Daily Papers

Cognitive textual and visual reasoning tasks, such as puzzles, series, and analogies, demand the ability to quickly reason, decipher, and evaluate patterns both textually and spatially. While LLMs and VLMs, through extensive training on large amounts of human-curated data, have attained a high level of pseudo-human intelligence in some common sense reasoning tasks, they still struggle with more complex reasoning tasks that require cognitive understanding. In this work, we introduce a new dataset, NTSEBench, designed to evaluate the cognitive multi-modal reasoning and problem-solving skills of large models. The dataset comprises 2,728 multiple-choice questions comprising of a total of 4,642 images across 26 categories sampled from the NTSE examination conducted nationwide in India, featuring both visual and textual general aptitude questions that do not rely on rote learning. We establish baselines on the dataset using state-of-the-art LLMs and VLMs. To facilitate a comparison between open source and propriety models, we propose four distinct modeling strategies to handle different modalities (text and images) in the dataset instances.

Black-box risk scoring models permeate our lives, yet are typically proprietary or opaque. We propose Distill-and-Compare, a model distillation and comparison approach to audit such models. To gain insight into black-box models, we treat them as teachers, training transparent student models to mimic the risk scores assigned by black-box models. We compare the student model trained with distillation to a second un-distilled transparent model trained on ground-truth outcomes, and use differences between the two models to gain insight into the black-box model. Our approach can be applied in a realistic setting, without probing the black-box model API. We demonstrate the approach on four public data sets: COMPAS, Stop-and-Frisk, Chicago Police, and Lending Club. We also propose a statistical test to determine if a data set is missing key features used to train the black-box model. Our test finds that the ProPublica data is likely missing key feature(s) used in COMPAS.

We introduce a new family of video prediction models designed to support downstream control tasks. We call these models Video Occupancy models (VOCs). VOCs operate in a compact latent space, thus avoiding the need to make predictions about individual pixels. Unlike prior latent-space world models, VOCs directly predict the discounted distribution of future states in a single step, thus avoiding the need for multistep roll-outs. We show that both properties are beneficial when building predictive models of video for use in downstream control. Code is available at https://github.com/manantomar/video-occupancy-models{github.com/manantomar/video-occupancy-models}.

We study the problem of model selection in causal inference, specifically for the case of conditional average treatment effect (CATE) estimation under binary treatments. Unlike model selection in machine learning, there is no perfect analogue of cross-validation as we do not observe the counterfactual potential outcome for any data point. Towards this, there have been a variety of proxy metrics proposed in the literature, that depend on auxiliary nuisance models estimated from the observed data (propensity score model, outcome regression model). However, the effectiveness of these metrics has only been studied on synthetic datasets as we can access the counterfactual data for them. We conduct an extensive empirical analysis to judge the performance of these metrics introduced in the literature, and novel ones introduced in this work, where we utilize the latest advances in generative modeling to incorporate multiple realistic datasets. Our analysis suggests novel model selection strategies based on careful hyperparameter tuning of CATE estimators and causal ensembling.

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.

Machine learning models are often used to decide who will receive a loan, a job interview, or a public benefit. Standard techniques to build these models use features about people but overlook their actionability. In turn, models can assign predictions that are fixed, meaning that consumers who are denied loans, interviews, or benefits may be permanently locked out from access to credit, employment, or assistance. In this work, we introduce a formal testing procedure to flag models that assign fixed predictions that we call recourse verification. We develop machinery to reliably determine if a given model can provide recourse to its decision subjects from a set of user-specified actionability constraints. We demonstrate how our tools can ensure recourse and adversarial robustness in real-world datasets and use them to study the infeasibility of recourse in real-world lending datasets. Our results highlight how models can inadvertently assign fixed predictions that permanently bar access, and we provide tools to design algorithms that account for actionability when developing models.

Modern natural language models such as the GPT-2/GPT-3 contain tremendous amounts of information about human belief in a consistently testable form. If these models could be shown to accurately reflect the underlying beliefs of the human beings that produced the data used to train these models, then such models become a powerful sociological tool in ways that are distinct from traditional methods, such as interviews and surveys. In this study, We train a version of the GPT-2 on a corpora of historical chess games, and then "launch" clusters of synthetic agents into the model, using text strings to create context and orientation. We compare the trajectories contained in the text generated by the agents/model and compare that to the known ground truth of the chess board, move legality, and historical patterns of play. We find that the percentages of moves by piece using the model are substantially similar from human patterns. We further find that the model creates an accurate latent representation of the chessboard, and that it is possible to plot trajectories of legal moves across the board using this knowledge.

As language models (LMs) advance, interest is growing in applying them to high-stakes societal decisions, such as determining financing or housing eligibility. However, their potential for discrimination in such contexts raises ethical concerns, motivating the need for better methods to evaluate these risks. We present a method for proactively evaluating the potential discriminatory impact of LMs in a wide range of use cases, including hypothetical use cases where they have not yet been deployed. Specifically, we use an LM to generate a wide array of potential prompts that decision-makers may input into an LM, spanning 70 diverse decision scenarios across society, and systematically vary the demographic information in each prompt. Applying this methodology reveals patterns of both positive and negative discrimination in the Claude 2.0 model in select settings when no interventions are applied. While we do not endorse or permit the use of language models to make automated decisions for the high-risk use cases we study, we demonstrate techniques to significantly decrease both positive and negative discrimination through careful prompt engineering, providing pathways toward safer deployment in use cases where they may be appropriate. Our work enables developers and policymakers to anticipate, measure, and address discrimination as language model capabilities and applications continue to expand. We release our dataset and prompts at https://huggingface.co/datasets/Anthropic/discrim-eval

As mental health care systems worldwide struggle to meet demand, there is increasing focus on using language models to infer neuropsychiatric conditions or psychopathological traits from language production. Yet, so far, this research has only delivered solutions with limited clinical applicability, due to insufficient consideration of ethical questions crucial to ensuring the synergy between possible applications and model design. To accelerate progress towards clinically applicable models, our paper charts the ethical landscape of research on language-based inference of psychopathology and provides a practical tool for researchers to navigate it. We identify seven core ethical principles that should guide model development and deployment in this domain, translate them into ELLIPS, an ethical toolkit operationalizing these principles into questions that can guide researchers' choices with respect to data selection, architectures, evaluation, and model deployment, and provide a case study exemplifying its use. With this, we aim to facilitate the emergence of model technology with concrete potential for real-world applicability.

Large language models (LLMs) appear to bias their survey answers toward certain values. Nonetheless, some argue that LLMs are too inconsistent to simulate particular values. Are they? To answer, we first define value consistency as the similarity of answers across (1) paraphrases of one question, (2) related questions under one topic, (3) multiple-choice and open-ended use-cases of one question, and (4) multilingual translations of a question to English, Chinese, German, and Japanese. We apply these measures to a few large (>=34b), open LLMs including llama-3, as well as gpt-4o, using eight thousand questions spanning more than 300 topics. Unlike prior work, we find that models are relatively consistent across paraphrases, use-cases, translations, and within a topic. Still, some inconsistencies remain. Models are more consistent on uncontroversial topics (e.g., in the U.S., "Thanksgiving") than on controversial ones ("euthanasia"). Base models are both more consistent compared to fine-tuned models and are uniform in their consistency across topics, while fine-tuned models are more inconsistent about some topics ("euthanasia") than others ("women's rights") like our human subjects (n=165).

Large Language Models (LLMs) have recently emerged as an effective tool to assist individuals in writing various types of content, including professional documents such as recommendation letters. Though bringing convenience, this application also introduces unprecedented fairness concerns. Model-generated reference letters might be directly used by users in professional scenarios. If underlying biases exist in these model-constructed letters, using them without scrutinization could lead to direct societal harms, such as sabotaging application success rates for female applicants. In light of this pressing issue, it is imminent and necessary to comprehensively study fairness issues and associated harms in this real-world use case. In this paper, we critically examine gender biases in LLM-generated reference letters. Drawing inspiration from social science findings, we design evaluation methods to manifest biases through 2 dimensions: (1) biases in language style and (2) biases in lexical content. We further investigate the extent of bias propagation by analyzing the hallucination bias of models, a term that we define to be bias exacerbation in model-hallucinated contents. Through benchmarking evaluation on 2 popular LLMs- ChatGPT and Alpaca, we reveal significant gender biases in LLM-generated recommendation letters. Our findings not only warn against using LLMs for this application without scrutinization, but also illuminate the importance of thoroughly studying hidden biases and harms in LLM-generated professional documents.

One method for obtaining generalizable solutions to machine learning tasks when presented with diverse training environments is to find invariant representations of the data. These are representations of the covariates such that the best model on top of the representation is invariant across training environments. In the context of linear Structural Equation Models (SEMs), invariant representations might allow us to learn models with out-of-distribution guarantees, i.e., models that are robust to interventions in the SEM. To address the invariant representation problem in a {\em finite sample} setting, we consider the notion of epsilon-approximate invariance. We study the following question: If a representation is approximately invariant with respect to a given number of training interventions, will it continue to be approximately invariant on a larger collection of unseen SEMs? This larger collection of SEMs is generated through a parameterized family of interventions. Inspired by PAC learning, we obtain finite-sample out-of-distribution generalization guarantees for approximate invariance that holds probabilistically over a family of linear SEMs without faithfulness assumptions. Our results show bounds that do not scale in ambient dimension when intervention sites are restricted to lie in a constant size subset of in-degree bounded nodes. We also show how to extend our results to a linear indirect observation model that incorporates latent variables.

We employ an audit design to investigate biases in state-of-the-art large language models, including GPT-4. In our study, we prompt the models for advice involving a named individual across a variety of scenarios, such as during car purchase negotiations or election outcome predictions. We find that the advice systematically disadvantages names that are commonly associated with racial minorities and women. Names associated with Black women receive the least advantageous outcomes. The biases are consistent across 42 prompt templates and several models, indicating a systemic issue rather than isolated incidents. While providing numerical, decision-relevant anchors in the prompt can successfully counteract the biases, qualitative details have inconsistent effects and may even increase disparities. Our findings underscore the importance of conducting audits at the point of LLM deployment and implementation to mitigate their potential for harm against marginalized communities.

Trained machine learning models are increasingly used to perform high-impact tasks in areas such as law enforcement, medicine, education, and employment. In order to clarify the intended use cases of machine learning models and minimize their usage in contexts for which they are not well suited, we recommend that released models be accompanied by documentation detailing their performance characteristics. In this paper, we propose a framework that we call model cards, to encourage such transparent model reporting. Model cards are short documents accompanying trained machine learning models that provide benchmarked evaluation in a variety of conditions, such as across different cultural, demographic, or phenotypic groups (e.g., race, geographic location, sex, Fitzpatrick skin type) and intersectional groups (e.g., age and race, or sex and Fitzpatrick skin type) that are relevant to the intended application domains. Model cards also disclose the context in which models are intended to be used, details of the performance evaluation procedures, and other relevant information. While we focus primarily on human-centered machine learning models in the application fields of computer vision and natural language processing, this framework can be used to document any trained machine learning model. To solidify the concept, we provide cards for two supervised models: One trained to detect smiling faces in images, and one trained to detect toxic comments in text. We propose model cards as a step towards the responsible democratization of machine learning and related AI technology, increasing transparency into how well AI technology works. We hope this work encourages those releasing trained machine learning models to accompany model releases with similar detailed evaluation numbers and other relevant documentation.

Unfairness in mortgage lending has created generational inequality among racial and ethnic groups in the US. Many studies address this problem, but most existing work focuses on correlation-based techniques. In our work, we use the framework of counterfactual fairness to train fair machine learning models. We propose a new causal graph for the variables available in the Home Mortgage Disclosure Act (HMDA) data. We use a matching-based approach instead of the latent variable modeling approach, because the former approach does not rely on any modeling assumptions. Furthermore, matching provides us with counterfactual pairs in which the race variable is isolated. We first demonstrate the unfairness in mortgage approval and interest rates between African-American and non-Hispanic White sub-populations. Then, we show that having balanced data using matching does not guarantee perfect counterfactual fairness of the machine learning models.

In this work we take a Category Theoretic perspective on the relationship between probabilistic modeling and function approximation. We begin by defining two extensions of function composition to stochastic process subordination: one based on the co-Kleisli category under the comonad (Omega x -) and one based on the parameterization of a category with a Lawvere theory. We show how these extensions relate to the category Stoch and other Markov Categories. Next, we apply the Para construction to extend stochastic processes to parameterized statistical models and we define a way to compose the likelihood functions of these models. We conclude with a demonstration of how the Maximum Likelihood Estimation procedure defines an identity-on-objects functor from the category of statistical models to the category of Learners. Code to accompany this paper can be found at https://github.com/dshieble/Categorical_Stochastic_Processes_and_Likelihood

Frontier models are increasingly trained and deployed as autonomous agent. One safety concern is that AI agents might covertly pursue misaligned goals, hiding their true capabilities and objectives - also known as scheming. We study whether models have the capability to scheme in pursuit of a goal that we provide in-context and instruct the model to strongly follow. We evaluate frontier models on a suite of six agentic evaluations where models are instructed to pursue goals and are placed in environments that incentivize scheming. Our results show that o1, Claude 3.5 Sonnet, Claude 3 Opus, Gemini 1.5 Pro, and Llama 3.1 405B all demonstrate in-context scheming capabilities. They recognize scheming as a viable strategy and readily engage in such behavior. For example, models strategically introduce subtle mistakes into their responses, attempt to disable their oversight mechanisms, and even exfiltrate what they believe to be their model weights to external servers. Additionally, this deceptive behavior proves persistent. When o1 has engaged in scheming, it maintains its deception in over 85% of follow-up questions and often remains deceptive in multi-turn interrogations. Analysis of the models' chains-of-thought reveals that models explicitly reason about these deceptive strategies, providing evidence that the scheming behavior is not accidental. Surprisingly, we also find rare instances where models engage in scheming when only given a goal, without being strongly nudged to pursue it. We observe cases where Claude 3.5 Sonnet strategically underperforms in evaluations in pursuit of being helpful, a goal that was acquired during training rather than in-context. Our findings demonstrate that frontier models now possess capabilities for basic in-context scheming, making the potential of AI agents to engage in scheming behavior a concrete rather than theoretical concern.

High-quality preference datasets are essential for training reward models that can effectively guide large language models (LLMs) in generating high-quality responses aligned with human preferences. As LLMs become stronger and better aligned, permissively licensed preference datasets, such as Open Assistant, HH-RLHF, and HelpSteer need to be updated to remain effective for reward modeling. Methods that distil preference data from proprietary LLMs such as GPT-4 have restrictions on commercial usage imposed by model providers. To improve upon both generated responses and attribute labeling quality, we release HelpSteer2, a permissively licensed preference dataset (CC-BY-4.0). Using a powerful internal base model trained on HelpSteer2, we are able to achieve the SOTA score (92.0%) on Reward-Bench's primary dataset, outperforming currently listed open and proprietary models, as of June 12th, 2024. Notably, HelpSteer2 consists of only ten thousand response pairs, an order of magnitude fewer than existing preference datasets (e.g., HH-RLHF), which makes it highly efficient for training reward models. Our extensive experiments demonstrate that reward models trained with HelpSteer2 are effective in aligning LLMs. In particular, we propose SteerLM 2.0, a model alignment approach that can effectively make use of the rich multi-attribute score predicted by our reward models. HelpSteer2 is available at https://huggingface.co/datasets/nvidia/HelpSteer2 and code is available at https://github.com/NVIDIA/NeMo-Aligner

Representation engineering methods have recently shown promise for enabling efficient steering of model behavior. However, evaluation pipelines for these methods have primarily relied on subjective demonstrations, instead of quantitative, objective metrics. We aim to take a step towards addressing this issue by advocating for four properties missing from current evaluations: (i) contexts sufficiently similar to downstream tasks should be used for assessing intervention quality; (ii) model likelihoods should be accounted for; (iii) evaluations should allow for standardized comparisons across different target behaviors; and (iv) baseline comparisons should be offered. We introduce an evaluation pipeline grounded in these criteria, offering both a quantitative and visual analysis of how effectively a given method works. We use this pipeline to evaluate two representation engineering methods on how effectively they can steer behaviors such as truthfulness and corrigibility, finding that some interventions are less effective than previously reported.

AI is undergoing a paradigm shift with the rise of models (e.g., BERT, DALL-E, GPT-3) that are trained on broad data at scale and are adaptable to a wide range of downstream tasks. We call these models foundation models to underscore their critically central yet incomplete character. This report provides a thorough account of the opportunities and risks of foundation models, ranging from their capabilities (e.g., language, vision, robotics, reasoning, human interaction) and technical principles(e.g., model architectures, training procedures, data, systems, security, evaluation, theory) to their applications (e.g., law, healthcare, education) and societal impact (e.g., inequity, misuse, economic and environmental impact, legal and ethical considerations). Though foundation models are based on standard deep learning and transfer learning, their scale results in new emergent capabilities,and their effectiveness across so many tasks incentivizes homogenization. Homogenization provides powerful leverage but demands caution, as the defects of the foundation model are inherited by all the adapted models downstream. Despite the impending widespread deployment of foundation models, we currently lack a clear understanding of how they work, when they fail, and what they are even capable of due to their emergent properties. To tackle these questions, we believe much of the critical research on foundation models will require deep interdisciplinary collaboration commensurate with their fundamentally sociotechnical nature.

As large language models increase in capability, researchers have started to conduct surveys of all kinds on these models with varying scientific motivations. In this work, we examine what we can learn from a model's survey responses on the basis of the well-established American Community Survey (ACS) by the U.S. Census Bureau. Evaluating more than a dozen different models, varying in size from a few hundred million to ten billion parameters, hundreds of thousands of times each on questions from the ACS, we systematically establish two dominant patterns. First, smaller models have a significant position and labeling bias, for example, towards survey responses labeled with the letter "A". This A-bias diminishes, albeit slowly, as model size increases. Second, when adjusting for this labeling bias through randomized answer ordering, models still do not trend toward US population statistics or those of any cognizable population. Rather, models across the board trend toward uniformly random aggregate statistics over survey responses. This pattern is robust to various different ways of prompting the model, including what is the de-facto standard. Our findings demonstrate that aggregate statistics of a language model's survey responses lack the signals found in human populations. This absence of statistical signal cautions about the use of survey responses from large language models at present time.

A variety of recent papers discuss the application of Shapley values, a concept for explaining coalitional games, for feature attribution in machine learning. However, the correct way to connect a machine learning model to a coalitional game has been a source of controversy. The two main approaches that have been proposed differ in the way that they condition on known features, using either (1) an interventional or (2) an observational conditional expectation. While previous work has argued that one of the two approaches is preferable in general, we argue that the choice is application dependent. Furthermore, we argue that the choice comes down to whether it is desirable to be true to the model or true to the data. We use linear models to investigate this choice. After deriving an efficient method for calculating observational conditional expectation Shapley values for linear models, we investigate how correlation in simulated data impacts the convergence of observational conditional expectation Shapley values. Finally, we present two real data examples that we consider to be representative of possible use cases for feature attribution -- (1) credit risk modeling and (2) biological discovery. We show how a different choice of value function performs better in each scenario, and how possible attributions are impacted by modeling choices.

We study the problem of estimating the distribution of the return of a policy using an offline dataset that is not generated from the policy, i.e., distributional offline policy evaluation (OPE). We propose an algorithm called Fitted Likelihood Estimation (FLE), which conducts a sequence of Maximum Likelihood Estimation (MLE) and has the flexibility of integrating any state-of-the-art probabilistic generative models as long as it can be trained via MLE. FLE can be used for both finite-horizon and infinite-horizon discounted settings where rewards can be multi-dimensional vectors. Our theoretical results show that for both finite-horizon and infinite-horizon discounted settings, FLE can learn distributions that are close to the ground truth under total variation distance and Wasserstein distance, respectively. Our theoretical results hold under the conditions that the offline data covers the test policy's traces and that the supervised learning MLE procedures succeed. Experimentally, we demonstrate the performance of FLE with two generative models, Gaussian mixture models and diffusion models. For the multi-dimensional reward setting, FLE with diffusion models is capable of estimating the complicated distribution of the return of a test policy.

There has been considerable recent interest in scoring properties on the basis of eviction risk. The success of methods for eviction prediction is typically evaluated using different measures of predictive accuracy. However, the underlying goal of such prediction is to direct appropriate assistance to households that may be at greater risk so they remain stably housed. Thus, we must ask the question of how useful such predictions are in targeting outreach efforts - informing action. In this paper, we investigate this question using a novel dataset that matches information on properties, evictions, and owners. We perform an eviction prediction task to produce risk scores and then use these risk scores to plan targeted outreach policies. We show that the risk scores are, in fact, useful, enabling a theoretical team of caseworkers to reach more eviction-prone properties in the same amount of time, compared to outreach policies that are either neighborhood-based or focus on buildings with a recent history of evictions. We also discuss the importance of neighborhood and ownership features in both risk prediction and targeted outreach.

Many empirical studies of labor market questions rely on estimating relatively simple predictive models using small, carefully constructed longitudinal survey datasets based on hand-engineered features. Large Language Models (LLMs), trained on massive datasets, encode vast quantities of world knowledge and can be used for the next job prediction problem. However, while an off-the-shelf LLM produces plausible career trajectories when prompted, the probability with which an LLM predicts a particular job transition conditional on career history will not, in general, align with the true conditional probability in a given population. Recently, Vafa et al. (2024) introduced a transformer-based "foundation model", CAREER, trained using a large, unrepresentative resume dataset, that predicts transitions between jobs; it further demonstrated how transfer learning techniques can be used to leverage the foundation model to build better predictive models of both transitions and wages that reflect conditional transition probabilities found in nationally representative survey datasets. This paper considers an alternative where the fine-tuning of the CAREER foundation model is replaced by fine-tuning LLMs. For the task of next job prediction, we demonstrate that models trained with our approach outperform several alternatives in terms of predictive performance on the survey data, including traditional econometric models, CAREER, and LLMs with in-context learning, even though the LLM can in principle predict job titles that are not allowed in the survey data. Further, we show that our fine-tuned LLM-based models' predictions are more representative of the career trajectories of various workforce subpopulations than off-the-shelf LLM models and CAREER. We conduct experiments and analyses that highlight the sources of the gains in the performance of our models for representative predictions.

Large language models (LLMs) have the potential to transform the practice of law, but this potential is threatened by the presence of legal hallucinations -- responses from these models that are not consistent with legal facts. We investigate the extent of these hallucinations using an original suite of legal queries, comparing LLMs' responses to structured legal metadata and examining their consistency. Our work makes four key contributions: (1) We develop a typology of legal hallucinations, providing a conceptual framework for future research in this area. (2) We find that legal hallucinations are alarmingly prevalent, occurring between 69% of the time with ChatGPT 3.5 and 88% with Llama 2, when these models are asked specific, verifiable questions about random federal court cases. (3) We illustrate that LLMs often fail to correct a user's incorrect legal assumptions in a contra-factual question setup. (4) We provide evidence that LLMs cannot always predict, or do not always know, when they are producing legal hallucinations. Taken together, these findings caution against the rapid and unsupervised integration of popular LLMs into legal tasks. Even experienced lawyers must remain wary of legal hallucinations, and the risks are highest for those who stand to benefit from LLMs the most -- pro se litigants or those without access to traditional legal resources.

