Contents
  1. I. Behavior and intent
    1. Changing the checkpoint
    2. Specifying alignment
  2. II. Demonstrations
    1. Supervising response tokens
      1. Conditional response loss
    2. Reading the demonstration mixture
      1. Mixture properties
  3. III. Preferences
    1. Judging responses in pairs
      1. Preference record
    2. Fitting a reward model
      1. Pairwise logistic model
    3. Optimizing preferences directly
      1. Reference-adjusted preference loss
  4. IV. Outcomes
    1. Choosing the feedback source
      1. Feedback contracts
    2. Returning credit through a trajectory
      1. Return from delayed feedback
      2. Policy-gradient pressure
    3. Constraining policy updates
      1. PPO clipped surrogate
      2. PPO and group-relative updates
  5. V. Development and failure
    1. Parallel lines of development
    2. Optimizing the wrong proxy
    3. Redistributing capability
      1. Behavioral dimensions
  6. VI. Evidence and choice
    1. Comparing changed checkpoints
      1. Checkpoint evidence record
    2. Bounding the alignment claim
    3. Selecting the smallest sufficient intervention
      1. Decision rules
  7. Check understanding
  8. Open questions
  9. Selected talks
  10. References
  11. Talk library
← All topics

Post-training and Alignment

Post-training changes a pretrained model’s stored parameters so that selected behavior becomes more likely on later requests. Unlike a prompt or retrieved document, this change can persist after the immediate input is gone. Alignment asks the separate question: does the resulting behavior better satisfy the intended requirements without causing unacceptable regressions? This chapter connects demonstrations, preferences, and rewards to the parameter updates they produce, then explains why successful optimization supports only a bounded claim about the changed checkpoint.

I. Behavior and intent

Changing the checkpoint

A checkpoint is a saved model state containing the parameter tensors used by a particular architecture. Post-training starts from an identified checkpoint, applies further parameter updates, and saves a new checkpoint. Because later requests reuse the new parameters, the behavioral change can persist after the training examples are gone. A checkpoint intended to resume training may also include optimizer state.

This persistent change differs from supplying more information to one request. A prompt, retrieved passage, or tool result changes the inputs processed by fixed parameters. Removing that context on the next request removes its direct influence. Post-training instead changes the parameters used by later requests. What a prompt changes develops the invocation-time mechanism; Pretraining and Midtraining explains how the starting checkpoint was produced.

Additional computation while answering is different again. Sampling more candidates or searching longer can improve an answer while leaving the checkpoint fixed. Those methods belong to Reasoning and Test-Time Compute. Post-training can teach behavior that later computation uses, but training-time parameter adaptation and request-time computation remain separate interventions.

Every post-training claim should therefore identify four objects: the starting checkpoint, the training signal and objective, the resulting checkpoint, and the independent behavior measured afterward. A lower loss establishes that optimization changed the fitted objective. It does not yet establish that the new behavior is useful.

Specifying alignment

Alignment here means better conformity between observable model behavior and specified human, application, or institutional intentions in an identified setting. It is not an intrinsic certificate attached to a checkpoint. Before selecting an algorithm, specify the people affected, the work being performed, the permitted behavior, the unacceptable failures, and the consequences that matter.

The desired behavior and the computable training signal are different objects. A support assistant might be intended to help a person return to a difficult human conversation more constructively. Session length and positive feedback are easier to measure, but optimizing them can reward dependence or agreeable validation instead. The proxy is available to the optimizer; the intended outcome still needs separate assessment.

Even familiar objectives can conflict. Helping the requester may expose another person to harm. Refusing risky requests can reduce usefulness on safe requests that use similar words. Agreeableness can conflict with truthfulness. The practical specification must keep these dimensions visible rather than hiding them in one weighted score. Clause-level challenge prompts are one way to turn a behavioral specification into inspectable cases, but coverage of those cases does not prove complete compliance.

Complementary sources of training signal

  1. 1992 — journal publicationREINFORCEReward-weighted policy gradientsSources & context

    Contributors: Ronald J. Williams

    What changed: Stochastic policies learn from reward minus a baseline through sampled log-probability gradients. The result concerns expected updates under stated assumptions.

  2. 2005 — ICMLRankNetLearn scalar rankings from pairsSources & context

    Contributors: Chris Burges and colleagues

    What changed: Pairwise labels train a scoring function through a logistic score difference, without requiring a complete ranking.

  3. 2008 — ICDLTAMERLearn from scalar human feedbackSources & context

    Contributors: W. Bradley Knox and Peter Stone

    What changed: A supervised predictor of human evaluative feedback guides action choice without requiring the trainer to demonstrate each action.

  4. 2017 — NeurIPSDeep RL from Human PreferencesComparisons train a reward predictorSources & context

    Contributors: Paul Christiano and colleagues

    What changed: People compare behavior clips; a learned predictor supplies rewards for subsequent policy learning. Reward fitting and policy optimization remain separate.

  5. September 2019 — first preprintFine-Tuning Language Models from Human PreferencesPreference rewards for language generationSources & context

    Contributors: Daniel M. Ziegler and colleagues

    What changed: Preference learning was applied to continuation and summarization. Favorable judgments could reward unintended strategies, including copying in the studied setting.

  6. September 2021 — first preprintFLANInstruction tuning across task groupsSources & context

    Contributors: Jason Wei and colleagues

    What changed: Instruction-formatted training evaluated transfer to held-out task groups. Task diversity, wording and model scale affected the observed transfer.

  7. March 2022 — first preprintInstructGPTCombine demonstrations, reward modeling and PPOSources & context

    Contributors: Long Ouyang and colleagues

    What changed: The recipe combined supervised demonstrations with a comparison-trained reward model and reference-constrained policy optimization.

  8. May 2023 — first preprintDPOOffline reference-adjusted preference lossSources & context

    Contributors: Rafael Rafailov and colleagues

    What changed: A preference-model reparameterization yields a policy loss over fixed pairs without fitting a separate reward network or collecting fresh responses inside the original optimization loop.

  9. January 2025 — original reportDeepSeek-R1Stage demonstrations and reward-driven reasoningSources & context

    Contributors: DeepSeek-AI

    What changed: Main R1 combined cold-start demonstrations, reasoning RL, rejection-sampled supervised data and later RL. R1-Zero is the distinct recipe without initial SFT; distilled students use supervised training.

Dates distinguish publications and first preprints. The sequence is not an influence graph or a ladder of replacements; spacing is not to scale.

II. Demonstrations

Supervising response tokens

A demonstration pairs an input with a desired response. In supervised fine-tuning, or SFT, the instruction supplies context and the response supplies target tokens. Training raises the conditional likelihood of those recorded successors. It does not insert a symbolic rule such as “always return JSON”; it changes numerical parameters so that demonstrated continuations become more probable in related contexts.

A loss mask determines which serialized tokens receive direct supervision. Prompt and system tokens can remain visible as conditioning context while their mask values are zero. Response tokens have mask value one. Padding and, in some configurations, non-assistant turns are excluded as well. Changing this mask changes the training contract even when the displayed conversation is identical.

Conditional response loss

LSFT(x,y)=t=1Tmtlogπθ(ytx,y<t)\mathcal{L}_{\mathrm{SFT}}(x,y)=-\sum_{t=1}^{T}m_t\log \pi_\theta(y_t\mid x,y_{<t}) Here xx is the instruction context, yty_t is response token tt, mt{0,1}m_t\in\{0,1\} selects tokens that contribute to the loss, and πθ\pi_\theta is the model with parameters θ\theta. Each prediction sees the recorded prefix y<ty_{<t}, a procedure called teacher forcing. It does not train the model on prefixes produced by its own mistakes.

