Xiaojun Quan

Canbin Huang, Tianyuan Shi, Xiaojun Quan et al.

Model merging has emerged as a cost-effective approach for consolidating the capabilities of multiple LLMs without retraining. However, existing merging techniques, largely based on linear parameter arithmetic or optimization, struggle when applied to Mixture-of-Experts (MoE) architectures. We identify a critical failure mode in MoE merging, termed routing breakdown, in which the merged router fails to dispatch tokens to suitable experts. Routing breakdown stems from the sensitivity of the non-linear softmax and discrete Top-k routing mechanisms to parameter perturbations from merging, a sensitivity further amplified by load-balancing constraints imposed during MoE pretraining. Because fine-tuned experts exhibit distinct specializations, even modest misrouting can cause severe performance degradation. To address this issue, we propose Hessian-Aware Router Calibration (HARC), a training-free framework that leverages second-order curvature information to realign the merged router. This approach admits a closed-form solution that can be efficiently solved using a matrix-free conjugate gradient method. Experiments on mathematical reasoning and code generation tasks show that HARC effectively mitigates routing breakdown across diverse MoE merging baselines and leads to substantial performance improvements. Our code is available at https://github.com/huangcb01/HARC.

Weizhou Shen, Yeyun Gong, Yelong Shen et al. · microsoft-research

Generate-then-rank is a widely used mechanism for text generation, where a generator produces multiple text candidates and a ranker chooses the best one among the text candidates. However, existing methods usually train the generator and the ranker individually, neglecting the mutual feedback that could further enhance the generation quality. To tackle this limitation, we propose JGR, a novel joint training algorithm that integrates the generator and the ranker in a single framework. JGR optimizes the generator with a hybrid objective that combines data likelihood and ranker reward, and trains the ranker with a contrastive loss that compares the generator outputs. By iteratively updating the generator and the ranker, JGR can effectively harmonize their learning and enhance their quality jointly. We evaluate JGR on various text generation tasks and demonstrate that it surpasses existing methods on four public datasets across three common generation scenarios. Our code and models are publicly available at https://github.com/microsoft/ProphetNet/tree/master/JGR.

Liqi Yan, Qifan Wang, Yiming Cui et al.

Video captioning is a challenging task as it needs to accurately transform visual understanding into natural language description. To date, state-of-the-art methods inadequately model global-local representation across video frames for caption generation, leaving plenty of room for improvement. In this work, we approach the video captioning task from a new perspective and propose a GL-RG framework for video captioning, namely a \textbf{G}lobal-\textbf{L}ocal \textbf{R}epresentation \textbf{G}ranularity. Our GL-RG demonstrates three advantages over the prior efforts: 1) we explicitly exploit extensive visual representations from different video ranges to improve linguistic expression; 2) we devise a novel global-local encoder to produce rich semantic vocabulary to obtain a descriptive granularity of video contents across frames; 3) we develop an incremental training strategy which organizes model learning in an incremental fashion to incur an optimal captioning behavior. Experimental results on the challenging MSR-VTT and MSVD datasets show that our DL-RG outperforms recent state-of-the-art methods by a significant margin. Code is available at \url{https://github.com/ylqi/GL-RG}.

Tao Yang, Jinghao Deng, Xiaojun Quan et al.

Predicting personality traits based on online posts has emerged as an important task in many fields such as social network analysis. One of the challenges of this task is assembling information from various posts into an overall profile for each user. While many previous solutions simply concatenate the posts into a long document and then encode the document by sequential or hierarchical models, they introduce unwarranted orders for the posts, which may mislead the models. In this paper, we propose a dynamic deep graph convolutional network (D-DGCN) to overcome the above limitation. Specifically, we design a learn-to-connect approach that adopts a dynamic multi-hop structure instead of a deterministic structure, and combine it with a DGCN module to automatically learn the connections between posts. The modules of post encoder, learn-to-connect, and DGCN are jointly trained in an end-to-end manner. Experimental results on the Kaggle and Pandora datasets show the superior performance of D-DGCN to state-of-the-art baselines. Our code is available at https://github.com/djz233/D-DGCN.

Weizhou Shen, Xiaojun Quan, Ke Yang

To model the dependencies between utterances in multi-party conversations, we propose a simple and generic framework based on the dependency parsing results of utterances. Particularly, we present an approach to encoding the dependencies in the form of relative dependency encoding (ReDE) and illustrate how to implement it in Transformers by modifying the computation of self-attention. Experimental results on four multi-party conversation benchmarks show that this framework successfully boosts the general performance of two Transformer-based language models and leads to comparable or even superior performance compared to the state-of-the-art methods. The codes are available at https://github.com/shenwzh3/ReDE.

Fanqi Wan, Longguang Zhong, Ziyi Yang et al.

While training large language models (LLMs) from scratch can indeed lead to models with distinct capabilities and strengths, it incurs substantial costs and may lead to redundancy in competencies. Knowledge fusion aims to integrate existing LLMs of diverse architectures and capabilities into a more potent LLM through lightweight continual training, thereby reducing the need for costly LLM development. In this work, we propose a new framework for the knowledge fusion of chat LLMs through two main stages, resulting in FuseChat. Firstly, we conduct pairwise knowledge fusion on source chat LLMs of varying structures and scales to create multiple target LLMs with identical structure and size via lightweight fine-tuning. During this process, a statistics-based token alignment approach is introduced as the cornerstone for fusing LLMs with different structures. Secondly, we merge these target LLMs within the parameter space, where we propose a novel method for determining the merging coefficients based on the magnitude of parameter updates before and after fine-tuning. We implement and validate FuseChat using six prominent chat LLMs with diverse architectures and scales, including OpenChat-3.5-7B, Starling-LM-7B-alpha, NH2-SOLAR-10.7B, InternLM2-Chat-20B, Mixtral-8x7B-Instruct, and Qwen-1.5-Chat-72B. Experimental results on two instruction-following benchmarks, AlpacaEval 2.0 and MT-Bench, demonstrate the superiority of FuseChat-7B over baselines of various sizes. Our model is even comparable to the larger Mixtral-8x7B-Instruct and approaches GPT-3.5-Turbo-1106 on MT-Bench. Our code, model weights, and data are public at \url{https://github.com/fanqiwan/FuseAI}.

Tao Yang, Tianyuan Shi, Fanqi Wan et al.

