Xiaolei Wang

Wayne Xin Zhao, Kun Zhou, Junyi Li et al.

Language is essentially a complex, intricate system of human expressions governed by grammatical rules. It poses a significant challenge to develop capable AI algorithms for comprehending and grasping a language. As a major approach, language modeling has been widely studied for language understanding and generation in the past two decades, evolving from statistical language models to neural language models. Recently, pre-trained language models (PLMs) have been proposed by pre-training Transformer models over large-scale corpora, showing strong capabilities in solving various NLP tasks. Since researchers have found that model scaling can lead to performance improvement, they further study the scaling effect by increasing the model size to an even larger size. Interestingly, when the parameter scale exceeds a certain level, these enlarged language models not only achieve a significant performance improvement but also show some special abilities that are not present in small-scale language models. To discriminate the difference in parameter scale, the research community has coined the term large language models (LLM) for the PLMs of significant size. Recently, the research on LLMs has been largely advanced by both academia and industry, and a remarkable progress is the launch of ChatGPT, which has attracted widespread attention from society. The technical evolution of LLMs has been making an important impact on the entire AI community, which would revolutionize the way how we develop and use AI algorithms. In this survey, we review the recent advances of LLMs by introducing the background, key findings, and mainstream techniques. In particular, we focus on four major aspects of LLMs, namely pre-training, adaptation tuning, utilization, and capacity evaluation. Besides, we also summarize the available resources for developing LLMs and discuss the remaining issues for future directions.

Wayne Xin Zhao, Kun Zhou, Junyi Li et al.

Language is essentially a complex, intricate system of human expressions governed by grammatical rules. It poses a significant challenge to develop capable AI algorithms for comprehending and grasping a language. As a major approach, language modeling has been widely studied for language understanding and generation in the past two decades, evolving from statistical language models to neural language models. Recently, pre-trained language models (PLMs) have been proposed by pre-training Transformer models over large-scale corpora, showing strong capabilities in solving various NLP tasks. Since researchers have found that model scaling can lead to performance improvement, they further study the scaling effect by increasing the model size to an even larger size. Interestingly, when the parameter scale exceeds a certain level, these enlarged language models not only achieve a significant performance improvement but also show some special abilities that are not present in small-scale language models. To discriminate the difference in parameter scale, the research community has coined the term large language models (LLM) for the PLMs of significant size. Recently, the research on LLMs has been largely advanced by both academia and industry, and a remarkable progress is the launch of ChatGPT, which has attracted widespread attention from society. The technical evolution of LLMs has been making an important impact on the entire AI community, which would revolutionize the way how we develop and use AI algorithms. In this survey, we review the recent advances of LLMs by introducing the background, key findings, and mainstream techniques. In particular, we focus on four major aspects of LLMs, namely pre-training, adaptation tuning, utilization, and capacity evaluation. Besides, we also summarize the available resources for developing LLMs and discuss the remaining issues for future directions.

Xiaolei Wang, Kun Zhou, Ji-Rong Wen et al.

Conversational recommender systems (CRS) aim to proactively elicit user preference and recommend high-quality items through natural language conversations. Typically, a CRS consists of a recommendation module to predict preferred items for users and a conversation module to generate appropriate responses. To develop an effective CRS, it is essential to seamlessly integrate the two modules. Existing works either design semantic alignment strategies, or share knowledge resources and representations between the two modules. However, these approaches still rely on different architectures or techniques to develop the two modules, making it difficult for effective module integration. To address this problem, we propose a unified CRS model named UniCRS based on knowledge-enhanced prompt learning. Our approach unifies the recommendation and conversation subtasks into the prompt learning paradigm, and utilizes knowledge-enhanced prompts based on a fixed pre-trained language model (PLM) to fulfill both subtasks in a unified approach. In the prompt design, we include fused knowledge representations, task-specific soft tokens, and the dialogue context, which can provide sufficient contextual information to adapt the PLM for the CRS task. Besides, for the recommendation subtask, we also incorporate the generated response template as an important part of the prompt, to enhance the information interaction between the two subtasks. Extensive experiments on two public CRS datasets have demonstrated the effectiveness of our approach.

Xinyu Tang, Xiaolei Wang, Wayne Xin Zhao et al.

Automatic prompt optimization is an important approach to improving the performance of large language models (LLMs). Recent research demonstrates the potential of using LLMs as prompt optimizers, which can generate improved task prompts via iterative refinement. In this paper, we propose a novel perspective to investigate the design of LLM-based prompt optimizers, by drawing an analogy with gradient-based model optimizers. To connect these two approaches, we identify two pivotal factors in model parameter learning: update direction and update method. By systematically analyzing a rich set of improvement strategies on the two aspects, we further develop a capable Gradient-inspired LLM-based Prompt Optimizer called GPO. At each step, it first retrieves relevant prompts from the optimization trajectory as the update direction. Then, it utilizes the generation-based refinement strategy to perform the update, while controlling the edit distance through a cosine-based decay strategy. Extensive experiments demonstrate the effectiveness and efficiency of GPO. In particular, GPO brings an additional improvement of up to 56.8% on Big-Bench Hard and 62.6% on MMLU compared to baseline methods. The code is available at https://github.com/RUCAIBox/GPO.