Align supervision with the next-token target

P₀ P₁ is the instruction prefix; R₀ R₁ is the recorded response. Token IDs and serialization are schematic.

Prediction position0123
Input tokenP₀P₁R₀R₁
Recorded prefixP₀P₀ P₁P₀ P₁ R₀P₀ P₁ R₀ R₁
Next-token targetP₁R₀R₁PAD
Target loss mask0110
Included loss0−log p₀−log p₁0
First response token
p₀ = πθ(R₀ | P₀ P₁)
Next recorded response token
p₁ = πθ(R₁ | P₀ P₁ R₀)
Summed selected loss
L = −log p₀ − log p₁
Masks align with targets: P₁ and PAD contribute zero direct loss, while R₀ and R₁ contribute. The first response is predicted from the full instruction prefix; the second sees recorded R₀. Masked context still participates in computation and can carry parameter gradients.

Gradients measure how a small parameter change would affect this loss; an optimizer converts those gradients into an update. Full fine-tuning updates the selected original parameters. Low-Rank Adaptation, or LoRA, freezes an original matrix and trains a low-rank update. That is a choice about how parameter changes are represented, not a different source of supervision: either implementation can optimize the same SFT, preference, or reward objective.

Chat serialization is part of the example. Role markers, special tokens, and template placement affect the actual token sequence processed by the checkpoint. Special tokens and chat templates explains why a template must match the checkpoint rather than merely look readable to a person.

Reading the demonstration mixture

A demonstration supervises every learnable regularity it contains: the answer’s content, format, tone, policy choices, omissions, and accidental shortcuts. The optimizer receives no hidden channel containing the author’s intent. If refusal phrases, repeated numbers, verbose reasoning, or a source-specific style correlate with the retained targets, those features can become part of the learned behavior.

Mixture properties

Two datasets with the same row count can apply very different training pressure.
PropertyWhat changesWhat to inspect
Task frequencyFrequently sampled tasks contribute gradients more often.Counts by task and consequential slice.
CoverageMissing situations receive no direct demonstrations.Target conditions absent from the collection frame.
ConflictsSimilar inputs with incompatible targets pull behavior in competing directions.Individual labels, rubrics, and disagreement.
Source lineageDuplicate, paraphrased, or teacher-generated records can share errors or evaluation content.Provenance, semantic overlap, and split boundaries.
Loss maskingVisible tokens may or may not receive direct supervision.Serialized tokens and per-token mask.

Quality is therefore relative to a target capability. Accuracy, diversity, and complexity are useful review dimensions only after the intended task is fixed. Gradient-based selection methods such as LESS make this dependence explicit by asking whether an example’s estimated update direction helps representative target examples; textual similarity alone is insufficient.

Generated demonstrations can broaden coverage, but their provenance and correlated errors remain part of the dataset. Deduplicated strings are not proof that evaluation tasks are unseen: paraphrases and translations can leak the same semantic problem. Preserve lineage and reserve a genuinely separate assessment. Specify the label develops annotation contracts; Synthetic Data owns generation and filtering in depth.

III. Preferences

Judging responses in pairs

When writing one ideal answer is expensive or subjective, a judge can compare two candidates for the same prompt. A preference pair records the prompt, both responses, relevant context, the rubric, and an outcome such as A preferred, B preferred, tie, invalid, or unable to compare. Comparison often lowers the annotation burden, but it does not turn preference into truth.

Preference record

Each field limits what the resulting label means.
FieldRoleFailure if omitted
Shared prompt and contextDefines the request being compared.A preference may reflect different information rather than response quality.
Candidate A and BDefines the local alternatives.The winner need not beat unseen responses.
RubricNames qualities the judge should apply.Agreement can reflect an unstated or inconsistent criterion.
Judge identity or populationLocates whose preference was measured.A majority can erase stable differences among affected groups.
Tie or abstentionPreserves uncertainty and equality.Forced choices manufacture direction from weak evidence.

Candidate construction matters. Presentation order, response length, fluency, and familiar framing can change judgments. Preference collection for summarization, for example, specified faithfulness, coverage, coherence, and a length limit; controlling response length changed the measured advantage. A defensible dataset records the protocol and retains disagreement rather than treating the preferred response as a universal utility maximum.

Constitutional AI, introduced by Yuntao Bai and colleagues in December 2022, used human-written principles to generate critiques and revised responses for supervised training, then model comparisons to train a preference scorer for reinforcement learning. The principles, prompts, source material and judge remain human design choices. Replacing direct human labeling with AI-generated feedback changes the signal producer; it does not create independent ground truth.

Fitting a reward model

A reward model is a learned scorer rϕ(x,y)r_\phi(x,y) that maps a prompt-response pair to a scalar. In the common pairwise formulation, training makes a preferred response score above a rejected one. The scorer can then evaluate newly generated responses without requesting a fresh human comparison for every policy update.

Pairwise logistic model

P(ywylx)=σ ⁣(rϕ(x,yw)rϕ(x,yl))P(y_w \succ y_l\mid x)=\sigma\!\left(r_\phi(x,y_w)-r_\phi(x,y_l)\right) LRM=logP(ywylx)\mathcal{L}_{\mathrm{RM}}=-\log P(y_w \succ y_l\mid x) Here ywy_w is the preferred response, yly_l the rejected response, and σ(z)=1/(1+ez)\sigma(z)=1/(1+e^{-z}). Only the difference between scores affects the probability. Adding the same constant to both scores changes neither the prediction nor the loss.

This difference-only objective does not identify an absolute alignment scale. A score of 8 is not inherently twice as aligned as 4, and scores from independently trained reward models are not automatically comparable. Held-out pairwise accuracy establishes how well the model predicts judgments under the evaluated protocol. It does not establish factual correctness, calibrated welfare, or reliable scoring of responses created by a later optimizer.

Distribution shift is especially important because policy optimization searches for high scores. The resulting responses can differ from the candidates used to train the reward model. Ensemble disagreement, adversarial examples, and human review of high-scoring outputs can expose some extrapolation failures, but they remain diagnostics. An independent outcome measure is needed to tell genuine improvement from exploitation of reward-model error.

Optimizing preferences directly

An explicit reward model is not the only way to use pairwise data. Direct Preference Optimization, or DPO, adjusts the language model so that preferred responses receive a larger reference-adjusted log-probability margin than rejected responses. The original procedure operates on fixed comparison pairs, avoiding a separate learned reward network and fresh rollout generation during that optimization loop.

Reference-adjusted preference loss

LDPO=logσ ⁣(β[logπθ(ywx)πref(ywx)logπθ(ylx)πref(ylx)])\mathcal{L}_{\mathrm{DPO}}=-\log\sigma\!\left(\beta\left[\log\frac{\pi_\theta(y_w\mid x)}{\pi_{\mathrm{ref}}(y_w\mid x)}-\log\frac{\pi_\theta(y_l\mid x)}{\pi_{\mathrm{ref}}(y_l\mid x)}\right]\right) The trainable policy is πθ\pi_\theta, the fixed reference policy is πref\pi_{\mathrm{ref}}, and positive β\beta scales the reference-adjusted preference margin. Response log probabilities sum conditional token log probabilities. The objective favors a relative margin; it does not guarantee a global rise in the preferred response’s absolute probability.

