Stepwise Alignment for Constrained Language Model Policy Optimization

Safety and trustworthiness are indispensable requirements for applying AI systems based on large language models (LLMs) in real-world applications. This paper formulates a human value alignment as a language model policy optimization problem to maximize reward under a safety constraint and then proposes an algorithm called Stepwise Alignment for Constrained Policy Optimization (SACPO). A key idea behind SACPO, supported by theory, is that the optimal policy incorporating both reward and safety can be directly obtained from a reward-aligned policy. Based on this key idea, SACPO aligns the LLMs with each metric step-wise while leveraging simple yet powerful alignment algorithms such as direct preference optimization (DPO). SACPO provides many benefits such as simplicity, stability, computational efficiency, and flexibility regarding algorithms and dataset selection. Under mild assumption, our theoretical analysis provides the upper bounds regarding near-optimality and safety constraint violation. Our experimental results show that SACPO can fine-tune Alpaca-7B better than the state-of-the-art method in terms of both helpfulness and harmlessness

A Survey of Constraint Formulations in Safe Reinforcement Learning

Ensuring safety is critical when applying reinforcement learning (RL) to real-world problems. Consequently, safe RL emerges as a fundamental and powerful paradigm for safely optimizing an agent's policy from experimental data. A popular safe RL approach is based on a constrained criterion, which solves the problem of maximizing expected cumulative reward under safety constraints. Though there has been recently a surge of such attempts to achieve safety in RL, a systematic understanding of the field is difficult due to 1) the diversity of constraint representations and 2) little discussion of their interrelations. To address this knowledge gap, we provide a comprehensive review of representative constraint formulations, along with a curated selection of algorithms specifically designed for each formulation. Furthermore, we elucidate the theoretical underpinnings that reveal the mathematical mutual relations among common problem formulations. We conclude with a discussion of the current state and future directions of safe reinforcement learning research.

Long-term Safe Reinforcement Learning with Binary Feedback

Safety is an indispensable requirement for applying reinforcement learning (RL) to real problems. Although there has been a surge of safe RL algorithms proposed in recent years, most existing work typically 1) relies on receiving numeric safety feedback; 2) does not guarantee safety during the learning process; 3) limits the problem to a priori known, deterministic transition dynamics; and/or 4) assume the existence of a known safe policy for any states. Addressing the issues mentioned above, we thus propose Long-term Binaryfeedback Safe RL (LoBiSaRL), a safe RL algorithm for constrained Markov decision processes (CMDPs) with binary safety feedback and an unknown, stochastic state transition function. LoBiSaRL optimizes a policy to maximize rewards while guaranteeing a long-term safety that an agent executes only safe state-action pairs throughout each episode with high probability. Specifically, LoBiSaRL models the binary safety function via a generalized linear model (GLM) and conservatively takes only a safe action at every time step while inferring its effect on future safety under proper assumptions. Our theoretical results show that LoBiSaRL guarantees the long-term safety constraint, with high probability. Finally, our empirical results demonstrate that our algorithm is safer than existing methods without significantly compromising performance in terms of reward.

Verbosity Bias in Preference Labeling by Large Language Models

In recent years, Large Language Models (LLMs) have witnessed a remarkable surge in prevalence, altering the landscape of natural language processing and machine learning. One key factor in improving the performance of LLMs is alignment with humans achieved with Reinforcement Learning from Human Feedback (RLHF), as for many LLMs such as GPT-4, Bard, etc. In addition, recent studies are investigating the replacement of human feedback with feedback from other LLMs named Reinforcement Learning from AI Feedback (RLAIF). We examine the biases that come along with evaluating LLMs with other LLMs and take a closer look into verbosity bias -- a bias where LLMs sometimes prefer more verbose answers even if they have similar qualities. We see that in our problem setting, GPT-4 prefers longer answers more than humans. We also propose a metric to measure this bias.

Safe Exploration in Reinforcement Learning: A Generalized Formulation and Algorithms

Safe exploration is essential for the practical use of reinforcement learning (RL) in many real-world scenarios. In this paper, we present a generalized safe exploration (GSE) problem as a unified formulation of common safe exploration problems. We then propose a solution of the GSE problem in the form of a meta-algorithm for safe exploration, MASE, which combines an unconstrained RL algorithm with an uncertainty quantifier to guarantee safety in the current episode while properly penalizing unsafe explorations before actual safety violation to discourage them in future episodes. The advantage of MASE is that we can optimize a policy while guaranteeing with a high probability that no safety constraint will be violated under proper assumptions. Specifically, we present two variants of MASE with different constructions of the uncertainty quantifier: one based on generalized linear models with theoretical guarantees of safety and near-optimality, and another that combines a Gaussian process to ensure safety with a deep RL algorithm to maximize the reward. Finally, we demonstrate that our proposed algorithm achieves better performance than state-of-the-art algorithms on grid-world and Safety Gym benchmarks without violating any safety constraints, even during training.

