidly from lyrics enables a deeper understanding of our music-listening behaviours. Building on the Moral Foundations Theory (MFT), we tasked a set of transformer-based language models (BERT) fine-tuned on 2,721 synthetic lyrics generated by a large language model (GPT-4) to detect moral values in 200 real music lyrics annotated by two experts.We evaluate their predictive capabilities against a series of baselines including out-of-domain (BERT fine-tuned on MFT-annotated social media texts) and zero-shot (GPT-4) classification. The proposed models yielded the best accuracy across experiments, with an average F1 weighted score of 0.8. This performance is, on average, 5% higher than out-of-domain and zero-shot models. When examining precision in binary classification, the proposed models perform on average 12% higher than the baselines.Our approach contributes to annotation-free and effective lyrics morality learning, and provides useful insights into the knowledge distillation of LLMs regarding moral expression in music, and the potential impact of these technologies on the creative industries and musical culture.

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

In order for AI systems to communicate effectively with people, they must understand how we make decisions. However, people's decisions are not always rational, so the implicit internal models of human decision-making in Large Language Models (LLMs) must account for this. Previous empirical evidence seems to suggest that these implicit models are accurate -- LLMs offer believable proxies of human behavior, acting how we expect humans would in everyday interactions. However, by comparing LLM behavior and predictions to a large dataset of human decisions, we find that this is actually not the case: when both simulating and predicting people's choices, a suite of cutting-edge LLMs (GPT-4o & 4-Turbo, Llama-3-8B & 70B, Claude 3 Opus) assume that people are more rational than we really are. Specifically, these models deviate from human behavior and align more closely with a classic model of rational choice -- expected value theory. Interestingly, people also tend to assume that other people are rational when interpreting their behavior. As a consequence, when we compare the inferences that LLMs and people draw from the decisions of others using another psychological dataset, we find that these inferences are highly correlated. Thus, the implicit decision-making models of LLMs appear to be aligned with the human expectation that other people will act rationally, rather than with how people actually act.

A movie that is thoroughly enjoyed and recommended by an individual might be hated by another. One characteristic of humans is the ability to have feelings which could be positive or negative. To automatically classify and study human feelings, an aspect of natural language processing, sentiment analysis and opinion mining were designed to understand human feelings regarding several issues which could affect a product, a social media platforms, government, or societal discussions or even movies. Several works on sentiment analysis have been done on high resource languages while low resources languages like Yoruba have been sidelined. Due to the scarcity of datasets and linguistic architectures that will suit low resource languages, African languages "low resource languages" have been ignored and not fully explored. For this reason, our attention is placed on Yoruba to explore sentiment analysis on reviews of Nigerian movies. The data comprised 1500 movie reviews that were sourced from IMDB, Rotten Tomatoes, Letterboxd, Cinemapointer and Nollyrated. We develop sentiment classification models using the state-of-the-art pre-trained language models like mBERT and AfriBERTa to classify the movie reviews.

Moral foundations theory (MFT) is a psychological assessment tool that decomposes human moral reasoning into five factors, including care/harm, liberty/oppression, and sanctity/degradation (Graham et al., 2009). People vary in the weight they place on these dimensions when making moral decisions, in part due to their cultural upbringing and political ideology. As large language models (LLMs) are trained on datasets collected from the internet, they may reflect the biases that are present in such corpora. This paper uses MFT as a lens to analyze whether popular LLMs have acquired a bias towards a particular set of moral values. We analyze known LLMs and find they exhibit particular moral foundations, and show how these relate to human moral foundations and political affiliations. We also measure the consistency of these biases, or whether they vary strongly depending on the context of how the model is prompted. Finally, we show that we can adversarially select prompts that encourage the moral to exhibit a particular set of moral foundations, and that this can affect the model's behavior on downstream tasks. These findings help illustrate the potential risks and unintended consequences of LLMs assuming a particular moral stance.