Recent advances in large language models (LLMs), such as ChatGPT, have showcased remarkable zero-shot performance across various NLP tasks. However, the potential of LLMs in personality detection, which involves identifying an individual's personality from their written texts, remains largely unexplored. Drawing inspiration from Psychological Questionnaires, which are carefully designed by psychologists to evaluate individual personality traits through a series of targeted items, we argue that these items can be regarded as a collection of well-structured chain-of-thought (CoT) processes. By incorporating these processes, LLMs can enhance their capabilities to make more reasonable inferences on personality from textual input. In light of this, we propose a novel personality detection method, called PsyCoT, which mimics the way individuals complete psychological questionnaires in a multi-turn dialogue manner. In particular, we employ a LLM as an AI assistant with a specialization in text analysis. We prompt the assistant to rate individual items at each turn and leverage the historical rating results to derive a conclusive personality preference. Our experiments demonstrate that PsyCoT significantly improves the performance and robustness of GPT-3.5 in personality detection, achieving an average F1 score improvement of 4.23/10.63 points on two benchmark datasets compared to the standard prompting method. Our code is available at https://github.com/TaoYang225/PsyCoT.

Fanqi Wan, Xinting Huang, Tao Yang et al.

Instruction-tuning can be substantially optimized through enhanced diversity, resulting in models capable of handling a broader spectrum of tasks. However, existing data employed for such tuning often exhibit an inadequate coverage of individual domains, limiting the scope for nuanced comprehension and interactions within these areas. To address this deficiency, we propose Explore-Instruct, a novel approach to enhance the data coverage to be used in domain-specific instruction-tuning through active exploration via Large Language Models (LLMs). Built upon representative domain use cases, Explore-Instruct explores a multitude of variations or possibilities by implementing a search algorithm to obtain diversified and domain-focused instruction-tuning data. Our data-centric analysis validates the effectiveness of this proposed approach in improving domain-specific instruction coverage. Moreover, our model's performance demonstrates considerable advancements over multiple baselines, including those utilizing domain-specific data enhancement. Our findings offer a promising opportunity to improve instruction coverage, especially in domain-specific contexts, thereby advancing the development of adaptable language models. Our code, model weights, and data are public at \url{https://github.com/fanqiwan/Explore-Instruct}.

Weizhou Shen, Yingqi Gao, Canbin Huang et al.

Developing an efficient retriever to retrieve knowledge from a large-scale knowledge base (KB) is critical for task-oriented dialogue systems to effectively handle localized and specialized tasks. However, widely used generative models such as T5 and ChatGPT often struggle to differentiate subtle differences among the retrieved KB records when generating responses, resulting in suboptimal quality of generated responses. In this paper, we propose the application of maximal marginal likelihood to train a perceptive retriever by utilizing signals from response generation for supervision. In addition, our approach goes beyond considering solely retrieved entities and incorporates various meta knowledge to guide the generator, thus improving the utilization of knowledge. We evaluate our approach on three task-oriented dialogue datasets using T5 and ChatGPT as the backbone models. The results demonstrate that when combined with meta knowledge, the response generator can effectively leverage high-quality knowledge records from the retriever and enhance the quality of generated responses. The codes and models of this paper are available at https://github.com/shenwzh3/MK-TOD.

Fang Ma, Chen Zhang, Lei Ren et al.

Prompt tuning learns soft prompts to condition frozen Pre-trained Language Models (PLMs) for performing downstream tasks in a parameter-efficient manner. While prompt tuning has gradually reached the performance level of fine-tuning as the model scale increases, there is still a large performance gap between prompt tuning and fine-tuning for models of moderate and small scales (typically less than 11B parameters). In this paper, we empirically show that the trained prompt tokens can have a negative impact on a downstream task and thus degrade its performance. To bridge the gap, we propose a novel Prompt tuning model with an eXtremely small scale (XPrompt) under the regime of lottery tickets hypothesis. Specifically, XPrompt eliminates the negative prompt tokens at different granularity levels through a hierarchical structured pruning, yielding a more parameter-efficient prompt yet with a competitive performance. Comprehensive experiments are carried out on SuperGLUE tasks, and the extensive results indicate that XPrompt is able to close the performance gap at smaller model scales.

Guanhuan Huang, Xiaojun Quan, Qifan Wang

Task-oriented dialog (TOD) systems often require interaction with an external knowledge base to retrieve necessary entity (e.g., restaurant) information to support the response generation. Most current end-to-end TOD systems either retrieve the KB information explicitly or embed it into model parameters for implicit access.~While the former approach demands scanning the KB at each turn of response generation, which is inefficient when the KB scales up, the latter approach shows higher flexibility and efficiency. In either approach, the systems may generate a response with conflicting entity information. To address this issue, we propose to generate the entity autoregressively first and leverage it to guide the response generation in an end-to-end system. To ensure entity consistency, we impose a trie constraint on entity generation. We also introduce a logit concatenation strategy to facilitate gradient backpropagation for end-to-end training. Experiments on MultiWOZ 2.1 single and CAMREST show that our system can generate more high-quality and entity-consistent responses.

Qifan Wang, Yi Fang, Anirudh Ravula et al.

Network embedding is an effective technique to learn the low-dimensional representations of nodes in networks. Real-world networks are usually with multiplex or having multi-view representations from different relations. Recently, there has been increasing interest in network embedding on multiplex data. However, most existing multiplex approaches assume that the data is complete in all views. But in real applications, it is often the case that each view suffers from the missing of some data and therefore results in partial multiplex data. In this paper, we present a novel Deep Partial Multiplex Network Embedding approach to deal with incomplete data. In particular, the network embeddings are learned by simultaneously minimizing the deep reconstruction loss with the autoencoder neural network, enforcing the data consistency across views via common latent subspace learning, and preserving the data topological structure within the same network through graph Laplacian. We further prove the orthogonal invariant property of the learned embeddings and connect our approach with the binary embedding techniques. Experiments on four multiplex benchmarks demonstrate the superior performance of the proposed approach over several state-of-the-art methods on node classification, link prediction and clustering tasks.

Hongzhan Chen, Siyue Wu, Xiaojun Quan et al.

Large language models (LLMs) have showcased remarkable capabilities in complex reasoning through chain of thought (CoT) prompting. Recently, there has been a growing interest in transferring these reasoning abilities from LLMs to smaller models. However, achieving both the diversity and consistency in rationales presents a challenge. In this paper, we focus on enhancing these two aspects and propose Multi-CoT Consistent Knowledge Distillation (MCC-KD) to efficiently distill the reasoning capabilities. In MCC-KD, we generate multiple rationales for each question and enforce consistency among the corresponding predictions by minimizing the bidirectional KL-divergence between the answer distributions. We investigate the effectiveness of MCC-KD with different model architectures (LLaMA/FlanT5) and various model scales (3B/7B/11B/13B) on both mathematical reasoning and commonsense reasoning benchmarks. The empirical results not only confirm MCC-KD's superior performance on in-distribution datasets but also highlight its robust generalization ability on out-of-distribution datasets.