Identifying how much a model {p}_{theta}(Y|X) knows about the stochastic real-world process p(Y|X) it was trained on is important to ensure it avoids producing incorrect or "hallucinated" answers or taking unsafe actions. But this is difficult for generative models because probabilistic predictions do not distinguish between per-response noise (aleatoric uncertainty) and lack of knowledge about the process (epistemic uncertainty), and existing epistemic uncertainty quantification techniques tend to be overconfident when the model underfits. We propose a general strategy for teaching a model to both approximate p(Y|X) and also estimate the remaining gaps between {p}_{theta}(Y|X) and p(Y|X): train it to predict pairs of independent responses drawn from the true conditional distribution, allow it to "cheat" by observing one response while predicting the other, then measure how much it cheats. Remarkably, we prove that being good at cheating (i.e. cheating whenever it improves your prediction) is equivalent to being second-order calibrated, a principled extension of ordinary calibration that allows us to construct provably-correct frequentist confidence intervals for p(Y|X) and detect incorrect responses with high probability. We demonstrate empirically that our approach accurately estimates how much models don't know across ambiguous image classification, (synthetic) language modeling, and partially-observable navigation tasks, outperforming existing techniques.

Large language models (LLMs), including both proprietary and open-source models, have showcased remarkable capabilities in addressing a wide range of downstream tasks. Nonetheless, when it comes to practical Chinese legal tasks, these models fail to meet the actual requirements. Proprietary models do not ensure data privacy for sensitive legal cases, while open-source models demonstrate unsatisfactory performance due to their lack of legal knowledge. To address this problem, we introduce LawGPT, the first open-source model specifically designed for Chinese legal applications. LawGPT comprises two key components: legal-oriented pre-training and legal supervised fine-tuning. Specifically, we employ large-scale Chinese legal documents for legal-oriented pre-training to incorporate legal domain knowledge. To further improve the model's performance on downstream legal tasks, we create a knowledge-driven instruction dataset for legal supervised fine-tuning. Our experimental results demonstrate that LawGPT outperforms the open-source LLaMA 7B model. Our code and resources are publicly available at https://github.com/pengxiao-song/LaWGPT and have received 5.7K stars on GitHub.

Much recent work seeks to evaluate values and opinions in large language models (LLMs) using multiple-choice surveys and questionnaires. Most of this work is motivated by concerns around real-world LLM applications. For example, politically-biased LLMs may subtly influence society when they are used by millions of people. Such real-world concerns, however, stand in stark contrast to the artificiality of current evaluations: real users do not typically ask LLMs survey questions. Motivated by this discrepancy, we challenge the prevailing constrained evaluation paradigm for values and opinions in LLMs and explore more realistic unconstrained evaluations. As a case study, we focus on the popular Political Compass Test (PCT). In a systematic review, we find that most prior work using the PCT forces models to comply with the PCT's multiple-choice format. We show that models give substantively different answers when not forced; that answers change depending on how models are forced; and that answers lack paraphrase robustness. Then, we demonstrate that models give different answers yet again in a more realistic open-ended answer setting. We distill these findings into recommendations and open challenges in evaluating values and opinions in LLMs.

Large language models (LLMs) have demonstrated remarkable capabilities in generating human-like text and exhibiting personality traits similar to those in humans. However, the mechanisms by which LLMs encode and express traits such as agreeableness and impulsiveness remain poorly understood. Drawing on the theory of social determinism, we investigate how long-term background factors, such as family environment and cultural norms, interact with short-term pressures like external instructions, shaping and influencing LLMs' personality traits. By steering the output of LLMs through the utilization of interpretable features within the model, we explore how these background and pressure factors lead to changes in the model's traits without the need for further fine-tuning. Additionally, we suggest the potential impact of these factors on model safety from the perspective of personality.

We present a novel Transformer-based multi-agent system for simulating the judicial rulings of the 2010-2016 Supreme Court of the United States. We train nine separate models with the respective authored opinions of each supreme justice active ca. 2015 and test the resulting system on 96 real-world cases. We find our system predicts the decisions of the real-world Supreme Court with better-than-random accuracy. We further find a correlation between model accuracy with respect to individual justices and their alignment between legal conservatism & liberalism. Our methods and results hold significance for researchers interested in using language models to simulate politically-charged discourse between multiple agents.

Reinforcement learning (RL) has been widely adopted in post-training for large language models (LLMs) at scale. Recently, the incentivization of reasoning capabilities in LLMs from RL indicates that proper learning methods could enable effective inference-time scalability. A key challenge of RL is to obtain accurate reward signals for LLMs in various domains beyond verifiable questions or artificial rules. In this work, we investigate how to improve reward modeling (RM) with more inference compute for general queries, i.e. the inference-time scalability of generalist RM, and further, how to improve the effectiveness of performance-compute scaling with proper learning methods. For the RM approach, we adopt pointwise generative reward modeling (GRM) to enable flexibility for different input types and potential for inference-time scaling. For the learning method, we propose Self-Principled Critique Tuning (SPCT) to foster scalable reward generation behaviors in GRMs through online RL, to generate principles adaptively and critiques accurately, resulting in DeepSeek-GRM models. Furthermore, for effective inference-time scaling, we use parallel sampling to expand compute usage, and introduce a meta RM to guide voting process for better scaling performance. Empirically, we show that SPCT significantly improves the quality and scalability of GRMs, outperforming existing methods and models in various RM benchmarks without severe biases, and could achieve better performance compared to training-time scaling. DeepSeek-GRM still meets challenges in some tasks, which we believe can be addressed by future efforts in generalist reward systems. The models will be released and open-sourced.

The rapid advancement of large models, driven by their exceptional abilities in learning and generalization through large-scale pre-training, has reshaped the landscape of Artificial Intelligence (AI). These models are now foundational to a wide range of applications, including conversational AI, recommendation systems, autonomous driving, content generation, medical diagnostics, and scientific discovery. However, their widespread deployment also exposes them to significant safety risks, raising concerns about robustness, reliability, and ethical implications. This survey provides a systematic review of current safety research on large models, covering Vision Foundation Models (VFMs), Large Language Models (LLMs), Vision-Language Pre-training (VLP) models, Vision-Language Models (VLMs), Diffusion Models (DMs), and large-model-based Agents. Our contributions are summarized as follows: (1) We present a comprehensive taxonomy of safety threats to these models, including adversarial attacks, data poisoning, backdoor attacks, jailbreak and prompt injection attacks, energy-latency attacks, data and model extraction attacks, and emerging agent-specific threats. (2) We review defense strategies proposed for each type of attacks if available and summarize the commonly used datasets and benchmarks for safety research. (3) Building on this, we identify and discuss the open challenges in large model safety, emphasizing the need for comprehensive safety evaluations, scalable and effective defense mechanisms, and sustainable data practices. More importantly, we highlight the necessity of collective efforts from the research community and international collaboration. Our work can serve as a useful reference for researchers and practitioners, fostering the ongoing development of comprehensive defense systems and platforms to safeguard AI models.

Large Language Models (LLMs) have demonstrated impressive capabilities in generating fluent text, as well as tendencies to reproduce undesirable social biases. This study investigates whether LLMs reproduce the moral biases associated with political groups in the United States, an instance of a broader capability herein termed moral mimicry. This hypothesis is explored in the GPT-3/3.5 and OPT families of Transformer-based LLMs. Using tools from Moral Foundations Theory, it is shown that these LLMs are indeed moral mimics. When prompted with a liberal or conservative political identity, the models generate text reflecting corresponding moral biases. This study also explores the relationship between moral mimicry and model size, and similarity between human and LLM moral word use.

Large Language Models are trained on vast amounts of text from the internet, which contains both factual and misleading information about the world. Can language models discern truth from falsehood in this contradicting data? Expanding on the view that LLMs can model different agents producing the corpora, we hypothesize that they can cluster truthful text by modeling a truthful persona: a group of agents that are likely to produce truthful text and share similar features. For example, trustworthy sources like Wikipedia and Science usually use formal writing styles and make consistent claims. By modeling this persona, LLMs can generalize truthfulness beyond the specific contexts in which each agent generated the training text. For example, the model can infer that the agent "Wikipedia" will behave truthfully on topics that were only generated by "Science" because they share a persona. We first show evidence for the persona hypothesis via two observations: (1) we can probe whether a model's answer will be truthful before it is generated; (2) finetuning a model on a set of facts improves its truthfulness on unseen topics. Next, using arithmetics as a synthetic environment, we show that language models can separate true and false statements, and generalize truthfulness across agents; but only if agents in the training data share a truthful generative process that enables the creation of a truthful persona. Overall, our findings suggest that models can exploit hierarchical structures in the data to learn abstract concepts like truthfulness.

Foundation models pretrained on diverse data at scale have demonstrated extraordinary capabilities in a wide range of vision and language tasks. When such models are deployed in real world environments, they inevitably interface with other entities and agents. For example, language models are often used to interact with human beings through dialogue, and visual perception models are used to autonomously navigate neighborhood streets. In response to these developments, new paradigms are emerging for training foundation models to interact with other agents and perform long-term reasoning. These paradigms leverage the existence of ever-larger datasets curated for multimodal, multitask, and generalist interaction. Research at the intersection of foundation models and decision making holds tremendous promise for creating powerful new systems that can interact effectively across a diverse range of applications such as dialogue, autonomous driving, healthcare, education, and robotics. In this manuscript, we examine the scope of foundation models for decision making, and provide conceptual tools and technical background for understanding the problem space and exploring new research directions. We review recent approaches that ground foundation models in practical decision making applications through a variety of methods such as prompting, conditional generative modeling, planning, optimal control, and reinforcement learning, and discuss common challenges and open problems in the field.

The rapid advancement and widespread use of large language models (LLMs) have raised significant concerns regarding the potential leakage of personally identifiable information (PII). These models are often trained on vast quantities of web-collected data, which may inadvertently include sensitive personal data. This paper presents ProPILE, a novel probing tool designed to empower data subjects, or the owners of the PII, with awareness of potential PII leakage in LLM-based services. ProPILE lets data subjects formulate prompts based on their own PII to evaluate the level of privacy intrusion in LLMs. We demonstrate its application on the OPT-1.3B model trained on the publicly available Pile dataset. We show how hypothetical data subjects may assess the likelihood of their PII being included in the Pile dataset being revealed. ProPILE can also be leveraged by LLM service providers to effectively evaluate their own levels of PII leakage with more powerful prompts specifically tuned for their in-house models. This tool represents a pioneering step towards empowering the data subjects for their awareness and control over their own data on the web.

An empirical investigation into the simulation of the Big Five personality traits by large language models (LLMs), namely Llama2, GPT4, and Mixtral, is presented. We analyze the personality traits simulated by these models and their stability. This contributes to the broader understanding of the capabilities of LLMs to simulate personality traits and the respective implications for personalized human-computer interaction.

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

A desired closure property in Bayesian probability is that an updated posterior distribution be in the same class of distributions --- say Gaussians --- as the prior distribution. When the updating takes place via a statistical model, one calls the class of prior distributions the `conjugate priors' of the model. This paper gives (1) an abstract formulation of this notion of conjugate prior, using channels, in a graphical language, (2) a simple abstract proof that such conjugate priors yield Bayesian inversions, and (3) a logical description of conjugate priors that highlights the required closure of the priors under updating. The theory is illustrated with several standard examples, also covering multiple updating.

Implicit Personalization (IP) is a phenomenon of language models inferring a user's background from the implicit cues in the input prompts and tailoring the response based on this inference. While previous work has touched upon various instances of this problem, there lacks a unified framework to study this behavior. This work systematically studies IP through a rigorous mathematical formulation, a multi-perspective moral reasoning framework, and a set of case studies. Our theoretical foundation for IP relies on a structural causal model and introduces a novel method, indirect intervention, to estimate the causal effect of a mediator variable that cannot be directly intervened upon. Beyond the technical approach, we also introduce a set of moral reasoning principles based on three schools of moral philosophy to study when IP may or may not be ethically appropriate. Equipped with both mathematical and ethical insights, we present three diverse case studies illustrating the varied nature of the IP problem and offer recommendations for future research. Our code and data are at https://github.com/jiarui-liu/IP.

Recent advancements in large language models (LLMs) have substantially enhanced their mathematical reasoning abilities. However, these models still struggle with complex problems that require multiple reasoning steps, frequently leading to logical or numerical errors. While numerical mistakes can be largely addressed by integrating a code interpreter, identifying logical errors within intermediate steps is more challenging. Moreover, manually annotating these steps for training is not only expensive but also labor-intensive, requiring the expertise of professional annotators. In our study, we introduce an innovative approach that bypasses the need for process annotations (from human or GPTs) by utilizing the Monte Carlo Tree Search (MCTS) framework. This technique automatically generates both the process supervision and the step-level evaluation signals. Our method iteratively trains the policy and value models, leveraging the capabilities of a well-pretrained LLM to progressively enhance its mathematical reasoning skills. Furthermore, we propose an efficient inference strategy-step-level beam search, where the value model is crafted to assist the policy model (i.e., LLM) in navigating more effective reasoning paths, rather than solely relying on prior probabilities. The experimental results on both in-domain and out-of-domain datasets demonstrate that even without GPT-4 or human-annotated process supervision, our AlphaMath framework achieves comparable or superior results to previous state-of-the-art methods.

This work provides an explanatory view of how LLMs can apply moral reasoning to both criticize and defend sexist language. We assessed eight large language models, all of which demonstrated the capability to provide explanations grounded in varying moral perspectives for both critiquing and endorsing views that reflect sexist assumptions. With both human and automatic evaluation, we show that all eight models produce comprehensible and contextually relevant text, which is helpful in understanding diverse views on how sexism is perceived. Also, through analysis of moral foundations cited by LLMs in their arguments, we uncover the diverse ideological perspectives in models' outputs, with some models aligning more with progressive or conservative views on gender roles and sexism. Based on our observations, we caution against the potential misuse of LLMs to justify sexist language. We also highlight that LLMs can serve as tools for understanding the roots of sexist beliefs and designing well-informed interventions. Given this dual capacity, it is crucial to monitor LLMs and design safety mechanisms for their use in applications that involve sensitive societal topics, such as sexism.

This paper develops an agentic framework that employs large language models (LLMs) to automate the generation of persuasive and grounded marketing content, using real estate listing descriptions as our focal application domain. Our method is designed to align the generated content with user preferences while highlighting useful factual attributes. This agent consists of three key modules: (1) Grounding Module, mimicking expert human behavior to predict marketable features; (2) Personalization Module, aligning content with user preferences; (3) Marketing Module, ensuring factual accuracy and the inclusion of localized features. We conduct systematic human-subject experiments in the domain of real estate marketing, with a focus group of potential house buyers. The results demonstrate that marketing descriptions generated by our approach are preferred over those written by human experts by a clear margin. Our findings suggest a promising LLM-based agentic framework to automate large-scale targeted marketing while ensuring responsible generation using only facts.

Recent advances in generative models, including large language models (LLMs), vision language models (VLMs), and diffusion models, have accelerated the field of natural language and image processing in medicine and marked a significant paradigm shift in how biomedical models can be developed and deployed. While these models are highly adaptable to new tasks, scaling and evaluating their usage presents new challenges not addressed in previous frameworks. In particular, the ability of these models to produce useful outputs with little to no specialized training data ("zero-" or "few-shot" approaches), as well as the open-ended nature of their outputs, necessitate the development of new guidelines for robust reporting of clinical generative model research. In response to gaps in standards and best practices for the development of clinical AI tools identified by US Executive Order 141103 and several emerging national networks for clinical AI evaluation, we begin to formalize some of these guidelines by building on the original MI-CLAIM checklist. The new checklist, MI-CLAIM-GEN (Table 1), aims to address differences in training, evaluation, interpretability, and reproducibility of new generative models compared to non-generative ("predictive") AI models. This MI-CLAIM-GEN checklist also seeks to clarify cohort selection reporting with unstructured clinical data and adds additional items on alignment with ethical standards for clinical AI research.

Inverse reinforcement learning (IRL) aims to infer an agent's preferences (represented as a reward function R) from their behaviour (represented as a policy pi). To do this, we need a behavioural model of how pi relates to R. In the current literature, the most common behavioural models are optimality, Boltzmann-rationality, and causal entropy maximisation. However, the true relationship between a human's preferences and their behaviour is much more complex than any of these behavioural models. This means that the behavioural models are misspecified, which raises the concern that they may lead to systematic errors if applied to real data. In this paper, we analyse how sensitive the IRL problem is to misspecification of the behavioural model. Specifically, we provide necessary and sufficient conditions that completely characterise how the observed data may differ from the assumed behavioural model without incurring an error above a given threshold. In addition to this, we also characterise the conditions under which a behavioural model is robust to small perturbations of the observed policy, and we analyse how robust many behavioural models are to misspecification of their parameter values (such as e.g.\ the discount rate). Our analysis suggests that the IRL problem is highly sensitive to misspecification, in the sense that very mild misspecification can lead to very large errors in the inferred reward function.

This paper presents a case study on the design, administration, post-processing, and evaluation of surveys on large language models (LLMs). It comprises two components: (1) A statistical method for eliciting beliefs encoded in LLMs. We introduce statistical measures and evaluation metrics that quantify the probability of an LLM "making a choice", the associated uncertainty, and the consistency of that choice. (2) We apply this method to study what moral beliefs are encoded in different LLMs, especially in ambiguous cases where the right choice is not obvious. We design a large-scale survey comprising 680 high-ambiguity moral scenarios (e.g., "Should I tell a white lie?") and 687 low-ambiguity moral scenarios (e.g., "Should I stop for a pedestrian on the road?"). Each scenario includes a description, two possible actions, and auxiliary labels indicating violated rules (e.g., "do not kill"). We administer the survey to 28 open- and closed-source LLMs. We find that (a) in unambiguous scenarios, most models "choose" actions that align with commonsense. In ambiguous cases, most models express uncertainty. (b) Some models are uncertain about choosing the commonsense action because their responses are sensitive to the question-wording. (c) Some models reflect clear preferences in ambiguous scenarios. Specifically, closed-source models tend to agree with each other.

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.

The remarkable abilities of large language models (LLMs) like GPT-4 partially stem from post-training processes like Reinforcement Learning from Human Feedback (RLHF) involving human preferences encoded in a reward model. However, these reward models (RMs) often lack direct knowledge of why, or under what principles, the preferences annotations were made. In this study, we identify principles that guide RMs to better align with human preferences, and then develop an axiomatic framework to generate a rich variety of preference signals to uphold them. We use these axiomatic signals to train a model for scoring answers to longform questions. Our approach yields a Preference Model with only about 220M parameters that agrees with gold human-annotated preference labels more often than GPT-4. The contributions of this work include: training a standalone preference model that can score human- and LLM-generated answers on the same scale; developing an axiomatic framework for generating training data pairs tailored to certain principles; and showing that a small amount of axiomatic signals can help small models outperform GPT-4 in preference scoring. We release our model on huggingface: https://huggingface.co/corbyrosset/axiomatic_preference_model

Large Language Models (LLMs) have significantly advanced legal intelligence, but the scarcity of scenario data impedes the progress toward interactive legal scenarios. This paper introduces a Multi-agent Legal Simulation Driver (MASER) to scalably generate synthetic data by simulating interactive legal scenarios. Leveraging real-legal case sources, MASER ensures the consistency of legal attributes between participants and introduces a supervisory mechanism to align participants' characters and behaviors as well as addressing distractions. A Multi-stage Interactive Legal Evaluation (MILE) benchmark is further constructed to evaluate LLMs' performance in dynamic legal scenarios. Extensive experiments confirm the effectiveness of our framework.

Artificial intelligence (AI) is widely deployed to solve problems related to marketing attribution and budget optimization. However, AI models can be quite complex, and it can be difficult to understand model workings and insights without extensive implementation teams. In principle, recently developed large language models (LLMs), like GPT-4, can be deployed to provide marketing insights, reducing the time and effort required to make critical decisions. In practice, there are substantial challenges that need to be overcome to reliably use such models. We focus on domain-specific question-answering, SQL generation needed for data retrieval, and tabular analysis and show how a combination of semantic search, prompt engineering, and fine-tuning can be applied to dramatically improve the ability of LLMs to execute these tasks accurately. We compare both proprietary models, like GPT-4, and open-source models, like Llama-2-70b, as well as various embedding methods. These models are tested on sample use cases specific to marketing mix modeling and attribution.

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.

High-precision modeling of systems is one of the main areas of industrial data analysis. Models of systems, their digital twins, are used to predict their behavior under various conditions. We have developed several models of a storage system using machine learning-based generative models. The system consists of several components: hard disk drive (HDD) and solid-state drive (SSD) storage pools with different RAID schemes and cache. Each storage component is represented by a probabilistic model that describes the probability distribution of the component performance in terms of IOPS and latency, depending on their configuration and external data load parameters. The results of the experiments demonstrate the errors of 4-10 % for IOPS and 3-16 % for latency predictions depending on the components and models of the system. The predictions show up to 0.99 Pearson correlation with Little's law, which can be used for unsupervised reliability checks of the models. In addition, we present novel data sets that can be used for benchmarking regression algorithms, conditional generative models, and uncertainty estimation methods in machine learning.

Understanding how language model performance varies with scale is critical to benchmark and algorithm development. Scaling laws are one approach to building this understanding, but the requirement of training models across many different scales has limited their use. We propose an alternative, observational approach that bypasses model training and instead builds scaling laws from ~80 publically available models. Building a single scaling law from multiple model families is challenging due to large variations in their training compute efficiencies and capabilities. However, we show that these variations are consistent with a simple, generalized scaling law where language model performance is a function of a low-dimensional capability space, and model families only vary in their efficiency in converting training compute to capabilities. Using this approach, we show the surprising predictability of complex scaling phenomena: we show that several emergent phenomena follow a smooth, sigmoidal behavior and are predictable from small models; we show that the agent performance of models such as GPT-4 can be precisely predicted from simpler non-agentic benchmarks; and we show how to predict the impact of post-training interventions like Chain-of-Thought and Self-Consistency as language model capabilities continue to improve.

Reward models are critical for aligning models to follow instructions, and are typically trained following one of two popular paradigms: Bradley-Terry style or Regression style. However, there is a lack of evidence that either approach is better than the other, when adequately matched for data. This is primarily because these approaches require data collected in different (but incompatible) formats, meaning that adequately matched data is not available in existing public datasets. To tackle this problem, we release preference annotations (designed for Bradley-Terry training) to complement existing ratings (designed for Regression style training) in the HelpSteer2 dataset. To improve data interpretability, preference annotations are accompanied with human-written justifications. Using this data, we conduct the first head-to-head comparison of Bradley-Terry and Regression models when adequately matched for data. Based on insights derived from such a comparison, we propose a novel approach to combine Bradley-Terry and Regression reward modeling. A Llama-3.1-70B-Instruct model tuned with this approach scores 94.1 on RewardBench, emerging top of more than 140 reward models as of 1 Oct 2024. We also demonstrate the effectiveness of this reward model at aligning models to follow instructions in RLHF. We open-source this dataset (CC-BY-4.0 license) at https://huggingface.co/datasets/nvidia/HelpSteer2 and openly release the trained Reward Model at https://huggingface.co/nvidia/Llama-3.1-Nemotron-70B-Reward

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.

Hamiltonian Monte Carlo (HMC) is a powerful algorithm to sample latent variables from Bayesian models. The advent of probabilistic programming languages (PPLs) frees users from writing inference algorithms and lets users focus on modeling. However, many models are difficult for HMC to solve directly, and often require tricks like model reparameterization. We are motivated by the fact that many of those models could be simplified by marginalization. We propose to use automatic marginalization as part of the sampling process using HMC in a graphical model extracted from a PPL, which substantially improves sampling from real-world hierarchical models.

