arXiv subjects
Publications and source records attributed to Banghua Zhu.
Generative AI's expanding footprint across numerous industries has led to both excitement and increased scrutiny. This paper delves into the unique security challenges posed by Generative AI, and outlines potential research directions for managing these risks.
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 .
The rapid evolution of Large Language Models (LLMs) has outpaced the development of model evaluation, highlighting the need for continuous curation of new, challenging benchmarks. However, manual curation of high-quality, human-aligned benchmarks is expensive and time-consuming. To address this, we introduce BenchBuilder, an automated pipeline that leverages LLMs to curate high-quality, open-ended prompts from large, crowd-sourced datasets, enabling continuous benchmark updates without human in the loop. We apply BenchBuilder to datasets such as Chatbot Arena and WildChat-1M, extracting challenging prompts and utilizing LLM-as-a-Judge for automatic model evaluation. To validate benchmark quality, we propose new metrics to measure a benchmark's alignment with human preferences and ability to separate models. We release Arena-Hard-Auto, a benchmark consisting 500 challenging prompts curated by BenchBuilder. Arena-Hard-Auto provides 3x higher separation of model performances compared to MT-Bench and achieves 98.6% correlation with human preference rankings, all at a cost of $20. Our work sets a new framework for the scalable curation of automated benchmarks from extensive data.
Sorting is the task of ordering $n$ elements using pairwise comparisons. It is well known that $m=Θ(n\log n)$ comparisons are both necessary and sufficient when the outcomes of the comparisons are observed with no noise. In this paper, we study the sorting problem when each comparison is incorrect with some fixed yet unknown probability $p$. Unlike the common approach in the literature which aims to minimize the number of pairwise comparisons $m$ to achieve a given desired error probability, we consider randomized algorithms with expected number of queries $\textsf{E}[M]$ and aim at characterizing the maximal sorting rate $\frac{n\log n}{\textsf{E}[M]}$ such that the ordering of the elements can be estimated with a vanishing error probability asymptotically. The maximal rate is referred to as the noisy sorting capacity. In this work, we derive upper and lower bounds on the noisy sorting capacity. The two lower bounds -- one for fixed-length algorithms and one for variable-length algorithms -- are established by combining the insertion sort algorithm with the well-known Burnashev--Zigangirov algorithm for channel coding with feedback. Compared with existing methods, the proposed algorithms are universal in the sense that they do not require the knowledge of $p$, while maintaining a strictly positive sorting rate. Moreover, we derive a general upper bound on the noisy sorting capacity, along with an upper bound on the maximal rate that can be achieved by sorting algorithms that are based on insertion sort.
The "pretrain-then-finetune" paradigm is commonly adopted in the deployment of large language models. Low-Rank Adaptation (LoRA), a parameter-efficient fine-tuning method, is often employed to adapt a base model to a multitude of tasks, resulting in a substantial collection of LoRA adapters derived from one base model. We observe that this paradigm presents significant opportunities for batched inference during serving. To capitalize on these opportunities, we present S-LoRA, a system designed for the scalable serving of many LoRA adapters. S-LoRA stores all adapters in the main memory and fetches the adapters used by the currently running queries to the GPU memory. To efficiently use the GPU memory and reduce fragmentation, S-LoRA proposes Unified Paging. Unified Paging uses a unified memory pool to manage dynamic adapter weights with different ranks and KV cache tensors with varying sequence lengths. Additionally, S-LoRA employs a novel tensor parallelism strategy and highly optimized custom CUDA kernels for heterogeneous batching of LoRA computation. Collectively, these features enable S-LoRA to serve thousands of LoRA adapters on a single GPU or across multiple GPUs with a small overhead. Compared to state-of-the-art libraries such as HuggingFace PEFT and vLLM (with naive support of LoRA serving), S-LoRA can improve the throughput by up to 4 times and increase the number of served adapters by several orders of magnitude. As a result, S-LoRA enables scalable serving of many task-specific fine-tuned models and offers the potential for large-scale customized fine-tuning services. The code is available at https://github.com/S-LoRA/S-LoRA