Tao Yang, Jinghao Deng, Xiaojun Quan et al.

Fine-tuning large pre-trained language models on downstream tasks is apt to suffer from overfitting when limited training data is available. While dropout proves to be an effective antidote by randomly dropping a proportion of units, existing research has not examined its effect on the self-attention mechanism. In this paper, we investigate this problem through self-attention attribution and find that dropping attention positions with low attribution scores can accelerate training and increase the risk of overfitting. Motivated by this observation, we propose Attribution-Driven Dropout (AD-DROP), which randomly discards some high-attribution positions to encourage the model to make predictions by relying more on low-attribution positions to reduce overfitting. We also develop a cross-tuning strategy to alternate fine-tuning and AD-DROP to avoid dropping high-attribution positions excessively. Extensive experiments on various benchmarks show that AD-DROP yields consistent improvements over baselines. Analysis further confirms that AD-DROP serves as a strategic regularizer to prevent overfitting during fine-tuning.

Yunyi Yang, Hong Ding, Qingyi Liu et al.

This paper studies the exposure bias problem in task-oriented dialog systems, where the model's generated content over multiple turns drives the dialog context away from the ground-truth distribution at training time, introducing error propagation and damaging the robustness of the TOD system. To bridge the gap between training and inference for multi-turn task-oriented dialogs, we propose session-level sampling which explicitly exposes the model to sampled generated content of dialog context during training. Additionally, we employ a dropout-based consistency regularization with the masking strategy R-Mask to further improve the robustness and performance of the model. The proposed UBARv2 achieves state-of-the-art performance on the standardized evaluation benchmark MultiWOZ and extensive experiments show the effectiveness of the proposed methods.

Tianyuan Shi, Fanqi Wan, Canbin Huang et al.

While fusing the capacities and advantages of various large language models offers a pathway to construct more powerful and versatile models, a fundamental challenge is to properly select advantageous model during training. Existing fusion methods primarily focus on the training mode that uses cross entropy on ground truth in a teacher-forcing setup to measure a model's advantage, which may provide limited insight towards model advantage. In this paper, we introduce a novel approach that enhances the fusion process by incorporating both the training and inference modes. Our method evaluates model advantage not only through cross entropy during training but also by considering inference outputs, providing a more comprehensive assessment. To combine the two modes effectively, we introduce ProFuser to progressively transition from inference mode to training mode. To validate ProFuser's effectiveness, we fused three models, including Vicuna-7B-v1.5, Llama-2-7B-Chat, and MPT-7B-8K-Chat, and demonstrated the improved performance in knowledge, reasoning, and safety compared to baseline methods.

Tianyuan Shi, Liangzhi Li, Zijian Lin et al.

Efficient knowledge retrieval plays a pivotal role in ensuring the success of end-to-end task-oriented dialogue systems by facilitating the selection of relevant information necessary to fulfill user requests. However, current approaches generally integrate knowledge retrieval and response generation, which poses scalability challenges when dealing with extensive knowledge bases. Taking inspiration from open-domain question answering, we propose a retriever-generator architecture that harnesses a retriever to retrieve pertinent knowledge and a generator to generate system responses.~Due to the lack of retriever training labels, we propose relying on feedback from the generator as pseudo-labels to train the retriever. To achieve this, we introduce a dual-feedback mechanism that generates both positive and negative feedback based on the output of the generator. Our method demonstrates superior performance in task-oriented dialogue tasks, as evidenced by experimental results on three benchmark datasets.

Hongzhan Chen, Hehong Chen, Ming Yan et al.

Large language models (LLMs) have advanced the development of various AI conversational agents, including role-playing conversational agents that mimic diverse characters and human behaviors. While prior research has predominantly focused on enhancing the conversational capability, role-specific knowledge, and stylistic attributes of these agents, there has been a noticeable gap in assessing their social intelligence. In this paper, we introduce SocialBench, the first benchmark designed to systematically evaluate the sociality of role-playing conversational agents at both individual and group levels of social interactions. The benchmark is constructed from a variety of sources and covers a wide range of 500 characters and over 6,000 question prompts and 30,800 multi-turn role-playing utterances. We conduct comprehensive evaluations on this benchmark using mainstream open-source and closed-source LLMs. We find that agents excelling in individual level does not imply their proficiency in group level. Moreover, the behavior of individuals may drift as a result of the influence exerted by other agents within the group. Experimental results on SocialBench confirm its significance as a testbed for assessing the social interaction of role-playing conversational agents. The benchmark is publicly accessible at https://github.com/X-PLUG/SocialBench.

Cong Liu, Xiaojun Quan, Yan Pan et al.

We focus on the problem of fusing two or more heterogeneous large language models (LLMs) to leverage their complementary strengths. One of the challenges of model fusion is high computational load, specifically in fine-tuning or aligning vocabularies. To address this, we propose Cool-Fusion, a simple yet effective approach that fuses the knowledge of source LLMs, which does not require training. Unlike ensemble methods, Cool-Fusion is applicable to any set of source LLMs that have different vocabularies. To overcome the vocabulary discrepancies among LLMs, we ensemble LLMs on text level, allowing them to rerank the generated texts by each other with different granularities. Extensive experiments have been conducted across a variety of benchmark datasets. On GSM8K, Cool-Fusion increases accuracy from three strong source LLMs by a significant margin of 17.4\%.

Ziyi Yang, Fanqi Wan, Longguang Zhong et al.

While fusing heterogeneous open-source LLMs with varying architectures and sizes can potentially integrate the strengths of different models, existing fusion methods face significant challenges, such as vocabulary alignment and merging distribution matrices. These procedures are not only complex but also prone to introducing noise and errors. In this paper, we propose an implicit fusion method, Weighted-Reward Preference Optimization (WRPO), which leverages preference optimization between the source LLMs and the target LLM to transfer their capabilities effectively. WRPO eliminates the need for vocabulary alignment and matrix fusion and can be efficiently scaled to accommodate various LLMs. To address distributional deviations between the source and target LLMs, WRPO introduces a progressive adaptation strategy that gradually shifts reliance on preferred examples from the target LLM to the source LLMs. Extensive experiments on the MT-Bench, AlpacaEval-2, and Arena-Hard benchmarks demonstrate that WRPO consistently outperforms existing knowledge fusion methods and various fine-tuning baselines. When applied to LLaMA3-8B-Instruct as the target model, WRPO achieves a length-controlled win rate of 55.9% against GPT-4-Preview-1106 on AlpacaEval-2 and a win rate of 46.2% against GPT-4-0314 on Arena-Hard. Our code is available at https://github.com/SLIT-AI/WRPO.