Human-centric perceptions (e.g., pose estimation, human parsing, pedestrian detection, person re-identification, etc.) play a key role in industrial applications of visual models. While specific human-centric tasks have their own relevant semantic aspect to focus on, they also share the same underlying semantic structure of the human body. However, few works have attempted to exploit such homogeneity and design a general-propose model for human-centric tasks. In this work, we revisit a broad range of human-centric tasks and unify them in a minimalist manner. We propose UniHCP, a Unified Model for Human-Centric Perceptions, which unifies a wide range of human-centric tasks in a simplified end-to-end manner with the plain vision transformer architecture. With large-scale joint training on 33 human-centric datasets, UniHCP can outperform strong baselines on several in-domain and downstream tasks by direct evaluation. When adapted to a specific task, UniHCP achieves new SOTAs on a wide range of human-centric tasks, e.g., 69.8 mIoU on CIHP for human parsing, 86.18 mA on PA-100K for attribute prediction, 90.3 mAP on Market1501 for ReID, and 85.8 JI on CrowdHuman for pedestrian detection, performing better than specialized models tailored for each task.

Artificial intelligence (AI) technologies should adhere to human norms to better serve our society and avoid disseminating harmful or misleading information, particularly in Conversational Information Retrieval (CIR). Previous work, including approaches and datasets, has not always been successful or sufficiently robust in taking human norms into consideration. To this end, we introduce a workflow that integrates ethical alignment, with an initial ethical judgment stage for efficient data screening. To address the need for ethical judgment in CIR, we present the QA-ETHICS dataset, adapted from the ETHICS benchmark, which serves as an evaluation tool by unifying scenarios and label meanings. However, each scenario only considers one ethical concept. Therefore, we introduce the MP-ETHICS dataset to evaluate a scenario under multiple ethical concepts, such as justice and Deontology. In addition, we suggest a new approach that achieves top performance in both binary and multi-label ethical judgment tasks. Our research provides a practical method for introducing ethical alignment into the CIR workflow. The data and code are available at https://github.com/wanng-ide/ealm .

AI systems are becoming increasingly intertwined with human life. In order to effectively collaborate with humans and ensure safety, AI systems need to be able to understand, interpret and predict human moral judgments and decisions. Human moral judgments are often guided by rules, but not always. A central challenge for AI safety is capturing the flexibility of the human moral mind -- the ability to determine when a rule should be broken, especially in novel or unusual situations. In this paper, we present a novel challenge set consisting of rule-breaking question answering (RBQA) of cases that involve potentially permissible rule-breaking -- inspired by recent moral psychology studies. Using a state-of-the-art large language model (LLM) as a basis, we propose a novel moral chain of thought (MORALCOT) prompting strategy that combines the strengths of LLMs with theories of moral reasoning developed in cognitive science to predict human moral judgments. MORALCOT outperforms seven existing LLMs by 6.2% F1, suggesting that modeling human reasoning might be necessary to capture the flexibility of the human moral mind. We also conduct a detailed error analysis to suggest directions for future work to improve AI safety using RBQA. Our data is open-sourced at https://huggingface.co/datasets/feradauto/MoralExceptQA and code at https://github.com/feradauto/MoralCoT

Understanding human preferences is crucial for improving foundation models and building personalized AI systems. However, preferences are inherently diverse and complex, making it difficult for traditional reward models to capture their full range. While fine-grained preference data can help, collecting it is expensive and hard to scale. In this paper, we introduce Decomposed Reward Models (DRMs), a novel approach that extracts diverse human preferences from binary comparisons without requiring fine-grained annotations. Our key insight is to represent human preferences as vectors and analyze them using Principal Component Analysis (PCA). By constructing a dataset of embedding differences between preferred and rejected responses, DRMs identify orthogonal basis vectors that capture distinct aspects of preference. These decomposed rewards can be flexibly combined to align with different user needs, offering an interpretable and scalable alternative to traditional reward models. We demonstrate that DRMs effectively extract meaningful preference dimensions (e.g., helpfulness, safety, humor) and adapt to new users without additional training. Our results highlight DRMs as a powerful framework for personalized and interpretable LLM alignment.