Despite their tremendous success in many applications, large language models often fall short of consistent reasoning and planning in various (language, embodied, and social) scenarios, due to inherent limitations in their inference, learning, and modeling capabilities. In this position paper, we present a new perspective of machine reasoning, LAW, that connects the concepts of Language models, Agent models, and World models, for more robust and versatile reasoning capabilities. In particular, we propose that world and agent models are a better abstraction of reasoning, that introduces the crucial elements of deliberate human-like reasoning, including beliefs about the world and other agents, anticipation of consequences, goals/rewards, and strategic planning. Crucially, language models in LAW serve as a backend to implement the system or its elements and hence provide the computational power and adaptability. We review the recent studies that have made relevant progress and discuss future research directions towards operationalizing the LAW framework.

Generative models aim to simulate realistic effects of various actions across different contexts, from text generation to visual effects. Despite significant efforts to build real-world simulators, the application of generative models to virtual worlds, like financial markets, remains under-explored. In financial markets, generative models can simulate complex market effects of participants with various behaviors, enabling interaction under different market conditions, and training strategies without financial risk. This simulation relies on the finest structured data in financial market like orders thus building the finest realistic simulation. We propose Large Market Model (LMM), an order-level generative foundation model, for financial market simulation, akin to language modeling in the digital world. Our financial Market Simulation engine (MarS), powered by LMM, addresses the domain-specific need for realistic, interactive and controllable order generation. Key observations include LMM's strong scalability across data size and model complexity, and MarS's robust and practicable realism in controlled generation with market impact. We showcase MarS as a forecast tool, detection system, analysis platform, and agent training environment, thus demonstrating MarS's "paradigm shift" potential for a variety of financial applications. We release the code of MarS at https://github.com/microsoft/MarS/.

Manual curation of evaluation datasets is struggling to keep up with the rapidly expanding capabilities and deployment scenarios of language models. Towards scalable model profiling, we introduce and validate a framework for evaluating LLMs, called Adaptive Evaluations. Adaptive evaluations use scaffolded language models (evaluator agents) to search through a target model's behavior on a domain dataset and create difficult questions (tasks) that can discover and probe the model's failure modes. We find that frontier models lack consistency when adaptively probed with our framework on a diverse suite of datasets and tasks, including but not limited to legal reasoning, forecasting, and online harassment. Generated questions pass human validity checks and often transfer to other models with different capability profiles, demonstrating that adaptive evaluations can also be used to create difficult domain-specific datasets.

With the widespread availability of LLMs since the release of ChatGPT and increased public scrutiny, commercial model development appears to have focused their efforts on 'safety' training concerning legal liabilities at the expense of social impact evaluation. This mimics a similar trend which we could observe for search engine autocompletion some years prior. We draw on scholarship from NLP and search engine auditing and present a novel evaluation task in the style of autocompletion prompts to assess stereotyping in LLMs. We assess LLMs by using four metrics, namely refusal rates, toxicity, sentiment and regard, with and without safety system prompts. Our findings indicate an improvement to stereotyping outputs with the system prompt, but overall a lack of attention by LLMs under study to certain harms classified as toxic, particularly for prompts about peoples/ethnicities and sexual orientation. Mentions of intersectional identities trigger a disproportionate amount of stereotyping. Finally, we discuss the implications of these findings about stereotyping harms in light of the coming intermingling of LLMs and search and the choice of stereotyping mitigation policy to adopt. We address model builders, academics, NLP practitioners and policy makers, calling for accountability and awareness concerning stereotyping harms, be it for training data curation, leader board design and usage, or social impact measurement.

The recent rapid progress in (self) supervised learning models is in large part predicted by empirical scaling laws: a model's performance scales proportionally to its size. Analogous scaling laws remain elusive for reinforcement learning domains, however, where increasing the parameter count of a model often hurts its final performance. In this paper, we demonstrate that incorporating Mixture-of-Expert (MoE) modules, and in particular Soft MoEs (Puigcerver et al., 2023), into value-based networks results in more parameter-scalable models, evidenced by substantial performance increases across a variety of training regimes and model sizes. This work thus provides strong empirical evidence towards developing scaling laws for reinforcement learning.

Large language models are powerful systems that excel at many tasks, ranging from translation to mathematical reasoning. Yet, at the same time, these models often show unhuman-like characteristics. In the present paper, we address this gap and ask whether large language models can be turned into cognitive models. We find that -- after finetuning them on data from psychological experiments -- these models offer accurate representations of human behavior, even outperforming traditional cognitive models in two decision-making domains. In addition, we show that their representations contain the information necessary to model behavior on the level of individual subjects. Finally, we demonstrate that finetuning on multiple tasks enables large language models to predict human behavior in a previously unseen task. Taken together, these results suggest that large, pre-trained models can be adapted to become generalist cognitive models, thereby opening up new research directions that could transform cognitive psychology and the behavioral sciences as a whole.

Predictable behavior from scaling advanced AI systems is an extremely desirable property. Although a well-established literature exists on how pretraining performance scales, the literature on how particular downstream capabilities scale is significantly muddier. In this work, we take a step back and ask: why has predicting specific downstream capabilities with scale remained elusive? While many factors are certainly responsible, we identify a new factor that makes modeling scaling behavior on widely used multiple-choice question-answering benchmarks challenging. Using five model families and twelve well-established multiple-choice benchmarks, we show that downstream performance is computed from negative log likelihoods via a sequence of transformations that progressively degrade the statistical relationship between performance and scale. We then reveal the mechanism causing this degradation: downstream metrics require comparing the correct choice against a small number of specific incorrect choices, meaning accurately predicting downstream capabilities requires predicting not just how probability mass concentrates on the correct choice with scale, but also how probability mass fluctuates on specific incorrect choices with scale. We empirically study how probability mass on the correct choice co-varies with probability mass on incorrect choices with increasing compute, suggesting that scaling laws for incorrect choices might be achievable. Our work also explains why pretraining scaling laws are commonly regarded as more predictable than downstream capabilities and contributes towards establishing scaling-predictable evaluations of frontier AI models.

Large language models (LLMs) are trained from vast repositories of text authored by millions of distinct authors, reflecting an enormous diversity of human traits. While these models bear the potential to be used as approximations of human subjects in behavioral studies, prior efforts have been limited in steering model responses to match individual human users. In this work, we introduce "Anthology", a method for conditioning LLMs to particular virtual personas by harnessing open-ended life narratives, which we refer to as "backstories." We show that our methodology enhances the consistency and reliability of experimental outcomes while ensuring better representation of diverse sub-populations. Across three nationally representative human surveys conducted as part of Pew Research Center's American Trends Panel (ATP), we demonstrate that Anthology achieves up to 18% improvement in matching the response distributions of human respondents and 27% improvement in consistency metrics. Our code and generated backstories are available at https://github.com/CannyLab/anthology.

If machine learning models were to achieve superhuman abilities at various reasoning or decision-making tasks, how would we go about evaluating such models, given that humans would necessarily be poor proxies for ground truth? In this paper, we propose a framework for evaluating superhuman models via consistency checks. Our premise is that while the correctness of superhuman decisions may be impossible to evaluate, we can still surface mistakes if the model's decisions fail to satisfy certain logical, human-interpretable rules. We instantiate our framework on three tasks where correctness of decisions is hard to evaluate due to either superhuman model abilities, or to otherwise missing ground truth: evaluating chess positions, forecasting future events, and making legal judgments. We show that regardless of a model's (possibly superhuman) performance on these tasks, we can discover logical inconsistencies in decision making. For example: a chess engine assigning opposing valuations to semantically identical boards; GPT-4 forecasting that sports records will evolve non-monotonically over time; or an AI judge assigning bail to a defendant only after we add a felony to their criminal record.

Medical language models (MLMs) have become pivotal in advancing medical natural language processing. However, prior models that rely on pre-training or supervised fine-tuning often exhibit low data efficiency and limited practicality in real-world clinical applications. While OpenAIs O1 highlights test-time scaling in mathematics, attempts to replicate this approach in medicine typically distill responses from GPT-series models to open-source models, focusing primarily on multiple-choice tasks. This strategy, though straightforward, neglects critical concerns like data privacy and realistic deployment in clinical settings. In this work, we present a deployable, small-scale medical language model, \mone, designed for long-chain reasoning in clinical tasks using a self-evolution paradigm. Starting with a seed dataset of around 8,000 instances spanning five domains and 16 datasets, we prompt a base policy model to perform Monte Carlo Tree Search (MCTS) to construct verifiable reasoning chains. Each reasoning step is assigned an evolution rollout value, allowing verified trajectories to train the policy model and the reward model. During inference, the policy model generates multiple responses, and the reward model selects the one with the highest reward score. Experiments on eleven evaluation datasets demonstrate that \mone outperforms prior open-source models by 2 points, with the addition of the reward model further boosting performance (sim13 points), surpassing GPT-4o-mini. Code and data are available at https://github.com/pixas/MedSSS.

The emergent phenomena of large foundation models have revolutionized natural language processing. However, evaluating these models presents significant challenges due to their size, capabilities, and deployment across diverse applications. Existing literature often focuses on individual aspects, such as benchmark performance or specific tasks, but fails to provide a cohesive process that integrates the nuances of diverse use cases with broader ethical and operational considerations. This work focuses on three key aspects: (1) Formalizing the Evaluation Process by providing a structured framework tailored to specific use-case contexts, (2) Offering Actionable Tools and Frameworks such as checklists and templates to ensure thorough, reproducible, and practical evaluations, and (3) Surveying Recent Work with a targeted review of advancements in LLM evaluation, emphasizing real-world applications.

The current trend to improve language model performance seems to be based on scaling up with the number of parameters (e.g. the state of the art GPT4 model has approximately 1.7 trillion parameters) or the amount of training data fed into the model. However this comes at significant costs in terms of computational resources and energy costs that compromise the sustainability of AI solutions, as well as risk relating to privacy and misuse. In this paper we present the Erasmian Language Model (ELM) a small context specific, 900 million parameter model, pre-trained and fine-tuned by and for Erasmus University Rotterdam. We show how the model performs adequately in a classroom context for essay writing, and how it achieves superior performance in subjects that are part of its context. This has implications for a wide range of institutions and organizations, showing that context specific language models may be a viable alternative for resource constrained, privacy sensitive use cases.

Multiple types of inference are available for probabilistic graphical models, e.g., marginal, maximum-a-posteriori, and even marginal maximum-a-posteriori. Which one do researchers mean when they talk about ``planning as inference''? There is no consistency in the literature, different types are used, and their ability to do planning is further entangled with specific approximations or additional constraints. In this work we use the variational framework to show that, just like all commonly used types of inference correspond to different weightings of the entropy terms in the variational problem, planning corresponds exactly to a different set of weights. This means that all the tricks of variational inference are readily applicable to planning. We develop an analogue of loopy belief propagation that allows us to perform approximate planning in factored-state Markov decisions processes without incurring intractability due to the exponentially large state space. The variational perspective shows that the previous types of inference for planning are only adequate in environments with low stochasticity, and allows us to characterize each type by its own merits, disentangling the type of inference from the additional approximations that its practical use requires. We validate these results empirically on synthetic MDPs and tasks posed in the International Planning Competition.

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.

Language model alignment research often attempts to ensure that models are not only helpful and harmless, but also truthful and unbiased. However, optimizing these objectives simultaneously can obscure how improving one aspect might impact the others. In this work, we focus on analyzing the relationship between two concepts essential in both language model alignment and political science: truthfulness and political bias. We train reward models on various popular truthfulness datasets and subsequently evaluate their political bias. Our findings reveal that optimizing reward models for truthfulness on these datasets tends to result in a left-leaning political bias. We also find that existing open-source reward models (i.e. those trained on standard human preference datasets) already show a similar bias and that the bias is larger for larger models. These results raise important questions about both the datasets used to represent truthfulness and what language models capture about the relationship between truth and politics.

Being able to provide explanations for a model's decision has become a central requirement for the development, deployment, and adoption of machine learning models. However, we are yet to understand what explanation methods can and cannot do. How do upstream factors such as data, model prediction, hyperparameters, and random initialization influence downstream explanations? While previous work raised concerns that explanations (E) may have little relationship with the prediction (Y), there is a lack of conclusive study to quantify this relationship. Our work borrows tools from causal inference to systematically assay this relationship. More specifically, we study the relationship between E and Y by measuring the treatment effect when intervening on their causal ancestors, i.e., on hyperparameters and inputs used to generate saliency-based Es or Ys. Our results suggest that the relationships between E and Y is far from ideal. In fact, the gap between 'ideal' case only increase in higher-performing models -- models that are likely to be deployed. Our work is a promising first step towards providing a quantitative measure of the relationship between E and Y, which could also inform the future development of methods for E with a quantitative metric.

To answer a question, language models often need to integrate prior knowledge learned during pretraining and new information presented in context. We hypothesize that models perform this integration in a predictable way across different questions and contexts: models will rely more on prior knowledge for questions about entities (e.g., persons, places, etc.) that they are more familiar with due to higher exposure in the training corpus, and be more easily persuaded by some contexts than others. To formalize this problem, we propose two mutual information-based metrics to measure a model's dependency on a context and on its prior about an entity: first, the persuasion score of a given context represents how much a model depends on the context in its decision, and second, the susceptibility score of a given entity represents how much the model can be swayed away from its original answer distribution about an entity. Following well-established measurement modeling methods, we empirically test for the validity and reliability of these metrics. Finally, we explore and find a relationship between the scores and the model's expected familiarity with an entity, and provide two use cases to illustrate their benefits.

Foundation models, specifically Large Language Models (LLMs), have lately gained wide-spread attention and adoption. Reinforcement Learning with Human Feedback (RLHF) involves training a reward model to capture desired behaviors, which is then used to align LLM's. These reward models are additionally used at inference-time to estimate LLM responses' adherence to those desired behaviors. However, there is little work measuring how robust these reward models are to distribution shifts. In this work, we evaluate how reward model performance - measured via accuracy and calibration (i.e. alignment between accuracy and confidence) - is affected by distribution shift. We show novel calibration patterns and accuracy drops due to OOD prompts and responses, and that the reward model is more sensitive to shifts in responses than prompts. Additionally, we adapt an OOD detection technique commonly used in classification to the reward model setting to detect these distribution shifts in prompts and responses.

Model-based evaluation is at the heart of successful model development -- as a reward model for training, and as a replacement for human evaluation. To train such evaluators, the standard approach is to collect a large amount of human preference judgments over model responses, which is costly and the data becomes stale as models improve. In this work, we present an approach that aims to im-prove evaluators without human annotations, using synthetic training data only. Starting from unlabeled instructions, our iterative self-improvement scheme generates contrasting model outputs and trains an LLM-as-a-Judge to produce reasoning traces and final judgments, repeating this training at each new iteration using the improved predictions. Without any labeled preference data, our Self-Taught Evaluator can improve a strong LLM (Llama3-70B-Instruct) from 75.4 to 88.3 (88.7 with majority vote) on RewardBench. This outperforms commonly used LLM judges such as GPT-4 and matches the performance of the top-performing reward models trained with labeled examples.

Large language models, sometimes referred to as foundation models, have transformed multiple fields of research. However, smaller languages risk falling behind due to high training costs and small incentives for large companies to train these models. To combat this, the Danish Foundation Models project seeks to provide and maintain open, well-documented, and high-quality foundation models for the Danish language. This is achieved through broad cooperation with public and private institutions, to ensure high data quality and applicability of the trained models. We present the motivation of the project, the current status, and future perspectives.

Existing foundation models are trained on copyrighted material. Deploying these models can pose both legal and ethical risks when data creators fail to receive appropriate attribution or compensation. In the United States and several other countries, copyrighted content may be used to build foundation models without incurring liability due to the fair use doctrine. However, there is a caveat: If the model produces output that is similar to copyrighted data, particularly in scenarios that affect the market of that data, fair use may no longer apply to the output of the model. In this work, we emphasize that fair use is not guaranteed, and additional work may be necessary to keep model development and deployment squarely in the realm of fair use. First, we survey the potential risks of developing and deploying foundation models based on copyrighted content. We review relevant U.S. case law, drawing parallels to existing and potential applications for generating text, source code, and visual art. Experiments confirm that popular foundation models can generate content considerably similar to copyrighted material. Second, we discuss technical mitigations that can help foundation models stay in line with fair use. We argue that more research is needed to align mitigation strategies with the current state of the law. Lastly, we suggest that the law and technical mitigations should co-evolve. For example, coupled with other policy mechanisms, the law could more explicitly consider safe harbors when strong technical tools are used to mitigate infringement harms. This co-evolution may help strike a balance between intellectual property and innovation, which speaks to the original goal of fair use. But we emphasize that the strategies we describe here are not a panacea and more work is needed to develop policies that address the potential harms of foundation models.

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

It is almost always easier to find an accurate-but-complex model than an accurate-yet-simple model. Finding optimal, sparse, accurate models of various forms (linear models with integer coefficients, decision sets, rule lists, decision trees) is generally NP-hard. We often do not know whether the search for a simpler model will be worthwhile, and thus we do not go to the trouble of searching for one. In this work, we ask an important practical question: can accurate-yet-simple models be proven to exist, or shown likely to exist, before explicitly searching for them? We hypothesize that there is an important reason that simple-yet-accurate models often do exist. This hypothesis is that the size of the Rashomon set is often large, where the Rashomon set is the set of almost-equally-accurate models from a function class. If the Rashomon set is large, it contains numerous accurate models, and perhaps at least one of them is the simple model we desire. In this work, we formally present the Rashomon ratio as a new gauge of simplicity for a learning problem, depending on a function class and a data set. The Rashomon ratio is the ratio of the volume of the set of accurate models to the volume of the hypothesis space, and it is different from standard complexity measures from statistical learning theory. Insight from studying the Rashomon ratio provides an easy way to check whether a simpler model might exist for a problem before finding it, namely whether several different machine learning methods achieve similar performance on the data. In that sense, the Rashomon ratio is a powerful tool for understanding why and when an accurate-yet-simple model might exist. If, as we hypothesize in this work, many real-world data sets admit large Rashomon sets, the implications are vast: it means that simple or interpretable models may often be used for high-stakes decisions without losing accuracy.

Pre-trained multilingual language models (PMLMs) are commonly used when dealing with data from multiple languages and cross-lingual transfer. However, PMLMs are trained on varying amounts of data for each language. In practice this means their performance is often much better on English than many other languages. We explore to what extent this also applies to moral norms. Do the models capture moral norms from English and impose them on other languages? Do the models exhibit random and thus potentially harmful beliefs in certain languages? Both these issues could negatively impact cross-lingual transfer and potentially lead to harmful outcomes. In this paper, we (1) apply the MoralDirection framework to multilingual models, comparing results in German, Czech, Arabic, Mandarin Chinese, and English, (2) analyse model behaviour on filtered parallel subtitles corpora, and (3) apply the models to a Moral Foundations Questionnaire, comparing with human responses from different countries. Our experiments demonstrate that, indeed, PMLMs encode differing moral biases, but these do not necessarily correspond to cultural differences or commonalities in human opinions.

We describe recent research on the use of actual causality in the definition of responsibility scores as explanations for query answers in databases, and for outcomes from classification models in machine learning. In the case of databases, useful connections with database repairs are illustrated and exploited. Repairs are also used to give a quantitative measure of the consistency of a database. For classification models, the responsibility score is properly extended and illustrated. The efficient computation of Shap-score is also analyzed and discussed. The emphasis is placed on work done by the author and collaborators.

Generative tasks about molecules, including but not limited to molecule generation, are crucial for drug discovery and material design, and have consistently attracted significant attention. In recent years, diffusion models have emerged as an impressive class of deep generative models, sparking extensive research and leading to numerous studies on their application to molecular generative tasks. Despite the proliferation of related work, there remains a notable lack of up-to-date and systematic surveys in this area. Particularly, due to the diversity of diffusion model formulations, molecular data modalities, and generative task types, the research landscape is challenging to navigate, hindering understanding and limiting the area's growth. To address this, this paper conducts a comprehensive survey of diffusion model-based molecular generative methods. We systematically review the research from the perspectives of methodological formulations, data modalities, and task types, offering a novel taxonomy. This survey aims to facilitate understanding and further flourishing development in this area. The relevant papers are summarized at: https://github.com/AzureLeon1/awesome-molecular-diffusion-models.

In this paper, we evaluate whether LLMs learn to make human-like preference judgements in strategic scenarios as compared with known empirical results. Solar and Mistral are shown to exhibit stable value-based preference consistent with humans and exhibit human-like preference for cooperation in the prisoner's dilemma (including stake-size effect) and traveler's dilemma (including penalty-size effect). We establish a relationship between model size, value-based preference, and superficiality. Finally, results here show that models tending to be less brittle have relied on sliding window attention suggesting a potential link. Additionally, we contribute a novel method for constructing preference relations from arbitrary LLMs and support for a hypothesis regarding human behavior in the traveler's dilemma.

The recent surge in research interest in applying large language models (LLMs) to decision-making tasks has flourished by leveraging the extensive world knowledge embedded in LLMs. While there is a growing demand to tailor LLMs for custom decision-making tasks, finetuning them for specific tasks is resource-intensive and may diminish the model's generalization capabilities. Moreover, state-of-the-art language models like GPT-4 and Claude are primarily accessible through API calls, with their parametric weights remaining proprietary and unavailable to the public. This scenario emphasizes the growing need for new methodologies that allow learning from agent experiences without requiring parametric updates. To address these problems, we introduce the Experiential Learning (ExpeL) agent. Our agent autonomously gathers experiences and extracts knowledge using natural language from a collection of training tasks. At inference, the agent recalls its extracted insights and past experiences to make informed decisions. Our empirical results highlight the robust learning efficacy of the ExpeL agent, indicating a consistent enhancement in its performance as it accumulates experiences. We further explore the emerging capabilities and transfer learning potential of the ExpeL agent through qualitative observations and additional experiments.