Xinyu Tang, Xiaolei Wang, Wayne Xin Zhao et al.

Zero-shot in-context learning (ZS-ICL) aims to conduct in-context learning (ICL) without using human-annotated demonstrations. Most ZS-ICL methods use large language models (LLMs) to generate (input, label) pairs as pseudo-demonstrations and leverage historical pseudo-demonstrations to help solve the current problem. They assume that problems are from the same task and traverse them in a random order. However, in real-world scenarios, problems usually come from diverse tasks, and only a few belong to the same task. The random traversing order may generate unreliable pseudo-demonstrations and lead to error accumulation. To address this problem, we reformulate ZS-ICL as a planning problem and propose a Demonstration-aware Monte Carlo Tree Search (MCTS) approach (DAWN-ICL), which leverages MCTS to strategically plan the problem-solving trajectories for ZS-ICL. In addition, to achieve effective and efficient Q value estimation, we propose a novel demonstration-aware Q-value function and use it to enhance the selection phase and accelerate the expansion and simulation phases in MCTS. Extensive experiments demonstrate the effectiveness and efficiency of DAWN-ICL on in-domain and cross-domain scenarios, and it even outperforms ICL using human-annotated labels. The code is available at https://github.com/RUCAIBox/MCTS4ZSICL.

Hao Guo, Erpeng Xue, Lei Huang et al.

Deep Learning Recommendation Models (DLRMs) often rely on extensive manual feature engineering to improve accuracy and user experience, which increases system complexity and limits scalability of model performance with respect to computational resources. Recently, Meta introduced a generative ranking paradigm based on HSTU block that enables end-to-end learning from raw user behavior sequences and demonstrates scaling law on large datasets that can be regarded as the state-of-the-art (SOTA). However, splitting user behaviors into interleaved item and action information significantly increases the input sequence length, which adversely affects both training and inference efficiency. To address this issue, we propose the Dual-Flow Generative Ranking Network (DFGR), that employs a dual-flow mechanism to optimize interaction modeling, ensuring efficient training and inference through end-to-end token processing. DFGR duplicates the original user behavior sequence into a real flow and a fake flow based on the authenticity of the action information, and then defines a novel interaction method between the real flow and the fake flow within the QKV module of the self-attention mechanism. This design reduces computational overhead and improves both training efficiency and inference performance compared to Meta's HSTU-based model. Experiments on both open-source and real industrial datasets show that DFGR outperforms DLRM, which serves as the industrial online baseline with extensive feature engineering, as well as Meta's HSTU and other common recommendation models such as DIN, DCN, DIEN, and DeepFM. Furthermore, we investigate optimal parameter allocation strategies under computational constraints, establishing DFGR as an efficient and effective next-generation generative ranking paradigm.

Yutao Zhu, Kun Zhou, Kelong Mao et al.

Large language models (LLMs) have become the foundation of many applications, leveraging their extensive capabilities in processing and understanding natural language. While many open-source LLMs have been released with technical reports, the lack of training details hinders further research and development. This paper presents the development of YuLan, a series of open-source LLMs with $12$ billion parameters. The base model of YuLan is pre-trained on approximately $1.7$T tokens derived from a diverse corpus, including massive English, Chinese, and multilingual texts. We design a three-stage pre-training method to enhance YuLan's overall capabilities. Subsequent phases of training incorporate instruction-tuning and human alignment, employing a substantial volume of high-quality synthesized data. To facilitate the learning of complex and long-tail knowledge, we devise a curriculum-learning framework throughout across these stages, which helps LLMs learn knowledge in an easy-to-hard manner. YuLan's training is finished on Jan, 2024 and has achieved performance on par with state-of-the-art LLMs across various English and Chinese benchmarks. This paper outlines a comprehensive technical roadmap for developing LLMs from scratch. Our model and codes are available at https://github.com/RUC-GSAI/YuLan-Chat.

Xiaolei Wang, Xinyu Tang, Wayne Xin Zhao et al.

The emergence of in-context learning (ICL) is potentially attributed to two major abilities: task recognition (TR) for recognizing the task from demonstrations and utilizing pre-trained priors, and task learning (TL) for learning from demonstrations. However, relationships between the two abilities and how such relationships affect the emergence of ICL is unclear. In this paper, we take the first step by examining the pre-training dynamics of the emergence of ICL. With carefully designed metrics, we find that these two abilities are, in fact, competitive during pre-training. Moreover, we observe a strong negative correlation between the competition and ICL performance. Further analysis of common pre-training factors (i.e., model size, dataset size, and data curriculum) demonstrates possible ways to manage the competition. Based on these insights, we propose a simple yet effective method to better integrate these two abilities for ICL at inference time. Through adaptive ensemble learning, the performance of ICL can be significantly boosted, enabling two small models to outperform a larger one with more than twice the parameters. The code is available at https://github.com/RUCAIBox/Competitive-ICL.