High-demand LLM inference services (e.g., ChatGPT and BARD) support a wide range of requests from short chat conversations to long document reading. To ensure that all client requests are processed fairly, most major LLM inference services have request rate limits, to ensure that no client can dominate the request queue. However, this rudimentary notion of fairness also results in under-utilization of the resources and poor client experience when there is spare capacity. While there is a rich literature on fair scheduling, serving LLMs presents new challenges due to their unpredictable request lengths and their unique batching characteristics on parallel accelerators. This paper introduces the definition of LLM serving fairness based on a cost function that accounts for the number of input and output tokens processed. To achieve fairness in serving, we propose a novel scheduling algorithm, the Virtual Token Counter (VTC), a fair scheduler based on the continuous batching mechanism. We prove a 2x tight upper bound on the service difference between two backlogged clients, adhering to the requirement of work-conserving. Through extensive experiments, we demonstrate the superior performance of VTC in ensuring fairness, especially in contrast to other baseline methods, which exhibit shortcomings under various conditions. The reproducible code is available at https://github.com/Ying1123/VTC-artifact
Reinforcement learning (RL) theory has largely focused on proving minimax sample complexity bounds. These require strategic exploration algorithms that use relatively limited function classes for representing the policy or value function. Our goal is to explain why deep RL algorithms often perform well in practice, despite using random exploration and much more expressive function classes like neural networks. Our work arrives at an explanation by showing that many stochastic MDPs can be solved by performing only a few steps of value iteration on the random policy's Q function and then acting greedily. When this is true, we find that it is possible to separate the exploration and learning components of RL, making it much easier to analyze. We introduce a new RL algorithm, SQIRL, that iteratively learns a near-optimal policy by exploring randomly to collect rollouts and then performing a limited number of steps of fitted-Q iteration over those rollouts. Any regression algorithm that satisfies basic in-distribution generalization properties can be used in SQIRL to efficiently solve common MDPs. This can explain why deep RL works, since it is empirically established that neural networks generalize well in-distribution. Furthermore, SQIRL explains why random exploration works well in practice. We leverage SQIRL to derive instance-dependent sample complexity bounds for RL that are exponential only in an "effective horizon" of lookahead and on the complexity of the class used for function approximation. Empirically, we also find that SQIRL performance strongly correlates with PPO and DQN performance in a variety of stochastic environments, supporting that our theoretical analysis is predictive of practical performance. Our code and data are available at https://github.com/cassidylaidlaw/effective-horizon.
Large Language Models (LLMs) have unlocked new capabilities and applications; however, evaluating the alignment with human preferences still poses significant challenges. To address this issue, we introduce Chatbot Arena, an open platform for evaluating LLMs based on human preferences. Our methodology employs a pairwise comparison approach and leverages input from a diverse user base through crowdsourcing. The platform has been operational for several months, amassing over 240K votes. This paper describes the platform, analyzes the data we have collected so far, and explains the tried-and-true statistical methods we are using for efficient and accurate evaluation and ranking of models. We confirm that the crowdsourced questions are sufficiently diverse and discriminating and that the crowdsourced human votes are in good agreement with those of expert raters. These analyses collectively establish a robust foundation for the credibility of Chatbot Arena. Because of its unique value and openness, Chatbot Arena has emerged as one of the most referenced LLM leaderboards, widely cited by leading LLM developers and companies. Our demo is publicly available at \url{https://chat.lmsys.org}.
We provide a theoretical framework for Reinforcement Learning with Human Feedback (RLHF). Our analysis shows that when the true reward function is linear, the widely used maximum likelihood estimator (MLE) converges under both the Bradley-Terry-Luce (BTL) model and the Plackett-Luce (PL) model. However, we show that when training a policy based on the learned reward model, MLE fails while a pessimistic MLE provides policies with improved performance under certain coverage assumptions. Additionally, we demonstrate that under the PL model, the true MLE and an alternative MLE that splits the $K$-wise comparison into pairwise comparisons both converge. Moreover, the true MLE is asymptotically more efficient. Our results validate the empirical success of existing RLHF algorithms in InstructGPT and provide new insights for algorithm design. Furthermore, our results unify the problem of RLHF and max-entropy Inverse Reinforcement Learning (IRL), and provide the first sample complexity bound for max-entropy IRL.
