Juntao Dai

Jiaming Ji, Mickel Liu, Juntao Dai et al.

In this paper, we introduce the BeaverTails dataset, aimed at fostering research on safety alignment in large language models (LLMs). This dataset uniquely separates annotations of helpfulness and harmlessness for question-answering pairs, thus offering distinct perspectives on these crucial attributes. In total, we have gathered safety meta-labels for 333,963 question-answer (QA) pairs and 361,903 pairs of expert comparison data for both the helpfulness and harmlessness metrics. We further showcase applications of BeaverTails in content moderation and reinforcement learning with human feedback (RLHF), emphasizing its potential for practical safety measures in LLMs. We believe this dataset provides vital resources for the community, contributing towards the safe development and deployment of LLMs. Our project page is available at the following URL: https://sites.google.com/view/pku-beavertails.

Jiaming Ji, Borong Zhang, Jiayi Zhou et al. · pku

Artificial intelligence (AI) systems possess significant potential to drive societal progress. However, their deployment often faces obstacles due to substantial safety concerns. Safe reinforcement learning (SafeRL) emerges as a solution to optimize policies while simultaneously adhering to multiple constraints, thereby addressing the challenge of integrating reinforcement learning in safety-critical scenarios. In this paper, we present an environment suite called Safety-Gymnasium, which encompasses safety-critical tasks in both single and multi-agent scenarios, accepting vector and vision-only input. Additionally, we offer a library of algorithms named Safe Policy Optimization (SafePO), comprising 16 state-of-the-art SafeRL algorithms. This comprehensive library can serve as a validation tool for the research community. By introducing this benchmark, we aim to facilitate the evaluation and comparison of safety performance, thus fostering the development of reinforcement learning for safer, more reliable, and responsible real-world applications. The website of this project can be accessed at https://sites.google.com/view/safety-gymnasium.

Long Yang, Jiaming Ji, Juntao Dai et al.

Safe reinforcement learning (RL) studies problems where an intelligent agent has to not only maximize reward but also avoid exploring unsafe areas. In this study, we propose CUP, a novel policy optimization method based on Constrained Update Projection framework that enjoys rigorous safety guarantee. Central to our CUP development is the newly proposed surrogate functions along with the performance bound. Compared to previous safe RL methods, CUP enjoys the benefits of 1) CUP generalizes the surrogate functions to generalized advantage estimator (GAE), leading to strong empirical performance. 2) CUP unifies performance bounds, providing a better understanding and interpretability for some existing algorithms; 3) CUP provides a non-convex implementation via only first-order optimizers, which does not require any strong approximation on the convexity of the objectives. To validate our CUP method, we compared CUP against a comprehensive list of safe RL baselines on a wide range of tasks. Experiments show the effectiveness of CUP both in terms of reward and safety constraint satisfaction. We have opened the source code of CUP at this link https://github.com/zmsn-2077/ CUP-safe-rl.

Jiaming Ji, Tianyi Qiu, Boyuan Chen et al.

AI alignment aims to make AI systems behave in line with human intentions and values. As AI systems grow more capable, so do risks from misalignment. To provide a comprehensive and up-to-date overview of the alignment field, in this survey, we delve into the core concepts, methodology, and practice of alignment. First, we identify four principles as the key objectives of AI alignment: Robustness, Interpretability, Controllability, and Ethicality (RICE). Guided by these four principles, we outline the landscape of current alignment research and decompose them into two key components: forward alignment and backward alignment. The former aims to make AI systems aligned via alignment training, while the latter aims to gain evidence about the systems' alignment and govern them appropriately to avoid exacerbating misalignment risks. On forward alignment, we discuss techniques for learning from feedback and learning under distribution shift. On backward alignment, we discuss assurance techniques and governance practices. We also release and continually update the website (www.alignmentsurvey.com) which features tutorials, collections of papers, blog posts, and other resources.

Jiaming Ji, Boyuan Chen, Hantao Lou et al.

With the rapid development of large language models (LLMs) and ever-evolving practical requirements, finding an efficient and effective alignment method has never been more critical. However, the tension between the complexity of current alignment methods and the need for rapid iteration in deployment scenarios necessitates the development of a model-agnostic alignment approach that can operate under these constraints. In this paper, we introduce Aligner, a novel and simple alignment paradigm that learns the correctional residuals between preferred and dispreferred answers using a small model. Designed as a model-agnostic, plug-and-play module, Aligner can be directly applied to various open-source and API-based models with only one-off training, making it suitable for rapid iteration. Notably, Aligner can be applied to any powerful, large-scale upstream models. Moreover, it can even iteratively bootstrap the upstream models using corrected responses as synthetic human preference data, breaking through the model's performance ceiling. Our experiments demonstrate performance improvements by deploying the same Aligner model across 11 different LLMs, evaluated on the 3H dimensions (helpfulness, harmlessness, and honesty). Specifically, Aligner-7B has achieved an average improvement of 68.9% in helpfulness and 23.8% in harmlessness across the tested LLMs while also effectively reducing hallucination. In the Alpaca-Eval leaderboard, stacking Aligner-2B on GPT-4 Turbo improved its LC Win Rate from 55.0% to 58.3%, surpassing GPT-4 Omni's 57.5% Win Rate (community report).