Xiaolei Wang, Xinyu Tang, Wayne Xin Zhao et al.

The recent success of large language models (LLMs) has shown great potential to develop more powerful conversational recommender systems (CRSs), which rely on natural language conversations to satisfy user needs. In this paper, we embark on an investigation into the utilization of ChatGPT for conversational recommendation, revealing the inadequacy of the existing evaluation protocol. It might over-emphasize the matching with the ground-truth items or utterances generated by human annotators, while neglecting the interactive nature of being a capable CRS. To overcome the limitation, we further propose an interactive Evaluation approach based on LLMs named iEvaLM that harnesses LLM-based user simulators. Our evaluation approach can simulate various interaction scenarios between users and systems. Through the experiments on two publicly available CRS datasets, we demonstrate notable improvements compared to the prevailing evaluation protocol. Furthermore, we emphasize the evaluation of explainability, and ChatGPT showcases persuasive explanation generation for its recommendations. Our study contributes to a deeper comprehension of the untapped potential of LLMs for CRSs and provides a more flexible and easy-to-use evaluation framework for future research endeavors. The codes and data are publicly available at https://github.com/RUCAIBox/iEvaLM-CRS.

Kun Zhou, Xiaolei Wang, Yuanhang Zhou et al.

In recent years, conversational recommender system (CRS) has received much attention in the research community. However, existing studies on CRS vary in scenarios, goals and techniques, lacking unified, standardized implementation or comparison. To tackle this challenge, we propose an open-source CRS toolkit CRSLab, which provides a unified and extensible framework with highly-decoupled modules to develop CRSs. Based on this framework, we collect 6 commonly-used human-annotated CRS datasets and implement 18 models that include recent techniques such as graph neural network and pre-training models. Besides, our toolkit provides a series of automatic evaluation protocols and a human-machine interaction interface to test and compare different CRS methods. The project and documents are released at https://github.com/RUCAIBox/CRSLab.

Ruotian Ma, Xiaolei Wang, Xin Zhou et al.

LLM-based Automatic Prompt Optimization, which typically utilizes LLMs as Prompt Optimizers to self-reflect and refine prompts, has shown promising performance in recent studies. Despite the success, the underlying mechanism of this approach remains unexplored, and the true effectiveness of LLMs as Prompt Optimizers requires further validation. In this work, we conducted a comprehensive study to uncover the actual mechanism of LLM-based Prompt Optimization. Our findings reveal that the LLM optimizers struggle to identify the true causes of errors during reflection, tending to be biased by their own prior knowledge rather than genuinely reflecting on the errors. Furthermore, even when the reflection is semantically valid, the LLM optimizers often fail to generate appropriate prompts for the target models with a single prompt refinement step, partly due to the unpredictable behaviors of the target models. Based on the observations, we introduce a new "Automatic Behavior Optimization" paradigm, which directly optimizes the target model's behavior in a more controllable manner. We hope our study can inspire new directions for automatic prompt optimization development.

Xiaolei Wang, Chunxuan Xia, Junyi Li et al.

Conversational recommendation systems (CRSs) use multi-turn interaction to capture user preferences and provide personalized recommendations. A fundamental challenge in CRSs lies in effectively understanding user preferences from conversations. User preferences can be multifaceted and complex, posing significant challenges for accurate recommendations even with access to abundant external knowledge. While interaction with users can clarify their true preferences, frequent user involvement can lead to a degraded user experience. To address this problem, we propose a generative reward model based simulated user, named GRSU, for automatic interaction with CRSs. The simulated user provides feedback to the items recommended by CRSs, enabling them to better capture intricate user preferences through multi-turn interaction. Inspired by generative reward models, we design two types of feedback actions for the simulated user: i.e., generative item scoring, which offers coarse-grained feedback, and attribute-based item critique, which provides fine-grained feedback. To ensure seamless integration, these feedback actions are unified into an instruction-based format, allowing the development of a unified simulated user via instruction tuning on synthesized data. With this simulated user, automatic multi-turn interaction with CRSs can be effectively conducted. Furthermore, to strike a balance between effectiveness and efficiency, we draw inspiration from the paradigm of reward-guided search in complex reasoning tasks and employ beam search for the interaction process. On top of this, we propose an efficient candidate ranking method to improve the recommendation results derived from interaction. Extensive experiments on public datasets demonstrate the effectiveness, efficiency, and transferability of our approach.