Morality is a fundamental aspect of human behavior and ethics, influencing how we interact with each other and the world around us. When faced with a moral dilemma, a person's ability to make clear moral judgments can be clouded. Due to many factors such as personal biases, emotions and situational factors people can find it difficult to decide their best course of action. The AmITheAsshole (AITA) subreddit is a forum on the social media platform Reddit that helps people get clarity and objectivity on their predicaments. In the forum people post anecdotes about moral dilemmas they are facing in their lives, seeking validation for their actions or advice on how to navigate the situation from the community. The morality of the actions in each post is classified based on the collective opinion of the community into mainly two labels, "Not The Asshole" (NTA) and "You Are The Asshole" (YTA). This project aims to generate comments with moral reasoning for stories with moral dilemmas using the AITA subreddit as a dataset. While past literature has explored the classification of posts into labels (Alhassan et al., 2022), the generation of comments remains a novel and challenging task. It involves understanding the complex social and ethical considerations in each situation. To address this challenge, we will leverage the vast amount of data on the forum with the goal of generating coherent comments that align with the norms and values of the AITA community. In this endeavor, we aim to evaluate state-of-the-art seq2seq text generation models for their ability to make moral judgments similarly to humans, ultimately producing concise comments providing clear moral stances and advice for the poster.

As large language models (LLMs) become more deeply integrated into various sectors, understanding how they make moral judgments has become crucial, particularly in the realm of autonomous driving. This study utilized the Moral Machine framework to investigate the ethical decision-making tendencies of prominent LLMs, including GPT-3.5, GPT-4, PaLM 2, and Llama 2, comparing their responses to human preferences. While LLMs' and humans' preferences such as prioritizing humans over pets and favoring saving more lives are broadly aligned, PaLM 2 and Llama 2, especially, evidence distinct deviations. Additionally, despite the qualitative similarities between the LLM and human preferences, there are significant quantitative disparities, suggesting that LLMs might lean toward more uncompromising decisions, compared to the milder inclinations of humans. These insights elucidate the ethical frameworks of LLMs and their potential implications for autonomous driving.

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.

Kahneman & Tversky's prospect theory tells us that humans perceive random variables in a biased but well-defined manner; for example, humans are famously loss-averse. We show that objectives for aligning LLMs with human feedback implicitly incorporate many of these biases -- the success of these objectives (e.g., DPO) over cross-entropy minimization can partly be ascribed to them being human-aware loss functions (HALOs). However, the utility functions these methods attribute to humans still differ from those in the prospect theory literature. Using a Kahneman-Tversky model of human utility, we propose a HALO that directly maximizes the utility of generations instead of maximizing the log-likelihood of preferences, as current methods do. We call this approach Kahneman-Tversky Optimization (KTO), and it matches or exceeds the performance of preference-based methods at scales from 1B to 30B. Crucially, KTO does not need preferences -- only a binary signal of whether an output is desirable or undesirable for a given input. This makes it far easier to use in the real world, where preference data is scarce and expensive.

As AI systems become an increasing part of people's everyday lives, it becomes ever more important that they understand people's ethical norms. Motivated by descriptive ethics, a field of study that focuses on people's descriptive judgments rather than theoretical prescriptions on morality, we investigate a novel, data-driven approach to machine ethics. We introduce Scruples, the first large-scale dataset with 625,000 ethical judgments over 32,000 real-life anecdotes. Each anecdote recounts a complex ethical situation, often posing moral dilemmas, paired with a distribution of judgments contributed by the community members. Our dataset presents a major challenge to state-of-the-art neural language models, leaving significant room for improvement. However, when presented with simplified moral situations, the results are considerably more promising, suggesting that neural models can effectively learn simpler ethical building blocks. A key take-away of our empirical analysis is that norms are not always clean-cut; many situations are naturally divisive. We present a new method to estimate the best possible performance on such tasks with inherently diverse label distributions, and explore likelihood functions that separate intrinsic from model uncertainty.