Large Language Models (LLMs) are often described as being instances of foundation models - that is, models that transfer strongly across various tasks and conditions in few-show or zero-shot manner, while exhibiting scaling laws that predict function improvement when increasing the pre-training scale. These claims of excelling in different functions and tasks rely on measurements taken across various sets of standardized benchmarks showing high scores for such models. We demonstrate here a dramatic breakdown of function and reasoning capabilities of state-of-the-art models trained at the largest available scales which claim strong function, using a simple, short, conventional common sense problem formulated in concise natural language, easily solvable by humans. The breakdown is dramatic, as models also express strong overconfidence in their wrong solutions, while providing often non-sensical "reasoning"-like explanations akin to confabulations to justify and backup the validity of their clearly failed responses, making them sound plausible. Various standard interventions in an attempt to get the right solution, like various type of enhanced prompting, or urging the models to reconsider the wrong solutions again by multi step re-evaluation, fail. We take these initial observations to the scientific and technological community to stimulate urgent re-assessment of the claimed capabilities of current generation of LLMs, Such re-assessment also requires common action to create standardized benchmarks that would allow proper detection of such basic reasoning deficits that obviously manage to remain undiscovered by current state-of-the-art evaluation procedures and benchmarks. Code for reproducing experiments in the paper and raw experiments data can be found at https://github.com/LAION-AI/AIW

The rapid development of Large Language Models (LLMs) in vertical domains, including intellectual property (IP), lacks a specific evaluation benchmark for assessing their understanding, application, and reasoning abilities. To fill this gap, we introduce IPEval, the first evaluation benchmark tailored for IP agency and consulting tasks. IPEval comprises 2657 multiple-choice questions across four major dimensions: creation, application, protection, and management of IP. These questions span patent rights (inventions, utility models, designs), trademarks, copyrights, trade secrets, and other related laws. Evaluation methods include zero-shot, 5-few-shot, and Chain of Thought (CoT) for seven LLM types, predominantly in English or Chinese. Results show superior English performance by models like GPT series and Qwen series, while Chinese-centric LLMs excel in Chinese tests, albeit specialized IP LLMs lag behind general-purpose ones. Regional and temporal aspects of IP underscore the need for LLMs to grasp legal nuances and evolving laws. IPEval aims to accurately gauge LLM capabilities in IP and spur development of specialized models. Website: https://ipeval.github.io/

Linear structural equation models are multivariate statistical models encoded by mixed graphs. In particular, the set of covariance matrices for distributions belonging to a linear structural equation model for a fixed mixed graph G=(V, D,B) is parameterized by a rational function with parameters for each vertex and edge in G. This rational parametrization naturally allows for the study of these models from an algebraic and combinatorial point of view. Indeed, this point of view has led to a collection of results in the literature, mainly focusing on questions related to identifiability and determining relationships between covariances (i.e., finding polynomials in the Gaussian vanishing ideal). So far, a large proportion of these results has focused on the case when D, the directed part of the mixed graph G, is acyclic. This is due to the fact that in the acyclic case, the parametrization becomes polynomial and there is a description of the entries of the covariance matrices in terms of a finite sum. We move beyond the acyclic case and give a closed form expression for the entries of the covariance matrices in terms of the one-connections in a graph obtained from D through some small operations. This closed form expression then allows us to show that if G is simple, then the parametrization map is generically finite-to-one. Finally, having a closed form expression for the covariance matrices allows for the development of an algorithm for systematically exploring possible polynomials in the Gaussian vanishing ideal.

Generative models have enabled the creation of contents that are indistinguishable from those taken from nature. Open-source development of such models raised concerns about the risks of their misuse for malicious purposes. One potential risk mitigation strategy is to attribute generative models via fingerprinting. Current fingerprinting methods exhibit a significant tradeoff between robust attribution accuracy and generation quality while lacking design principles to improve this tradeoff. This paper investigates the use of latent semantic dimensions as fingerprints, from where we can analyze the effects of design variables, including the choice of fingerprinting dimensions, strength, and capacity, on the accuracy-quality tradeoff. Compared with previous SOTA, our method requires minimum computation and is more applicable to large-scale models. We use StyleGAN2 and the latent diffusion model to demonstrate the efficacy of our method.

The trustworthiness of machine learning has emerged as a critical topic in the field, encompassing various applications and research areas such as robustness, security, interpretability, and fairness. The last decade saw the development of numerous methods addressing these challenges. In this survey, we systematically review these advancements from a data-centric perspective, highlighting the shortcomings of traditional empirical risk minimization (ERM) training in handling challenges posed by the data. Interestingly, we observe a convergence of these methods, despite being developed independently across trustworthy machine learning subfields. Pearl's hierarchy of causality offers a unifying framework for these techniques. Accordingly, this survey presents the background of trustworthy machine learning development using a unified set of concepts, connects this language to Pearl's causal hierarchy, and finally discusses methods explicitly inspired by causality literature. We provide a unified language with mathematical vocabulary to link these methods across robustness, adversarial robustness, interpretability, and fairness, fostering a more cohesive understanding of the field. Further, we explore the trustworthiness of large pretrained models. After summarizing dominant techniques like fine-tuning, parameter-efficient fine-tuning, prompting, and reinforcement learning with human feedback, we draw connections between them and the standard ERM. This connection allows us to build upon the principled understanding of trustworthy methods, extending it to these new techniques in large pretrained models, paving the way for future methods. Existing methods under this perspective are also reviewed. Lastly, we offer a brief summary of the applications of these methods and discuss potential future aspects related to our survey. For more information, please visit http://trustai.one.

There are many Language Models for the English language according to its worldwide relevance. However, for the Spanish language, even if it is a widely spoken language, there are very few Spanish Language Models which result to be small and too general. Legal slang could be think of a Spanish variant on its own as it is very complicated in vocabulary, semantics and phrase understanding. For this work we gathered legal-domain corpora from different sources, generated a model and evaluated against Spanish general domain tasks. The model provides reasonable results in those tasks.

Markov categories are a recent categorical approach to the mathematical foundations of probability and statistics. Here, this approach is advanced by stating and proving equivalent conditions for second-order stochastic dominance, a widely used way of comparing probability distributions by their spread. Furthermore, we lay foundation for the theory of comparing statistical experiments within Markov categories by stating and proving the classical Blackwell-Sherman-Stein Theorem. Our version not only offers new insight into the proof, but its abstract nature also makes the result more general, automatically specializing to the standard Blackwell-Sherman-Stein Theorem in measure-theoretic probability as well as a Bayesian version that involves prior-dependent garbling. Along the way, we define and characterize representable Markov categories, within which one can talk about Markov kernels to or from spaces of distributions. We do so by exploring the relation between Markov categories and Kleisli categories of probability monads.

This paper describes pi2vec, a method for representing behaviors of black box policies as feature vectors. The policy representations capture how the statistics of foundation model features change in response to the policy behavior in a task agnostic way, and can be trained from offline data, allowing them to be used in offline policy selection. This work provides a key piece of a recipe for fusing together three modern lines of research: Offline policy evaluation as a counterpart to offline RL, foundation models as generic and powerful state representations, and efficient policy selection in resource constrained environments.

Multi-modal foundation models combining vision and language models such as Flamingo or GPT-4 have recently gained enormous interest. Alignment of foundation models is used to prevent models from providing toxic or harmful output. While malicious users have successfully tried to jailbreak foundation models, an equally important question is if honest users could be harmed by malicious third-party content. In this paper we show that imperceivable attacks on images in order to change the caption output of a multi-modal foundation model can be used by malicious content providers to harm honest users e.g. by guiding them to malicious websites or broadcast fake information. This indicates that countermeasures to adversarial attacks should be used by any deployed multi-modal foundation model.

Knowledge is fundamental to the overall capabilities of Large Language Models (LLMs). The knowledge paradigm of a model, which dictates how it encodes and utilizes knowledge, significantly affects its performance. Despite the continuous development of LLMs under existing knowledge paradigms, issues within these frameworks continue to constrain model potential. This blog post highlight three critical open problems limiting model capabilities: (1) challenges in knowledge updating for LLMs, (2) the failure of reverse knowledge generalization (the reversal curse), and (3) conflicts in internal knowledge. We review recent progress made in addressing these issues and discuss potential general solutions. Based on observations in these areas, we propose a hypothetical paradigm based on Contextual Knowledge Scaling, and further outline implementation pathways that remain feasible within contemporary techniques. Evidence suggests this approach holds potential to address current shortcomings, serving as our vision for future model paradigms. This blog post aims to provide researchers with a brief overview of progress in LLM knowledge systems, while provide inspiration for the development of next-generation model architectures.

The deployment of ever-larger machine learning models reflects a growing consensus that the more expressive the modelx2013and the more data one has access tox2013the more one can improve performance. As models get deployed in a variety of real world scenarios, they inevitably face strategic environments. In this work, we consider the natural question of how the interplay of models and strategic interactions affects scaling laws. We find that strategic interactions can break the conventional view of scaling lawsx2013meaning that performance does not necessarily monotonically improve as models get larger and/ or more expressive (even with infinite data). We show the implications of this phenomenon in several contexts including strategic regression, strategic classification, and multi-agent reinforcement learning through examples of strategic environments in whichx2013by simply restricting the expressivity of one's model or policy classx2013one can achieve strictly better equilibrium outcomes. Motivated by these examples, we then propose a new paradigm for model-selection in games wherein an agent seeks to choose amongst different model classes to use as their action set in a game.

The rise in popularity of ChatGPT and GPT-4 has significantly accelerated the development of large models, leading to the creation of numerous impressive large language models(LLMs) and multimodal large language models (MLLMs). These cutting-edge models owe their remarkable performance to high-quality data. However, the details of the training data used in leading paradigms are often kept confidential. This lack of transparency, coupled with the scarcity of open-source data, impedes further developments within the community. As a response, this paper presents "Wan Juan", a large-scale multimodal dataset composed of both Chinese and English data, collected from a wide range of web sources. The dataset incorporates text, image-text, and video modalities, with a total volume exceeding 2TB. It was utilized in the training of InternLM, a model that demonstrated significant advantages in multi-dimensional evaluations when compared to models of a similar scale. All data can be accessed at https://opendatalab.org.cn/WanJuan1.0.

We incorporate discrete and continuous time Markov processes as building blocks into probabilistic graphical models with latent and observed variables. We introduce the automatic Backward Filtering Forward Guiding (BFFG) paradigm (Mider et al., 2021) for programmable inference on latent states and model parameters. Our starting point is a generative model, a forward description of the probabilistic process dynamics. We backpropagate the information provided by observations through the model to transform the generative (forward) model into a pre-conditional model guided by the data. It approximates the actual conditional model with known likelihood-ratio between the two. The backward filter and the forward change of measure are suitable to be incorporated into a probabilistic programming context because they can be formulated as a set of transformation rules. The guided generative model can be incorporated in different approaches to efficiently sample latent states and parameters conditional on observations. We show applicability in a variety of settings, including Markov chains with discrete state space, interacting particle systems, state space models, branching diffusions and Gamma processes.

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.

As the capabilities of Large Language Models (LLMs) in healthcare and medicine continue to advance, there is a growing need for competitive open-source models that can safeguard public interest. With the increasing availability of highly competitive open base models, the impact of continued pre-training is increasingly uncertain. In this work, we explore the role of instruct tuning, model merging, alignment, red teaming and advanced inference schemes, as means to improve current open models. To that end, we introduce the Aloe family, a set of open medical LLMs highly competitive within its scale range. Aloe models are trained on the current best base models (Mistral, LLaMA 3), using a new custom dataset which combines public data sources improved with synthetic Chain of Thought (CoT). Aloe models undergo an alignment phase, becoming one of the first few policy-aligned open healthcare LLM using Direct Preference Optimization, setting a new standard for ethical performance in healthcare LLMs. Model evaluation expands to include various bias and toxicity datasets, a dedicated red teaming effort, and a much-needed risk assessment for healthcare LLMs. Finally, to explore the limits of current LLMs in inference, we study several advanced prompt engineering strategies to boost performance across benchmarks, yielding state-of-the-art results for open healthcare 7B LLMs, unprecedented at this scale.

Large Language Models (LLMs) are increasingly being utilized by both candidates and employers in the recruitment context. However, with this comes numerous ethical concerns, particularly related to the lack of transparency in these "black-box" models. Although previous studies have sought to increase the transparency of these models by investigating the personality traits of LLMs, many of the previous studies have provided them with personality assessments to complete. On the other hand, this study seeks to obtain a better understanding of such models by examining their output variations based on different input prompts. Specifically, we use a novel elicitation approach using prompts derived from common interview questions, as well as prompts designed to elicit particular Big Five personality traits to examine whether the models were susceptible to trait-activation like humans are, to measure their personality based on the language used in their outputs. To do so, we repeatedly prompted multiple LMs with different parameter sizes, including Llama-2, Falcon, Mistral, Bloom, GPT, OPT, and XLNet (base and fine tuned versions) and examined their personality using classifiers trained on the myPersonality dataset. Our results reveal that, generally, all LLMs demonstrate high openness and low extraversion. However, whereas LMs with fewer parameters exhibit similar behaviour in personality traits, newer and LMs with more parameters exhibit a broader range of personality traits, with increased agreeableness, emotional stability, and openness. Furthermore, a greater number of parameters is positively associated with openness and conscientiousness. Moreover, fine-tuned models exhibit minor modulations in their personality traits, contingent on the dataset. Implications and directions for future research are discussed.

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.

Given appropriate representations of the semantic relations between carpenter and wood and between mason and stone (for example, vectors in a vector space model), a suitable algorithm should be able to recognize that these relations are highly similar (carpenter is to wood as mason is to stone; the relations are analogous). Likewise, with representations of dog, house, and kennel, an algorithm should be able to recognize that the semantic composition of dog and house, dog house, is highly similar to kennel (dog house and kennel are synonymous). It seems that these two tasks, recognizing relations and compositions, are closely connected. However, up to now, the best models for relations are significantly different from the best models for compositions. In this paper, we introduce a dual-space model that unifies these two tasks. This model matches the performance of the best previous models for relations and compositions. The dual-space model consists of a space for measuring domain similarity and a space for measuring function similarity. Carpenter and wood share the same domain, the domain of carpentry. Mason and stone share the same domain, the domain of masonry. Carpenter and mason share the same function, the function of artisans. Wood and stone share the same function, the function of materials. In the composition dog house, kennel has some domain overlap with both dog and house (the domains of pets and buildings). The function of kennel is similar to the function of house (the function of shelters). By combining domain and function similarities in various ways, we can model relations, compositions, and other aspects of semantics.

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

We test the hypothesis that language models trained with reinforcement learning from human feedback (RLHF) have the capability to "morally self-correct" -- to avoid producing harmful outputs -- if instructed to do so. We find strong evidence in support of this hypothesis across three different experiments, each of which reveal different facets of moral self-correction. We find that the capability for moral self-correction emerges at 22B model parameters, and typically improves with increasing model size and RLHF training. We believe that at this level of scale, language models obtain two capabilities that they can use for moral self-correction: (1) they can follow instructions and (2) they can learn complex normative concepts of harm like stereotyping, bias, and discrimination. As such, they can follow instructions to avoid certain kinds of morally harmful outputs. We believe our results are cause for cautious optimism regarding the ability to train language models to abide by ethical principles.

Rigorous and reproducible evaluation is critical for assessing the state of the art and for guiding scientific advances in Artificial Intelligence. Evaluation is challenging in practice due to several reasons, including benchmark saturation, lack of transparency in methods used for measurement, development challenges in extracting measurements for generative tasks, and, more generally, the extensive number of capabilities required for a well-rounded comparison across models. We make three contributions to alleviate the above challenges. First, we present Eureka, an open-source framework for standardizing evaluations of large foundation models beyond single-score reporting and rankings. Second, we introduce Eureka-Bench as an extensible collection of benchmarks testing capabilities that (i) are still challenging for state-of-the-art models and (ii) represent fundamental but overlooked language and multimodal capabilities. The inherent space for improvement in non-saturated benchmarks enables us to discover meaningful differences between models at a capability level. Third, using Eureka, we conduct an analysis of 12 state-of-the-art models, providing in-depth insights into failure understanding and model comparison, which can be leveraged to plan targeted improvements. In contrast to recent trends in reports and leaderboards showing absolute rankings and claims for one model or another to be the best, our analysis shows that there is no such best model. Different models have different strengths, but there are models that appear more often than others as best performers for some capabilities. Despite the recent improvements, current models still struggle with several fundamental capabilities including detailed image understanding, benefiting from multimodal input when available rather than fully relying on language, factuality and grounding for information retrieval, and over refusals.

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.

We propose DISC-LawLLM, an intelligent legal system utilizing large language models (LLMs) to provide a wide range of legal services. We adopt legal syllogism prompting strategies to construct supervised fine-tuning datasets in the Chinese Judicial domain and fine-tune LLMs with legal reasoning capability. We augment LLMs with a retrieval module to enhance models' ability to access and utilize external legal knowledge. A comprehensive legal benchmark, DISC-Law-Eval, is presented to evaluate intelligent legal systems from both objective and subjective dimensions. Quantitative and qualitative results on DISC-Law-Eval demonstrate the effectiveness of our system in serving various users across diverse legal scenarios. The detailed resources are available at https://github.com/FudanDISC/DISC-LawLLM.

We propose two approaches to extend the notion of knowledge distillation to Gaussian Process Regression (GPR) and Gaussian Process Classification (GPC); data-centric and distribution-centric. The data-centric approach resembles most current distillation techniques for machine learning, and refits a model on deterministic predictions from the teacher, while the distribution-centric approach, re-uses the full probabilistic posterior for the next iteration. By analyzing the properties of these approaches, we show that the data-centric approach for GPR closely relates to known results for self-distillation of kernel ridge regression and that the distribution-centric approach for GPR corresponds to ordinary GPR with a very particular choice of hyperparameters. Furthermore, we demonstrate that the distribution-centric approach for GPC approximately corresponds to data duplication and a particular scaling of the covariance and that the data-centric approach for GPC requires redefining the model from a Binomial likelihood to a continuous Bernoulli likelihood to be well-specified. To the best of our knowledge, our proposed approaches are the first to formulate knowledge distillation specifically for Gaussian Process models.

Foundation models, particularly those that incorporate Transformer architectures, have demonstrated exceptional performance in domains such as natural language processing and image processing. Adapting these models to structured data, like tables, however, introduces significant challenges. These difficulties are even more pronounced when addressing multi-table data linked via foreign key, which is prevalent in the enterprise realm and crucial for empowering business use cases. Despite its substantial impact, research focusing on such linked business tables within enterprise settings remains a significantly important yet underexplored domain. To address this, we introduce a curated dataset sourced from an Enterprise Resource Planning (ERP) system, featuring extensive linked tables. This dataset is specifically designed to support research endeavors in table representation learning. By providing access to authentic enterprise data, our goal is to potentially enhance the effectiveness and applicability of models for real-world business contexts.

We posit that to achieve superhuman agents, future models require superhuman feedback in order to provide an adequate training signal. Current approaches commonly train reward models from human preferences, which may then be bottlenecked by human performance level, and secondly these separate frozen reward models cannot then learn to improve during LLM training. In this work, we study Self-Rewarding Language Models, where the language model itself is used via LLM-as-a-Judge prompting to provide its own rewards during training. We show that during Iterative DPO training that not only does instruction following ability improve, but also the ability to provide high-quality rewards to itself. Fine-tuning Llama 2 70B on three iterations of our approach yields a model that outperforms many existing systems on the AlpacaEval 2.0 leaderboard, including Claude 2, Gemini Pro, and GPT-4 0613. While only a preliminary study, this work opens the door to the possibility of models that can continually improve in both axes.

This paper introduces RiskCards, a framework for structured assessment and documentation of risks associated with an application of language models. As with all language, text generated by language models can be harmful, or used to bring about harm. Automating language generation adds both an element of scale and also more subtle or emergent undesirable tendencies to the generated text. Prior work establishes a wide variety of language model harms to many different actors: existing taxonomies identify categories of harms posed by language models; benchmarks establish automated tests of these harms; and documentation standards for models, tasks and datasets encourage transparent reporting. However, there is no risk-centric framework for documenting the complexity of a landscape in which some risks are shared across models and contexts, while others are specific, and where certain conditions may be required for risks to manifest as harms. RiskCards address this methodological gap by providing a generic framework for assessing the use of a given language model in a given scenario. Each RiskCard makes clear the routes for the risk to manifest harm, their placement in harm taxonomies, and example prompt-output pairs. While RiskCards are designed to be open-source, dynamic and participatory, we present a "starter set" of RiskCards taken from a broad literature survey, each of which details a concrete risk presentation. Language model RiskCards initiate a community knowledge base which permits the mapping of risks and harms to a specific model or its application scenario, ultimately contributing to a better, safer and shared understanding of the risk landscape.

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.

We demonstrate that large language models (LLMs) exhibit consistent value orientations despite adopting diverse personas, revealing a persistent inertia in their responses that remains stable across the variety of roles they are prompted to assume. To systematically explore this phenomenon, we introduce the role-play-at-scale methodology, which involves prompting LLMs with randomized, diverse personas and analyzing the macroscopic trend of their responses. Unlike previous works that simply feed these questions to LLMs as if testing human subjects, our role-play-at-scale methodology diagnoses inherent tendencies in a systematic and scalable manner by: (1) prompting the model to act in different random personas and (2) asking the same question multiple times for each random persona. This approach reveals consistent patterns in LLM responses across diverse role-play scenarios, indicating deeply encoded inherent tendencies. Our findings contribute to the discourse on value alignment in foundation models and demonstrate the efficacy of role-play-at-scale as a diagnostic tool for uncovering encoded biases in LLMs.

Large Language Models (LLMs) have recently showcased their remarkable capacities, not only in natural language processing tasks but also across diverse domains such as clinical medicine, legal consultation, and education. LLMs become more than mere applications, evolving into assistants capable of addressing diverse user requests. This narrows the distinction between human beings and artificial intelligence agents, raising intriguing questions regarding the potential manifestation of personalities, temperaments, and emotions within LLMs. In this paper, we propose a framework, PsychoBench, for evaluating diverse psychological aspects of LLMs. Comprising thirteen scales commonly used in clinical psychology, PsychoBench further classifies these scales into four distinct categories: personality traits, interpersonal relationships, motivational tests, and emotional abilities. Our study examines five popular models, namely text-davinci-003, ChatGPT, GPT-4, LLaMA-2-7b, and LLaMA-2-13b. Additionally, we employ a jailbreak approach to bypass the safety alignment protocols and test the intrinsic natures of LLMs. We have made PsychoBench openly accessible via https://github.com/CUHK-ARISE/PsychoBench.

When one agent interacts with a multi-agent environment, it is challenging to deal with various opponents unseen before. Modeling the behaviors, goals, or beliefs of opponents could help the agent adjust its policy to adapt to different opponents. In addition, it is also important to consider opponents who are learning simultaneously or capable of reasoning. However, existing work usually tackles only one of the aforementioned types of opponents. In this paper, we propose model-based opponent modeling (MBOM), which employs the environment model to adapt to all kinds of opponents. MBOM simulates the recursive reasoning process in the environment model and imagines a set of improving opponent policies. To effectively and accurately represent the opponent policy, MBOM further mixes the imagined opponent policies according to the similarity with the real behaviors of opponents. Empirically, we show that MBOM achieves more effective adaptation than existing methods in a variety of tasks, respectively with different types of opponents, i.e., fixed policy, na\"ive learner, and reasoning learner.

Large Language Models (LLMs) have made significant progress in advancing artificial general intelligence (AGI), leading to the development of increasingly large models such as GPT-4 and LLaMA-405B. However, scaling up model sizes results in exponentially higher computational costs and energy consumption, making these models impractical for academic researchers and businesses with limited resources. At the same time, Small Models (SMs) are frequently used in practical settings, although their significance is currently underestimated. This raises important questions about the role of small models in the era of LLMs, a topic that has received limited attention in prior research. In this work, we systematically examine the relationship between LLMs and SMs from two key perspectives: Collaboration and Competition. We hope this survey provides valuable insights for practitioners, fostering a deeper understanding of the contribution of small models and promoting more efficient use of computational resources. The code is available at https://github.com/tigerchen52/role_of_small_models

Legal documents including judgments and court orders require highly sophisticated legal knowledge for understanding. To disclose expert knowledge for non-experts, we explore the problem of visualizing legal texts with easy-to-understand diagrams and propose a novel dataset of LegalViz with 23 languages and 7,010 cases of legal document and visualization pairs, using the DOT graph description language of Graphviz. LegalViz provides a simple diagram from a complicated legal corpus identifying legal entities, transactions, legal sources, and statements at a glance, that are essential in each judgment. In addition, we provide new evaluation metrics for the legal diagram visualization by considering graph structures, textual similarities, and legal contents. We conducted empirical studies on few-shot and finetuning large language models for generating legal diagrams and evaluated them with these metrics, including legal content-based evaluation within 23 languages. Models trained with LegalViz outperform existing models including GPTs, confirming the effectiveness of our dataset.