Haihui Yang, Xiaojun Quan

Chinese grammatical error correction (CGEC) faces serious overcorrection challenges when employing autoregressive generative models such as sequence-to-sequence (Seq2Seq) models and decoder-only large language models (LLMs). While previous methods aim to address overcorrection in Seq2Seq models, they are difficult to adapt to decoder-only LLMs. In this paper, we propose an alignment-enhanced corrector for the overcorrection problem that applies to both Seq2Seq models and decoder-only LLMs. Our method first trains a correction model to generate an initial correction of the source sentence. Then, we combine the source sentence with the initial correction and feed it through an alignment model for another round of correction, aiming to enforce the alignment model to focus on potential overcorrection. Moreover, to enhance the model's ability to identify nuances, we further explore the reverse alignment of the source sentence and the initial correction. Finally, we transfer the alignment knowledge from two alignment models to the correction model, instructing it on how to avoid overcorrection. Experimental results on three CGEC datasets demonstrate the effectiveness of our approach in alleviating overcorrection and improving overall performance. Our code has been made publicly available.

Shiping Gao, Hongzhan Chen, Xiaojun Quan et al.

Process reward models (PRMs) provide fine-grained reward signals along the reasoning process, but training reliable PRMs often requires step annotations or heavy verification pipelines, making them expensive to scale and refresh during online RL. Implicit PRMs mitigate this cost by learning decomposable token- or step-level rewards from trajectory-level outcome labels. However, they suffer from a train-inference mismatch: training only constrains a sequence-level aggregate, whereas inference requires token-level scores to reflect local step quality. As a result, token-level credits are weakly identified and may fail to faithfully reflect which reasoning steps are actually correct. This unreliability undermines a key promise of implicit PRMs: scoring many candidate tokens. In practice, noisy per-token advantages may systematically reinforce incorrect continuations. We address this problem with a novel Implicit Prefix-Value Reward Model (IPVRM), which directly learns a prefix-conditioned value function estimating the probability of eventual correctness, and derives step signals via temporal-difference (TD) differences. IPVRM substantially improves step-verification F1 on ProcessBench. Building on these calibrated prefix values, we further propose Distribution-Level RL (DistRL), which computes TD advantages for both sampled tokens and high-probability candidate tokens, enabling dense counterfactual updates without additional rollouts. While DistRL offers limited gains when powered by miscalibrated implicit rewards, it consistently improves downstream reasoning once paired with IPVRM.

Hongzhan Chen, Tao Yang, Shiping Gao et al.

Process reward models (PRMs) provide more nuanced supervision compared to outcome reward models (ORMs) for optimizing policy models, positioning them as a promising approach to enhancing the capabilities of LLMs in complex reasoning tasks. Recent efforts have advanced PRMs from step-level to token-level granularity by integrating reward modeling into the training of generative models, with reward scores derived from token generation probabilities. However, the conflict between generative language modeling and reward modeling may introduce instability and lead to inaccurate credit assignments. To address this challenge, we revisit token-level reward assignment by decoupling reward modeling from language generation and derive a token-level reward model through the optimization of a discriminative policy, termed the Q-function Reward Model (Q-RM). We theoretically demonstrate that Q-RM explicitly learns token-level Q-functions from preference data without relying on fine-grained annotations. In our experiments, Q-RM consistently outperforms all baseline methods across various benchmarks. For example, when integrated into PPO/REINFORCE algorithms, Q-RM enhances the average Pass@1 score by 5.85/4.70 points on mathematical reasoning tasks compared to the ORM baseline, and by 4.56/5.73 points compared to the token-level PRM counterpart. Moreover, reinforcement learning with Q-RM significantly enhances training efficiency, achieving convergence 12 times faster than ORM on GSM8K and 11 times faster than step-level PRM on MATH. Code and data are available at https://github.com/homzer/Q-RM.

Ziyi Yang, Fanqi Wan, Longguang Zhong et al.

We introduce FuseChat-3.0, a suite of large language models (LLMs) developed by integrating the strengths of heterogeneous source LLMs into more compact target LLMs. Our source models include the powerful Gemma-2-27B-it, Mistral-Large-Instruct-2407, Qwen-2.5-72B-Instruct, and Llama-3.1-70B-Instruct. For target models, we focus on three widely-used smaller variants-Llama-3.1-8B-Instruct, Gemma-2-9B-it, and Qwen-2.5-7B-Instruct-along with two ultra-compact options, Llama-3.2-3B-Instruct and Llama-3.2-1B-Instruct. To leverage the diverse capabilities of these source models, we develop a specialized data construction protocol tailored to various tasks and domains. The FuseChat-3.0 training pipeline consists of two key stages: (1) supervised fine-tuning (SFT) to align the target and source model distributions, and (2) Direct Preference Optimization (DPO) to apply preferences from multiple source LLMs to fine-tune the target model. The resulting FuseChat-3.0 models exhibit significant performance gains across tasks such as instruction following, general knowledge, mathematics, and coding. As illustrated in Figure 1, using Llama-3.1-8B-Instruct as the target model, our fusion approach achieves an average improvement of 6.8 points across 14 benchmarks. Moreover, it demonstrates remarkable gains of 37.1 points and 30.1 points on the instruction-following benchmarks AlpacaEval-2 and Arena-Hard, respectively. Our code, models, and datasets are available at https://github.com/SLIT-AI/FuseChat-3.0.

Shiping Gao, Fanqi Wan, Jiajian Guo et al.

