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Large language models (LLMs) rely on safety alignment to avoid responding to malicious user inputs. Unfortunately, jailbreak can circumvent safety guardrails, resulting in LLMs generating harmful content and raising concerns about LLM safety. Due to language models with intensive parameters often regarded as black boxes, the mechanisms of alignment and jailbreak are challenging to elucidate. In this paper, we employ weak classifiers to explain LLM safety through the intermediate hidden states. We first confirm that LLMs learn ethical concepts during pre-training rather than alignment and can identify malicious and normal inputs in the early layers. Alignment actually associates the early concepts with emotion guesses in the middle layers and then refines them to the specific reject tokens for safe generations. Jailbreak disturbs the transformation of early unethical classification into negative emotions. We conduct experiments on models from 7B to 70B across various model families to prove our conclusion. Overall, our paper indicates the intrinsical mechanism of LLM safety and how jailbreaks circumvent safety guardrails, offering a new perspective on LLM safety and reducing concerns.

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大語言(yan)模(mo)型(xing)是基于(yu)海量文(wen)本數(shu)據(ju)訓練的(de)(de)(de)(de)深度學習(xi)模(mo)型(xing)。它不(bu)僅能(neng)(neng)夠(gou)生(sheng)成(cheng)自然(ran)(ran)語言(yan)文(wen)本,還能(neng)(neng)夠(gou)深入(ru)理解文(wen)本含義,處理各種自然(ran)(ran)語言(yan)任務,如文(wen)本摘要、問(wen)答、翻(fan)譯等(deng)。2023年,大語言(yan)模(mo)型(xing)及(ji)其(qi)(qi)在(zai)人工智(zhi)能(neng)(neng)領域的(de)(de)(de)(de)應用已成(cheng)為全球科(ke)技研究的(de)(de)(de)(de)熱點,其(qi)(qi)在(zai)規模(mo)上的(de)(de)(de)(de)增長(chang)尤(you)為引人注目,參數(shu)量已從最初的(de)(de)(de)(de)十幾(ji)億躍升到(dao)如今的(de)(de)(de)(de)一萬億。參數(shu)量的(de)(de)(de)(de)提(ti)(ti)升使得模(mo)型(xing)能(neng)(neng)夠(gou)更(geng)加精細(xi)地捕捉人類語言(yan)微妙之(zhi)處,更(geng)加深入(ru)地理解人類語言(yan)的(de)(de)(de)(de)復(fu)雜(za)性(xing)。在(zai)過去的(de)(de)(de)(de)一年里,大語言(yan)模(mo)型(xing)在(zai)吸納新知(zhi)識、分(fen)解復(fu)雜(za)任務以及(ji)圖文(wen)對齊等(deng)多(duo)方面都有(you)顯著(zhu)提(ti)(ti)升。隨著(zhu)技術(shu)的(de)(de)(de)(de)不(bu)斷成(cheng)熟,它將不(bu)斷拓展其(qi)(qi)應用范圍,為人類提(ti)(ti)供更(geng)加智(zhi)能(neng)(neng)化(hua)和(he)個(ge)性(xing)化(hua)的(de)(de)(de)(de)服(fu)務,進一步改善人們的(de)(de)(de)(de)生(sheng)活和(he)生(sheng)產方式。

The recent success of large language models (LLMs) trained on static, pre-collected, general datasets has sparked numerous research directions and applications. One such direction addresses the non-trivial challenge of integrating pre-trained LLMs into dynamic data distributions, task structures, and user preferences. Pre-trained LLMs, when tailored for specific needs, often experience significant performance degradation in previous knowledge domains -- a phenomenon known as "catastrophic forgetting". While extensively studied in the continual learning (CL) community, it presents new manifestations in the realm of LLMs. In this survey, we provide a comprehensive overview of the current research progress on LLMs within the context of CL. This survey is structured into four main sections: we first describe an overview of continually learning LLMs, consisting of two directions of continuity: vertical continuity (or vertical continual learning), i.e., continual adaptation from general to specific capabilities, and horizontal continuity (or horizontal continual learning), i.e., continual adaptation across time and domains (Section 3). We then summarize three stages of learning LLMs in the context of modern CL: Continual Pre-Training (CPT), Domain-Adaptive Pre-training (DAP), and Continual Fine-Tuning (CFT) (Section 4). Then we provide an overview of evaluation protocols for continual learning with LLMs, along with the current available data sources (Section 5). Finally, we discuss intriguing questions pertaining to continual learning for LLMs (Section 6). The full list of papers examined in this survey is available at //github.com/Wang-ML-Lab/llm-continual-learning-survey.