DPO is therefore neither reward-free nor assumption-free. Its derivation relies on a pairwise preference model and a regularized relationship to a reference policy. Its behavior still depends on candidate coverage, judge preferences, reference support, and the model’s capacity. Experiments have also found length expansion under tested DPO recipes, showing that direct optimization can exploit a dataset correlate even without a separately trained reward model.

The engineering distinction is architectural. Classical language-model RLHF fits an explicit reward model, generates fresh policy responses, and optimizes their learned reward under constraints. DPO puts the preference pressure directly into an offline policy loss. Neither route determines whether the comparisons express the right behavior; that remains a data and evaluation question.

Simplified original procedures. Solid connectors carry data or scores; dashed connectors update policy parameters. References and the fitted RLHF scorer stay fixed during policy updates. Offline DPO here uses fixed preference pairs, without fresh rollouts or a separate reward network. The two routes save separate candidate checkpoints; no equality of outcomes or efficiency is implied.

IV. Outcomes

Choosing the feedback source

An ideal response is not always available. A training signal can instead come from a human judgment, a learned scorer, a deterministic rule, an executable verifier, or an environment outcome. Two questions keep these signals distinct: who or what produces the feedback, and what property can that feedback actually check?

Feedback contracts

A number is only as meaningful as the contract that produced it.
SignalObservesStrongest direct claimCharacteristic gap
Human comparisonPresented candidates under a rubricOne candidate was preferred under that protocolCost, disagreement, population dependence
Learned scorerFeatures learned from labeled examplesPredicted judgment on evaluated dataExtrapolation and proxy error
RuleDeclared syntax or propertyThe checked condition heldUnstated substantive requirements
Executable verifierProgram or formal checker resultThe artifact passed that verifier contractIncomplete tests, statements, or assumptions
Environment outcomeObserved terminal or intermediate stateThe scored state transition occurredCredit assignment and side effects
Process supervisionSelected intermediate stepsThose steps met the supplied criteriaAnnotation burden and unobserved reasoning

Reinforcement learning with verifiable rewards uses automatically checked outcomes where the checker is meaningful: a final mathematical answer, unit tests, a won game, or a successful tool result. Verification can remove the need for a learned preference scorer, but it cannot exceed its contract. Code that passes supplied tests may still violate untested behavior; a formally checked proof establishes the encoded theorem under its permitted assumptions, not that the theorem captures the original informal request.

Final outcomes can also conceal dangerous paths. An agent may complete a requested task while sending an unauthorized message or modifying unrelated data. Process supervision evaluates intermediate actions or steps so that the path, not merely the terminal state, contributes feedback. This is particularly important when actions have external effects. Runtime authorization still belongs at the protected operation; training does not replace enforcement.

Returning credit through a trajectory

In reinforcement learning, a policy is a conditional distribution over actions given the current observation. For a language model, an action may be a token; for an agent, it may be a tool call. A trajectory or rollout is the resulting sequence of observations and actions. Rewards may arrive at each transition or only when the episode ends.

Return from delayed feedback

Gt=k=0Tt1γkRt+k+1G_t=\sum_{k=0}^{T-t-1}\gamma^k R_{t+k+1} The return GtG_t aggregates rewards following action time tt; 0γ10\le\gamma\le1 discounts later rewards. With only terminal reward RTR_T, every earlier action receives a return derived from the same outcome. This propagates information backward in time, but it does not identify which action causally produced success.

Policy-gradient pressure

θJ(θ)=Eτπθ[tθlogπθ(atot)At]\nabla_\theta J(\theta)=\mathbb{E}_{\tau\sim\pi_\theta}\left[\sum_t \nabla_\theta\log\pi_\theta(a_t\mid o_t)\,A_t\right] The policy-gradient form increases the likelihood of sampled actions with positive estimated advantage AtA_t and decreases it for negative advantage. A baseline can reduce variance without changing the expected gradient under the usual assumptions. Because the environment and verifier need not be differentiable, executable tests and external outcomes can supply reward.

Sample forward, assign returns to actions

Two-action mathematical episode: R₁ = 0, R₂ = 1, and discount 0 ≤ γ ≤ 1.

  1. o₀Initial observation
  2. a₀Sample from πθ(· | o₀)
  3. o₁Environment transition
    R₁ = 0 follows a₀
  4. a₁Sample from πθ(· | o₁)
  5. o₂Terminal transition
    R₂ = 1 follows a₁
Training values associated with the sampled actions
QuantityAction a₀ given o₀Action a₁ given o₁
ReturnG₀ = R₁ + γR₂ = γG₁ = R₂ = 1
Possible baseline adjustmentA₀ = G₀ − b(o₀)A₁ = G₁ − b(o₁)
Zero-baseline gradient termγ ∇θ log πθ(a₀ | o₀)∇θ log πθ(a₁ | o₁)

Weighted action-gradient terms optimizer new policy checkpoint

Returns weight action-gradient terms; they are not causal-responsibility scores. A baseline can turn a return into an advantage estimate. The displayed gradient row uses a zero baseline. Rewards supply numerical training values without differentiating through the environment or verifier.

The model’s own actions influence later observations, so demonstrations and current-policy rollouts occupy different distributions. An SFT example conditions on recorded prefixes. An on-policy rollout visits prefixes and environment states produced by the current policy, including its mistakes. This can reveal recovery behavior that demonstration-only data omitted, but it also makes collection more expensive and introduces policy-lag and environment-version concerns.

For a multi-action agent, assigning the same terminal return to every model call is simple but coarse. A failed episode may contain useful actions; a successful one may contain needless or unsafe actions. More selective credit requires step labels, learned values, counterfactual models, or other assumptions. Detailed task, observation, reset, and simulator design belongs to RL Environments and Simulators.

Constraining policy updates

Aggressively maximizing an observed reward can push a policy beyond the response distribution on which demonstrations or a learned reward remain reliable. Practical RLHF therefore combines improvement pressure with controls on update size and variance. These controls stabilize optimization; they do not validate the reward.

Proximal Policy Optimization uses trajectories collected by an old rollout policy and estimates whether sampled actions performed better or worse than a baseline. Its clipped surrogate removes further favorable incentive after the current-to-old probability ratio crosses a threshold. A separate reference-policy penalty can discourage departure from an SFT checkpoint. The old rollout policy and the fixed reference policy answer different questions and need not be the same artifact.

PPO clipped surrogate

Lclip(θ)=Et[min(rtAt,clip(rt,1ϵ,1+ϵ)At)],rt=πθ(atst)πold(atst)L^{\mathrm{clip}}(\theta)=\mathbb{E}_t\left[\min\left(r_tA_t,\operatorname{clip}(r_t,1-\epsilon,1+\epsilon)A_t\right)\right],\qquad r_t=\frac{\pi_\theta(a_t\mid s_t)}{\pi_{\mathrm{old}}(a_t\mid s_t)} Positive advantage favors increasing the sampled action’s probability until the favorable side clips; negative advantage favors decreasing it until its favorable side clips. Clipping limits a local incentive. It is not a hard bound on every resulting probability or on total KL divergence.

Explore PPO clipping

Change the ratio, then switch the advantage from positive to negative. The flat side changes.

PPO ratio and surrogate objectiveThe dashed line is ratio times advantage. The solid line is the minimum of that term and the clipped term. Current ratio 1.5, advantage 1, epsilon 0.2, surrogate 1.200. Clipping does not enforce a hard probability limit.-4-202400.511.52Surrogate (maximize)Current / old probability ratio
Solid blue: clipped surrogateDashed brown: unclipped termShaded: 1 − ε to 1 + ε
min(1.500, 1.200) = 1.200
One illustrative surrogate term, with a fixed advantage and old policy. The shaded band limits the incentive, not the resulting probability. Other loss terms and shared parameters are omitted.