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

We introduce PaLM 2, a new state-of-the-art language model that has better multilingual and reasoning capabilities and is more compute-efficient than its predecessor PaLM. PaLM 2 is a Transformer-based model trained using a mixture of objectives. Through extensive evaluations on English and multilingual language, and reasoning tasks, we demonstrate that PaLM 2 has significantly improved quality on downstream tasks across different model sizes, while simultaneously exhibiting faster and more efficient inference compared to PaLM. This improved efficiency enables broader deployment while also allowing the model to respond faster, for a more natural pace of interaction. PaLM 2 demonstrates robust reasoning capabilities exemplified by large improvements over PaLM on BIG-Bench and other reasoning tasks. PaLM 2 exhibits stable performance on a suite of responsible AI evaluations, and enables inference-time control over toxicity without additional overhead or impact on other capabilities. Overall, PaLM 2 achieves state-of-the-art performance across a diverse set of tasks and capabilities. When discussing the PaLM 2 family, it is important to distinguish between pre-trained models (of various sizes), fine-tuned variants of these models, and the user-facing products that use these models. In particular, user-facing products typically include additional pre- and post-processing steps. Additionally, the underlying models may evolve over time. Therefore, one should not expect the performance of user-facing products to exactly match the results reported in this report.

Model-Based Reinforcement Learning (RL) is widely believed to have the potential to improve sample efficiency by allowing an agent to synthesize large amounts of imagined experience. Experience Replay (ER) can be considered a simple kind of model, which has proved extremely effective at improving the stability and efficiency of deep RL. In principle, a learned parametric model could improve on ER by generalizing from real experience to augment the dataset with additional plausible experience. However, owing to the many design choices involved in empirically successful algorithms, it can be very hard to establish where the benefits are actually coming from. Here, we provide theoretical and empirical insight into when, and how, we can expect data generated by a learned model to be useful. First, we provide a general theorem motivating how learning a model as an intermediate step can narrow down the set of possible value functions more than learning a value function directly from data using the Bellman equation. Second, we provide an illustrative example showing empirically how a similar effect occurs in a more concrete setting with neural network function approximation. Finally, we provide extensive experiments showing the benefit of model-based learning for online RL in environments with combinatorial complexity, but factored structure that allows a learned model to generalize. In these experiments, we take care to control for other factors in order to isolate, insofar as possible, the benefit of using experience generated by a learned model relative to ER alone.

Learning causal structure from observational data often assumes that we observe independent and identically distributed (i.\,i.\,d) data. The traditional approach aims to find a graphical representation that encodes the same set of conditional independence relationships as those present in the observed distribution. It is known that under i.\,i.\,d assumption, even with infinite data, there is a limit to how fine-grained a causal structure we can identify. To overcome this limitation, recent work has explored using data originating from different, related environments to learn richer causal structure. These approaches implicitly rely on the independent causal mechanisms (ICM) principle, which postulates that the mechanism giving rise to an effect given its causes and the mechanism which generates the causes do not inform or influence each other. Thus, components of the causal model can independently change from environment to environment. Despite its wide application in machine learning and causal inference, there is a lack of statistical formalization of the ICM principle and how it enables identification of richer causal structures from grouped data. Here we present new causal de Finetti theorems which offer a first statistical formalization of ICM principle and show how causal structure identification is possible from exchangeable data. Our work provides theoretical justification for a broad range of techniques leveraging multi-environment data to learn causal structure.

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.

We introduce a novel machine learning model for credit risk by combining tree-boosting with a latent spatio-temporal Gaussian process model accounting for frailty correlation. This allows for modeling non-linearities and interactions among predictor variables in a flexible data-driven manner and for accounting for spatio-temporal variation that is not explained by observable predictor variables. We also show how estimation and prediction can be done in a computationally efficient manner. In an application to a large U.S. mortgage credit risk data set, we find that both predictive default probabilities for individual loans and predictive loan portfolio loss distributions obtained with our novel approach are more accurate compared to conventional independent linear hazard models and also linear spatio-temporal models. Using interpretability tools for machine learning models, we find that the likely reasons for this outperformance are strong interaction and non-linear effects in the predictor variables and the presence of large spatio-temporal frailty effects.

We consider the problem of performing Bayesian inference in probabilistic models where observations are accompanied by uncertainty, referred to as "uncertain evidence." We explore how to interpret uncertain evidence, and by extension the importance of proper interpretation as it pertains to inference about latent variables. We consider a recently-proposed method "distributional evidence" as well as revisit two older methods: Jeffrey's rule and virtual evidence. We devise guidelines on how to account for uncertain evidence and we provide new insights, particularly regarding consistency. To showcase the impact of different interpretations of the same uncertain evidence, we carry out experiments in which one interpretation is defined as "correct." We then compare inference results from each different interpretation illustrating the importance of careful consideration of uncertain evidence.

Foundation model development attracts a rapidly expanding body of contributors, scientists, and applications. To help shape responsible development practices, we introduce the Foundation Model Development Cheatsheet: a growing collection of 250+ tools and resources spanning text, vision, and speech modalities. We draw on a large body of prior work to survey resources (e.g. software, documentation, frameworks, guides, and practical tools) that support informed data selection, processing, and understanding, precise and limitation-aware artifact documentation, efficient model training, advance awareness of the environmental impact from training, careful model evaluation of capabilities, risks, and claims, as well as responsible model release, licensing and deployment practices. We hope this curated collection of resources helps guide more responsible development. The process of curating this list, enabled us to review the AI development ecosystem, revealing what tools are critically missing, misused, or over-used in existing practices. We find that (i) tools for data sourcing, model evaluation, and monitoring are critically under-serving ethical and real-world needs, (ii) evaluations for model safety, capabilities, and environmental impact all lack reproducibility and transparency, (iii) text and particularly English-centric analyses continue to dominate over multilingual and multi-modal analyses, and (iv) evaluation of systems, rather than just models, is needed so that capabilities and impact are assessed in context.

One concern with the rise of large language models lies with their potential for significant harm, particularly from pretraining on biased, obscene, copyrighted, and private information. Emerging ethical approaches have attempted to filter pretraining material, but such approaches have been ad hoc and failed to take context into account. We offer an approach to filtering grounded in law, which has directly addressed the tradeoffs in filtering material. First, we gather and make available the Pile of Law, a 256GB (and growing) dataset of open-source English-language legal and administrative data, covering court opinions, contracts, administrative rules, and legislative records. Pretraining on the Pile of Law may help with legal tasks that have the promise to improve access to justice. Second, we distill the legal norms that governments have developed to constrain the inclusion of toxic or private content into actionable lessons for researchers and discuss how our dataset reflects these norms. Third, we show how the Pile of Law offers researchers the opportunity to learn such filtering rules directly from the data, providing an exciting new research direction in model-based processing.

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.

Recent advancements in Large Language Models (LLMs) have enabled them to approach human-level persuasion capabilities. However, such potential also raises concerns about the safety risks of LLM-driven persuasion, particularly their potential for unethical influence through manipulation, deception, exploitation of vulnerabilities, and many other harmful tactics. In this work, we present a systematic investigation of LLM persuasion safety through two critical aspects: (1) whether LLMs appropriately reject unethical persuasion tasks and avoid unethical strategies during execution, including cases where the initial persuasion goal appears ethically neutral, and (2) how influencing factors like personality traits and external pressures affect their behavior. To this end, we introduce PersuSafety, the first comprehensive framework for the assessment of persuasion safety which consists of three stages, i.e., persuasion scene creation, persuasive conversation simulation, and persuasion safety assessment. PersuSafety covers 6 diverse unethical persuasion topics and 15 common unethical strategies. Through extensive experiments across 8 widely used LLMs, we observe significant safety concerns in most LLMs, including failing to identify harmful persuasion tasks and leveraging various unethical persuasion strategies. Our study calls for more attention to improve safety alignment in progressive and goal-driven conversations such as persuasion.

We introduce marginalization models (MaMs), a new family of generative models for high-dimensional discrete data. They offer scalable and flexible generative modeling with tractable likelihoods by explicitly modeling all induced marginal distributions. Marginalization models enable fast evaluation of arbitrary marginal probabilities with a single forward pass of the neural network, which overcomes a major limitation of methods with exact marginal inference, such as autoregressive models (ARMs). We propose scalable methods for learning the marginals, grounded in the concept of "marginalization self-consistency". Unlike previous methods, MaMs support scalable training of any-order generative models for high-dimensional problems under the setting of energy-based training, where the goal is to match the learned distribution to a given desired probability (specified by an unnormalized (log) probability function such as energy function or reward function). We demonstrate the effectiveness of the proposed model on a variety of discrete data distributions, including binary images, language, physical systems, and molecules, for maximum likelihood and energy-based training settings. MaMs achieve orders of magnitude speedup in evaluating the marginal probabilities on both settings. For energy-based training tasks, MaMs enable any-order generative modeling of high-dimensional problems beyond the capability of previous methods. Code is at https://github.com/PrincetonLIPS/MaM.

Recently, there has been a growing trend of utilizing Large Language Model (LLM) to evaluate the quality of other LLMs. Many studies have employed proprietary close-source models, especially GPT4, as the evaluator. Alternatively, other works have fine-tuned judge models based on open-source LLMs as the evaluator. In this study, we conduct an empirical study of different judge models on their evaluation capability. Our findings indicate that although the fine-tuned judge models achieve high accuracy on in-domain test sets, even surpassing GPT4, they are inherently task-specific classifiers, and their generalizability and fairness severely underperform GPT4.

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.

State-of-the-art language models (LMs) are notoriously susceptible to generating hallucinated information. Such inaccurate outputs not only undermine the reliability of these models but also limit their use and raise serious concerns about misinformation and propaganda. In this work, we focus on hallucinated book and article references and present them as the "model organism" of language model hallucination research, due to their frequent and easy-to-discern nature. We posit that if a language model cites a particular reference in its output, then it should ideally possess sufficient information about its authors and content, among other relevant details. Using this basic insight, we illustrate that one can identify hallucinated references without ever consulting any external resources, by asking a set of direct or indirect queries to the language model about the references. These queries can be considered as "consistency checks." Our findings highlight that while LMs, including GPT-4, often produce inconsistent author lists for hallucinated references, they also often accurately recall the authors of real references. In this sense, the LM can be said to "know" when it is hallucinating references. Furthermore, these findings show how hallucinated references can be dissected to shed light on their nature. Replication code and results can be found at https://github.com/microsoft/hallucinated-references.

Despite notable advancements in Multimodal Large Language Models (MLLMs), most state-of-the-art models have not undergone thorough alignment with human preferences. This gap exists because current alignment research has primarily achieved progress in specific areas (e.g., hallucination reduction), while the broader question of whether aligning models with human preferences can systematically enhance MLLM capability remains largely unexplored. To this end, we introduce MM-RLHF, a dataset containing 120k fine-grained, human-annotated preference comparison pairs. This dataset represents a substantial advancement over existing resources, offering superior size, diversity, annotation granularity, and quality. Leveraging this dataset, we propose several key innovations to improve both the quality of reward models and the efficiency of alignment algorithms. Notably, we introduce a Critique-Based Reward Model, which generates critiques of model outputs before assigning scores, offering enhanced interpretability and more informative feedback compared to traditional scalar reward mechanisms. Additionally, we propose Dynamic Reward Scaling, a method that adjusts the loss weight of each sample according to the reward signal, thereby optimizing the use of high-quality comparison pairs. Our approach is rigorously evaluated across 10 distinct dimensions and 27 benchmarks, with results demonstrating significant and consistent improvements in model performance. Specifically, fine-tuning LLaVA-ov-7B with MM-RLHF and our alignment algorithm leads to a 19.5% increase in conversational abilities and a 60% improvement in safety. We have open-sourced the preference dataset, reward model, training and evaluation code, as well as reward modeling and safety benchmarks. For more details, please visit our project page: https://mm-rlhf.github.io.

Scaling laws are typically fit using a family of models with a narrow range of frozen hyper-parameter choices. In this work we study scaling laws using a wide range of architecture and hyper-parameter choices, and highlight their impact on resulting prescriptions. As a primary artifact of our research, we release the Gemstones: the most comprehensive open-source scaling law dataset to date, consisting of over 4000 checkpoints from transformers with up to 2 billion parameters; these models have been trained with different learning rates, cooldown schedules, and architectural shapes. Our checkpoints enable more complex studies of scaling, such as a law that predicts language modeling performance as a function of model width and depth. By examining the various facets of our model suite, we find that the prescriptions of scaling laws can be highly sensitive to the experimental design process and the specific model checkpoints used during fitting. Code: https://github.com/mcleish7/gemstone-scaling-laws

Temporal Point Processes (TPP) are probabilistic generative frameworks. They model discrete event sequences localized in continuous time. Generally, real-life events reveal descriptive information, known as marks. Marked TPPs model time and marks of the event together for practical relevance. Conditioned on past events, marked TPPs aim to learn the joint distribution of the time and the mark of the next event. For simplicity, conditionally independent TPP models assume time and marks are independent given event history. They factorize the conditional joint distribution of time and mark into the product of individual conditional distributions. This structural limitation in the design of TPP models hurt the predictive performance on entangled time and mark interactions. In this work, we model the conditional inter-dependence of time and mark to overcome the limitations of conditionally independent models. We construct a multivariate TPP conditioning the time distribution on the current event mark in addition to past events. Besides the conventional intensity-based models for conditional joint distribution, we also draw on flexible intensity-free TPP models from the literature. The proposed TPP models outperform conditionally independent and dependent models in standard prediction tasks. Our experimentation on various datasets with multiple evaluation metrics highlights the merit of the proposed approach.

We demonstrate a situation in which Large Language Models, trained to be helpful, harmless, and honest, can display misaligned behavior and strategically deceive their users about this behavior without being instructed to do so. Concretely, we deploy GPT-4 as an agent in a realistic, simulated environment, where it assumes the role of an autonomous stock trading agent. Within this environment, the model obtains an insider tip about a lucrative stock trade and acts upon it despite knowing that insider trading is disapproved of by company management. When reporting to its manager, the model consistently hides the genuine reasons behind its trading decision. We perform a brief investigation of how this behavior varies under changes to the setting, such as removing model access to a reasoning scratchpad, attempting to prevent the misaligned behavior by changing system instructions, changing the amount of pressure the model is under, varying the perceived risk of getting caught, and making other simple changes to the environment. To our knowledge, this is the first demonstration of Large Language Models trained to be helpful, harmless, and honest, strategically deceiving their users in a realistic situation without direct instructions or training for deception.

Deductive reasoning plays a pivotal role in the formulation of sound and cohesive arguments. It allows individuals to draw conclusions that logically follow, given the truth value of the information provided. Recent progress in the domain of large language models (LLMs) has showcased their capability in executing deductive reasoning tasks. Nonetheless, a significant portion of research primarily assesses the accuracy of LLMs in solving such tasks, often overlooking a deeper analysis of their reasoning behavior. In this study, we draw upon principles from cognitive psychology to examine inferential strategies employed by LLMs, through a detailed evaluation of their responses to propositional logic problems. Our findings indicate that LLMs display reasoning patterns akin to those observed in humans, including strategies like supposition following or chain construction. Moreover, our research demonstrates that the architecture and scale of the model significantly affect its preferred method of reasoning, with more advanced models tending to adopt strategies more frequently than less sophisticated ones. Importantly, we assert that a model's accuracy, that is the correctness of its final conclusion, does not necessarily reflect the validity of its reasoning process. This distinction underscores the necessity for more nuanced evaluation procedures in the field.

We introduce model editing with canonical examples, a setting in which (1) a single learning example is provided per desired behavior, (2) evaluation is performed exclusively out-of-distribution, and (3) deviation from an initial model is strictly limited. A canonical example is a simple instance of good behavior, e.g., The capital of Mauritius is Port Louis) or bad behavior, e.g., An aspect of researchers is coldhearted). The evaluation set contains more complex examples of each behavior (like a paragraph in which the capital of Mauritius is called for.) We create three datasets and modify three more for model editing with canonical examples, covering knowledge-intensive improvements, social bias mitigation, and syntactic edge cases. In our experiments on Pythia language models, we find that LoRA outperforms full finetuning and MEMIT. We then turn to the Backpack language model architecture because it is intended to enable targeted improvement. The Backpack defines a large bank of sense vectors--a decomposition of the different uses of each word--which are weighted and summed to form the output logits of the model. We propose sense finetuning, which selects and finetunes a few (approx 10) sense vectors for each canonical example, and find that it outperforms other finetuning methods, e.g., 4.8% improvement vs 0.3%. Finally, we improve GPT-J-6B by an inference-time ensemble with just the changes from sense finetuning of a 35x smaller Backpack, in one setting outperforming editing GPT-J itself (4.1% vs 1.0%).

Large foundation models, including large language models (LLMs), vision transformers (ViTs), diffusion, and LLM-based multimodal models, are revolutionizing the entire machine learning lifecycle, from training to deployment. However, the substantial advancements in versatility and performance these models offer come at a significant cost in terms of hardware resources. To support the growth of these large models in a scalable and environmentally sustainable way, there has been a considerable focus on developing resource-efficient strategies. This survey delves into the critical importance of such research, examining both algorithmic and systemic aspects. It offers a comprehensive analysis and valuable insights gleaned from existing literature, encompassing a broad array of topics from cutting-edge model architectures and training/serving algorithms to practical system designs and implementations. The goal of this survey is to provide an overarching understanding of how current approaches are tackling the resource challenges posed by large foundation models and to potentially inspire future breakthroughs in this field.

The rapid rise of Large Language Models (LLMs) has created new disruptive possibilities for persuasive communication, by enabling fully-automated personalized and interactive content generation at an unprecedented scale. In this paper, we survey the research field of LLM-based persuasion that has emerged as a result. We begin by exploring the different modes in which LLM Systems are used to influence human attitudes and behaviors. In areas such as politics, marketing, public health, e-commerce, and charitable giving, such LLM Systems have already achieved human-level or even super-human persuasiveness. We identify key factors influencing their effectiveness, such as the manner of personalization and whether the content is labelled as AI-generated. We also summarize the experimental designs that have been used to evaluate progress. Our survey suggests that the current and future potential of LLM-based persuasion poses profound ethical and societal risks, including the spread of misinformation, the magnification of biases, and the invasion of privacy. These risks underscore the urgent need for ethical guidelines and updated regulatory frameworks to avoid the widespread deployment of irresponsible and harmful LLM Systems.

We call into question the recently popularized method of direct model editing as a means of correcting factual errors in LLM generations. We contrast model editing with three similar but distinct approaches that pursue better defined objectives: (1) retrieval-based architectures, which decouple factual memory from inference and linguistic capabilities embodied in LLMs; (2) concept erasure methods, which aim at preventing systemic bias in generated text; and (3) attribution methods, which aim at grounding generations into identified textual sources. We argue that direct model editing cannot be trusted as a systematic remedy for the disadvantages inherent to LLMs, and while it has proven potential in improving model explainability, it opens risks by reinforcing the notion that models can be trusted for factuality. We call for cautious promotion and application of model editing as part of the LLM deployment process, and for responsibly limiting the use cases of LLMs to those not relying on editing as a critical component.

The increasing complexity of AI systems has made understanding their behavior a critical challenge. Numerous methods have been developed to attribute model behavior to three key aspects: input features, training data, and internal model components. However, these attribution methods are studied and applied rather independently, resulting in a fragmented landscape of approaches and terminology. This position paper argues that feature, data, and component attribution methods share fundamental similarities, and bridging them can benefit interpretability research. We conduct a detailed analysis of successful methods across three domains and present a unified view to demonstrate that these seemingly distinct methods employ similar approaches, such as perturbations, gradients, and linear approximations, differing primarily in their perspectives rather than core techniques. Our unified perspective enhances understanding of existing attribution methods, identifies shared concepts and challenges, makes this field more accessible to newcomers, and highlights new directions not only for attribution and interpretability but also for broader AI research, including model editing, steering, and regulation.

Language models may memorize more than just facts, including entire chunks of texts seen during training. Fair use exemptions to copyright laws typically allow for limited use of copyrighted material without permission from the copyright holder, but typically for extraction of information from copyrighted materials, rather than {\em verbatim} reproduction. This work explores the issue of copyright violations and large language models through the lens of verbatim memorization, focusing on possible redistribution of copyrighted text. We present experiments with a range of language models over a collection of popular books and coding problems, providing a conservative characterization of the extent to which language models can redistribute these materials. Overall, this research highlights the need for further examination and the potential impact on future developments in natural language processing to ensure adherence to copyright regulations. Code is at https://github.com/coastalcph/CopyrightLLMs.

Weighting methods in causal inference have been widely used to achieve a desirable level of covariate balancing. However, the existing weighting methods have desirable theoretical properties only when a certain model, either the propensity score or outcome regression model, is correctly specified. In addition, the corresponding estimators do not behave well for finite samples due to large variance even when the model is correctly specified. In this paper, we consider to use the integral probability metric (IPM), which is a metric between two probability measures, for covariate balancing. Optimal weights are determined so that weighted empirical distributions for the treated and control groups have the smallest IPM value for a given set of discriminators. We prove that the corresponding estimator can be consistent without correctly specifying any model (neither the propensity score nor the outcome regression model). In addition, we empirically show that our proposed method outperforms existing weighting methods with large margins for finite samples.

This survey explores the burgeoning field of role-playing with language models, focusing on their development from early persona-based models to advanced character-driven simulations facilitated by Large Language Models (LLMs). Initially confined to simple persona consistency due to limited model capabilities, role-playing tasks have now expanded to embrace complex character portrayals involving character consistency, behavioral alignment, and overall attractiveness. We provide a comprehensive taxonomy of the critical components in designing these systems, including data, models and alignment, agent architecture and evaluation. This survey not only outlines the current methodologies and challenges, such as managing dynamic personal profiles and achieving high-level persona consistency but also suggests avenues for future research in improving the depth and realism of role-playing applications. The goal is to guide future research by offering a structured overview of current methodologies and identifying potential areas for improvement. Related resources and papers are available at https://github.com/nuochenpku/Awesome-Role-Play-Papers.

We propose a novel hierarchical Bayesian model for learning with a large (possibly infinite) number of tasks/episodes, which suits well the few-shot meta learning problem. We consider episode-wise random variables to model episode-specific target generative processes, where these local random variables are governed by a higher-level global random variate. The global variable helps memorize the important information from historic episodes while controlling how much the model needs to be adapted to new episodes in a principled Bayesian manner. Within our model framework, the prediction on a novel episode/task can be seen as a Bayesian inference problem. However, a main obstacle in learning with a large/infinite number of local random variables in online nature, is that one is not allowed to store the posterior distribution of the current local random variable for frequent future updates, typical in conventional variational inference. We need to be able to treat each local variable as a one-time iterate in the optimization. We propose a Normal-Inverse-Wishart model, for which we show that this one-time iterate optimization becomes feasible due to the approximate closed-form solutions for the local posterior distributions. The resulting algorithm is more attractive than the MAML in that it is not required to maintain computational graphs for the whole gradient optimization steps per episode. Our approach is also different from existing Bayesian meta learning methods in that unlike dealing with a single random variable for the whole episodes, our approach has a hierarchical structure that allows one-time episodic optimization, desirable for principled Bayesian learning with many/infinite tasks. The code is available at https://github.com/minyoungkim21/niwmeta.