Alignment techniques enable Large Language Models (LLMs) to generate outputs that align with human preferences and play a crucial role in their effectiveness. However, their impact often diminishes when applied to Small Language Models (SLMs), likely due to the limited capacity of these models. Instead of directly applying existing alignment techniques to SLMs, we propose to utilize a well-aligned teacher LLM to guide the alignment process for these models, thereby facilitating the transfer of the teacher's knowledge of human preferences to the student model. To achieve this, we first explore a straightforward approach, Dual-Constrained Knowledge Distillation (DCKD), that employs knowledge distillation with two KL-divergence constraints from the aligned teacher to the unaligned student. To further enhance the student's ability to distinguish between preferred and dispreferred responses, we then propose Advantage-Guided Distillation for Preference Alignment (ADPA), which leverages an advantage function from the aligned teacher to deliver more nuanced, distribution-level reward signals for the student's alignment. Our experimental results show that these two approaches appreciably improve the alignment of SLMs and narrow the performance gap with larger counterparts. Among them, ADPA demonstrates superior performance and achieves even greater effectiveness when integrated with DCKD. Our code is available at https://github.com/SLIT-AI/ADPA.

Hongzhan Chen, Tao Yang, Yuhua Zhu et al.

While reinforcement learning (RL) has been central to the recent success of large language models (LLMs), RL optimization is notoriously unstable, especially when compared to supervised fine-tuning (SFT). In this work, we investigate the stability gap between SFT and RL from a gradient-based perspective, and show that the convexity of the SFT loss with respect to model logits plays a key role in enabling stable training. Our theoretical analysis demonstrates that this property induces favorable gradient directionality during optimization. In contrast, Proximal Policy Optimization (PPO), a widely adopted policy gradient algorithm utilizing a clipped surrogate objective, lacks this stabilizing property. Motivated by this observation, we propose Logits Convex Optimization (LCO), a simple yet effective policy optimization framework that aligns the learned policy with an optimal target derived from the original RL objective, thereby emulating the stabilizing effects of logits-level convexity. Extensive experiments across multiple model families show that our LCO framework consistently improves training stability and outperforms conventional RL methods on a broad range of benchmarks.

Runjia Zeng, James Chenhao Liang, Cheng Han et al.

Training large language models (LLMs) from scratch can yield models with unique functionalities and strengths, but it is costly and often leads to redundant capabilities. A more cost-effective alternative is to fuse existing pre-trained LLMs with different architectures into a more powerful model. However, a key challenge in existing model fusion is their dependence on manually predefined vocabulary alignment, which may not generalize well across diverse contexts, leading to performance degradation in several evaluation. To solve this, we draw inspiration from distribution learning and propose the probabilistic token alignment method as a general and soft mapping for alignment, named as PTA-LLM. Our approach innovatively reformulates token alignment into a classic mathematical problem: optimal transport, seamlessly leveraging distribution-aware learning to facilitate more coherent model fusion. Apart from its inherent generality, PTA-LLM exhibits interpretability from a distributional perspective, offering insights into the essence of the token alignment. Empirical results demonstrate that probabilistic token alignment enhances the target model's performance across multiple capabilities. Our code is avaliable at https://runjia.tech/neurips_pta-llm/.

Canbin Huang, Tianyuan Shi, Yuhua Zhu et al.

Large language model (LLM) routers improve the efficiency of multi-model systems by directing each query to the most appropriate model while leveraging the diverse strengths of heterogeneous LLMs. Most existing approaches frame routing as a classification problem based solely on the input query. While this reduces overhead by avoiding inference across all models, it overlooks valuable information that could be gleaned from potential outputs and fails to capture implicit intent or contextual nuances that often emerge only during response generation. These limitations can result in suboptimal routing decisions, particularly for complex or ambiguous queries that require deeper semantic understanding. To address this challenge, we propose Lookahead, a routing framework that "foresees" potential model outputs by predicting their latent representations and uses these predictions to guide model selection, thus enabling more informed routing without full inference. Within this framework, we implement two approaches based on causal and masked language models. Empirical evaluations across seven public benchmarks - spanning instruction following, mathematical reasoning, and code generation - show that Lookahead consistently outperforms existing routing baselines, achieving an average performance gain of 7.7% over the state-of-the-art. Our code is available at https://github.com/huangcb01/lookahead-routing.

Fanqi Wan, Xinting Huang, Leyang Cui et al.

While large language models (LLMs) have demonstrated exceptional performance across various tasks following human alignment, they may still generate responses that sound plausible but contradict factual knowledge, a phenomenon known as hallucination. In this paper, we demonstrate the feasibility of mitigating hallucinations by verifying and minimizing the inconsistency between external knowledge present in the alignment data and the intrinsic knowledge embedded within foundation LLMs. Specifically, we propose a novel approach called Knowledge Consistent Alignment (KCA), which employs a well-aligned LLM to automatically formulate assessments based on external knowledge to evaluate the knowledge boundaries of foundation LLMs. To address knowledge inconsistencies in the alignment data, KCA implements several specific strategies to deal with these data instances. We demonstrate the superior efficacy of KCA in reducing hallucinations across six benchmarks, utilizing foundation LLMs of varying backbones and scales. This confirms the effectiveness of mitigating hallucinations by reducing knowledge inconsistency. Our code, model weights, and data are openly accessible at \url{https://github.com/fanqiwan/KCA}.

Fanqi Wan, Xinting Huang, Deng Cai et al.

While training large language models (LLMs) from scratch can generate models with distinct functionalities and strengths, it comes at significant costs and may result in redundant capabilities. Alternatively, a cost-effective and compelling approach is to merge existing pre-trained LLMs into a more potent model. However, due to the varying architectures of these LLMs, directly blending their weights is impractical. In this paper, we introduce the notion of knowledge fusion for LLMs, aimed at combining the capabilities of existing LLMs and transferring them into a single LLM. By leveraging the generative distributions of source LLMs, we externalize their collective knowledge and unique strengths, thereby potentially elevating the capabilities of the target model beyond those of any individual source LLM. We validate our approach using three popular LLMs with different architectures--Llama-2, MPT, and OpenLLaMA--across various benchmarks and tasks. Our findings confirm that the fusion of LLMs can improve the performance of the target model across a range of capabilities such as reasoning, commonsense, and code generation. Our code, model weights, and data are public at \url{https://github.com/fanqiwan/FuseLLM}.

Fanqi Wan, Weizhou Shen, Ke Yang et al.

Retrieving proper domain knowledge from an external database lies at the heart of end-to-end task-oriented dialog systems to generate informative responses. Most existing systems blend knowledge retrieval with response generation and optimize them with direct supervision from reference responses, leading to suboptimal retrieval performance when the knowledge base becomes large-scale. To address this, we propose to decouple knowledge retrieval from response generation and introduce a multi-grained knowledge retriever (MAKER) that includes an entity selector to search for relevant entities and an attribute selector to filter out irrelevant attributes. To train the retriever, we propose a novel distillation objective that derives supervision signals from the response generator. Experiments conducted on three standard benchmarks with both small and large-scale knowledge bases demonstrate that our retriever performs knowledge retrieval more effectively than existing methods. Our code has been made publicly available.\footnote{https://github.com/18907305772/MAKER}

Weizhou Shen, Chenliang Li, Hongzhan Chen et al.