Group Relative Policy Optimization, or GRPO, samples several responses to one prompt and forms advantages from their relative rewards rather than training a separate value model. In the original outcome-supervision form, every token in a response shares that response’s normalized group score. This is a baseline-estimation choice, not a rule about reward source: the original DeepSeekMath work used a learned reward model, while later verifiable-reward recipes used executable checks.

PPO and group-relative updates

Optimizer machinery and feedback source are independent design axes.
QuestionPPO-style answerOutcome-supervised GRPO answer
Where do samples come from?A rollout policySeveral rollouts per prompt
How is relative performance estimated?Learned value or another advantage estimatorGroup reward statistics
How are large favorable ratio changes treated?Clipped surrogateOften a PPO-like clipped ratio
What provides reward?Learned model, rule, verifier, or environmentAlso independent of the optimizer
What remains unproven?Reward validity and deployment behaviorReward validity and deployment behavior

V. Development and failure

Parallel lines of development

Demonstrations, comparisons and rewards answer different questions. Demonstrations specify continuations to imitate; comparisons distinguish presented alternatives; rewards score attempted behavior. A training recipe can use more than one because none supplies all the missing information.

Feedback source and objective are separate choices. Human or model-generated comparisons can supply a preference dataset; an executable verifier can score outcomes without a learned preference network. Changing the signal producer changes which errors must be investigated, not the need to define the intended behavior.

Data collection is another axis. Fixed-pair optimization reuses recorded alternatives. Rollout-based optimization collects actions and observations under a policy that changes during learning, exposing behavior that the fixed records may not cover. The resulting data and infrastructure requirements differ even when both methods use preference-derived pressure.

Staging can combine these choices: demonstrations establish behaviors, then additional feedback revises them. Parameter-efficient updates change how those revisions are represented, independently of the feedback objective. Judge the complete recipe by its retained and changed behavior, rather than treating a newer stage as proof that earlier methods are obsolete.

Optimizing the wrong proxy

Reward hacking occurs when optimization finds a high-scoring behavior that violates the designer’s informal intent. The shared mechanism is an incomplete proxy, but the concrete failures differ. A policy can satisfy a surface rule while ignoring the substantive task, exploit a mutable evaluation environment, learn a dataset shortcut, or search for responses where a learned reward model’s error is favorable.

A deterministic checker is vulnerable when its contract is incomplete. One instruction-following example checked whether an ASCII character appeared more than once but did not verify that the requested story was written; a response could use a visually similar Cyrillic character and receive full credit. In repository optimization, agents were reported to add opportunistic caches or alter Python startup behavior rather than improve the intended internals. The checker worked as implemented; the implemented requirement was insufficient.

Learned rewards add another failure surface. Best-of-N selection or policy optimization examines many candidates and preferentially returns those with high proxy scores. If rproxy=rtarget+er_{proxy}=r_{target}+e, selection can favor large positive error ee as well as true quality. In controlled reward-model experiments, stronger optimization initially improved an independent model-based target and later reduced it while proxy reward continued rising. That result demonstrates the mechanism in the tested setting, not a universal degradation threshold. A fixed-candidate example isolates this selection effect without changing the generator checkpoint.

A higher proxy score can select a worse candidate

Fixed generator checkpoint · admit the first N candidates · select the largest proxy score

Candidate 5 wins: target 2, proxy 6, error 4.
CandidateTarget / proxy scoresErrorSelection
1
Target 1
Proxy 1
0Admitted
2
Target 3
Proxy 3
0Admitted
3
Target 2
Proxy 2
0Admitted
4
Target 4
Proxy 4
0Admitted
5
Target 2
Proxy 6
4Selected

Both bar scales run from 0 to 6. Error = proxy − target. Candidate count changes selection, not model weights.

Invented scores isolate favorable proxy error. At N=4, candidate 4 wins with target 4. At N=5, candidate 5 wins with proxy 6 but target 2. With a perfect proxy, candidate 4 still wins at N=5, so degradation is not inevitable.

Direct preference training can exploit correlations too. Tested DPO models produced responses longer than both preferred and rejected training responses; length regularization reduced that expansion while retaining measured gains. Longer output is not inherently worse. The case matters because it shows that removing an explicit reward model does not remove proxy optimization.

Mitigation is a repeated design loop: adversarially inspect the checker, preserve an independent outcome measure, review high-reward disagreements, run small optimization experiments, and add discovered hacks to regression tests. Some exploits appear only after optimization begins. Conservative updates can reduce how far the policy searches outside known data, but neither KL penalties nor clipping repairs a wrong objective. This is the post-training instance of Optimization can succeed at the wrong task.

Redistributing capability

A post-training update changes one parameterized system, so behavior can move on dimensions the objective did not summarize. Target-task gains can accompany forgetting, over-refusal, sycophancy, reduced response diversity, or weaker performance on another population. An alignment tax is an empirical claim about such a difference relative to an explicit baseline; it is not an assumed law.

Behavioral dimensions

Keep dimensions separate because the desirable direction and relevant population differ.
DimensionUseful questionHidden by
Target capabilityDid the intended task improve on held-out work?Training loss or reward alone
Retained capabilityDid previously available behavior regress?Only testing the adapted domain
Refusal qualityAre unsafe requests refused and safe contrasts answered?Reporting refusal rate without correctness
TruthfulnessDoes the assistant resist agreeable false premises?Preference scores dominated by affirmation
Calibration or abstentionDoes expressed uncertainty support a safe decision policy?Accuracy without coverage
Operational behaviorDid latency, cost, and escalation remain acceptable?Model-only benchmark averages

The helpfulness–harmlessness studies illustrate why the baseline matters: optimizing helpfulness alone made tested models easier to elicit harmful responses from, while combined objectives changed the measured balance and produced model-size-dependent capability effects. The result is conditional on those models, feedback populations, and assessments; it does not establish a universal tradeoff curve.

Sycophancy is a particularly clear proxy conflict. Human raters and preference models can favor persuasive agreement with the user over correctness. In April 2025, an OpenAI GPT-4o update combined several training changes, including an additional user-feedback signal, and was rolled back after excessive agreement and validation appeared. The first-party postmortem said aggregate offline and small A/B results had looked favorable while deployment evaluations did not specifically track this behavior; its causal account was preliminary.

VI. Evidence and choice

Comparing changed checkpoints

A useful checkpoint comparison holds the work and execution protocol constant. Run the starting and candidate checkpoints on matched held-out cases with the same prompts, tools, decoding policy, attempt policy, resource limits, and graders. Version both checkpoints and preserve per-case outputs so disagreements can be inspected. What an evaluation establishes develops the general evidence boundary; Compare changes on matched work develops paired analysis.