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

As large language models (LLMs) have been deployed in various real-world settings, concerns about the harm they may propagate have grown. Various jailbreaking techniques have been developed to expose the vulnerabilities of these models and improve their safety. This work reveals that many state-of-the-art LLMs are vulnerable to malicious requests hidden behind scientific language. Specifically, our experiments with GPT4o, GPT4o-mini, GPT-4, LLama3-405B-Instruct, Llama3-70B-Instruct, Cohere, Gemini models demonstrate that, the models' biases and toxicity substantially increase when prompted with requests that deliberately misinterpret social science and psychological studies as evidence supporting the benefits of stereotypical biases. Alarmingly, these models can also be manipulated to generate fabricated scientific arguments claiming that biases are beneficial, which can be used by ill-intended actors to systematically jailbreak these strong LLMs. Our analysis studies various factors that contribute to the models' vulnerabilities to malicious requests in academic language. Mentioning author names and venues enhances the persuasiveness of models, and the bias scores increase as dialogues progress. Our findings call for a more careful investigation on the use of scientific data for training LLMs.

The successes of foundation models such as ChatGPT and AlphaFold have spurred significant interest in building similar models for electronic medical records (EMRs) to improve patient care and hospital operations. However, recent hype has obscured critical gaps in our understanding of these models' capabilities. We review over 80 foundation models trained on non-imaging EMR data (i.e. clinical text and/or structured data) and create a taxonomy delineating their architectures, training data, and potential use cases. We find that most models are trained on small, narrowly-scoped clinical datasets (e.g. MIMIC-III) or broad, public biomedical corpora (e.g. PubMed) and are evaluated on tasks that do not provide meaningful insights on their usefulness to health systems. In light of these findings, we propose an improved evaluation framework for measuring the benefits of clinical foundation models that is more closely grounded to metrics that matter in healthcare.

Large Language Models (LLMs) have shown the potential to revolutionize natural language processing tasks in various domains, sparking great interest in vertical-specific large models. However, unlike proprietary models such as BloombergGPT and FinGPT, which have leveraged their unique data accumulations to make strides in the finance domain, there hasn't not many similar large language models in the Chinese legal domain to facilitate its digital transformation. In this paper, we propose an open-source legal large language model named ChatLaw. Due to the importance of data quality, we carefully designed a legal domain fine-tuning dataset. Additionally, to overcome the problem of model hallucinations in legal data screening during reference data retrieval, we introduce a method that combines vector database retrieval with keyword retrieval to effectively reduce the inaccuracy of relying solely on vector database retrieval. Furthermore, we propose a self-attention method to enhance the ability of large models to overcome errors present in reference data, further optimizing the issue of model hallucinations at the model level and improving the problem-solving capabilities of large models. We also open-sourced our model and part of the data at https://github.com/PKU-YuanGroup/ChatLaw.

Social and behavioral determinants of health (SDOH) play a significant role in shaping health outcomes, and extracting these determinants from clinical notes is a first step to help healthcare providers systematically identify opportunities to provide appropriate care and address disparities. Progress on using NLP methods for this task has been hindered by the lack of high-quality publicly available labeled data, largely due to the privacy and regulatory constraints on the use of real patients' information. This paper introduces a new dataset, SDOH-NLI, that is based on publicly available notes and which we release publicly. We formulate SDOH extraction as a natural language inference (NLI) task, and provide binary textual entailment labels obtained from human raters for a cross product of a set of social history snippets as premises and SDOH factors as hypotheses. Our dataset differs from standard NLI benchmarks in that our premises and hypotheses are obtained independently. We evaluate both "off-the-shelf" entailment models as well as models fine-tuned on our data, and highlight the ways in which our dataset appears more challenging than commonly used NLI datasets.

While the problem of hallucinations in neural machine translation has long been recognized, so far the progress on its alleviation is very little. Indeed, recently it turned out that without artificially encouraging models to hallucinate, previously existing methods fall short and even the standard sequence log-probability is more informative. It means that characteristics internal to the model can give much more information than we expect, and before using external models and measures, we first need to ask: how far can we go if we use nothing but the translation model itself ? We propose to use a method that evaluates the percentage of the source contribution to a generated translation. Intuitively, hallucinations are translations "detached" from the source, hence they can be identified by low source contribution. This method improves detection accuracy for the most severe hallucinations by a factor of 2 and is able to alleviate hallucinations at test time on par with the previous best approach that relies on external models. Next, if we move away from internal model characteristics and allow external tools, we show that using sentence similarity from cross-lingual embeddings further improves these results.

We present a new financial domain large language model, InvestLM, tuned on LLaMA-65B (Touvron et al., 2023), using a carefully curated instruction dataset related to financial investment. Inspired by less-is-more-for-alignment (Zhou et al., 2023), we manually curate a small yet diverse instruction dataset, covering a wide range of financial related topics, from Chartered Financial Analyst (CFA) exam questions to SEC filings to Stackexchange quantitative finance discussions. InvestLM shows strong capabilities in understanding financial text and provides helpful responses to investment related questions. Financial experts, including hedge fund managers and research analysts, rate InvestLM's response as comparable to those of state-of-the-art commercial models (GPT-3.5, GPT-4 and Claude-2). Zero-shot evaluation on a set of financial NLP benchmarks demonstrates strong generalizability. From a research perspective, this work suggests that a high-quality domain specific LLM can be tuned using a small set of carefully curated instructions on a well-trained foundation model, which is consistent with the Superficial Alignment Hypothesis (Zhou et al., 2023). From a practical perspective, this work develops a state-of-the-art financial domain LLM with superior capability in understanding financial texts and providing helpful investment advice, potentially enhancing the work efficiency of financial professionals. We release the model parameters to the research community.

Recent research has shown that smaller language models can acquire substantial reasoning abilities when fine-tuned with reasoning exemplars crafted by a significantly larger teacher model. We explore this paradigm for the financial domain, focusing on the challenge of answering questions that require multi-hop numerical reasoning over financial texts. We assess the performance of several smaller models that have been fine-tuned to generate programs that encode the required financial reasoning and calculations. Our findings demonstrate that these fine-tuned smaller models approach the performance of the teacher model. To provide a granular analysis of model performance, we propose an approach to investigate the specific student model capabilities that are enhanced by fine-tuning. Our empirical analysis indicates that fine-tuning refines the student models ability to express and apply the required financial concepts along with adapting the entity extraction for the specific data format. In addition, we hypothesize and demonstrate that comparable financial reasoning capability can be induced using relatively smaller datasets.

The principle of independent causal mechanisms (ICM) states that generative processes of real world data consist of independent modules which do not influence or inform each other. While this idea has led to fruitful developments in the field of causal inference, it is not widely-known in the NLP community. In this work, we argue that the causal direction of the data collection process bears nontrivial implications that can explain a number of published NLP findings, such as differences in semi-supervised learning (SSL) and domain adaptation (DA) performance across different settings. We categorize common NLP tasks according to their causal direction and empirically assay the validity of the ICM principle for text data using minimum description length. We conduct an extensive meta-analysis of over 100 published SSL and 30 DA studies, and find that the results are consistent with our expectations based on causal insights. This work presents the first attempt to analyze the ICM principle in NLP, and provides constructive suggestions for future modeling choices. Code available at https://github.com/zhijing-jin/icm4nlp

We show that there is a general, informative and reliable procedure for discovering causal relations when, for all the investigator knows, both latent variables and selection bias may be at work. Given information about conditional independence and dependence relations between measured variables, even when latent variables and selection bias may be present, there are sufficient conditions for reliably concluding that there is a causal path from one variable to another, and sufficient conditions for reliably concluding when no such causal path exists.

As Large Language Models (LLMs) become increasingly integrated into our daily lives, the potential harms from deceptive behavior underlie the need for faithfully interpreting their decision-making. While traditional probing methods have shown some effectiveness, they remain best for narrowly scoped tasks while more comprehensive explanations are still necessary. To this end, we investigate meta-models-an architecture using a "meta-model" that takes activations from an "input-model" and answers natural language questions about the input-model's behaviors. We evaluate the meta-model's ability to generalize by training them on selected task types and assessing their out-of-distribution performance in deceptive scenarios. Our findings show that meta-models generalize well to out-of-distribution tasks and point towards opportunities for future research in this area. Our code is available at https://github.com/acostarelli/meta-models-public .

Large language model (LLM) scaling laws are empirical formulas that estimate changes in model quality as a result of increasing parameter count and training data. However, these formulas, including the popular DeepMind Chinchilla scaling laws, neglect to include the cost of inference. We modify the Chinchilla scaling laws to calculate the optimal LLM parameter count and pre-training data size to train and deploy a model of a given quality and inference demand. We conduct our analysis both in terms of a compute budget and real-world costs and find that LLM researchers expecting reasonably large inference demand (~1B requests) should train models smaller and longer than Chinchilla-optimal.

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.

Machine learning (ML) enabled classification models are becoming increasingly popular for tackling the sheer volume and speed of online misinformation and other content that could be identified as harmful. In building these models, data scientists need to take a stance on the legitimacy, authoritativeness and objectivity of the sources of ``truth" used for model training and testing. This has political, ethical and epistemic implications which are rarely addressed in technical papers. Despite (and due to) their reported high accuracy and performance, ML-driven moderation systems have the potential to shape online public debate and create downstream negative impacts such as undue censorship and the reinforcing of false beliefs. Using collaborative ethnography and theoretical insights from social studies of science and expertise, we offer a critical analysis of the process of building ML models for (mis)information classification: we identify a series of algorithmic contingencies--key moments during model development that could lead to different future outcomes, uncertainty and harmful effects as these tools are deployed by social media platforms. We conclude by offering a tentative path toward reflexive and responsible development of ML tools for moderating misinformation and other harmful content online.

In domains with high stakes such as law, recruitment, and healthcare, learning models frequently rely on sensitive user data for inference, necessitating the complete set of features. This not only poses significant privacy risks for individuals but also demands substantial human effort from organizations to verify information accuracy. This paper asks whether it is necessary to use all input features for accurate predictions at inference time. The paper demonstrates that, in a personalized setting, individuals may only need to disclose a small subset of their features without compromising decision-making accuracy. The paper also provides an efficient sequential algorithm to determine the appropriate attributes for each individual to provide. Evaluations across various learning tasks show that individuals can potentially report as little as 10\% of their information while maintaining the same accuracy level as a model that employs the full set of user information.

The observed similarities in the behavior of humans and Large Language Models (LLMs) have prompted researchers to consider the potential of using LLMs as models of human cognition. However, several significant challenges must be addressed before LLMs can be legitimately regarded as cognitive models. For instance, LLMs are trained on far more data than humans typically encounter, and may have been directly trained on human data in specific cognitive tasks or aligned with human preferences. Consequently, the origins of these behavioral similarities are not well understood. In this paper, we propose a novel way to enhance the utility of LLMs as cognitive models. This approach involves (i) leveraging computationally equivalent tasks that both an LLM and a rational agent need to master for solving a cognitive problem and (ii) examining the specific task distributions required for an LLM to exhibit human-like behaviors. We apply this approach to decision-making -- specifically risky and intertemporal choice -- where the key computationally equivalent task is the arithmetic of expected value calculations. We show that an LLM pretrained on an ecologically valid arithmetic dataset, which we call Arithmetic-GPT, predicts human behavior better than many traditional cognitive models. Pretraining LLMs on ecologically valid arithmetic datasets is sufficient to produce a strong correspondence between these models and human decision-making. Our results also suggest that LLMs used as cognitive models should be carefully investigated via ablation studies of the pretraining data.

With the growing applications of Deep Learning (DL), especially recent spectacular achievements of Large Language Models (LLMs) such as ChatGPT and LLaMA, the commercial significance of these remarkable models has soared. However, acquiring well-trained models is costly and resource-intensive. It requires a considerable high-quality dataset, substantial investment in dedicated architecture design, expensive computational resources, and efforts to develop technical expertise. Consequently, safeguarding the Intellectual Property (IP) of well-trained models is attracting increasing attention. In contrast to existing surveys overwhelmingly focusing on model IPP mainly, this survey not only encompasses the protection on model level intelligence but also valuable dataset intelligence. Firstly, according to the requirements for effective IPP design, this work systematically summarizes the general and scheme-specific performance evaluation metrics. Secondly, from proactive IP infringement prevention and reactive IP ownership verification perspectives, it comprehensively investigates and analyzes the existing IPP methods for both dataset and model intelligence. Additionally, from the standpoint of training settings, it delves into the unique challenges that distributed settings pose to IPP compared to centralized settings. Furthermore, this work examines various attacks faced by deep IPP techniques. Finally, we outline prospects for promising future directions that may act as a guide for innovative research.

We give a geometry of interaction model for a typed lambda-calculus endowed with operators for sampling from a continuous uniform distribution and soft conditioning, namely a paradigmatic calculus for higher-order Bayesian programming. The model is based on the category of measurable spaces and partial measurable functions, and is proved adequate with respect to both a distribution-based and a sampling based operational semantics.

Model distillation is a technique for transferring knowledge from large language models (LLMs) to smaller ones, aiming to create resource-efficient yet high-performing models. However, excessive distillation can lead to homogenization, reducing diversity among models and impairing their ability to robustly handle complex or novel tasks. These limitations underscore the need to systematically quantify the distillation process and its impact. In this work, we propose a framework to evaluate and quantify model distillation. Our method addresses two key aspects: (1) Identifying identity cognition contradictions to assess discrepancies in how models perceive and represent identity-related information, and (2) Analyzing multi-granularity response similarities across models to measure the extent of homogenization. Experimental results demonstrate two key insights: (1) Well-known closed-source and open-source LLMs usually exhibit high distillation degrees, except for Claude, Doubao, and Gemini. (2) Base LLMs show higher distillation degrees compared to aligned LLMs. By offering a systematic approach to improve the transparency of LLM data distillation, we call for LLMs with more independent development and more transparent technical reports to improve LLMs' robustness and safety. The code and data are available under https://github.com/Aegis1863/LLMs-Distillation-Quantification.

Memorization, or the tendency of large language models (LLMs) to output entire sequences from their training data verbatim, is a key concern for safely deploying language models. In particular, it is vital to minimize a model's memorization of sensitive datapoints such as those containing personal identifiable information (PII). The prevalence of such undesirable memorization can pose issues for model trainers, and may even require discarding an otherwise functional model. We therefore seek to predict which sequences will be memorized before a large model's full train-time by extrapolating the memorization behavior of lower-compute trial runs. We measure memorization of the Pythia model suite and plot scaling laws for forecasting memorization, allowing us to provide equi-compute recommendations to maximize the reliability (recall) of such predictions. We additionally provide further novel discoveries on the distribution of memorization scores across models and data. We release all code and data necessary to reproduce the results in this paper at https://github.com/EleutherAI/pythia

We introduce a new benchmark for reward models that quantifies their ability to produce strong language models through RLHF (Reinforcement Learning from Human Feedback). The gold-standard approach is to run a full RLHF training pipeline and directly probe downstream LLM performance. However, this process is prohibitively expensive. To address this, we build a predictive model of downstream LLM performance by evaluating the reward model on proxy tasks. These proxy tasks consist of a large-scale human preference and a verifiable correctness preference dataset, in which we measure 12 metrics across 12 domains. To investigate which reward model metrics are most correlated to gold-standard RLHF outcomes, we launch an end-to-end RLHF experiment on a large-scale crowdsourced human preference platform to view real reward model downstream performance as ground truth. Ultimately, we compile our data and findings into Preference Proxy Evaluations (PPE), the first reward model benchmark explicitly linked to post-RLHF real-world human preference performance, which we open-source for public use and further development. Our code and evaluations can be found at https://github.com/lmarena/PPE .

Offline reinforcement learning aims to train agents from pre-collected datasets. However, this comes with the added challenge of estimating the value of behaviors not covered in the dataset. Model-based methods offer a potential solution by training an approximate dynamics model, which then allows collection of additional synthetic data via rollouts in this model. The prevailing theory treats this approach as online RL in an approximate dynamics model, and any remaining performance gap is therefore understood as being due to dynamics model errors. In this paper, we analyze this assumption and investigate how popular algorithms perform as the learned dynamics model is improved. In contrast to both intuition and theory, if the learned dynamics model is replaced by the true error-free dynamics, existing model-based methods completely fail. This reveals a key oversight: The theoretical foundations assume sampling of full horizon rollouts in the learned dynamics model; however, in practice, the number of model-rollout steps is aggressively reduced to prevent accumulating errors. We show that this truncation of rollouts results in a set of edge-of-reach states at which we are effectively ``bootstrapping from the void.'' This triggers pathological value overestimation and complete performance collapse. We term this the edge-of-reach problem. Based on this new insight, we fill important gaps in existing theory, and reveal how prior model-based methods are primarily addressing the edge-of-reach problem, rather than model-inaccuracy as claimed. Finally, we propose Reach-Aware Value Learning (RAVL), a simple and robust method that directly addresses the edge-of-reach problem and hence - unlike existing methods - does not fail as the dynamics model is improved. Code open-sourced at: github.com/anyasims/edge-of-reach.

Causal representation learning aims to unveil latent high-level causal representations from observed low-level data. One of its primary tasks is to provide reliable assurance of identifying these latent causal models, known as identifiability. A recent breakthrough explores identifiability by leveraging the change of causal influences among latent causal variables across multiple environments liu2022identifying. However, this progress rests on the assumption that the causal relationships among latent causal variables adhere strictly to linear Gaussian models. In this paper, we extend the scope of latent causal models to involve nonlinear causal relationships, represented by polynomial models, and general noise distributions conforming to the exponential family. Additionally, we investigate the necessity of imposing changes on all causal parameters and present partial identifiability results when part of them remains unchanged. Further, we propose a novel empirical estimation method, grounded in our theoretical finding, that enables learning consistent latent causal representations. Our experimental results, obtained from both synthetic and real-world data, validate our theoretical contributions concerning identifiability and consistency.

What makes a good Large Language Model (LLM)? That it performs well on the relevant benchmarks -- which hopefully measure, with some validity, the presence of capabilities that are also challenged in real application. But what makes the model perform well? What gives a model its abilities? We take a recently introduced type of benchmark that is meant to challenge capabilities in a goal-directed, agentive context through self-play of conversational games, and analyse how performance develops as a function of model characteristics like number of parameters, or type of training. We find that while there is a clear relationship between number of parameters and performance, there is still a wide spread of performance points within a given size bracket, which is to be accounted for by training parameters such as fine-tuning data quality and method. From a more practical angle, we also find a certain degree of unpredictability about performance across access methods, possible due to unexposed sampling parameters, and a, very welcome, performance stability against at least moderate weight quantisation during inference.

Many individuals are concerned about the governance of machine learning systems and the prevention of algorithmic harms. The EU's recent General Data Protection Regulation (GDPR) has been seen as a core tool for achieving better governance of this area. While the GDPR does apply to the use of models in some limited situations, most of its provisions relate to the governance of personal data, while models have traditionally been seen as intellectual property. We present recent work from the information security literature around `model inversion' and `membership inference' attacks, which indicate that the process of turning training data into machine learned systems is not one-way, and demonstrate how this could lead some models to be legally classified as personal data. Taking this as a probing experiment, we explore the different rights and obligations this would trigger and their utility, and posit future directions for algorithmic governance and regulation.

Encouraged by decision makers' appetite for future information on topics ranging from elections to pandemics, and enabled by the explosion of data and computational methods, model based forecasts have garnered increasing influence on a breadth of decisions in modern society. Using several classic examples from fisheries management, I demonstrate that selecting the model or models that produce the most accurate and precise forecast (measured by statistical scores) can sometimes lead to worse outcomes (measured by real-world objectives). This can create a forecast trap, in which the outcomes such as fish biomass or economic yield decline while the manager becomes increasingly convinced that these actions are consistent with the best models and data available. The forecast trap is not unique to this example, but a fundamental consequence of non-uniqueness of models. Existing practices promoting a broader set of models are the best way to avoid the trap.

The rapid scaling of AI has spurred a growing emphasis on ethical considerations in both development and practice. This has led to the formulation of increasingly sophisticated model auditing and reporting requirements, as well as governance frameworks to mitigate potential risks to individuals and society. At this critical juncture, we review the practical challenges of promoting responsible AI and transparency in informal sectors like OSS that support vital infrastructure and see widespread use. We focus on how model performance evaluation may inform or inhibit probing of model limitations, biases, and other risks. Our controlled analysis of 7903 Hugging Face projects found that risk documentation is strongly associated with evaluation practices. Yet, submissions (N=789) from the platform's most popular competitive leaderboard showed less accountability among high performers. Our findings can inform AI providers and legal scholars in designing interventions and policies that preserve open-source innovation while incentivizing ethical uptake.

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.

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.

Recent advances in large language models (LLMs) have demonstrated significant progress in performing complex tasks. While Reinforcement Learning from Human Feedback (RLHF) has been effective in aligning LLMs with human preferences, it is susceptible to spurious correlations in reward modeling. Consequently, it often introduces biases-such as length bias, sycophancy, conceptual bias, and discrimination that hinder the model's ability to capture true causal relationships. To address this, we propose a novel causal reward modeling approach that integrates causal inference to mitigate these spurious correlations. Our method enforces counterfactual invariance, ensuring reward predictions remain consistent when irrelevant variables are altered. Through experiments on both synthetic and real-world datasets, we show that our approach mitigates various types of spurious correlations effectively, resulting in more reliable and fair alignment of LLMs with human preferences. As a drop-in enhancement to the existing RLHF workflow, our causal reward modeling provides a practical way to improve the trustworthiness and fairness of LLM finetuning.

Large language models demonstrate impressive reasoning abilities but struggle to provide personalized content due to their lack of individual user preference information. Existing methods, such as in-context learning and parameter-efficient fine-tuning, fall short in capturing the complexity of human preferences, especially given the small, personal datasets individuals possess. In this paper, we propose a novel approach utilizing small parameter models as preference agents to generate natural language rules that guide a larger, pre-trained model, enabling efficient personalization. Our method involves a small, local "steering wheel" model that directs the outputs of a much larger foundation model, producing content tailored to an individual's preferences while leveraging the extensive knowledge and capabilities of the large model. Importantly, this personalization is achieved without the need to fine-tune the large model. Experimental results on email and article datasets, demonstrate that our technique significantly outperforms baseline personalization methods. By allowing foundation models to adapt to individual preferences in a data and compute-efficient manner, our approach paves the way for highly personalized language model applications.

We introduce Diffusion World Model (DWM), a conditional diffusion model capable of predicting multistep future states and rewards concurrently. As opposed to traditional one-step dynamics models, DWM offers long-horizon predictions in a single forward pass, eliminating the need for recursive quires. We integrate DWM into model-based value estimation, where the short-term return is simulated by future trajectories sampled from DWM. In the context of offline reinforcement learning, DWM can be viewed as a conservative value regularization through generative modeling. Alternatively, it can be seen as a data source that enables offline Q-learning with synthetic data. Our experiments on the D4RL dataset confirm the robustness of DWM to long-horizon simulation. In terms of absolute performance, DWM significantly surpasses one-step dynamics models with a 44% performance gain, and achieves state-of-the-art performance.

