@inproceedings{
fr{\"a}nken2024selfsupervised,
title={Self-Supervised Alignment with Mutual Information: Learning to Follow Principles without Preference Labels},
author={Jan-Philipp Fr{\"a}nken and Eric Zelikman and Rafael Rafailov and Kanishk Gandhi and Tobias Gerstenberg and Noah Goodman},
booktitle={The Thirty-eighth Annual Conference on Neural Information Processing Systems},
year={2024},
url={https://openreview.net/forum?id=UvbpbEhGaw}
}
When prompting a language model (LM), users often expect the model to adhere to a set of behavioral principles across diverse tasks, such as producing insightful content while avoiding harmful or biased language. Instilling such principles (i.e., a constitution) into a model is resource-intensive, technically challenging, and generally requires human preference labels or examples. We introduce SAMI, an iterative algorithm that finetunes a pretrained language model (without requiring preference labels or demonstrations) to increase the conditional mutual information between constitutions and self-generated responses given queries from a dataset. On single-turn dialogue and summarization, a SAMI-trained mistral-7b outperforms the initial pretrained model, with win rates between 66% and 77%. Strikingly, it also surpasses an instruction-finetuned baseline (mistral-7b-instruct) with win rates between 55% and 57% on single-turn dialogue. SAMI requires a model that writes the principles. To avoid dependence on strong models for writing principles, we align a strong pretrained model (mixtral-8x7b) using constitutions written by a weak instruction-finetuned model (mistral-7b-instruct), achieving a 65% win rate on summarization. Finally, we investigate whether SAMI generalizes to diverse summarization principles (e.g., "summaries should be scientific") and scales to stronger models (llama3-70b), finding that it achieves win rates of up to 68% for learned and 67% for held-out principles compared to the base model. Our results show that a pretrained LM can learn to follow constitutions without using preference labels, demonstrations, or human oversight.
Self-Supervised Alignment with Mutual Information: Learning to Follow Principles without Preference Labels
Jan-Philipp Fränken Eric Zelikman Rafael Rafailov Kanishk Gandhi Tobias Gerstenberg Noah Goodman