Safe Policy Optimization with Local Generalized Linear Function Approximations

Safe exploration is a key to applying reinforcement learning (RL) in safety-critical systems. Existing safe exploration methods guaranteed safety under the assumption of regularity, and it has been difficult to apply them to large-scale real problems. We propose a novel algorithm, SPO-LF, that optimizes an agent's policy while learning the relation between a locally available feature obtained by sensors and environmental reward/safety using generalized linear function approximations. We provide theoretical guarantees on its safety and optimality. We experimentally show that our algorithm is 1) more efficient in terms of sample complexity and computational cost and 2) more applicable to large-scale problems than previous safe RL methods with theoretical guarantees, and 3) comparably sample-efficient and safer compared with existing advanced deep RL methods with safety constraints.

LOA: Logical Optimal Actions for Text-based Interaction Games

We present Logical Optimal Actions (LOA), an action decision architecture of reinforcement learning applications with a neuro-symbolic framework which is a combination of neural network and symbolic knowledge acquisition approach for natural language interaction games. The demonstration for LOA experiments consists of a web-based interactive platform for text-based games and visualization for acquired knowledge for improving interpretability for trained rules. This demonstration also provides a comparison module with other neuro-symbolic approaches as well as non-symbolic state-of-the-art agent models on the same text-based games. Our LOA also provides open-sourced implementation in Python for the reinforcement learning environment to facilitate an experiment for studying neuro-symbolic agents. Code: https://github.com/ibm/loa

Neuro-Symbolic Reinforcement Learning with First-Order Logic

Deep reinforcement learning (RL) methods often require many trials before convergence, and no direct interpretability of trained policies is provided. In order to achieve fast convergence and interpretability for the policy in RL, we propose a novel RL method for text-based games with a recent neuro-symbolic framework called Logical Neural Network, which can learn symbolic and interpretable rules in their differentiable network. The method is first to extract first-order logical facts from text observation and external word meaning network (ConceptNet), then train a policy in the network with directly interpretable logical operators. Our experimental results show RL training with the proposed method converges significantly faster than other state-of-the-art neuro-symbolic methods in a TextWorld benchmark.

Reinforcement Learning with External Knowledge by using Logical Neural Networks

Conventional deep reinforcement learning methods are sample-inefficient and usually require a large number of training trials before convergence. Since such methods operate on an unconstrained action set, they can lead to useless actions. A recent neuro-symbolic framework called the Logical Neural Networks (LNNs) can simultaneously provide key-properties of both neural networks and symbolic logic. The LNNs functions as an end-to-end differentiable network that minimizes a novel contradiction loss to learn interpretable rules. In this paper, we utilize LNNs to define an inference graph using basic logical operations, such as AND and NOT, for faster convergence in reinforcement learning. Specifically, we propose an integrated method that enables model-free reinforcement learning from external knowledge sources in an LNNs-based logical constrained framework such as action shielding and guide. Our results empirically demonstrate that our method converges faster compared to a model-free reinforcement learning method that doesn't have such logical constraints.

Q-learning with Language Model for Edit-based Unsupervised Summarization

Unsupervised methods are promising for abstractive text summarization in that the parallel corpora is not required. However, their performance is still far from being satisfied, therefore research on promising solutions is on-going. In this paper, we propose a new approach based on Q-learning with an edit-based summarization. The method combines two key modules to form an Editorial Agent and Language Model converter (EALM). The agent predicts edit actions (e.t., delete, keep, and replace), and then the LM converter deterministically generates a summary on the basis of the action signals. Q-learning is leveraged to train the agent to produce proper edit actions. Experimental results show that EALM delivered competitive performance compared with the previous encoder-decoder-based methods, even with truly zero paired data (i.e., no validation set). Defining the task as Q-learning enables us not only to develop a competitive method but also to make the latest techniques in reinforcement learning available for unsupervised summarization. We also conduct qualitative analysis, providing insights into future study on unsupervised summarizers.