We study statistical watermarking by formulating it as a hypothesis testing problem, a general framework which subsumes all previous statistical watermarking methods. Key to our formulation is a coupling of the output tokens and the rejection region, realized by pseudo-random generators in practice, that allows non-trivial trade-offs between the Type I error and Type II error. We characterize the Uniformly Most Powerful (UMP) watermark in the general hypothesis testing setting and the minimax Type II error in the model-agnostic setting. In the common scenario where the output is a sequence of $n$ tokens, we establish nearly matching upper and lower bounds on the number of i.i.d. tokens required to guarantee small Type I and Type II errors. Our rate of $Θ(h^{-1} \log (1/h))$ with respect to the average entropy per token $h$ highlights potentials for improvement from the rate of $h^{-2}$ in the previous works. Moreover, we formulate the robust watermarking problem where the user is allowed to perform a class of perturbations on the generated texts, and characterize the optimal Type II error of robust UMP tests via a linear programming problem. To the best of our knowledge, this is the first systematic statistical treatment on the watermarking problem with near-optimal rates in the i.i.d. setting, which might be of interest for future works.
Large language models (LLMs) have achieved huge success in numerous natural language process (NLP) tasks. However, it faces the challenge of significant resource consumption during inference. In this paper, we aim to improve the inference efficiency of LLMs by prompt caching, i.e., if the current prompt can be answered by the same response of a previous prompt, one can directly utilize that previous response without calling the LLM. Specifically, we focus on the prediction accuracy of prompt caching for single-round question-answering tasks via embedding similarity. The existing embeddings of prompts mostly focus on whether two prompts are semantically similar, which is not necessarily equivalent to whether the same response can answer them. Therefore, we propose a distillation-based method to fine-tune the existing embeddings for better caching prediction. Theoretically, we provide finite-sample guarantees for the convergence of our method under different types of loss functions. Empirically, we carefully construct a hard dataset based on Kwiatkowski et al. (2019) where the existing embedding model (Wang et al., 2022) only achieves an AUC of 0.51. We then fine-tune the above embedding model, which significantly improves the AUC of caching prediction from 0.51 to 0.81. We also conduct simulations demonstrating that our trained models achieve better caching efficiency than the previous embedding model.
Reinforcement Learning from Human Feedback (RLHF) is a pivotal technique that aligns language models closely with human-centric values. The initial phase of RLHF involves learning human values using a reward model from ranking data. It is observed that the performance of the reward model degrades after one epoch of training, and optimizing too much against the learned reward model eventually hinders the true objective. This paper delves into these issues, leveraging the theoretical insights to design improved reward learning algorithm termed 'Iterative Data Smoothing' (IDS). The core idea is that during each training epoch, we not only update the model with the data, but also update the date using the model, replacing hard labels with soft labels. Our empirical findings highlight the superior performance of this approach over the traditional methods.
We characterize the statistical efficiency of knowledge transfer through $n$ samples from a teacher to a probabilistic student classifier with input space $\mathcal S$ over labels $\mathcal A$. We show that privileged information at three progressive levels accelerates the transfer. At the first level, only samples with hard labels are known, via which the maximum likelihood estimator attains the minimax rate $\sqrt{{|{\mathcal S}||{\mathcal A}|}/{n}}$. The second level has the teacher probabilities of sampled labels available in addition, which turns out to boost the convergence rate lower bound to ${{|{\mathcal S}||{\mathcal A}|}/{n}}$. However, under this second data acquisition protocol, minimizing a naive adaptation of the cross-entropy loss results in an asymptotically biased student. We overcome this limitation and achieve the fundamental limit by using a novel empirical variant of the squared error logit loss. The third level further equips the student with the soft labels (complete logits) on ${\mathcal A}$ given every sampled input, thereby provably enables the student to enjoy a rate ${|{\mathcal S}|}/{n}$ free of $|{\mathcal A}|$. We find any Kullback-Leibler divergence minimizer to be optimal in the last case. Numerical simulations distinguish the four learners and corroborate our theory.
Self-training is an important technique for solving semi-supervised learning problems. It leverages unlabeled data by generating pseudo-labels and combining them with a limited labeled dataset for training. The effectiveness of self-training heavily relies on the accuracy of these pseudo-labels. In this paper, we introduce doubly robust self-training, a novel semi-supervised algorithm that provably balances between two extremes. When the pseudo-labels are entirely incorrect, our method reduces to a training process solely using labeled data. Conversely, when the pseudo-labels are completely accurate, our method transforms into a training process utilizing all pseudo-labeled data and labeled data, thus increasing the effective sample size. Through empirical evaluations on both the ImageNet dataset for image classification and the nuScenes autonomous driving dataset for 3D object detection, we demonstrate the superiority of the doubly robust loss over the standard self-training baseline.
