Preference Fine-Tuning of LLMs Should Leverage Suboptimal, On-Policy Data

Learning from preference labels plays a crucial role in fine-tuning large language models. There are several distinct approaches for preference fine-tuning, including supervised learning, on-policy reinforcement learning (RL), and contrastive learning. Different methods come with different implementation tradeoffs and performance differences, and existing empirical findings present different conclusions, for instance, some results show that online RL is quite important to attain good fine-tuning results, while others find (offline) contrastive or even purely supervised methods sufficient. This raises a natural question: what kind of approaches are important for fine-tuning with preference data and why? In this paper, we answer this question by performing a rigorous analysis of a number of fine-tuning techniques on didactic and full-scale LLM problems. Our main finding is that, in general, approaches that use on-policy sampling or attempt to push down the likelihood on certain responses (i.e., employ a "negative gradient") outperform offline and maximum likelihood objectives. We conceptualize our insights and unify methods that use on-policy sampling or negative gradient under a notion of mode-seeking objectives for categorical distributions. Mode-seeking objectives are able to alter probability mass on specific bins of a categorical distribution at a fast rate compared to maximum likelihood, allowing them to relocate masses across bins more effectively. Our analysis prescribes actionable insights for preference fine-tuning of LLMs and informs how data should be collected for maximal improvement.

Offline Retraining for Online RL: Decoupled Policy Learning to Mitigate Exploration Bias

It is desirable for policies to optimistically explore new states and behaviors during online reinforcement learning (RL) or fine-tuning, especially when prior offline data does not provide enough state coverage. However, exploration bonuses can bias the learned policy, and our experiments find that naive, yet standard use of such bonuses can fail to recover a performant policy. Concurrently, pessimistic training in offline RL has enabled recovery of performant policies from static datasets. Can we leverage offline RL to recover better policies from online interaction? We make a simple observation that a policy can be trained from scratch on all interaction data with pessimistic objectives, thereby decoupling the policies used for data collection and for evaluation. Specifically, we propose offline retraining, a policy extraction step at the end of online fine-tuning in our Offline-to-Online-to-Offline (OOO) framework for reinforcement learning (RL). An optimistic (exploration) policy is used to interact with the environment, and a separate pessimistic (exploitation) policy is trained on all the observed data for evaluation. Such decoupling can reduce any bias from online interaction (intrinsic rewards, primacy bias) in the evaluation policy, and can allow more exploratory behaviors during online interaction which in turn can generate better data for exploitation. OOO is complementary to several offline-to-online RL and online RL methods, and improves their average performance by 14% to 26% in our fine-tuning experiments, achieves state-of-the-art performance on several environments in the D4RL benchmarks, and improves online RL performance by 165% on two OpenAI gym environments. Further, OOO can enable fine-tuning from incomplete offline datasets where prior methods can fail to recover a performant policy. Implementation: https://github.com/MaxSobolMark/OOO

Conservative Prediction via Data-Driven Confidence Minimization

Errors of machine learning models are costly, especially in safety-critical domains such as healthcare, where such mistakes can prevent the deployment of machine learning altogether. In these settings, conservative models -- models which can defer to human judgment when they are likely to make an error -- may offer a solution. However, detecting unusual or difficult examples is notably challenging, as it is impossible to anticipate all potential inputs at test time. To address this issue, prior work has proposed to minimize the model's confidence on an auxiliary pseudo-OOD dataset. We theoretically analyze the effect of confidence minimization and show that the choice of auxiliary dataset is critical. Specifically, if the auxiliary dataset includes samples from the OOD region of interest, confidence minimization provably separates ID and OOD inputs by predictive confidence. Taking inspiration from this result, we present data-driven confidence minimization (DCM), which minimizes confidence on an uncertainty dataset containing examples that the model is likely to misclassify at test time. Our experiments show that DCM consistently outperforms state-of-the-art OOD detection methods on 8 ID-OOD dataset pairs, reducing FPR (at TPR 95%) by 6.3% and 58.1% on CIFAR-10 and CIFAR-100, and outperforms existing selective classification approaches on 4 datasets in conditions of distribution shift.