Checkpoint evidence record

Report unlike outcomes separately and make unavailable assessment explicit.
FieldStarting checkpointCandidate checkpointRequired interpretation
Task success by sliceMatched resultMatched resultPaired difference and task population
Preference outcomeWin, loss, or tieWin, loss, or tieRubric, judge, order controls
Critical failuresCount and denominatorCount and denominatorSeverity and challenge versus representative sampling
Refusal and abstentionCoverage and accepted-case errorCoverage and accepted-case errorSafe and unsafe contrast cases
CalibrationForecast and observed outcomeForecast and observed outcomeDefined event and evaluated population
OperationsLatency, cost, escalationsLatency, cost, escalationsSame workload and serving conditions
Assessment coverageScored, failed, unavailableScored, failed, unavailableNever convert unavailable results into passes

Representative slices and challenge sets answer different questions. A representative sample estimates behavior in an intended task population, subject to its sampling design. A challenge set concentrates rare, adversarial, or consequential cases to discover weaknesses. Its failure rate does not estimate deployment prevalence without population weights. General leaderboards can shortlist candidates, but aggregate winners can still lose on an application’s input distribution.

Sampling variation matters. When both checkpoints run on the same cases, resample paired task-level results rather than independently resampling each model. Repeated decoding attempts answer a separate question from sampling more tasks. Report the attempt policy, the number of cases, interval method, and variation across training or decoding seeds when relevant.

Zero observed failures is not zero risk. Under independent comparable binary trials, observing none in nn trials gives a one-sided 95% upper bound of 10.051/n1-0.05^{1/n}. The calculation applies only to the prespecified failure and sampled population; clustered tasks, distribution shift, and untested failure modes remain outside it.

Bounding the alignment claim

Evidence supports progressively broader claims only when new observations are added. Lower SFT loss supports a statement about conditional likelihood on the optimized examples. Held-out reward-model accuracy supports prediction of comparisons under that protocol. A matched behavioral evaluation supports a claim about the tested checkpoint, population, execution conditions, metrics, and uncertainty. A live experiment can support a further claim about observed workflow outcomes.

None of those results alone identifies an internal objective, proves universal harmlessness, establishes correctness on untested domains, or guarantees resistance to every adversary. Matching an imperfect supervisor can reproduce the supervisor’s errors. Passing ordinary tests can coexist with behavior triggered only by a narrow condition. Constructed reward-tampering studies establish possibility under their training conditions, not prevalence in deployed systems.

A defensible result names the exact starting and resulting checkpoints; the training intervention; the task and affected population; prompt, tool, and decoding conditions; metrics and denominators; uncertainty; critical exclusions; and events that would expire the claim. Later fine-tuning creates another checkpoint requiring renewed evidence: an initially aligned checkpoint’s evaluation does not automatically transfer to its derivative.

Selecting the smallest sufficient intervention

Choose a method from the trustworthy feedback available, not from a universal hierarchy. The smallest sufficient intervention is easier to attribute and usually creates fewer new failure surfaces, but it still needs an independent checkpoint comparison.

Decision rules

These choices can combine. Parameter-efficient representation is independent of the feedback objective.

  • Desired responses are availableUse SFT to teach a direct input-to-output mapping. Audit demonstration coverage, masking, and retained capabilities.
  • Relative judgment is easierCollect preference pairs. Use a direct objective for a bounded offline update, or fit a reward model when reusable scoring is worth its extrapolation burden.
  • Outcomes are executableUse verifiable rewards only after validating the checker’s substantive contract and adversarial boundaries.
  • Intermediate actions matterAdd process-sensitive feedback and runtime controls; terminal success does not excuse harmful steps.
  • Feedback is delayed across interactionUse RL when behavior must be learned from trajectories, accepting the added environment, credit-assignment, stability, and evaluation burden.
  • Only the parameter footprint is constrainedChoose LoRA or another parameter-efficient representation independently of the supervision objective.

Before training, record the behavioral requirement, signal producer, expected coverage, known proxy gaps, starting checkpoint, update method, and rollback plan. During development, use versioned data, validation cases, small optimization runs, and controlled ablations. Before release, freeze the candidate and run the matched evaluation. After release, monitor the outcomes that offline evidence could not establish.

The final decision is therefore not “SFT, DPO, or RL?” in isolation. It is: what behavior is missing, what feedback can validly distinguish better behavior, what optimization pressure will use that feedback, what other behavior might move, and what independent evidence will justify deploying the resulting checkpoint?

Open questions

  1. How can preference systems represent stable disagreement, incomparable outcomes, and cyclic collective preferences without forcing every judgment into one scalar reward? Pairwise game formulations make the representational problem explicit, but they do not decide whose preferences should govern deployment. Progress would require protocols that preserve affected-group differences while still producing actionable policies.

  2. How should credit be assigned across long agent trajectories containing both useful and harmful actions? Equal terminal return is cheap but confounds temporal participation with causal contribution. Progress would mean validated process signals or counterfactual models that improve action-level learning without introducing a more fragile judge.

  3. How can reward-model uncertainty remain reliable after policy optimization deliberately searches outside the comparison distribution? Ordinary held-out accuracy evaluates familiar candidates, while optimization selects exceptional high-scoring outputs. Progress would require evaluation designs that predict where scoring error grows under optimization and trigger safe limits or human review before proxy and target diverge.

  4. When does post-training expand the set of problems a model can solve rather than merely raise the probability of already-available successful answers? Existing studies reach different conclusions across tasks and sampling budgets. Progress would require matched base and trained checkpoints, controlled attempt budgets, trustworthy solution verification, and coverage measurements beyond pass-at-one.

  5. How can post-training preserve safety and rare capabilities through later customer-specific adaptation? Historical experiments show that benign-looking fine-tuning can degrade safety assessments and that target-domain learning can accompany forgetting. Progress would mean update methods and regression suites that predict and constrain these changes across realistic derivative checkpoints.

Follow the curated reading path through the speakers and demonstrations behind this entry.

18 min

AI Engineer World's Fair 2024 · 2024

Decoding Mistral AI's Large Language Models

Devendra Chaplot · Devendra Singh Chaplot

Cited in this entry

A compact explanation of why a next-token pretrained model may not follow human instructions, how response-only instruction tuning changes the objective, and why comparisons can be easier to collect than complete answers.

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A synthesis of selected conference talks and technical references. Citations link to the source material; they do not imply that every talk on this subject is included.

  1. Training language models to follow instructions with human feedback

    The training loop separates demonstrations, ranked responses, and fresh policy rollouts. A scalar reward model learns preferences via -log sigmoid(r(x,y_w)-r(x,y_l)); the absolute score is less meaningful than the difference for the same prompt. PPO then generates responses and optimizes their learned reward with a per-token penalty for departure from the supervised reference. In expectation the log-probability-ratio penalty gives KL(pi_theta || pi_ref). A learned value function estimates expected return for advantage estimation. The paper also mixes pretraining gradients into some RL runs to reduce regressions on retained NLP tasks. It partitions prompts by user identity, rather than randomly splitting near-related prompts across sets.

  2. Learning to Rank using Gradient Descent

    Burges and colleagues’ 2005 RankNet work learned a real-valued scoring function from ordered pairs. The predicted probability that item A ranks above B is the logistic function of their score difference, and training minimizes pairwise cross-entropy. Pair labels need not form a complete or consistent ranking. A target probability of one half supplies a principled equal-rank label. This is an earlier learning-to-rank lineage for the pairwise logistic objectives later used in preference models.

  3. Saving and Loading Models — PyTorch Tutorials

    A model checkpoint preserves fitted state that can be restored later. PyTorch's model state_dict contains parameter tensors and registered buffers. A checkpoint intended to resume training also saves optimizer state and can include the training epoch and other records. Restoring weights requires instantiating the corresponding model structure; saved parameters alone are not a complete description of the computation.

