剖析大模型对齐机制,揭示价值设定与数据来源的关键作用
Decoding Alignment: A Critical Survey of LLM Development Initiatives through Value-setting and Data-centric Lens
- 从价值设定与数据视角审计6大模型开发项目
- 发现各模型对齐依赖特定价值观和标注数据集
- 适合关注AI伦理、模型可解释性的研究者阅读
AI对齐,主要通过人类反馈强化学习(RLHF)实现,是大语言模型后训练阶段的核心。这一领域不仅涉及计算机科学,还延伸至哲学、法律等跨学科议题,凸显其复杂的社会技术属性。然而,除计算技术外,现有研究较少关注对齐过程的整体图景——尤其是所采纳的目标(价值观)及其背后的数据采集与使用方式。本文旨在从价值设定与数据驱动视角,揭示当前大模型对齐的实际运作机制。为此,我们系统调研了5家主导该技术的机构在近3年内发布的6项公开文档,涵盖专有模型(OpenAI的GPT、Anthropic的Claude、Google的Gemini)与开源模型(Meta的Llama、Google的Gemma、阿里巴巴的Qwen)。每项倡议均被详细记录,整体总结亦聚焦于价值设定与数据视角下的多个维度。基于此,我们进一步探讨了一系列更广泛的相关议题。
原文摘要 · Abstract (English)
AI Alignment, primarily in the form of Reinforcement Learning from Human Feedback (RLHF), has been a cornerstone of the post-training phase in developing Large Language Models (LLMs). It has also been a popular research topic across various disciplines beyond Computer Science, including Philosophy and Law, among others, highlighting the socio-technical challenges involved. Nonetheless, except for the computational techniques related to alignment, there has been limited focus on the broader picture: the scope of these processes, which primarily rely on the selected objectives (values), and the data collected and used to imprint such objectives into the models. This work aims to reveal how alignment is understood and applied in practice from a value-setting and data-centric perspective. For this purpose, we investigate and survey (`audit') publicly available documentation released by 6 LLM development initiatives by 5 leading organizations shaping this technology, focusing on proprietary (OpenAI's GPT, Anthropic's Claude, Google's Gemini) and open-weight (Meta's Llama, Google's Gemma, and Alibaba's Qwen) initiatives, all published in the last 3 years. The findings are documented in detail per initiative, while there is also an overall summary concerning different aspects, mainly from a value-setting and data-centric perspective. On the basis of our findings, we discuss a series of broader related concerns.
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