Large language models (LLMs) have strong capabilities in solving diverse natural language processing tasks. However, the safety and security issues of LLM systems have become the major obstacle to their widespread application. Many studies have extensively investigated risks in LLM systems and developed the corresponding mitigation strategies. Leading-edge enterprises such as OpenAI, Google, Meta, and Anthropic have also made lots of efforts on responsible LLMs. Therefore, there is a growing need to organize the existing studies and establish comprehensive taxonomies for the community. In this paper, we delve into four essential modules of an LLM system, including an input module for receiving prompts, a language model trained on extensive corpora, a toolchain module for development and deployment, and an output module for exporting LLM-generated content. Based on this, we propose a comprehensive taxonomy, which systematically analyzes potential risks associated with each module of an LLM system and discusses the corresponding mitigation strategies. Furthermore, we review prevalent benchmarks, aiming to facilitate the risk assessment of LLM systems. We hope that this paper can help LLM participants embrace a systematic perspective to build their responsible LLM systems.

Since the launch of ChatGPT, a powerful AI Chatbot developed by OpenAI, large language models (LLMs) have made significant advancements in both academia and industry, bringing about a fundamental engineering paradigm shift in many areas. While LLMs are powerful, it is also crucial to best use their power where "prompt'' plays a core role. However, the booming LLMs themselves, including excellent APIs like ChatGPT, have several inherent limitations: 1) temporal lag of training data, and 2) the lack of physical capabilities to perform external actions. Recently, we have observed the trend of utilizing prompt-based tools to better utilize the power of LLMs for downstream tasks, but a lack of systematic literature and standardized terminology, partly due to the rapid evolution of this field. Therefore, in this work, we survey related prompting tools and promote the concept of the "Prompting Framework" (PF), i.e. the framework for managing, simplifying, and facilitating interaction with large language models. We define the lifecycle of the PF as a hierarchical structure, from bottom to top, namely: Data Level, Base Level, Execute Level, and Service Level. We also systematically depict the overall landscape of the emerging PF field and discuss potential future research and challenges. To continuously track the developments in this area, we maintain a repository at //github.com/lxx0628/Prompting-Framework-Survey, which can be a useful resource sharing platform for both academic and industry in this field.

Large language models (LLMs) have demonstrated impressive capabilities in natural language processing. However, their internal mechanisms are still unclear and this lack of transparency poses unwanted risks for downstream applications. Therefore, understanding and explaining these models is crucial for elucidating their behaviors, limitations, and social impacts. In this paper, we introduce a taxonomy of explainability techniques and provide a structured overview of methods for explaining Transformer-based language models. We categorize techniques based on the training paradigms of LLMs: traditional fine-tuning-based paradigm and prompting-based paradigm. For each paradigm, we summarize the goals and dominant approaches for generating local explanations of individual predictions and global explanations of overall model knowledge. We also discuss metrics for evaluating generated explanations, and discuss how explanations can be leveraged to debug models and improve performance. Lastly, we examine key challenges and emerging opportunities for explanation techniques in the era of LLMs in comparison to conventional machine learning models.

Graph neural networks (GNNs) are effective machine learning models for many graph-related applications. Despite their empirical success, many research efforts focus on the theoretical limitations of GNNs, i.e., the GNNs expressive power. Early works in this domain mainly focus on studying the graph isomorphism recognition ability of GNNs, and recent works try to leverage the properties such as subgraph counting and connectivity learning to characterize the expressive power of GNNs, which are more practical and closer to real-world. However, no survey papers and open-source repositories comprehensively summarize and discuss models in this important direction. To fill the gap, we conduct a first survey for models for enhancing expressive power under different forms of definition. Concretely, the models are reviewed based on three categories, i.e., Graph feature enhancement, Graph topology enhancement, and GNNs architecture enhancement.

