Yi Dong

Yi Dong, Ronghui Mu, Gaojie Jin et al.

As Large Language Models (LLMs) become more integrated into our daily lives, it is crucial to identify and mitigate their risks, especially when the risks can have profound impacts on human users and societies. Guardrails, which filter the inputs or outputs of LLMs, have emerged as a core safeguarding technology. This position paper takes a deep look at current open-source solutions (Llama Guard, Nvidia NeMo, Guardrails AI), and discusses the challenges and the road towards building more complete solutions. Drawing on robust evidence from previous research, we advocate for a systematic approach to construct guardrails for LLMs, based on comprehensive consideration of diverse contexts across various LLMs applications. We propose employing socio-technical methods through collaboration with a multi-disciplinary team to pinpoint precise technical requirements, exploring advanced neural-symbolic implementations to embrace the complexity of the requirements, and developing verification and testing to ensure the utmost quality of the final product.

Jinwei Hu, Zhenglin Huang, Xiangyu Yin et al.

Large language models have been widely applied, but can inadvertently encode sensitive or harmful information, raising significant safety concerns. Machine unlearning has emerged to alleviate this concern; however, existing training-time unlearning approaches, relying on coarse-grained loss combinations, have limitations in precisely separating knowledge and balancing removal effectiveness with model utility. In contrast, we propose Fine-grained Activation manipuLation by Contrastive Orthogonal uNalignment (FALCON), a novel representation-guided unlearning approach that leverages information-theoretic guidance for efficient parameter selection, employs contrastive mechanisms to enhance representation separation, and projects conflict gradients onto orthogonal subspaces to resolve conflicts between forgetting and retention objectives. Extensive experiments demonstrate that FALCON achieves superior unlearning effectiveness while maintaining model utility, exhibiting robust resistance against knowledge recovery attempts.

Changhao Jiang, Ming Zhang, Yifei Cao et al.

The GPT-4 technical report suggests that downstream performance can be predicted from pre-training signals, but offers little methodological detail on how to quantify this. This work address this gap by modeling knowledge retention, the capacity of a pre-trained language model to memorize factual information from its corpus, and introduce a principled method to estimate it prior to training. We propose Size-dependent Mutual Information (SMI), an information-theoretic predictor that integrates knowledge frequency, knowledge specificity, and model size to forecast closed-book question answering (QA) accuracy. SMI is validated through large-scale document retrieval over the disclosed pre-training corpora of 21 public and 3 custom models, combined with a robust multi-template QA evaluation. Experiments show that SMI significantly outperforms repetition-based baselines and achieves $R^2$ > 0.7 in predicting QA accuracy for models above 1B parameters, without additional training. The analysis further reveals diminishing returns from scaling data and model size and provides evidence for an intrinsic upper bound on knowledge retention achievable by pre-training alone, motivating retrieval and other augmentation strategies.