Reinforcement learning from human feedback (RLHF) has emerged as a reliable approach to aligning large language models (LLMs) to human preferences. Among the plethora of RLHF techniques, proximal policy optimization (PPO) is of the most widely used methods. Despite its popularity, however, PPO may suffer from mode collapse, instability, and poor sample efficiency. We show that these issues can be alleviated by a novel algorithm that we refer to as Advantage-Induced Policy Alignment (APA), which leverages a squared error loss function based on the estimated advantages. We demonstrate empirically that APA consistently outperforms PPO in language tasks by a large margin, when a separate reward model is employed as the evaluator. In addition, compared with PPO, APA offers a more stable form of control over the deviation from the model's initial policy, ensuring that the model improves its performance without collapsing to deterministic output. In addition to empirical results, we also provide a theoretical justification supporting the design of our loss function.
Safe Reinforcement Learning (RL) aims to find a policy that achieves high rewards while satisfying cost constraints. When learning from scratch, safe RL agents tend to be overly conservative, which impedes exploration and restrains the overall performance. In many realistic tasks, e.g. autonomous driving, large-scale expert demonstration data are available. We argue that extracting expert policy from offline data to guide online exploration is a promising solution to mitigate the conserveness issue. Large-capacity models, e.g. decision transformers (DT), have been proven to be competent in offline policy learning. However, data collected in real-world scenarios rarely contain dangerous cases (e.g., collisions), which makes it prohibitive for the policies to learn safety concepts. Besides, these bulk policy networks cannot meet the computation speed requirements at inference time on real-world tasks such as autonomous driving. To this end, we propose Guided Online Distillation (GOLD), an offline-to-online safe RL framework. GOLD distills an offline DT policy into a lightweight policy network through guided online safe RL training, which outperforms both the offline DT policy and online safe RL algorithms. Experiments in both benchmark safe RL tasks and real-world driving tasks based on the Waymo Open Motion Dataset (WOMD) demonstrate that GOLD can successfully distill lightweight policies and solve decision-making problems in challenging safety-critical scenarios.
Large Language Models (LLMs) can acquire extensive world knowledge through pre-training on large corpora. However, due to exposure to low-quality data, LLMs may exhibit harmful behavior without aligning with human values. The dominant approach for steering LLMs towards beneficial behavior involves Reinforcement Learning with Human Feedback (RLHF), with Proximal Policy Optimization (PPO) serving as the default RL optimizer. Despite its effectiveness, PPO has limitations when optimizing rewards trained from comparison-based loss. Primarily, PPO is not invariant to equivalent reward functions containing identical preference information due to the need to calibrate the reward scale. Additionally, PPO's necessity for token-wise updates introduces complexity in both function approximation and algorithm design compared to trajectory-wise optimization. This paper proposes a new framework, reinforcement learning with relative feedback, and a novel trajectory-wise policy gradient algorithm, Pairwise Proximal Policy Optimization (P3O) that operates directly on comparative rewards. We show theoretically that P3O is invariant to equivalent rewards and avoids the complexity of PPO. Empirical evaluations demonstrate that P3O outperforms PPO in the KL-Reward trade-off and can align with human preferences as well as or better than prior methods. In summary, this work introduces a simpler yet effective approach for aligning LLMs to human preferences through relative feedback.
We consider the problem of computing a function of $n$ variables using noisy queries, where each query is incorrect with some fixed and known probability $p \in (0,1/2)$. Specifically, we consider the computation of the $\mathsf{OR}$ function of $n$ bits (where queries correspond to noisy readings of the bits) and the $\mathsf{MAX}$ function of $n$ real numbers (where queries correspond to noisy pairwise comparisons). We show that an expected number of queries of \[ (1 \pm o(1)) \frac{n\log \frac{1}δ}{D_{\mathsf{KL}}(p \| 1-p)} \] is both sufficient and necessary to compute both functions with a vanishing error probability $δ= o(1)$, where $D_{\mathsf{KL}}(p \| 1-p)$ denotes the Kullback-Leibler divergence between $\mathsf{Bern}(p)$ and $\mathsf{Bern}(1-p)$ distributions. Compared to previous work, our results tighten the dependence on $p$ in both the upper and lower bounds for the two functions.