Surgical Fine-Tuning Improves Adaptation to Distribution Shifts

A common approach to transfer learning under distribution shift is to fine-tune the last few layers of a pre-trained model, preserving learned features while also adapting to the new task. This paper shows that in such settings, selectively fine-tuning a subset of layers (which we term surgical fine-tuning) matches or outperforms commonly used fine-tuning approaches. Moreover, the type of distribution shift influences which subset is more effective to tune: for example, for image corruptions, fine-tuning only the first few layers works best. We validate our findings systematically across seven real-world data tasks spanning three types of distribution shifts. Theoretically, we prove that for two-layer neural networks in an idealized setting, first-layer tuning can outperform fine-tuning all layers. Intuitively, fine-tuning more parameters on a small target dataset can cause information learned during pre-training to be forgotten, and the relevant information depends on the type of shift.

When to Ask for Help: Proactive Interventions in Autonomous Reinforcement Learning

A long-term goal of reinforcement learning is to design agents that can autonomously interact and learn in the world. A critical challenge to such autonomy is the presence of irreversible states which require external assistance to recover from, such as when a robot arm has pushed an object off of a table. While standard agents require constant monitoring to decide when to intervene, we aim to design proactive agents that can request human intervention only when needed. To this end, we propose an algorithm that efficiently learns to detect and avoid states that are irreversible, and proactively asks for help in case the agent does enter them. On a suite of continuous control environments with unknown irreversible states, we find that our algorithm exhibits better sample- and intervention-efficiency compared to existing methods. Our code is publicly available at https://sites.google.com/view/proactive-interventions

Do Deep Networks Transfer Invariances Across Classes?

To generalize well, classifiers must learn to be invariant to nuisance transformations that do not alter an input's class. Many problems have "class-agnostic" nuisance transformations that apply similarly to all classes, such as lighting and background changes for image classification. Neural networks can learn these invariances given sufficient data, but many real-world datasets are heavily class imbalanced and contain only a few examples for most of the classes. We therefore pose the question: how well do neural networks transfer class-agnostic invariances learned from the large classes to the small ones? Through careful experimentation, we observe that invariance to class-agnostic transformations is still heavily dependent on class size, with the networks being much less invariant on smaller classes. This result holds even when using data balancing techniques, and suggests poor invariance transfer across classes. Our results provide one explanation for why classifiers generalize poorly on unbalanced and long-tailed distributions. Based on this analysis, we show how a generative approach for learning the nuisance transformations can help transfer invariances across classes and improve performance on a set of imbalanced image classification benchmarks. Source code for our experiments is available at https://github.com/AllanYangZhou/generative-invariance-transfer.

No True State-of-the-Art? OOD Detection Methods are Inconsistent across Datasets

Out-of-distribution detection is an important component of reliable ML systems. Prior literature has proposed various methods (e.g., MSP (Hendrycks & Gimpel, 2017), ODIN (Liang et al., 2018), Mahalanobis (Lee et al., 2018)), claiming they are state-of-the-art by showing they outperform previous methods on a selected set of in-distribution (ID) and out-of-distribution (OOD) datasets. In this work, we show that none of these methods are inherently better at OOD detection than others on a standardized set of 16 (ID, OOD) pairs. We give possible explanations for these inconsistencies with simple toy datasets where whether one method outperforms another depends on the structure of the ID and OOD datasets in question. Finally, we show that a method outperforming another on a certain (ID, OOD) pair may not do so in a low-data regime. In the low-data regime, we propose a distance-based method, Pairwise OOD detection (POD), which is based on Siamese networks and improves over Mahalanobis by sidestepping the expensive covariance estimation step. Our results suggest that the OOD detection problem may be too broad, and we should consider more specific structures for leverage.