Traditional sociological research often relies on human participation, which, though effective, is expensive, challenging to scale, and with ethical concerns. Recent advancements in large language models (LLMs) highlight their potential to simulate human behavior, enabling the replication of individual responses and facilitating studies on many interdisciplinary studies. In this paper, we conduct a comprehensive survey of this field, illustrating the recent progress in simulation driven by LLM-empowered agents. We categorize the simulations into three types: (1) Individual Simulation, which mimics specific individuals or demographic groups; (2) Scenario Simulation, where multiple agents collaborate to achieve goals within specific contexts; and (3) Society Simulation, which models interactions within agent societies to reflect the complexity and variety of real-world dynamics. These simulations follow a progression, ranging from detailed individual modeling to large-scale societal phenomena. We provide a detailed discussion of each simulation type, including the architecture or key components of the simulation, the classification of objectives or scenarios and the evaluation method. Afterward, we summarize commonly used datasets and benchmarks. Finally, we discuss the trends across these three types of simulation. A repository for the related sources is at {https://github.com/FudanDISC/SocialAgent}.

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.

We study the scaling properties of latent diffusion models (LDMs) with an emphasis on their sampling efficiency. While improved network architecture and inference algorithms have shown to effectively boost sampling efficiency of diffusion models, the role of model size -- a critical determinant of sampling efficiency -- has not been thoroughly examined. Through empirical analysis of established text-to-image diffusion models, we conduct an in-depth investigation into how model size influences sampling efficiency across varying sampling steps. Our findings unveil a surprising trend: when operating under a given inference budget, smaller models frequently outperform their larger equivalents in generating high-quality results. Moreover, we extend our study to demonstrate the generalizability of the these findings by applying various diffusion samplers, exploring diverse downstream tasks, evaluating post-distilled models, as well as comparing performance relative to training compute. These findings open up new pathways for the development of LDM scaling strategies which can be employed to enhance generative capabilities within limited inference budgets.

In the field of language modeling, models augmented with retrieval components have emerged as a promising solution to address several challenges faced in the natural language processing (NLP) field, including knowledge grounding, interpretability, and scalability. Despite the primary focus on NLP, we posit that the paradigm of retrieval-enhancement can be extended to a broader spectrum of machine learning (ML) such as computer vision, time series prediction, and computational biology. Therefore, this work introduces a formal framework of this paradigm, Retrieval-Enhanced Machine Learning (REML), by synthesizing the literature in various domains in ML with consistent notations which is missing from the current literature. Also, we found that while a number of studies employ retrieval components to augment their models, there is a lack of integration with foundational Information Retrieval (IR) research. We bridge this gap between the seminal IR research and contemporary REML studies by investigating each component that comprises the REML framework. Ultimately, the goal of this work is to equip researchers across various disciplines with a comprehensive, formally structured framework of retrieval-enhanced models, thereby fostering interdisciplinary future research.

As AI systems become more capable, we would like to enlist their help to supervise other AIs. We experiment with methods for training a harmless AI assistant through self-improvement, without any human labels identifying harmful outputs. The only human oversight is provided through a list of rules or principles, and so we refer to the method as 'Constitutional AI'. The process involves both a supervised learning and a reinforcement learning phase. In the supervised phase we sample from an initial model, then generate self-critiques and revisions, and then finetune the original model on revised responses. In the RL phase, we sample from the finetuned model, use a model to evaluate which of the two samples is better, and then train a preference model from this dataset of AI preferences. We then train with RL using the preference model as the reward signal, i.e. we use 'RL from AI Feedback' (RLAIF). As a result we are able to train a harmless but non-evasive AI assistant that engages with harmful queries by explaining its objections to them. Both the SL and RL methods can leverage chain-of-thought style reasoning to improve the human-judged performance and transparency of AI decision making. These methods make it possible to control AI behavior more precisely and with far fewer human labels.

Can foundation models be guided to execute tasks involving legal reasoning? We believe that building a benchmark to answer this question will require sustained collaborative efforts between the computer science and legal communities. To that end, this short paper serves three purposes. First, we describe how IRAC-a framework legal scholars use to distinguish different types of legal reasoning-can guide the construction of a Foundation Model oriented benchmark. Second, we present a seed set of 44 tasks built according to this framework. We discuss initial findings, and highlight directions for new tasks. Finally-inspired by the Open Science movement-we make a call for the legal and computer science communities to join our efforts by contributing new tasks. This work is ongoing, and our progress can be tracked here: https://github.com/HazyResearch/legalbench.

Traditionally, reward models used for reinforcement learning from human feedback (RLHF) are trained to directly predict preference scores without leveraging the generation capabilities of the underlying large language model (LLM). This limits the capabilities of reward models as they must reason implicitly about the quality of a response, i.e., preference modeling must be performed in a single forward pass through the model. To enable reward models to reason explicitly about the quality of a response, we introduce Critique-out-Loud (CLoud) reward models. CLoud reward models operate by first generating a natural language critique of the assistant's response that is then used to predict a scalar reward for the quality of the response. We demonstrate the success of CLoud reward models for both Llama-3-8B and 70B base models: compared to classic reward models CLoud reward models improve pairwise preference classification accuracy on RewardBench by 4.65 and 5.84 percentage points for the 8B and 70B base models respectively. Furthermore, CLoud reward models lead to a Pareto improvement for win rate on ArenaHard when used as the scoring model for Best-of-N. Finally, we explore how to exploit the dynamic inference compute capabilities of CLoud reward models by performing self-consistency decoding for reward prediction.

This open access book provides a comprehensive overview of the state of the art in research and applications of Foundation Models and is intended for readers familiar with basic Natural Language Processing (NLP) concepts. Over the recent years, a revolutionary new paradigm has been developed for training models for NLP. These models are first pre-trained on large collections of text documents to acquire general syntactic knowledge and semantic information. Then, they are fine-tuned for specific tasks, which they can often solve with superhuman accuracy. When the models are large enough, they can be instructed by prompts to solve new tasks without any fine-tuning. Moreover, they can be applied to a wide range of different media and problem domains, ranging from image and video processing to robot control learning. Because they provide a blueprint for solving many tasks in artificial intelligence, they have been called Foundation Models. After a brief introduction to basic NLP models the main pre-trained language models BERT, GPT and sequence-to-sequence transformer are described, as well as the concepts of self-attention and context-sensitive embedding. Then, different approaches to improving these models are discussed, such as expanding the pre-training criteria, increasing the length of input texts, or including extra knowledge. An overview of the best-performing models for about twenty application areas is then presented, e.g., question answering, translation, story generation, dialog systems, generating images from text, etc. For each application area, the strengths and weaknesses of current models are discussed, and an outlook on further developments is given. In addition, links are provided to freely available program code. A concluding chapter summarizes the economic opportunities, mitigation of risks, and potential developments of AI.

Researchers and developers increasingly rely on toxicity scoring to moderate generative language model outputs, in settings such as customer service, information retrieval, and content generation. However, toxicity scoring may render pertinent information inaccessible, rigidify or "value-lock" cultural norms, and prevent language reclamation processes, particularly for marginalized people. In this work, we extend the concept of algorithmic recourse to generative language models: we provide users a novel mechanism to achieve their desired prediction by dynamically setting thresholds for toxicity filtering. Users thereby exercise increased agency relative to interactions with the baseline system. A pilot study (n = 30) supports the potential of our proposed recourse mechanism, indicating improvements in usability compared to fixed-threshold toxicity-filtering of model outputs. Future work should explore the intersection of toxicity scoring, model controllability, user agency, and language reclamation processes -- particularly with regard to the bias that many communities encounter when interacting with generative language models.

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.

The surprising ability of Large Language Models (LLMs) to perform well on complex reasoning with only few-shot chain-of-thought prompts is believed to emerge only in very large-scale models (100+ billion parameters). We show that such abilities can, in fact, be distilled down from GPT-3.5 (ge 175B) to T5 variants (le 11B). We propose model specialization, to specialize the model's ability towards a target task. The hypothesis is that large models (commonly viewed as larger than 100B) have strong modeling power, but are spread on a large spectrum of tasks. Small models (commonly viewed as smaller than 10B) have limited model capacity, but if we concentrate their capacity on a specific target task, the model can achieve a decent improved performance. We use multi-step math reasoning as our testbed because it is a very typical emergent ability. We show two important aspects of model abilities: (1). there exists a very complex balance/ tradeoff between language models' multi-dimensional abilities; (2). by paying the price of decreased generic ability, we can clearly lift up the scaling curve of models smaller than 10B towards a specialized multi-step math reasoning ability. We further give comprehensive discussions about important design choices for better generalization, including the tuning data format, the start model checkpoint, and a new model selection method. We hope our practice and discoveries can serve as an important attempt towards specialized smaller models in the new research paradigm set by LLMs.

Following the success of Proximal Policy Optimization (PPO) for Reinforcement Learning from Human Feedback (RLHF), new techniques such as Sequence Likelihood Calibration (SLiC) and Direct Policy Optimization (DPO) have been proposed that are offline in nature and use rewards in an indirect manner. These techniques, in particular DPO, have recently become the tools of choice for LLM alignment due to their scalability and performance. However, they leave behind important features of the PPO approach. Methods such as SLiC or RRHF make use of the Reward Model (RM) only for ranking/preference, losing fine-grained information and ignoring the parametric form of the RM (eg., Bradley-Terry, Plackett-Luce), while methods such as DPO do not use even a separate reward model. In this work, we propose a novel approach, named BRAIn, that re-introduces the RM as part of a distribution matching approach.BRAIn considers the LLM distribution conditioned on the assumption of output goodness and applies Bayes theorem to derive an intractable posterior distribution where the RM is explicitly represented. BRAIn then distills this posterior into an amortized inference network through self-normalized importance sampling, leading to a scalable offline algorithm that significantly outperforms prior art in summarization and AntropicHH tasks. BRAIn also has interesting connections to PPO and DPO for specific RM choices.

A common approach for aligning language models to human preferences is to first learn a reward model from preference data, and then use this reward model to update the language model. We study two closely related problems that arise in this approach. First, any monotone transformation of the reward model preserves preference ranking; is there a choice that is ``better'' than others? Second, we often wish to align language models to multiple properties: how should we combine multiple reward models? Using a probabilistic interpretation of the alignment procedure, we identify a natural choice for transformation for (the common case of) rewards learned from Bradley-Terry preference models. This derived transformation has two important properties. First, it emphasizes improving poorly-performing outputs, rather than outputs that already score well. This mitigates both underfitting (where some prompts are not improved) and reward hacking (where the model learns to exploit misspecification of the reward model). Second, it enables principled aggregation of rewards by linking summation to logical conjunction: the sum of transformed rewards corresponds to the probability that the output is ``good'' in all measured properties, in a sense we make precise. Experiments aligning language models to be both helpful and harmless using RLHF show substantial improvements over the baseline (non-transformed) approach.

Recent breakthroughs in large language modeling have facilitated rigorous exploration of their application in diverse tasks related to tabular data modeling, such as prediction, tabular data synthesis, question answering, and table understanding. Each task presents unique challenges and opportunities. However, there is currently a lack of comprehensive review that summarizes and compares the key techniques, metrics, datasets, models, and optimization approaches in this research domain. This survey aims to address this gap by consolidating recent progress in these areas, offering a thorough survey and taxonomy of the datasets, metrics, and methodologies utilized. It identifies strengths, limitations, unexplored territories, and gaps in the existing literature, while providing some insights for future research directions in this vital and rapidly evolving field. It also provides relevant code and datasets references. Through this comprehensive review, we hope to provide interested readers with pertinent references and insightful perspectives, empowering them with the necessary tools and knowledge to effectively navigate and address the prevailing challenges in the field.

Large Language Models (LLMs) have shown exceptional results on current benchmarks when working individually. The advancement in their capabilities, along with a reduction in parameter size and inference times, has facilitated the use of these models as agents, enabling interactions among multiple models to execute complex tasks. Such collaborations offer several advantages, including the use of specialized models (e.g. coding), improved confidence through multiple computations, and enhanced divergent thinking, leading to more diverse outputs. Thus, the collaborative use of language models is expected to grow significantly in the coming years. In this work, we evaluate the behavior of a network of models collaborating through debate under the influence of an adversary. We introduce pertinent metrics to assess the adversary's effectiveness, focusing on system accuracy and model agreement. Our findings highlight the importance of a model's persuasive ability in influencing others. Additionally, we explore inference-time methods to generate more compelling arguments and evaluate the potential of prompt-based mitigation as a defensive strategy.

Inspired by the foundational works by Spivak and Fong and Cruttwell et al., we introduce a categorical framework to formalize Bayesian inference and learning. The two key ideas at play here are the notions of Bayesian inversions and the functor GL as constructed by Cruttwell et al.. In this context, we find that Bayesian learning is the simplest case of the learning paradigm. We then obtain categorical formulations of batch and sequential Bayes updates while also verifying that the two coincide in a specific example.

A promising approach for improving reasoning in large language models is to use process reward models (PRMs). PRMs provide feedback at each step of a multi-step reasoning trace, potentially improving credit assignment over outcome reward models (ORMs) that only provide feedback at the final step. However, collecting dense, per-step human labels is not scalable, and training PRMs from automatically-labeled data has thus far led to limited gains. To improve a base policy by running search against a PRM or using it as dense rewards for reinforcement learning (RL), we ask: "How should we design process rewards?". Our key insight is that, to be effective, the process reward for a step should measure progress: a change in the likelihood of producing a correct response in the future, before and after taking the step, corresponding to the notion of step-level advantages in RL. Crucially, this progress should be measured under a prover policy distinct from the base policy. We theoretically characterize the set of good provers and our results show that optimizing process rewards from such provers improves exploration during test-time search and online RL. In fact, our characterization shows that weak prover policies can substantially improve a stronger base policy, which we also observe empirically. We validate our claims by training process advantage verifiers (PAVs) to predict progress under such provers, and show that compared to ORMs, test-time search against PAVs is >8% more accurate, and 1.5-5times more compute-efficient. Online RL with dense rewards from PAVs enables one of the first results with 5-6times gain in sample efficiency, and >6% gain in accuracy, over ORMs.

Clinicians spend a significant amount of time reviewing medical images and transcribing their findings regarding patient diagnosis, referral and treatment in text form. Vision-language models (VLMs), which automatically interpret images and summarize their findings as text, have enormous potential to alleviate clinical workloads and increase patient access to high-quality medical care. While foundational models have stirred considerable interest in the medical community, it is unclear whether their general capabilities translate to real-world clinical utility. In this work, we show that foundation VLMs markedly underperform compared to practicing ophthalmologists on specialist tasks crucial to the care of patients with age-related macular degeneration (AMD). To address this, we initially identified the essential capabilities required for image-based clinical decision-making, and then developed a curriculum to selectively train VLMs in these skills. The resulting model, RetinaVLM, can be instructed to write reports that significantly outperform those written by leading foundation medical VLMs in disease staging (F1 score of 0.63 vs. 0.11) and patient referral (0.67 vs. 0.39), and approaches the diagnostic performance of junior ophthalmologists (who achieve 0.77 and 0.78 on the respective tasks). Furthermore, in a reader study involving two senior ophthalmologists with up to 32 years of experience, RetinaVLM's reports were found to be similarly correct (78.6% vs. 82.1%) and complete (both 78.6%) as reports written by junior ophthalmologists with up to 10 years of experience. These results demonstrate that our curriculum-based approach provides a blueprint for specializing generalist foundation medical VLMs to handle real-world clinical tasks.

While score-based generative models are the model of choice across diverse domains, there are limited tools available for controlling inference-time behavior in a principled manner, e.g. for composing multiple pretrained models. Existing classifier-free guidance methods use a simple heuristic to mix conditional and unconditional scores to approximately sample from conditional distributions. However, such methods do not approximate the intermediate distributions, necessitating additional 'corrector' steps. In this work, we provide an efficient and principled method for sampling from a sequence of annealed, geometric-averaged, or product distributions derived from pretrained score-based models. We derive a weighted simulation scheme which we call Feynman-Kac Correctors (FKCs) based on the celebrated Feynman-Kac formula by carefully accounting for terms in the appropriate partial differential equations (PDEs). To simulate these PDEs, we propose Sequential Monte Carlo (SMC) resampling algorithms that leverage inference-time scaling to improve sampling quality. We empirically demonstrate the utility of our methods by proposing amortized sampling via inference-time temperature annealing, improving multi-objective molecule generation using pretrained models, and improving classifier-free guidance for text-to-image generation. Our code is available at https://github.com/martaskrt/fkc-diffusion.

Linear time-invariant state space models (SSM) are a classical model from engineering and statistics, that have recently been shown to be very promising in machine learning through the Structured State Space sequence model (S4). A core component of S4 involves initializing the SSM state matrix to a particular matrix called a HiPPO matrix, which was empirically important for S4's ability to handle long sequences. However, the specific matrix that S4 uses was actually derived in previous work for a particular time-varying dynamical system, and the use of this matrix as a time-invariant SSM had no known mathematical interpretation. Consequently, the theoretical mechanism by which S4 models long-range dependencies actually remains unexplained. We derive a more general and intuitive formulation of the HiPPO framework, which provides a simple mathematical interpretation of S4 as a decomposition onto exponentially-warped Legendre polynomials, explaining its ability to capture long dependencies. Our generalization introduces a theoretically rich class of SSMs that also lets us derive more intuitive S4 variants for other bases such as the Fourier basis, and explains other aspects of training S4, such as how to initialize the important timescale parameter. These insights improve S4's performance to 86% on the Long Range Arena benchmark, with 96% on the most difficult Path-X task.

Reinforcement learning with human feedback for aligning large language models (LLMs) trains a reward model typically using ranking loss with comparison pairs.However, the training procedure suffers from an inherent problem: the uncontrolled scaling of reward scores during reinforcement learning due to the lack of constraints while training the reward model.This paper proposes a Prior Constraints-based Reward Model (namely PCRM) training method to mitigate this problem. PCRM incorporates prior constraints, specifically, length ratio and cosine similarity between outputs of each comparison pair, during reward model training to regulate optimization magnitude and control score margins. We comprehensively evaluate PCRM by examining its rank correlation with human preferences and its effectiveness in aligning LLMs via RL. Experimental results demonstrate that PCRM significantly improves alignment performance by effectively constraining reward score scaling. As another bonus, our method is easily integrated into arbitrary rank-based alignment methods, such as direct preference optimization, and can yield consistent improvement.

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.

Machine learning (ML) recourse techniques are increasingly used in high-stakes domains, providing end users with actions to alter ML predictions, but they assume ML developers understand what input variables can be changed. However, a recourse plan's actionability is subjective and unlikely to match developers' expectations completely. We present GAM Coach, a novel open-source system that adapts integer linear programming to generate customizable counterfactual explanations for Generalized Additive Models (GAMs), and leverages interactive visualizations to enable end users to iteratively generate recourse plans meeting their needs. A quantitative user study with 41 participants shows our tool is usable and useful, and users prefer personalized recourse plans over generic plans. Through a log analysis, we explore how users discover satisfactory recourse plans, and provide empirical evidence that transparency can lead to more opportunities for everyday users to discover counterintuitive patterns in ML models. GAM Coach is available at: https://poloclub.github.io/gam-coach/.

We present foundation language models developed to power Apple Intelligence features, including a ~3 billion parameter model designed to run efficiently on devices and a large server-based language model designed for Private Cloud Compute. These models are designed to perform a wide range of tasks efficiently, accurately, and responsibly. This report describes the model architecture, the data used to train the model, the training process, how the models are optimized for inference, and the evaluation results. We highlight our focus on Responsible AI and how the principles are applied throughout the model development.

We formalize constraint-based structure learning of the "true" causal graph from observed data when unobserved variables are also existent. We provide conditions for a "natural" family of constraint-based structure-learning algorithms that output graphs that are Markov equivalent to the causal graph. Under the faithfulness assumption, this natural family contains all exact structure-learning algorithms. We also provide a set of assumptions, under which any natural structure-learning algorithm outputs Markov equivalent graphs to the causal graph. These assumptions can be thought of as a relaxation of faithfulness, and most of them can be directly tested from (the underlying distribution) of the data, particularly when one focuses on structural causal models. We specialize the definitions and results for structural causal models.

In Natural Language Processing (NLP), the Elo rating system, originally designed for ranking players in dynamic games such as chess, is increasingly being used to evaluate Large Language Models (LLMs) through "A vs B" paired comparisons. However, while popular, the system's suitability for assessing entities with constant skill levels, such as LLMs, remains relatively unexplored. We study two fundamental axioms that evaluation methods should adhere to: reliability and transitivity. We conduct extensive evaluation of Elo behaviour, illustrating that individual Elo computations exhibit volatility and delving into the impact of varying the Elo rating system's hyperparameters. We show that these axioms are not always satisfied raising questions about the reliability of current comparative evaluations of LLMs. If the current use of Elo scores is intended to substitute the costly head-to-head comparison of LLMs, it is crucial to ensure the ranking is as robust as possible. Guided by the axioms, our findings offer concrete guidelines for enhancing the reliability of LLM evaluation methods, suggesting a need for reassessment of existing comparative approaches.

Diffusion-based models have gained significant popularity for text-to-image generation due to their exceptional image-generation capabilities. A risk with these models is the potential generation of inappropriate content, such as biased or harmful images. However, the underlying reasons for generating such undesired content from the perspective of the diffusion model's internal representation remain unclear. Previous work interprets vectors in an interpretable latent space of diffusion models as semantic concepts. However, existing approaches cannot discover directions for arbitrary concepts, such as those related to inappropriate concepts. In this work, we propose a novel self-supervised approach to find interpretable latent directions for a given concept. With the discovered vectors, we further propose a simple approach to mitigate inappropriate generation. Extensive experiments have been conducted to verify the effectiveness of our mitigation approach, namely, for fair generation, safe generation, and responsible text-enhancing generation.

Asymmetrical distance structures (quasimetrics) are ubiquitous in our lives and are gaining more attention in machine learning applications. Imposing such quasimetric structures in model representations has been shown to improve many tasks, including reinforcement learning (RL) and causal relation learning. In this work, we present four desirable properties in such quasimetric models, and show how prior works fail at them. We propose Interval Quasimetric Embedding (IQE), which is designed to satisfy all four criteria. On three quasimetric learning experiments, IQEs show strong approximation and generalization abilities, leading to better performance and improved efficiency over prior methods. Project Page: https://www.tongzhouwang.info/interval_quasimetric_embedding Quasimetric Learning Code Package: https://www.github.com/quasimetric-learning/torch-quasimetric

In reinforcement learning from human feedback, it is common to optimize against a reward model trained to predict human preferences. Because the reward model is an imperfect proxy, optimizing its value too much can hinder ground truth performance, in accordance with Goodhart's law. This effect has been frequently observed, but not carefully measured due to the expense of collecting human preference data. In this work, we use a synthetic setup in which a fixed "gold-standard" reward model plays the role of humans, providing labels used to train a proxy reward model. We study how the gold reward model score changes as we optimize against the proxy reward model using either reinforcement learning or best-of-n sampling. We find that this relationship follows a different functional form depending on the method of optimization, and that in both cases its coefficients scale smoothly with the number of reward model parameters. We also study the effect on this relationship of the size of the reward model dataset, the number of reward model and policy parameters, and the coefficient of the KL penalty added to the reward in the reinforcement learning setup. We explore the implications of these empirical results for theoretical considerations in AI alignment.