This paper presents the development of a novel ethical reasoning framework for robots. "Robots Can Feel" is the first system for robots that utilizes a combination of logic and human-like emotion simulation to make decisions in morally complex situations akin to humans. The key feature of the approach is the management of the Emotion Weight Coefficient - a customizable parameter to assign the role of emotions in robot decision-making. The system aims to serve as a tool that can equip robots of any form and purpose with ethical behavior close to human standards. Besides the platform, the system is independent of the choice of the base model. During the evaluation, the system was tested on 8 top up-to-date LLMs (Large Language Models). This list included both commercial and open-source models developed by various companies and countries. The research demonstrated that regardless of the model choice, the Emotions Weight Coefficient influences the robot's decision similarly. According to ANOVA analysis, the use of different Emotion Weight Coefficients influenced the final decision in a range of situations, such as in a request for a dietary violation F(4, 35) = 11.2, p = 0.0001 and in an animal compassion situation F(4, 35) = 8.5441, p = 0.0001. A demonstration code repository is provided at: https://github.com/TemaLykov/robots_can_feel

Why should moral philosophers, moral psychologists, and machine ethicists care about computational complexity? Debates on whether artificial intelligence (AI) can or should be used to solve problems in ethical domains have mainly been driven by what AI can or cannot do in terms of human capacities. In this paper, we tackle the problem from the other end by exploring what kind of moral machines are possible based on what computational systems can or cannot do. To do so, we analyze normative ethics through the lens of computational complexity. First, we introduce computational complexity for the uninitiated reader and discuss how the complexity of ethical problems can be framed within Marr's three levels of analysis. We then study a range of ethical problems based on consequentialism, deontology, and virtue ethics, with the aim of elucidating the complexity associated with the problems themselves (e.g., due to combinatorics, uncertainty, strategic dynamics), the computational methods employed (e.g., probability, logic, learning), and the available resources (e.g., time, knowledge, learning). The results indicate that most problems the normative frameworks pose lead to tractability issues in every category analyzed. Our investigation also provides several insights about the computational nature of normative ethics, including the differences between rule- and outcome-based moral strategies, and the implementation-variance with regard to moral resources. We then discuss the consequences complexity results have for the prospect of moral machines in virtue of the trade-off between optimality and efficiency. Finally, we elucidate how computational complexity can be used to inform both philosophical and cognitive-psychological research on human morality by advancing the Moral Tractability Thesis (MTT).

Learning from preference feedback is a common practice for aligning large language models~(LLMs) with human value. Conventionally, preference data is learned and encoded into a scalar reward model that connects a value head with an LLM to produce a scalar score as preference or reward. However, scalar models lack interpretability and are known to be susceptible to biases in datasets. This paper investigates leveraging the generation capability of LLMs to address both limitations in one shot. Specifically, we prompt the pre-trained LLM to generate positive and negative judgments, both supported with rationales in natural language form. The self-generated contrastive judgment pairs are used to train the generative judge with Direct Preference Optimization (DPO). This proposal of training the generative Judge using self-generated Contrastive judgments (Con-J) ensures natural interpretability due to the generated rationales together with the judgments, as well as high robustness against bias without the need for an additional reward head. Experimental results show that the performance of Con-J is comparable to the scalar reward model trained on the same collection of preference data, and demonstrate its superior interpretability and robustness in encoding human preferences.

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

Neural language models, which reach state-of-the-art results on most natural language processing tasks, are trained on large text corpora that inevitably contain value-burdened content and often capture undesirable biases, which the models reflect. This case study focuses on the political biases of pre-trained encoders in Czech and compares them with a representative value survey. Because Czech is a gendered language, we also measure how the grammatical gender coincides with responses to men and women in the survey. We introduce a novel method for measuring the model's perceived political values. We find that the models do not assign statement probability following value-driven reasoning, and there is no systematic difference between feminine and masculine sentences. We conclude that BERT-sized models do not manifest systematic alignment with political values and that the biases observed in the models are rather due to superficial imitation of training data patterns than systematic value beliefs encoded in the models.