Jiaming Ji, Xinyu Chen, Rui Pan et al.

Multimodal large language models (MLLMs) are essential for building general-purpose AI assistants; however, they pose increasing safety risks. How can we ensure safety alignment of MLLMs to prevent undesired behaviors? Going further, it is critical to explore how to fine-tune MLLMs to preserve capabilities while meeting safety constraints. Fundamentally, this challenge can be formulated as a min-max optimization problem. However, existing datasets have not yet disentangled single preference signals into explicit safety constraints, hindering systematic investigation in this direction. Moreover, it remains an open question whether such constraints can be effectively incorporated into the optimization process for multi-modal models. In this work, we present the first exploration of the Safe RLHF-V -- the first multimodal safety alignment framework. The framework consists of: $\mathbf{(I)}$ BeaverTails-V, the first open-source dataset featuring dual preference annotations for helpfulness and safety, supplemented with multi-level safety labels (minor, moderate, severe); $\mathbf{(II)}$ Beaver-Guard-V, a multi-level guardrail system to proactively defend against unsafe queries and adversarial attacks. Applying the guard model over five rounds of filtering and regeneration significantly enhances the precursor model's overall safety by an average of 40.9%. $\mathbf{(III)}$ Based on dual preference, we initiate the first exploration of multi-modal safety alignment within a constrained optimization. Experimental results demonstrate that Safe RLHF effectively improves both model helpfulness and safety. Specifically, Safe RLHF-V enhances model safety by 34.2% and helpfulness by 34.3%.

Jiaming Ji, Jiayi Zhou, Borong Zhang et al.

AI systems empowered by reinforcement learning (RL) algorithms harbor the immense potential to catalyze societal advancement, yet their deployment is often impeded by significant safety concerns. Particularly in safety-critical applications, researchers have raised concerns about unintended harms or unsafe behaviors of unaligned RL agents. The philosophy of safe reinforcement learning (SafeRL) is to align RL agents with harmless intentions and safe behavioral patterns. In SafeRL, agents learn to develop optimal policies by receiving feedback from the environment, while also fulfilling the requirement of minimizing the risk of unintended harm or unsafe behavior. However, due to the intricate nature of SafeRL algorithm implementation, combining methodologies across various domains presents a formidable challenge. This had led to an absence of a cohesive and efficacious learning framework within the contemporary SafeRL research milieu. In this work, we introduce a foundational framework designed to expedite SafeRL research endeavors. Our comprehensive framework encompasses an array of algorithms spanning different RL domains and places heavy emphasis on safety elements. Our efforts are to make the SafeRL-related research process more streamlined and efficient, therefore facilitating further research in AI safety. Our project is released at: https://github.com/PKU-Alignment/omnisafe.

Long Yang, Jiaming Ji, Juntao Dai et al.

Safe reinforcement learning (RL) is still very challenging since it requires the agent to consider both return maximization and safe exploration. In this paper, we propose CUP, a Conservative Update Policy algorithm with a theoretical safety guarantee. We derive the CUP based on the new proposed performance bounds and surrogate functions. Although using bounds as surrogate functions to design safe RL algorithms have appeared in some existing works, we develop them at least three aspects: (i) We provide a rigorous theoretical analysis to extend the surrogate functions to generalized advantage estimator (GAE). GAE significantly reduces variance empirically while maintaining a tolerable level of bias, which is an efficient step for us to design CUP; (ii) The proposed bounds are tighter than existing works, i.e., using the proposed bounds as surrogate functions are better local approximations to the objective and safety constraints. (iii) The proposed CUP provides a non-convex implementation via first-order optimizers, which does not depend on any convex approximation. Finally, extensive experiments show the effectiveness of CUP where the agent satisfies safe constraints. We have opened the source code of CUP at https://github.com/RL-boxes/Safe-RL.

Juntao Dai, Yaodong Yang, Qian Zheng et al.

A key aspect of Safe Reinforcement Learning (Safe RL) involves estimating the constraint condition for the next policy, which is crucial for guiding the optimization of safe policy updates. However, the existing Advantage-based Estimation (ABE) method relies on the infinite-horizon discounted advantage function. This dependence leads to catastrophic errors in finite-horizon scenarios with non-discounted constraints, resulting in safety-violation updates. In response, we propose the first estimation method for finite-horizon non-discounted constraints in deep Safe RL, termed Gradient-based Estimation (GBE), which relies on the analytic gradient derived along trajectories. Our theoretical and empirical analyses demonstrate that GBE can effectively estimate constraint changes over a finite horizon. Constructing a surrogate optimization problem with GBE, we developed a novel Safe RL algorithm called Constrained Gradient-based Policy Optimization (CGPO). CGPO identifies feasible optimal policies by iteratively resolving sub-problems within trust regions. Our empirical results reveal that CGPO, unlike baseline algorithms, successfully estimates the constraint functions of subsequent policies, thereby ensuring the efficiency and feasibility of each update.