Large Language Model (LLM) agents significantly extend the capabilities of standalone LLMs, empowering them to interact with external tools (e.g., APIs, functions) and complete various tasks in a self-directed fashion. The challenge of tool use demands that LLMs not only understand user queries and generate answers accurately but also excel in task planning, tool invocation, and result summarization. While traditional works focus on training a single LLM with all these capabilities, performance limitations become apparent, particularly with smaller models. To overcome these challenges, we propose a novel approach that decomposes the aforementioned capabilities into a planner, caller, and summarizer. Each component is implemented by a single LLM that focuses on a specific capability and collaborates with others to accomplish the task. This modular framework facilitates individual updates and the potential use of smaller LLMs for building each capability. To effectively train this framework, we introduce a two-stage training paradigm. First, we fine-tune a backbone LLM on the entire dataset without discriminating sub-tasks, providing the model with a comprehensive understanding of the task. Second, the fine-tuned LLM is used to instantiate the planner, caller, and summarizer respectively, which are continually fine-tuned on respective sub-tasks. Evaluation across various tool-use benchmarks illustrates that our proposed multi-LLM framework surpasses the traditional single-LLM approach, highlighting its efficacy and advantages in tool learning.

Guosheng Liang, Longguang Zhong, Ziyi Yang et al.

Large reasoning models (LRMs) excel at solving complex tasks by leveraging long chain-of-thought (CoT) reasoning. However, this often leads to overthinking on simple tasks, resulting in unnecessary computational overhead. We observe that LRMs inherently possess the capability for efficient short CoT reasoning, which can be reliably elicited through prompt design. To leverage this capability, we propose ThinkSwitcher, a framework that enables a single LRM to dynamically switch between short and long CoT modes based on task complexity. ThinkSwitcher introduces a lightweight switching module trained with supervision signals derived from the relative performance of each reasoning mode across tasks. Experiments on multiple reasoning benchmarks show that ThinkSwitcher reduces computational cost by 20-30% while maintaining high accuracy on complex tasks. This demonstrates the effectiveness of ThinkSwitcher as a scalable and efficient solution for unified LRM deployment.

Ziyi Yang, Weizhou Shen, Ruijun Chen et al.

Progress in long-context reasoning for large language models (LLMs) has lagged behind other recent advances. This gap arises not only from the intrinsic difficulty of processing long texts, but also from the scarcity of reliable human annotations and programmatically verifiable reward signals. In this paper, we propose SPELL, a multi-role self-play reinforcement learning framework that enables scalable, label-free optimization for long-context reasoning. SPELL integrates three cyclical roles-questioner, responder, and verifier-within a single model to enable continual self-improvement. The questioner generates questions from raw documents paired with reference answers; the responder learns to solve these questions based on the documents; and the verifier evaluates semantic equivalence between the responder's output and the questioner's reference answer, producing reward signals to guide continual training. To stabilize training, we introduce an automated curriculum that gradually increases document length and a reward function that adapts question difficulty to the model's evolving capabilities. Extensive experiments on six long-context benchmarks show that SPELL consistently improves performance across diverse LLMs and outperforms equally sized models fine-tuned on large-scale annotated data. Notably, SPELL achieves an average 7.6-point gain in pass@8 on the strong reasoning model Qwen3-30B-A3B-Thinking, raising its performance ceiling and showing promise for scaling to even more capable models.

Tao Yang, Yuhua Zhu, Xiaojun Quan et al.

The current research on Role-Playing Conversational Agents (RPCAs) with Large Language Models (LLMs) primarily focuses on imitating specific speaking styles and utilizing character backgrounds, neglecting the depiction of deeper personality traits.~In this study, we introduce personality-infused role-playing for LLM agents, which encourages agents to accurately portray their designated personality traits during dialogues. We then propose PsyPlay, a dialogue generation framework that facilitates the expression of rich personalities among multiple LLM agents. Specifically, PsyPlay enables agents to assume roles with distinct personality traits and engage in discussions centered around specific topics, consistently exhibiting their designated personality traits throughout the interactions. Validation on generated dialogue data demonstrates that PsyPlay can accurately portray the intended personality traits, achieving an overall success rate of 80.31% on GPT-3.5. Notably, we observe that LLMs aligned with positive values are more successful in portraying positive personality roles compared to negative ones. Moreover, we construct a dialogue corpus for personality-infused role-playing, called PsyPlay-Bench. The corpus, which consists of 4745 instances of correctly portrayed dialogues using PsyPlay, aims to further facilitate research in personalized role-playing and dialogue personality detection.

Fanqi Wan, Ziyi Yang, Longguang Zhong et al.

Recently, FuseLLM introduced the concept of knowledge fusion to transfer the collective knowledge of multiple structurally varied LLMs into a target LLM through lightweight continual training. In this report, we extend the scalability and flexibility of the FuseLLM framework to realize the fusion of chat LLMs, resulting in FusionChat. FusionChat comprises two main stages. Firstly, we undertake knowledge fusion for structurally and scale-varied source LLMs to derive multiple target LLMs of identical structure and size via lightweight fine-tuning. Then, these target LLMs are merged within the parameter space, wherein we propose a novel method for determining the merging weights based on the variation ratio of parameter matrices before and after fine-tuning. We validate our approach using three prominent chat LLMs with diverse architectures and scales, namely NH2-Mixtral-8x7B, NH2-Solar-10.7B, and OpenChat-3.5-7B. Experimental results spanning various chat domains demonstrate the superiority of FusionChat-7B across a broad spectrum of chat LLMs at 7B and 34B scales, even surpassing GPT-3.5 (March) and approaching Mixtral-8x7B-Instruct.

Hongzhan Chen, Ruijun Chen, Yuqi Yi et al.