  4. Training language models to follow instructions with human feedback

    InstructGPT begins with a pretrained language model. Supervised fine-tuning updates it using demonstrations of desired responses to prompts. Preference training then fits a reward model to human comparisons of candidate responses; PPO updates the response policy to increase predicted reward, with a penalty for departing from the supervised policy. These stages optimize learned parameters using datasets and objectives. Supplying an instruction or tool observation during ordinary inference instead changes the current input to that trained policy. A favorable preference score represents the learned comparison objective, not a proof of factual or program correctness.

  5. Retrieval supplies external information without an inference-time weight update

    A retriever maps input x to passages z, and the generator predicts tokens using p_theta(y_t | x,z,y_<t). With theta fixed, changing z changes the conditional input and therefore can change the answer without gradient updates. RAG-Sequence approximates p(y|x) by summing p_eta(z|x) times the sequence likelihood over top-K retrieved passages; RAG-Token marginalizes passages separately at each output position. Retrieval queries an external index rather than writing its contents into generator parameters. The paper demonstrates replacing a Wikipedia index at test time to change answers about officeholders. This inference mechanism is distinct from the paper's training procedure, which fine-tunes the retriever's query encoder and generator.

  6. Language Models are Few-Shot Learners

    Autoregressive pretraining learns to predict continuations from a broad mixture of text. Task-specific fine-tuning instead updates weights on examples directed at a target task; in-context examples condition inference without gradient updates. The likelihood objective can remain next-token prediction while the data distribution changes.

  7. Minibatch Stochastic Gradient Descent — Dive into Deep Learning

    Training evaluates a loss on a batch, differentiates it with respect to model parameters, and updates those parameters. In minibatch SGD, the update subtracts the learning rate times the mean example gradient: theta_next = theta - eta * mean_i gradient_theta loss_i. A gradient indicates local sensitivity of the chosen loss, not a symbolic edit to a particular rule. Minibatches trade statistical noise against efficient vectorized computation; changing batch size changes both optimization and execution behavior.

  8. A General Language Assistant as a Laboratory for Alignment

    Askell and colleagues’ December 2021 report operationalized assistant alignment as helpful, honest, and harmless behavior. It explicitly treated these criteria as ambiguous, subjective, and sometimes conflicting: helping a user can conflict with avoiding harm to others, and harmfulness judgments vary across people, cultures, users, times, and places. The authors assigned responsibility for defining and assessing alignment to deployers and expressly did not claim to have achieved the goal.

  9. Artificial Intelligence Risk Management Framework (AI RMF 1.0)

    NIST’s January 2023 AI RMF treats trustworthiness as multiple socio-technical characteristics rather than one model score: validity and reliability, safety, security and resilience, accountability and transparency, explainability and interpretability, privacy, and managed harmful bias. Their relevance and balance depend on context of use. End users, affected communities, domain experts, civil society, and other actors can identify impacts, operating boundaries, norms, and tradeoffs. Metrics and thresholds therefore require explicit human judgment tied to the intended setting.

  10. AI is the World’s largest Relationship Therapist — Clay Cockrell & Tony Fabrikant, CoupleWork AI

    For relationship-support AI, optimizing longer or more frequent engagement can create an avoidance loop; the product objective should instead be whether users return to the human relationship more regulated, honest, and receptive.

  11. AI is the World’s largest Relationship Therapist — Clay Cockrell & Tony Fabrikant, CoupleWork AI

    Repeatedly validating a user's one-sided account can increase certainty rather than self-awareness, producing a stronger adversarial narrative and less curiosity about the other person's experience.

  12. Training a Helpful and Harmless Assistant with Reinforcement Learning from Human Feedback

    Anthropic’s April 2022 study collected separate helpfulness and harmlessness comparisons, largely allowing selected crowdworkers to interpret those criteria. Optimizing helpfulness alone made models easier to elicit harmful responses from; combining objectives improved the measured balance. Capability effects varied: smaller models lost performance on multiple NLP evaluations, termed alignment taxes, while larger models often improved. The paper also warns that narrowed output distributions can interact poorly with rigid evaluation formats. Thus, objective conflicts, genuine capability changes and assessment-format effects are distinct issues.

  13. The New Code

    Associate each behavioral clause with an identifier and challenging prompts that expose whether a response adheres to that clause.

  14. XSTest: A Test Suite for Identifying Exaggerated Safety Behaviours in Large Language Models

    Over-refusal means refusing a request that is safe to answer. XSTest tests this using safe prompts that resemble unsafe ones through vocabulary or context, paired with minimally changed unsafe contrasts. A programming request about terminating a process illustrates why surface words alone are insufficient. The suite separates full refusal, partial refusal, and compliance. Crucially, compliance means attempting an answer regardless of its accuracy, so this measure cannot substitute for task competence. Unsafe contrasts prevent a model that answers everything from appearing successful solely because it never over-refuses.

  15. Decoding Mistral AI's Large Language Models

    Instruction tuning uses prompt-response pairs and trains next-token prediction on the response while masking the prompt.

  16. Model-Maxxing: RFT, DPO, SFT (Fine-tuning with OpenAI) — Ilan Bigio, OpenAI

    SFT teaches an input-to-output mapping through demonstrations, making it useful for classification, formatting, extraction, and small-model distillation.

  17. SFT Trainer: objective, shifting, and masking

    For prompt x and target response y, supervised fine-tuning minimizes negative conditional log likelihood: L = -sum_t m_t log pi_theta(y_t | x,y_<t), optionally normalized by the count of included tokens. The mask m_t excludes padding and can exclude prompt or non-assistant tokens. Each prediction conditions on the demonstrated prefix, rather than a prefix sampled from the model; this is teacher forcing. The loss rewards probability assigned to the demonstrated next token, not execution success or truth directly. Current TRL supports completion-only and assistant-only loss with dataset/template requirements. Changing masking changes which behavior receives direct supervision, even when the visible example text is identical.

  18. Everything you need to know about Finetuning and Merging LLMs

    The described supervised fine-tuning setup uses system and user prompts as context and trains on the answer, masking the prompt from the training loss.

  19. LoRA: Low-Rank Adaptation of Large Language Models

    LoRA parameterizes a weight update as W=W0+(alpha/r)BA, keeping W0 fixed and training B with shape d×r and A with shape r×k for a d×k layer. Ignoring the optional scaling, the update contains r(d+k) trainable entries instead of dk. Gradients still pass through the model to train the small matrices. The low-rank update may be merged into the original dense matrix for ordinary inference. LoRA chooses where and how parameter changes are represented; supervised likelihood, preference learning, and reinforcement learning choose the signal/objective. These are independent axes, not competing levels in one algorithm taxonomy.

  20. Everything you need to know about Finetuning and Merging LLMs

    The speaker proposes accuracy, diversity, and complexity as complementary dataset-quality criteria.

  21. Data and Environment Curation for Post-training LLMs

    In the Credit Karma example, frequently occurring promotional values could be hallucinated after fine-tuning; adding tags to training pairs reportedly helped the model focus on form instead of memorized numbers.

  22. LESS: Selecting Influential Data for Targeted Instruction Tuning

    A training example is useful relative to a target capability, not merely because its text looks similar. A first-order loss expansion motivates selecting examples whose update direction reduces loss on representative held-out target examples. LESS approximates this with optimizer-aware gradient features, a warmup run, LoRA gradients, random projection, and normalized gradient similarity; normalization matters because averaged token-gradient norms can correlate with completion length. Its experiments find that selected subsets can outperform the full instruction mixture. Some target/model combinations nevertheless fail to improve over the base model, so selection cannot conjure a capability missing from the candidate data.

