Mitigating Reward Over-optimization in Direct Alignment Algorithms with Importance Sampling

Direct Alignment Algorithms (DAAs) such as Direct Preference Optimization (DPO) have emerged as alternatives to the standard Reinforcement Learning from Human Feedback (RLHF) for aligning large language models (LLMs) with human values. However, these methods are more susceptible to over-optimization, in which the model drifts away from the reference policy, leading to degraded performance as training progresses. This paper proposes a novel importance-sampling approach to mitigate the over-optimization problem of offline DAAs. This approach, called (IS-DAAs), multiplies the DAA objective with an importance ratio that accounts for the reference policy distribution. IS-DAAs additionally avoid the high variance issue associated with importance sampling by clipping the importance ratio to a maximum value. Our extensive experiments demonstrate that IS-DAAs can effectively mitigate over-optimization, especially under low regularization strength, and achieve better performance than other methods designed to address this problem. Our implementations are provided publicly at this link.

EPEM: Efficient Parameter Estimation for Multiple Class Monotone Missing Data

The problem of monotone missing data has been broadly studied during the last two decades and has many applications in different fields such as bioinformatics or statistics. Commonly used imputation techniques require multiple iterations through the data before yielding convergence. Moreover, those approaches may introduce extra noises and biases to the subsequent modeling. In this work, we derive exact formulas and propose a novel algorithm to compute the maximum likelihood estimators (MLEs) of a multiple class, monotone missing dataset when all the covariance matrices of all categories are assumed to be equal, namely EPEM. We then illustrate an application of our proposed methods in Linear Discriminant Analysis (LDA). As the computation is exact, our EPEM algorithm does not require multiple iterations through the data as other imputation approaches, thus promising to handle much less time-consuming than other methods. This effectiveness was validated by empirical results when EPEM reduced the error rates significantly and required a short computation time compared to several imputation-based approaches. We also release all codes and data of our experiments in one GitHub repository to contribute to the research community related to this problem.