Given the exceptional performance of proprietary large language models (LLMs) like GPT-4, recent research has increasingly focused on boosting the capabilities of smaller models through knowledge distillation (KD) from these powerful yet black-box teachers. While leveraging the high-quality outputs of these teachers is advantageous, the inaccessibility of their internal states often limits effective knowledge transfer. To overcome this limitation, we introduce Proxy-KD, a novel method that uses a proxy model to facilitate the efficient transfer of knowledge from black-box LLMs to smaller models. Our experiments show that Proxy-KD not only enhances the performance of KD from black-box teacher models but also surpasses traditional white-box KD techniques.~This approach presents a compelling new avenue for distilling knowledge from advanced LLMs.

Tianjian Liu, Fanqi Wan, Jiajian Guo et al.

Proactive dialogue has emerged as a critical and challenging research problem in advancing large language models (LLMs). Existing works predominantly focus on domain-specific or task-oriented scenarios, which leads to fragmented evaluations and limits the comprehensive exploration of models' proactive conversation abilities. In this work, we propose ProactiveEval, a unified framework designed for evaluating proactive dialogue capabilities of LLMs. This framework decomposes proactive dialogue into target planning and dialogue guidance, establishing evaluation metrics across various domains. Moreover, it also enables the automatic generation of diverse and challenging evaluation data. Based on the proposed framework, we develop 328 evaluation environments spanning 6 distinct domains. Through experiments with 22 different types of LLMs, we show that DeepSeek-R1 and Claude-3.7-Sonnet exhibit exceptional performance on target planning and dialogue guidance tasks, respectively. Finally, we investigate how reasoning capabilities influence proactive behaviors and discuss their implications for future model development.

Tianyuan Shi, Canbin Huang, Fanqi Wan et al.

During the preference optimization of large language models (LLMs), distribution shifts may arise between newly generated model samples and the data used to train the reward model (RM). This shift reduces the efficacy of the RM, which in turn negatively impacts the performance of the policy model (PM). To address this challenge, we propose Mutual-Taught, a self-training method that iteratively improves both the PM and RM without requiring additional human annotation. Our approach mirrors the expectation-maximization (EM) algorithm. In the E-step, the PM is updated using feedback from the current RM, guiding the PM toward a better approximation of the latent optimal preference distribution. In the M-step, we update the RM by constructing training data from the outputs of the PM before and after the E-step update. This process ensures that the RM adapts to the evolving policy distribution. Experimental results demonstrate that this iterative approach leads to consistent improvements in both models. Specifically, our 8B policy model, LLaMA-3-8B-Instruct-MT, achieves a length-controlled win rate of 54.1\% on AlpacaEval-2, while our 8B reward model, FsfairX-LLaMA3-RM-MT, performs on par with GPT-4o-2024-08-06 on RewardBench.

Longguang Zhong, Fanqi Wan, Ziyi Yang et al.

Heterogeneous model fusion enhances the performance of LLMs by integrating the knowledge and capabilities of multiple structurally diverse models. However, existing approaches often rely solely on selecting the best output for each prompt from source models, which underutilizes their full potential due to limited source knowledge and results in sparse optimization signals. To address this limitation, we propose FuseRL, a novel two-stage framework comprising FuseSFT and FusePO to maximize the utilization of source LLMs. FuseSFT establishes a robust initialization by integrating the strengths of heterogeneous source models through weighted supervised fine-tuning (SFT) on diverse outputs for each prompt. FusePO optimizes weighted preferences based on the outputs of multiple source models to enable superior alignment performance. Extensive experiments demonstrate the effectiveness of our framework across various preference alignment methods, including RLOO, DPO, and SimPO. Using Llama-3.1-8B-Instruct as the target model, our approach achieves state-of-the-art performance among 8B LLMs on the AlpacaEval-2 and Arena-Hard benchmarks. Further analysis suggests that FuseSFT regularizes the training process to reduce overfitting, while FusePO introduces dense and diverse signals for preference optimization.

Ruijun Chen, Jiehao Liang, Shiping Gao et al.

The alignment of large language models (LLMs) is crucial not only for unlocking their potential in specific tasks but also for ensuring that responses meet human expectations and adhere to safety and ethical principles. Current alignment methodologies face considerable challenges. For instance, supervised fine-tuning (SFT) requires extensive, high-quality annotated samples, while reinforcement learning from human feedback (RLHF) is complex and often unstable. In this paper, we introduce self-evolution fine-tuning (SEFT) for policy optimization, with the aim of eliminating the need for annotated samples while retaining the stability and efficiency of SFT. SEFT first trains an adaptive reviser to elevate low-quality responses while maintaining high-quality ones. The reviser then gradually guides the policy's optimization by fine-tuning it with enhanced responses. One of the prominent features of this method is its ability to leverage unlimited amounts of unannotated data for policy optimization through supervised fine-tuning. Our experiments on AlpacaEval 2.0 and MT-Bench demonstrate the effectiveness of SEFT. We also provide a comprehensive analysis of its advantages over existing alignment techniques.

Longguang Zhong, Fanqi Wan, Ruijun Chen et al.

With the rapid growth in the size and complexity of large language models (LLMs), the costs associated with their training and inference have escalated significantly. Research indicates that certain layers in LLMs harbor substantial redundancy, and pruning these layers has minimal impact on the overall performance. While various layer pruning methods have been developed based on this insight, they generally overlook the finer-grained redundancies within the layers themselves. In this paper, we delve deeper into the architecture of LLMs and demonstrate that finer-grained pruning can be achieved by targeting redundancies in multi-head attention (MHA) and multi-layer perceptron (MLP) blocks. We propose a novel, training-free structured pruning approach called BlockPruner. Unlike existing layer pruning methods, BlockPruner segments each Transformer layer into MHA and MLP blocks. It then assesses the importance of these blocks using perplexity measures and applies a heuristic search for iterative pruning. We applied BlockPruner to LLMs of various sizes and architectures and validated its performance across a wide range of downstream tasks. Experimental results show that BlockPruner achieves more granular and effective pruning compared to state-of-the-art baselines.

Zihong Liang, Xiaojun Quan, Qifan Wang

Chinese Spelling Correction (CSC) aims to detect and correct erroneous characters in Chinese texts. Although efforts have been made to introduce phonetic information (Hanyu Pinyin) in this task, they typically merge phonetic representations with character representations, which tends to weaken the representation effect of normal texts. In this work, we propose to disentangle the two types of features to allow for direct interaction between textual and phonetic information. To learn useful phonetic representations, we introduce a pinyin-to-character objective to ask the model to predict the correct characters based solely on phonetic information, where a separation mask is imposed to disable attention from phonetic input to text. To avoid overfitting the phonetics, we further design a self-distillation module to ensure that semantic information plays a major role in the prediction. Extensive experiments on three CSC benchmarks demonstrate the superiority of our method in using phonetic information.