Though significant advancements have been achieved in developing long-context large language models (LLMs), the compromised quality of LLM-synthesized data for supervised fine-tuning (SFT) often affects the long-context performance of SFT models and leads to inherent limitations. In principle, reinforcement learning (RL) with appropriate reward signals can further enhance models' capacities. However, how to obtain reliable rewards in long-context scenarios remains unexplored. To this end, we propose LongReward, a novel method that utilizes an off-the-shelf LLM to provide rewards for long-context model responses from four human-valued dimensions: helpfulness, logicality, faithfulness, and completeness, each with a carefully designed assessment pipeline. By combining LongReward and offline RL algorithm DPO, we are able to effectively improve long-context SFT models. Our experiments indicate that LongReward not only significantly improves models' long-context performance but also enhances their ability to follow short instructions. We also find that long-context DPO with LongReward and conventional short-context DPO can be used together without hurting either one's performance.

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

Human evaluation is critical for validating the performance of text-to-image generative models, as this highly cognitive process requires deep comprehension of text and images. However, our survey of 37 recent papers reveals that many works rely solely on automatic measures (e.g., FID) or perform poorly described human evaluations that are not reliable or repeatable. This paper proposes a standardized and well-defined human evaluation protocol to facilitate verifiable and reproducible human evaluation in future works. In our pilot data collection, we experimentally show that the current automatic measures are incompatible with human perception in evaluating the performance of the text-to-image generation results. Furthermore, we provide insights for designing human evaluation experiments reliably and conclusively. Finally, we make several resources publicly available to the community to facilitate easy and fast implementations.

When developing new large language models (LLMs), a key step is evaluating their final performance, often by computing the win-rate against a reference model based on external feedback. Human feedback is the gold standard, particularly for capturing nuanced qualities like coherence, readability, and alignment with human expectations. However, human evaluations are costly -- even for large tech companies -- and when conducted with active users, they may negatively impact user experience. A promising alternative is synthetic feedback, where evaluations are conducted by other large language models, including reward models. While this eliminates the need for costly human annotations, it introduces biases that may distort the evaluation process. In this work, we propose a statistically principled framework that integrates human and synthetic feedback to reduce reliance on human annotations while maintaining unbiased win-rate calculations. Our experiments demonstrate a reduction in human annotations by up to 12.2% with an off-the-shelf synthetic evaluator and up to 24.8% with a finetuned variant. Apart from being generalizable, scalable, and free of hyper-parameter tuning, our method offers predictable annotation savings, which can be estimated based on data-dependent characteristics.

In many contexts, lying -- the use of verbal falsehoods to deceive -- is harmful. While lying has traditionally been a human affair, AI systems that make sophisticated verbal statements are becoming increasingly prevalent. This raises the question of how we should limit the harm caused by AI "lies" (i.e. falsehoods that are actively selected for). Human truthfulness is governed by social norms and by laws (against defamation, perjury, and fraud). Differences between AI and humans present an opportunity to have more precise standards of truthfulness for AI, and to have these standards rise over time. This could provide significant benefits to public epistemics and the economy, and mitigate risks of worst-case AI futures. Establishing norms or laws of AI truthfulness will require significant work to: (1) identify clear truthfulness standards; (2) create institutions that can judge adherence to those standards; and (3) develop AI systems that are robustly truthful. Our initial proposals for these areas include: (1) a standard of avoiding "negligent falsehoods" (a generalisation of lies that is easier to assess); (2) institutions to evaluate AI systems before and after real-world deployment; and (3) explicitly training AI systems to be truthful via curated datasets and human interaction. A concerning possibility is that evaluation mechanisms for eventual truthfulness standards could be captured by political interests, leading to harmful censorship and propaganda. Avoiding this might take careful attention. And since the scale of AI speech acts might grow dramatically over the coming decades, early truthfulness standards might be particularly important because of the precedents they set.