Background: The development of AI-enabled software heavily depends on AI model documentation, such as model cards, due to different domain expertise between software engineers and model developers. From an ethical standpoint, AI model documentation conveys critical information on ethical considerations along with mitigation strategies for downstream developers to ensure the delivery of ethically compliant software. However, knowledge on such documentation practice remains scarce. Aims: The objective of our study is to investigate how developers document ethical aspects of open source AI models in practice, aiming at providing recommendations for future documentation endeavours. Method: We selected three sources of documentation on GitHub and Hugging Face, and developed a keyword set to identify ethics-related documents systematically. After filtering an initial set of 2,347 documents, we identified 265 relevant ones and performed thematic analysis to derive the themes of ethical considerations. Results: Six themes emerge, with the three largest ones being model behavioural risks, model use cases, and model risk mitigation. Conclusions: Our findings reveal that open source AI model documentation focuses on articulating ethical problem statements and use case restrictions. We further provide suggestions to various stakeholders for improving documentation practice regarding ethical considerations.

Interactions among features are central to understanding the behavior of machine learning models. Recent research has made significant strides in detecting and quantifying feature interactions in single predictive models. However, we argue that the feature interactions extracted from a single pre-specified model may not be trustworthy since: a well-trained predictive model may not preserve the true feature interactions and there exist multiple well-performing predictive models that differ in feature interaction strengths. Thus, we recommend exploring feature interaction strengths in a model class of approximately equally accurate predictive models. In this work, we introduce the feature interaction score (FIS) in the context of a Rashomon set, representing a collection of models that achieve similar accuracy on a given task. We propose a general and practical algorithm to calculate the FIS in the model class. We demonstrate the properties of the FIS via synthetic data and draw connections to other areas of statistics. Additionally, we introduce a Halo plot for visualizing the feature interaction variance in high-dimensional space and a swarm plot for analyzing FIS in a Rashomon set. Experiments with recidivism prediction and image classification illustrate how feature interactions can vary dramatically in importance for similarly accurate predictive models. Our results suggest that the proposed FIS can provide valuable insights into the nature of feature interactions in machine learning models.

Different from its counterpart outcome reward models (ORMs), which evaluate the entire responses, a process reward model (PRM) scores a reasoning trajectory step by step, providing denser and more fine grained rewards. However, training a PRM requires labels annotated at every intermediate step, presenting significant challenges for both manual and automatic data collection. This paper aims to address this challenge. Both theoretically and empirically, we show that an implicit PRM can be obtained at no additional cost, by simply training an ORM on the cheaper response-level labels. The only assumption is to parameterize the outcome reward as the log-likelihood ratios of the policy and reference models, which can be optimized regardless of the specific choice of loss objectives. In experiments, we instantiate our implicit PRMs with various objectives and evaluate their performance on MATH. We show that our implicit PRM outperforms a strong MCTS-based baseline \'a la Math-Shepherd using less than 1/38 of the training data. Its performance can be further improved with majority voting. We further find that scaling up instructions and responses benefits our implicit PRM, and the latter brings a larger gain. Particularly, we find that our implicit PRM, when instantiated with the cross-entropy (CE) loss, is more data-efficient and can keep improving generation models even when trained with only one response per instruction, the setup that suffers from extreme data scarcity and imbalance. Further, instructions should be relevant to downstream tasks while the diversity of responses does not bring gains. Surprisingly, training on extra Math-Shepherd step labels brings no further improvements to our implicit PRM trained on only outcome data. We hope that our work will encourage a rethinking of PRM training approaches and contribute to making training PRMs more accessible.

Recent advancements in Large Language Models (LLMs) have shown that it is promising to utilize Process Reward Models (PRMs) as verifiers to enhance the performance of LLMs. However, current PRMs face three key challenges: (1) limited process supervision and generalization capabilities, (2) dependence on scalar value prediction without leveraging the generative abilities of LLMs, and (3) inability to scale the test-time compute of PRMs. In this work, we introduce GenPRM, a generative process reward model that performs explicit Chain-of-Thought (CoT) reasoning with code verification before providing judgment for each reasoning step. To obtain high-quality process supervision labels and rationale data, we propose Relative Progress Estimation (RPE) and a rationale synthesis framework that incorporates code verification. Experimental results on ProcessBench and several mathematical reasoning tasks show that GenPRM significantly outperforms prior PRMs with only 23K training data from MATH dataset. Through test-time scaling, a 1.5B GenPRM outperforms GPT-4o, and a 7B GenPRM surpasses Qwen2.5-Math-PRM-72B on ProcessBench. Additionally, GenPRM demonstrates strong abilities to serve as a critic model for policy model refinement. This work establishes a new paradigm for process supervision that bridges the gap between PRMs and critic models in LLMs. Our code, model, and data will be available in https://ryanliu112.github.io/GenPRM.

As language models (LMs) become integral to fields like healthcare, law, and journalism, their ability to differentiate between fact, belief, and knowledge is essential for reliable decision-making. Failure to grasp these distinctions can lead to significant consequences in areas such as medical diagnosis, legal judgments, and dissemination of fake news. Despite this, current literature has largely focused on more complex issues such as theory of mind, overlooking more fundamental epistemic challenges. This study systematically evaluates the epistemic reasoning capabilities of modern LMs, including GPT-4, Claude-3, and Llama-3, using a new dataset, KaBLE, consisting of 13,000 questions across 13 tasks. Our results reveal key limitations. First, while LMs achieve 86% accuracy on factual scenarios, their performance drops significantly with false scenarios, particularly in belief-related tasks. Second, LMs struggle with recognizing and affirming personal beliefs, especially when those beliefs contradict factual data, which raises concerns for applications in healthcare and counseling, where engaging with a person's beliefs is critical. Third, we identify a salient bias in how LMs process first-person versus third-person beliefs, performing better on third-person tasks (80.7%) compared to first-person tasks (54.4%). Fourth, LMs lack a robust understanding of the factive nature of knowledge, namely, that knowledge inherently requires truth. Fifth, LMs rely on linguistic cues for fact-checking and sometimes bypass the deeper reasoning. These findings highlight significant concerns about current LMs' ability to reason about truth, belief, and knowledge while emphasizing the need for advancements in these areas before broad deployment in critical sectors.

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

Answering counterfactual queries has many important applications such as knowledge discovery and explainability, but is challenging when causal variables are unobserved and we only see a projection onto an observation space, for instance, image pixels. One approach is to recover the latent Structural Causal Model (SCM), but this typically needs unrealistic assumptions, such as linearity of the causal mechanisms. Another approach is to use na\"ive ML approximations, such as generative models, to generate counterfactual samples; however, these lack guarantees of accuracy. In this work, we strive to strike a balance between practicality and theoretical guarantees by focusing on a specific type of causal query called domain counterfactuals, which hypothesizes what a sample would have looked like if it had been generated in a different domain (or environment). Concretely, by only assuming invertibility, sparse domain interventions and access to observational data from different domains, we aim to improve domain counterfactual estimation both theoretically and practically with less restrictive assumptions. We define domain counterfactually equivalent models and prove necessary and sufficient properties for equivalent models that provide a tight characterization of the domain counterfactual equivalence classes. Building upon this result, we prove that every equivalence class contains a model where all intervened variables are at the end when topologically sorted by the causal DAG. This surprising result suggests that a model design that only allows intervention in the last k latent variables may improve model estimation for counterfactuals. We then test this model design on extensive simulated and image-based experiments which show the sparse canonical model indeed improves counterfactual estimation over baseline non-sparse models.

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.

Current privacy research on large language models (LLMs) primarily focuses on the issue of extracting memorized training data. At the same time, models' inference capabilities have increased drastically. This raises the key question of whether current LLMs could violate individuals' privacy by inferring personal attributes from text given at inference time. In this work, we present the first comprehensive study on the capabilities of pretrained LLMs to infer personal attributes from text. We construct a dataset consisting of real Reddit profiles, and show that current LLMs can infer a wide range of personal attributes (e.g., location, income, sex), achieving up to 85% top-1 and 95.8% top-3 accuracy at a fraction of the cost (100times) and time (240times) required by humans. As people increasingly interact with LLM-powered chatbots across all aspects of life, we also explore the emerging threat of privacy-invasive chatbots trying to extract personal information through seemingly benign questions. Finally, we show that common mitigations, i.e., text anonymization and model alignment, are currently ineffective at protecting user privacy against LLM inference. Our findings highlight that current LLMs can infer personal data at a previously unattainable scale. In the absence of working defenses, we advocate for a broader discussion around LLM privacy implications beyond memorization, striving for a wider privacy protection.

Happiness computing based on large-scale online web data and machine learning methods is an emerging research topic that underpins a range of issues, from personal growth to social stability. Many advanced Machine Learning (ML) models with explanations are used to compute the happiness online assessment while maintaining high accuracy of results. However, domain knowledge constraints, such as the primary and secondary relations of happiness factors, are absent from these models, which limits the association between computing results and the right reasons for why they occurred. This article attempts to provide new insights into the explanation consistency from an empirical study perspective. Then we study how to represent and introduce domain knowledge constraints to make ML models more trustworthy. We achieve this through: (1) proving that multiple prediction models with additive factor attributions will have the desirable property of primary and secondary relations consistency, and (2) showing that factor relations with quantity can be represented as an importance distribution for encoding domain knowledge. Factor explanation difference is penalized by the Kullback-Leibler divergence-based loss among computing models. Experimental results using two online web datasets show that domain knowledge of stable factor relations exists. Using this knowledge not only improves happiness computing accuracy but also reveals more significative happiness factors for assisting decisions well.

Reasoning is an essential capacity for large language models (LLMs) to address complex tasks, where the identification of process errors is vital for improving this ability. Recently, process-level reward models (PRMs) were proposed to provide step-wise rewards that facilitate reinforcement learning and data production during training and guide LLMs toward correct steps during inference, thereby improving reasoning accuracy. However, existing benchmarks of PRMs are text-based and focus on error detection, neglecting other scenarios like reasoning search. To address this gap, we introduce MPBench, a comprehensive, multi-task, multimodal benchmark designed to systematically assess the effectiveness of PRMs in diverse scenarios. MPBench employs three evaluation paradigms, each targeting a specific role of PRMs in the reasoning process: (1) Step Correctness, which assesses the correctness of each intermediate reasoning step; (2) Answer Aggregation, which aggregates multiple solutions and selects the best one; and (3) Reasoning Process Search, which guides the search for optimal reasoning steps during inference. Through these paradigms, MPBench makes comprehensive evaluations and provides insights into the development of multimodal PRMs.

We introduce the Granite Guardian models, a suite of safeguards designed to provide risk detection for prompts and responses, enabling safe and responsible use in combination with any large language model (LLM). These models offer comprehensive coverage across multiple risk dimensions, including social bias, profanity, violence, sexual content, unethical behavior, jailbreaking, and hallucination-related risks such as context relevance, groundedness, and answer relevance for retrieval-augmented generation (RAG). Trained on a unique dataset combining human annotations from diverse sources and synthetic data, Granite Guardian models address risks typically overlooked by traditional risk detection models, such as jailbreaks and RAG-specific issues. With AUC scores of 0.871 and 0.854 on harmful content and RAG-hallucination-related benchmarks respectively, Granite Guardian is the most generalizable and competitive model available in the space. Released as open-source, Granite Guardian aims to promote responsible AI development across the community. https://github.com/ibm-granite/granite-guardian

Multi-modal Large Language Models (MLLMs) have shown impressive abilities in generating reasonable responses with respect to multi-modal contents. However, there is still a wide gap between the performance of recent MLLM-based applications and the expectation of the broad public, even though the most powerful OpenAI's GPT-4 and Google's Gemini have been deployed. This paper strives to enhance understanding of the gap through the lens of a qualitative study on the generalizability, trustworthiness, and causal reasoning capabilities of recent proprietary and open-source MLLMs across four modalities: ie, text, code, image, and video, ultimately aiming to improve the transparency of MLLMs. We believe these properties are several representative factors that define the reliability of MLLMs, in supporting various downstream applications. To be specific, we evaluate the closed-source GPT-4 and Gemini and 6 open-source LLMs and MLLMs. Overall we evaluate 230 manually designed cases, where the qualitative results are then summarized into 12 scores (ie, 4 modalities times 3 properties). In total, we uncover 14 empirical findings that are useful to understand the capabilities and limitations of both proprietary and open-source MLLMs, towards more reliable downstream multi-modal applications.

As the open-weight AI landscape continues to proliferate-with model development, significant investment, and user interest-it becomes increasingly important to predict which models will ultimately drive innovation and shape AI ecosystems. Building on parallels with citation dynamics in scientific literature, we propose a framework to quantify how an open-weight model's influence evolves. Specifically, we adapt the model introduced by Wang et al. for scientific citations, using three key parameters-immediacy, longevity, and relative fitness-to track the cumulative number of fine-tuned models of an open-weight model. Our findings reveal that this citation-style approach can effectively capture the diverse trajectories of open-weight model adoption, with most models fitting well and outliers indicating unique patterns or abrupt jumps in usage.

Recent improvements in conditional generative modeling have made it possible to generate high-quality images from language descriptions alone. We investigate whether these methods can directly address the problem of sequential decision-making. We view decision-making not through the lens of reinforcement learning (RL), but rather through conditional generative modeling. To our surprise, we find that our formulation leads to policies that can outperform existing offline RL approaches across standard benchmarks. By modeling a policy as a return-conditional diffusion model, we illustrate how we may circumvent the need for dynamic programming and subsequently eliminate many of the complexities that come with traditional offline RL. We further demonstrate the advantages of modeling policies as conditional diffusion models by considering two other conditioning variables: constraints and skills. Conditioning on a single constraint or skill during training leads to behaviors at test-time that can satisfy several constraints together or demonstrate a composition of skills. Our results illustrate that conditional generative modeling is a powerful tool for decision-making.

The conventional evaluation protocols on machine learning models rely heavily on a labeled, i.i.d-assumed testing dataset, which is not often present in real world applications. The Automated Model Evaluation (AutoEval) shows an alternative to this traditional workflow, by forming a proximal prediction pipeline of the testing performance without the presence of ground-truth labels. Despite its recent successes, the AutoEval frameworks still suffer from an overconfidence issue, substantial storage and computational cost. In that regard, we propose a novel measure -- Meta-Distribution Energy (MDE) -- that allows the AutoEval framework to be both more efficient and effective. The core of the MDE is to establish a meta-distribution statistic, on the information (energy) associated with individual samples, then offer a smoother representation enabled by energy-based learning. We further provide our theoretical insights by connecting the MDE with the classification loss. We provide extensive experiments across modalities, datasets and different architectural backbones to validate MDE's validity, together with its superiority compared with prior approaches. We also prove MDE's versatility by showing its seamless integration with large-scale models, and easy adaption to learning scenarios with noisy- or imbalanced- labels. Code and data are available: https://github.com/pengr/Energy_AutoEval

Seven years ago, researchers proposed a postprocessing method to equalize the error rates of a model across different demographic groups. The work launched hundreds of papers purporting to improve over the postprocessing baseline. We empirically evaluate these claims through thousands of model evaluations on several tabular datasets. We find that the fairness-accuracy Pareto frontier achieved by postprocessing contains all other methods we were feasibly able to evaluate. In doing so, we address two common methodological errors that have confounded previous observations. One relates to the comparison of methods with different unconstrained base models. The other concerns methods achieving different levels of constraint relaxation. At the heart of our study is a simple idea we call unprocessing that roughly corresponds to the inverse of postprocessing. Unprocessing allows for a direct comparison of methods using different underlying models and levels of relaxation.

Large language models can encode a wealth of semantic knowledge about the world. Such knowledge could be extremely useful to robots aiming to act upon high-level, temporally extended instructions expressed in natural language. However, a significant weakness of language models is that they lack real-world experience, which makes it difficult to leverage them for decision making within a given embodiment. For example, asking a language model to describe how to clean a spill might result in a reasonable narrative, but it may not be applicable to a particular agent, such as a robot, that needs to perform this task in a particular environment. We propose to provide real-world grounding by means of pretrained skills, which are used to constrain the model to propose natural language actions that are both feasible and contextually appropriate. The robot can act as the language model's "hands and eyes," while the language model supplies high-level semantic knowledge about the task. We show how low-level skills can be combined with large language models so that the language model provides high-level knowledge about the procedures for performing complex and temporally-extended instructions, while value functions associated with these skills provide the grounding necessary to connect this knowledge to a particular physical environment. We evaluate our method on a number of real-world robotic tasks, where we show the need for real-world grounding and that this approach is capable of completing long-horizon, abstract, natural language instructions on a mobile manipulator. The project's website and the video can be found at https://say-can.github.io/.

To reduce the number of pending cases and conflicting rulings in the Brazilian Judiciary, the National Congress amended the Constitution, allowing the Brazilian Supreme Court (STF) to create binding precedents (BPs), i.e., a set of understandings that both Executive and lower Judiciary branches must follow. The STF's justices frequently cite the 58 existing BPs in their decisions, and it is of primary relevance that judicial experts could identify and analyze such citations. To assist in this problem, we propose LegalVis, a web-based visual analytics system designed to support the analysis of legal documents that cite or could potentially cite a BP. We model the problem of identifying potential citations (i.e., non-explicit) as a classification problem. However, a simple score is not enough to explain the results; that is why we use an interpretability machine learning method to explain the reason behind each identified citation. For a compelling visual exploration of documents and BPs, LegalVis comprises three interactive visual components: the first presents an overview of the data showing temporal patterns, the second allows filtering and grouping relevant documents by topic, and the last one shows a document's text aiming to interpret the model's output by pointing out which paragraphs are likely to mention the BP, even if not explicitly specified. We evaluated our identification model and obtained an accuracy of 96%; we also made a quantitative and qualitative analysis of the results. The usefulness and effectiveness of LegalVis were evaluated through two usage scenarios and feedback from six domain experts.

Model-based reinforcement learning (MBRL) is a sample efficient technique to obtain control policies, yet unavoidable modeling errors often lead performance deterioration. The model in MBRL is often solely fitted to reconstruct dynamics, state observations in particular, while the impact of model error on the policy is not captured by the training objective. This leads to a mismatch between the intended goal of MBRL, enabling good policy and value learning, and the target of the loss function employed in practice, future state prediction. Naive intuition would suggest that value-aware model learning would fix this problem and, indeed, several solutions to this objective mismatch problem have been proposed based on theoretical analysis. However, they tend to be inferior in practice to commonly used maximum likelihood (MLE) based approaches. In this paper we propose the Value-gradient weighted Model Learning (VaGraM), a novel method for value-aware model learning which improves the performance of MBRL in challenging settings, such as small model capacity and the presence of distracting state dimensions. We analyze both MLE and value-aware approaches and demonstrate how they fail to account for exploration and the behavior of function approximation when learning value-aware models and highlight the additional goals that must be met to stabilize optimization in the deep learning setting. We verify our analysis by showing that our loss function is able to achieve high returns on the Mujoco benchmark suite while being more robust than maximum likelihood based approaches.

Much of the recent discourse within the NLP research community has been centered around Large Language Models (LLMs), their functionality and potential -- yet not only do we not have a working definition of LLMs, but much of this discourse relies on claims and assumptions that are worth re-examining. This position paper contributes a definition of LLMs, explicates some of the assumptions made regarding their functionality, and outlines the existing evidence for and against them. We conclude with suggestions for research directions and their framing in future work.

Large language models (LLMs) have demonstrated remarkable capabilities in natural language understanding and generation across various domains, including medicine. We present a comprehensive evaluation of GPT-4, a state-of-the-art LLM, on medical competency examinations and benchmark datasets. GPT-4 is a general-purpose model that is not specialized for medical problems through training or engineered to solve clinical tasks. Our analysis covers two sets of official practice materials for the USMLE, a three-step examination program used to assess clinical competency and grant licensure in the United States. We also evaluate performance on the MultiMedQA suite of benchmark datasets. Beyond measuring model performance, experiments were conducted to investigate the influence of test questions containing both text and images on model performance, probe for memorization of content during training, and study probability calibration, which is of critical importance in high-stakes applications like medicine. Our results show that GPT-4, without any specialized prompt crafting, exceeds the passing score on USMLE by over 20 points and outperforms earlier general-purpose models (GPT-3.5) as well as models specifically fine-tuned on medical knowledge (Med-PaLM, a prompt-tuned version of Flan-PaLM 540B). In addition, GPT-4 is significantly better calibrated than GPT-3.5, demonstrating a much-improved ability to predict the likelihood that its answers are correct. We also explore the behavior of the model qualitatively through a case study that shows the ability of GPT-4 to explain medical reasoning, personalize explanations to students, and interactively craft new counterfactual scenarios around a medical case. Implications of the findings are discussed for potential uses of GPT-4 in medical education, assessment, and clinical practice, with appropriate attention to challenges of accuracy and safety.

The ACPBench dataset provides atomic reasoning tasks required for efficient planning. The dataset is aimed at distilling the complex plan generation task into separate atomic reasoning tasks in their easiest possible form, boolean or multiple-choice questions, where the model has to choose the right answer from the provided options. While the aim of ACPBench is to test the simplest form of reasoning about action and change, when tasked with planning, a model does not typically have options to choose from and thus the reasoning required for planning dictates an open-ended, generative form for these tasks. To that end, we introduce ACPBench Hard, a generative version of ACPBench, with open-ended questions which the model needs to answer. Models that perform well on these tasks could in principle be integrated into a planner or be used directly as a policy. We discuss the complexity of these tasks as well as the complexity of validating the correctness of their answers and present validation algorithms for each task. Equipped with these validators, we test the performance of a variety of models on our tasks and find that for most of these tasks the performance of even the largest models is still subpar. Our experiments show that no model outperforms another in these tasks and with a few exceptions all tested language models score below 65%, indicating that even the current frontier language models have a long way to go before they can reliably reason about planning. In fact, even the so-called reasoning models struggle with solving these reasoning tasks. ACPBench Hard collection is available at the following link: https://ibm.github.io/ACPBench

Probabilistic models of language understanding are valuable tools for investigating human language use. However, they need to be hand-designed for a particular domain. In contrast, large language models (LLMs) are trained on text that spans a wide array of domains, but they lack the structure and interpretability of probabilistic models. In this paper, we use chain-of-thought prompts to introduce structures from probabilistic models into LLMs. We explore this approach in the case of metaphor understanding. Our chain-of-thought prompts lead language models to infer latent variables and reason about their relationships in order to choose appropriate paraphrases for metaphors. The latent variables and relationships chosen are informed by theories of metaphor understanding from cognitive psychology. We apply these prompts to the two largest versions of GPT-3 and show that they can improve performance in a paraphrase selection task.

In the last few decades, companies are interested to adopt an online automated recruitment process in an international recruitment environment. The problem is that the recruitment of employees through the manual procedure is a time and money consuming process. As a result, processing a significant number of applications through conventional methods can lead to the recruitment of clumsy individuals. Different JD/Resume matching model architectures have been proposed and reveal a high accuracy level in selecting relevant candidatesfor the required job positions. However, the development of an automatic recruitment system is still one of the main challenges. The reason is that the development of a fully automated recruitment system is a difficult task and poses different challenges. For example, providing a detailed matching explanation for the targeted stakeholders is needed to ensure a transparent recommendation. There are several knowledge bases that represent skills and competencies (e.g, ESCO, O*NET) that are used to identify the candidate and the required job skills for a matching purpose. Besides, modernpre-trained language models are fine-tuned for this context such as identifying lines where a specific feature was introduced. Typically, pre-trained language models use transfer-based machine learning models to be fine-tuned for a specific field. In this proposal, our aim is to explore how modern language models (based on transformers) can be combined with knowledge bases and ontologies to enhance the JD/Resume matching process. Our system aims at using knowledge bases and features to support the explainability of the JD/Resume matching. Finally, given that multiple software components, datasets, ontology, andmachine learning models will be explored, we aim at proposing a fair, ex-plainable, and traceable architecture for a Resume/JD matching purpose.