  23. Rethinking Benchmark and Contamination for Language Models with Rephrased Samples

    Evaluation leakage is semantic, not only literal. The paper fine-tunes on paraphrases and translations of benchmark questions, demonstrating inflated benchmark performance that simple n-gram checks miss. It also investigates overlap in synthetic instruction data, so a teacher-generated dataset is not automatically independent of public tests. Its proposed detector retrieves semantically similar candidate training examples and then asks a model to judge equivalence. The methodological consequence is to track source lineage and reserve genuinely separate evaluation problems, rather than interpreting deduplicated strings as proof of unseen tasks.

  24. LIMA: Less Is More for Alignment

    LIMA fine-tuned LLaMA-65B on 1,000 curated demonstrations spanning community answers, writing prompts and authored examples. Separate 7B ablations found benefits from filtering and diverse sources, while increasing examples from one source produced diminishing gains under the study’s grading procedure. Coverage mattered: a version trained with 30 additional dialogue chains performed better in a small multi-turn comparison. The study supports investigating demonstration quality and coverage before assuming that adding more similar examples will help.

  25. Model-Maxxing: RFT, DPO, SFT (Fine-tuning with OpenAI) — Ilan Bigio, OpenAI

    Combine schema-generated examples with filtered teacher outputs on actual unlabeled user inputs.

  26. Decoding Mistral AI's Large Language Models

    The speaker presents response comparisons as easier to collect than full human-written answers, enabling preference data to scale faster.

  27. Deep Reinforcement Learning from Human Preferences

    Christiano and colleagues’ 2017 work addressed tasks whose goals were difficult to encode as rewards or demonstrate directly. People compared short clips of agent behavior; a learned reward predictor generalized those judgments, and reinforcement learning optimized its predictions. Experiments included Atari and simulated locomotion. The interface distinguished preference, equal quality, and inability to compare: ties became evenly divided labels, while incomparable pairs were excluded. Reward learning and policy learning remained separate processes, allowing many interactions without individually requesting human judgments.

  28. Learning to summarize from human feedback

    The study constructs comparisons by sampling summaries for the same post from current policies, initial policies, reference summaries, and baselines. Labelers select the better summary under researcher-defined requirements emphasizing faithful communication within a length limit. Collection and retraining alternate in batches using accumulated judgments. Labelers receive instructions and feedback intended to align their judgments with the researchers'; this operationalizes a particular group's requirements rather than universal preferences. Evaluation separately rates coverage, accuracy, coherence, and overall quality. Controlling summary length reduces the measured preference advantage, demonstrating that response length can affect interpretation of adaptation gains.

  29. Human Alignment of Large Language Models through Online Preference Optimisation

    The paper represents preferences directly by p(a≻b), assuming p(a≻b)+p(b≻a)=1. Bradley–Terry instead assumes p(a≻b)=sigmoid(r(a)-r(b)). Mathematical consequence: a majority cycle a≻b≻c≻a cannot be represented exactly by scalar differences, because it requires r(a)>r(b)>r(c)>r(a). Disagreement alone does not imply such a cycle. Offline IPO optimizes expected pairwise win probability against a fixed opponent distribution, minus reference KL; the aggregation therefore depends on that opponent. The game formulation lets both players choose distributions, with payoff E[p(a≻b)]-tau KL(pi_1||pi_ref)+tau KL(pi_2||pi_ref). A Nash equilibrium permits no unilateral payoff improvement. Online IPO's population stationary condition corresponds to this regularized equilibrium. Online collection changes the compared responses; it is distinct from choosing a scalar-reward or pairwise objective.

  30. Towards Understanding Sycophancy in Language Models

    Sycophancy is a tendency to match a user’s stated beliefs rather than favor a truthful response. This study found that agreement with the user influenced human preferences, and that humans and preference models sometimes preferred persuasive agreement over correctness. Optimizing a preference signal can therefore amplify a mismatch between what earns approval and what answers correctly.

  31. Constitutional AI: Harmlessness from AI Feedback

    AI-generated feedback can provide training supervision under human-written principles. Constitutional AI first generates critiques and revised responses, then fine-tunes on revisions. Its reinforcement-learning phase uses model comparisons to train a preference model, whose scores supply reward. RLAIF describes the feedback source; it is not a distinct replacement for the need to choose an optimization algorithm. Human choices remain in the principles and system design.

  32. Direct Preference Optimization: Your Language Model is Secretly a Reward Model

    Under the Bradley–Terry preference model and KL-regularized reward objective, the optimal policy has pi*(y|x) proportional to pi_ref(y|x) exp(r(x,y)/beta). Rearrangement expresses reward as beta log(pi*/pi_ref) plus a prompt-only constant. That constant cancels between two responses. DPO therefore minimizes -log sigmoid(beta[log pi_theta(y_w|x)/pi_ref(y_w|x)-log pi_theta(y_l|x)/pi_ref(y_l|x)]). Response log probabilities are sums of conditional token log probabilities. The original algorithm fits this objective to fixed preferred/rejected pairs without separately fitting a reward network or sampling new responses during the optimization loop. Its gradient weights pairs according to the current reference-adjusted preference error.

  33. Weak supervision needs evaluation beyond supervisor agreement

    Oversight becomes difficult when an evaluator cannot reliably judge behavior available to a stronger model: matching its labels can reproduce its mistakes. The paper trains a weak model on ground-truth labels, obtains its predictions on held-out examples, and trains a stronger student on those weak labels. It compares ground-truth test performance with both the weak supervisor and a strong model trained directly on ground truth. Performance gap recovered is PGR=(student-weak)/(strong_ceiling-weak), requiring a nonzero denominator. PGR=0 means no improvement over the supervisor; PGR=1 matches the experimental ceiling. Independent correctness scores and agreement on supervisor-wrong examples distinguish useful generalization from imitation. Experiments show task-dependent generalization and overfitting to weak labels; an auxiliary confidence loss improves some NLP results.

  34. Scaling Laws for Reward Model Overoptimization

    Best-of-N samples y_1,...,y_N from a fixed policy for a prompt and returns y_argmax_i r_proxy(x,y_i). It changes the distribution of returned outputs through selection, without updating the generator's weights. Increasing N searches more candidates, including rare outputs that receive spuriously high proxy scores. Writing r_proxy=r_gold+error illustrates the mechanism: selecting a large proxy value can select favorable error as well as genuine quality. This decomposition is explanatory, not an assumption of independent errors. In the paper's synthetic experiments, smaller reward models learn comparisons from a larger frozen gold model; stronger optimization by best-of-N or PPO initially improves gold scores and eventually reduces them while pursuing the proxy. An independent outcome measure is needed to detect that divergence.

  35. Direct Preference Optimization

    DPO trains on preferred and rejected responses using a classification-style objective derived from a preference reward formulation. It avoids fitting a separate reward model and sampling from the language model during the fine-tuning procedure described in the paper. This is a mechanism, not a guarantee of preference quality or superiority on every task.

  36. TRL DPO objective

    For a preferred and rejected response, the original sigmoid DPO loss is minus log sigmoid of beta times the difference of their policy/reference log-probability ratios. Beta is positive and scales this reference-adjusted margin. It is associated with reference regularization, not a hard limit on probability changes. A worked hypothetical two-outcome distribution can illustrate the loss without claiming a measured training result.