Siyue Wu, Hongzhan Chen, Xiaojun Quan et al.

Knowledge distillation has attracted a great deal of interest recently to compress pre-trained language models. However, existing knowledge distillation methods suffer from two limitations. First, the student model simply imitates the teacher's behavior while ignoring the underlying reasoning. Second, these methods usually focus on the transfer of sophisticated model-specific knowledge but overlook data-specific knowledge. In this paper, we present a novel attribution-driven knowledge distillation approach, which explores the token-level rationale behind the teacher model based on Integrated Gradients (IG) and transfers attribution knowledge to the student model. To enhance the knowledge transfer of model reasoning and generalization, we further explore multi-view attribution distillation on all potential decisions of the teacher. Comprehensive experiments are conducted with BERT on the GLUE benchmark. The experimental results demonstrate the superior performance of our approach to several state-of-the-art methods.

Jinghao Deng, Fanqi Wan, Tao Yang et al.

Contrastive learning has been widely studied in sentence representation learning. However, earlier works mainly focus on the construction of positive examples, while in-batch samples are often simply treated as negative examples. This approach overlooks the importance of selecting appropriate negative examples, potentially leading to a scarcity of hard negatives and the inclusion of false negatives. To address these issues, we propose ClusterNS (Clustering-aware Negative Sampling), a novel method that incorporates cluster information into contrastive learning for unsupervised sentence representation learning. We apply a modified K-means clustering algorithm to supply hard negatives and recognize in-batch false negatives during training, aiming to solve the two issues in one unified framework. Experiments on semantic textual similarity (STS) tasks demonstrate that our proposed ClusterNS compares favorably with baselines in unsupervised sentence representation learning. Our code has been made publicly available.

Qifan Wang, Yi Fang, Anirudh Ravula et al.

Structure information extraction refers to the task of extracting structured text fields from web pages, such as extracting a product offer from a shopping page including product title, description, brand and price. It is an important research topic which has been widely studied in document understanding and web search. Recent natural language models with sequence modeling have demonstrated state-of-the-art performance on web information extraction. However, effectively serializing tokens from unstructured web pages is challenging in practice due to a variety of web layout patterns. Limited work has focused on modeling the web layout for extracting the text fields. In this paper, we introduce WebFormer, a Web-page transFormer model for structure information extraction from web documents. First, we design HTML tokens for each DOM node in the HTML by embedding representations from their neighboring tokens through graph attention. Second, we construct rich attention patterns between HTML tokens and text tokens, which leverages the web layout for effective attention weight computation. We conduct an extensive set of experiments on SWDE and Common Crawl benchmarks. Experimental results demonstrate the superior performance of the proposed approach over several state-of-the-art methods.

Tao Yang, Feifan Yang, Haolan Ouyang et al.

Most of the recent work on personality detection from online posts adopts multifarious deep neural networks to represent the posts and builds predictive models in a data-driven manner, without the exploitation of psycholinguistic knowledge that may unveil the connections between one's language usage and his psychological traits. In this paper, we propose a psycholinguistic knowledge-based tripartite graph network, TrigNet, which consists of a tripartite graph network and a BERT-based graph initializer. The graph network injects structural psycholinguistic knowledge from LIWC, a computerized instrument for psycholinguistic analysis, by constructing a heterogeneous tripartite graph. The graph initializer is employed to provide initial embeddings for the graph nodes. To reduce the computational cost in graph learning, we further propose a novel flow graph attention network (GAT) that only transmits messages between neighboring parties in the tripartite graph. Benefiting from the tripartite graph, TrigNet can aggregate post information from a psychological perspective, which is a novel way of exploiting domain knowledge. Extensive experiments on two datasets show that TrigNet outperforms the existing state-of-art model by 3.47 and 2.10 points in average F1. Moreover, the flow GAT reduces the FLOPS and Memory measures by 38% and 32%, respectively, in comparison to the original GAT in our setting.

Ruikun Luo, Guanhuan Huang, Xiaojun Quan

The major paradigm of applying a pre-trained language model to downstream tasks is to fine-tune it on labeled task data, which often suffers instability and low performance when the labeled examples are scarce.~One way to alleviate this problem is to apply post-training on unlabeled task data before fine-tuning, adapting the pre-trained model to target domains by contrastive learning that considers either token-level or sequence-level similarity. Inspired by the success of sequence masking, we argue that both token-level and sequence-level similarities can be captured with a pair of masked sequences.~Therefore, we propose complementary random masking (CRM) to generate a pair of masked sequences from an input sequence for sequence-level contrastive learning and then develop contrastive masked language modeling (CMLM) for post-training to integrate both token-level and sequence-level contrastive learnings.~Empirical results show that CMLM surpasses several recent post-training methods in few-shot settings without the need for data augmentation.

Yunhao Li, Yunyi Yang, Xiaojun Quan et al.

Dialogue policy learning, a subtask that determines the content of system response generation and then the degree of task completion, is essential for task-oriented dialogue systems. However, the unbalanced distribution of system actions in dialogue datasets often causes difficulty in learning to generate desired actions and responses. In this paper, we propose a retrieve-and-memorize framework to enhance the learning of system actions. Specially, we first design a neural context-aware retrieval module to retrieve multiple candidate system actions from the training set given a dialogue context. Then, we propose a memory-augmented multi-decoder network to generate the system actions conditioned on the candidate actions, which allows the network to adaptively select key information in the candidate actions and ignore noises. We conduct experiments on the large-scale multi-domain task-oriented dialogue dataset MultiWOZ 2.0 and MultiWOZ 2.1. Experimental results show that our method achieves competitive performance among several state-of-the-art models in the context-to-response generation task.

Weizhou Shen, Siyue Wu, Yunyi Yang et al.

The modeling of conversational context plays a vital role in emotion recognition from conversation (ERC). In this paper, we put forward a novel idea of encoding the utterances with a directed acyclic graph (DAG) to better model the intrinsic structure within a conversation, and design a directed acyclic neural network, namely DAG-ERC, to implement this idea. In an attempt to combine the strengths of conventional graph-based neural models and recurrence-based neural models, DAG-ERC provides a more intuitive way to model the information flow between long-distance conversation background and nearby context. Extensive experiments are conducted on four ERC benchmarks with state-of-the-art models employed as baselines for comparison. The empirical results demonstrate the superiority of this new model and confirm the motivation of the directed acyclic graph architecture for ERC.