Existing recommender systems extract the user preference based on learning the correlation in data, such as behavioral correlation in collaborative filtering, feature-feature, or feature-behavior correlation in click-through rate prediction. However, regretfully, the real world is driven by causality rather than correlation, and correlation does not imply causation. For example, the recommender systems can recommend a battery charger to a user after buying a phone, in which the latter can serve as the cause of the former, and such a causal relation cannot be reversed. Recently, to address it, researchers in recommender systems have begun to utilize causal inference to extract causality, enhancing the recommender system. In this survey, we comprehensively review the literature on causal inference-based recommendation. At first, we present the fundamental concepts of both recommendation and causal inference as the basis of later content. We raise the typical issues that the non-causality recommendation is faced. Afterward, we comprehensively review the existing work of causal inference-based recommendation, based on a taxonomy of what kind of problem causal inference addresses. Last, we discuss the open problems in this important research area, along with interesting future works.

Autonomic computing investigates how systems can achieve (user) specified control outcomes on their own, without the intervention of a human operator. Autonomic computing fundamentals have been substantially influenced by those of control theory for closed and open-loop systems. In practice, complex systems may exhibit a number of concurrent and inter-dependent control loops. Despite research into autonomic models for managing computer resources, ranging from individual resources (e.g., web servers) to a resource ensemble (e.g., multiple resources within a data center), research into integrating Artificial Intelligence (AI) and Machine Learning (ML) to improve resource autonomy and performance at scale continues to be a fundamental challenge. The integration of AI/ML to achieve such autonomic and self-management of systems can be achieved at different levels of granularity, from full to human-in-the-loop automation. In this article, leading academics, researchers, practitioners, engineers, and scientists in the fields of cloud computing, AI/ML, and quantum computing join to discuss current research and potential future directions for these fields. Further, we discuss challenges and opportunities for leveraging AI and ML in next generation computing for emerging computing paradigms, including cloud, fog, edge, serverless and quantum computing environments.

Visual information extraction (VIE) has attracted considerable attention recently owing to its various advanced applications such as document understanding, automatic marking and intelligent education. Most existing works decoupled this problem into several independent sub-tasks of text spotting (text detection and recognition) and information extraction, which completely ignored the high correlation among them during optimization. In this paper, we propose a robust visual information extraction system (VIES) towards real-world scenarios, which is a unified end-to-end trainable framework for simultaneous text detection, recognition and information extraction by taking a single document image as input and outputting the structured information. Specifically, the information extraction branch collects abundant visual and semantic representations from text spotting for multimodal feature fusion and conversely, provides higher-level semantic clues to contribute to the optimization of text spotting. Moreover, regarding the shortage of public benchmarks, we construct a fully-annotated dataset called EPHOIE (//github.com/HCIILAB/EPHOIE), which is the first Chinese benchmark for both text spotting and visual information extraction. EPHOIE consists of 1,494 images of examination paper head with complex layouts and background, including a total of 15,771 Chinese handwritten or printed text instances. Compared with the state-of-the-art methods, our VIES shows significant superior performance on the EPHOIE dataset and achieves a 9.01% F-score gain on the widely used SROIE dataset under the end-to-end scenario.

Many tasks in natural language processing can be viewed as multi-label classification problems. However, most of the existing models are trained with the standard cross-entropy loss function and use a fixed prediction policy (e.g., a threshold of 0.5) for all the labels, which completely ignores the complexity and dependencies among different labels. In this paper, we propose a meta-learning method to capture these complex label dependencies. More specifically, our method utilizes a meta-learner to jointly learn the training policies and prediction policies for different labels. The training policies are then used to train the classifier with the cross-entropy loss function, and the prediction policies are further implemented for prediction. Experimental results on fine-grained entity typing and text classification demonstrate that our proposed method can obtain more accurate multi-label classification results.

The task of detecting 3D objects in point cloud has a pivotal role in many real-world applications. However, 3D object detection performance is behind that of 2D object detection due to the lack of powerful 3D feature extraction methods. In order to address this issue, we propose to build a 3D backbone network to learn rich 3D feature maps by using sparse 3D CNN operations for 3D object detection in point cloud. The 3D backbone network can inherently learn 3D features from almost raw data without compressing point cloud into multiple 2D images and generate rich feature maps for object detection. The sparse 3D CNN takes full advantages of the sparsity in the 3D point cloud to accelerate computation and save memory, which makes the 3D backbone network achievable. Empirical experiments are conducted on the KITTI benchmark and results show that the proposed method can achieve state-of-the-art performance for 3D object detection.

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