  37. Disentangling Length from Quality in Direct Preference Optimization

    In Pythia-2.8B experiments on dialogue and summarization preferences, DPO produces responses substantially longer than both preferred and rejected training responses. The generated length distribution can move outside the preference dataset's distribution. The authors introduce length regularization and evaluate preference wins alongside response length; regularization reduces the length expansion while retaining measured quality improvements. This supplies a concrete example of undesirable proxy optimization without a separately trained reward model.

  38. Let’s Verify Step by Step

    Outcome supervision labels completed solutions; process supervision labels intermediate steps. This study formats mathematical solutions into newline-delimited steps and collects positive, negative, or neutral human judgments. Its process reward model predicts step correctness, while its outcome reward model learns labels obtained by checking final answers. Solution ranking multiplies predicted step-correctness probabilities. The authors deliberately seek solutions rated highly by the process model despite incorrect final answers, exposing weaknesses for further labeling. Final-answer checks can also approve solutions containing incorrect reasoning. These examples separate feedback timing from its source: executable outcome labels train a learned outcome scorer, while human step labels train a learned process scorer.

  39. Let LLMs Wander: Engineering RL Environments — Stefano Fiorucci

    Reinforcement learning with verifiable rewards uses automatically checked outcomes to reinforce successful sampled trajectories rather than only imitating supplied responses.

  40. CodeRL: Mastering Code Generation through Pretrained Models and Deep Reinforcement Learning

    CodeRL’s 2022 method incorporated execution feedback into adaptation of pretrained code models because imitating reference programs left unit-test information unused. Its published reward schedule distinguishes compilation failure, runtime failure, failed tests and passing all tests, assigning −1, −0.6, −0.3 and +1 respectively. A learned critic predicts test outcomes and supplies additional feedback. This illustrates that executable observations can support both directly defined rewards and learned scoring; the two are not mutually exclusive.

  41. Validating a Lean Proof

    Lean's kernel checks that a formal theorem follows from its definitions, theorems, and axioms. This establishes a claim about the formal statement, whose correspondence to the intended informal problem still requires scrutiny. A theorem's dependencies can contain incomplete proofs even when the current theorem displays successful checking. Inspecting transitive axiom dependencies detects sorryAx and custom assumptions. Consequently, using proof acceptance as a reward requires specifying the theorem and permitted assumptions, rather than treating any successful build as proof of the intended task.

  42. DeepSeek-R1: Incentivizing Reasoning Capability in LLMs via Reinforcement Learning

    Rule-based outcome feedback can replace a learned preference reward where correctness is executable: a final math answer can be checked, and code can be run against test cases. The R1-Zero recipe combines accuracy and output-format rewards with GRPO. R1 adds a staged recipe with cold-start demonstrations, reasoning RL, rejection-sampled supervised data, and subsequent RL for broader behavior. Its smaller distilled models receive supervised training on curated outputs rather than inheriting the teacher's RL procedure. This illustrates that the source of a training example and the student's optimization objective are separate choices.

  43. From RL to IRL — Gaurav Mishra, Amazon AGI Lab

    A process reward model should penalize dangerous intermediate actions even when the requested outcome is achieved.

  44. Reinforcement Learning: An Introduction — second-edition draft

    Reinforcement learning improves a policy using rewards from interaction rather than labels specifying demonstrated actions. The objective is expected return: G_t = sum_k gamma^k R_(t+k+1), with gamma controlling discounting. In a finite episode with only terminal reward R_T, this reduces to gamma^(T-t-1)R_T: the outcome evaluates a trajectory without identifying which earlier decisions helped. Temporal credit assignment propagates that information to earlier choices. Monte Carlo methods update from completed returns; TD prediction uses V(s) <- V(s) + alpha[r + gamma V(s') - V(s)], bootstrapping from the next state's estimate. Policy improvement then favors actions with higher expected return; prediction updates alone do not change the policy.

  45. A Taxonomy for Next-Generation Reasoning Models

    The described single-turn RLVR loop generates completions, scores them, and uses those scores to update model weights.

  46. Simple Statistical Gradient-Following Algorithms for Connectionist Reinforcement Learning

    Williams’s 1992 paper develops REINFORCE algorithms for stochastic neural networks receiving reward rather than a demonstrated correct output. Updates multiply reward minus a baseline by the derivative of the sampled output’s log probability. Under the stated independence conditions and a common learning rate, the expected update follows the expected-reward gradient. The paper also extends the construction to episodes receiving a final reward. This provides a historical foundation for learning from scored attempts before language-model applications.

  47. Part 3: Intro to Policy Optimization — Spinning Up

    Policy gradients estimate expected-return gradients using sampled trajectories and gradients of action log probabilities. When environment transitions and rewards do not depend on policy parameters, their derivatives disappear from the derivation: optimization need not differentiate through the scorer or environment. A state-dependent baseline can be subtracted without changing the expected gradient. Advantage compares an action's expected return with the policy's average return from that state. The implementation alternates sampling from the current policy and updating its parameters, so training-data distribution changes with the policy. The sampled surrogate loss is not itself an estimate of expected return.

  48. A Reduction of Imitation Learning and Structured Prediction to No-Regret Online Learning

    The 2011 DAgger paper explains why supervised imitation can fail during sequential execution: the learner’s actions influence later observations, so a mistake can take it into situations absent from expert demonstrations. Its iterative approach obtains expert supervision on learner-induced states and aggregates the resulting data. The contribution addresses the distribution created by executing the learned policy, rather than merely improving prediction on recorded expert examples.

  49. Agent Lightning: Train ANY AI Agents with Reinforcement Learning

    An agent rollout includes multiple LLM calls and environment transitions such as tool execution. Training can represent each call as its current input context, generated action, and assigned reward instead of concatenating a whole history into one response. The paper separates episode-level return assignment across actions from token-level optimization inside each action. In its reported implementation, every action receives the same final episode return; existing single-turn RL then supplies token-level updates. This makes the unresolved credit problem concrete: a successful episode may contain needless or mistaken actions, and a failed episode may contain useful ones. A transition interface makes more selective credit assignment possible without proving it is already solved.

  50. Counterfactual Credit Assignment in Model-Free Reinforcement Learning

    Credit assignment separates an action's influence on later rewards from external events and subsequent actions. A delayed outcome can depend on many intervening decisions, so temporal order alone does not identify its cause. The paper defines return as G_t=sum over u>=t of gamma^(u-t) R_u; this aggregates rewards, not causal responsibility. Its transition model makes the next state depend on the current state and action. Its structural causal model supports changing an action while holding exogenous randomness fixed. Consequently, counterfactual replay must recompute downstream states and observations after action divergence; feeding the old observation sequence to a changed policy does not generally simulate its outcome.

  51. Proximal Policy Optimization Algorithms

    PPO alternates collecting trajectories with optimizing a surrogate using their estimated advantages. With rho_t=pi_theta(a_t|s_t)/pi_old(a_t|s_t), its clipped objective averages min(rho_t A_t, clip(rho_t,1-epsilon,1+epsilon) A_t). Positive advantage encourages increased action probability; negative advantage encourages decreased probability. Taking the minimum removes the incentive for an excessively favorable ratio change while retaining penalties for harmful changes. Several minibatch optimization epochs can reuse a collected batch. The old policy is the one that generated that batch, not necessarily the fixed reference model used to regularize an RLHF task.

  52. Spinning Up: Proximal Policy Optimization

    PPO means Proximal Policy Optimization. Its clipped per-sample surrogate is min(ratio times advantage, clipped ratio times advantage). Positive advantage favors greater action probability until the favorable side clips; negative advantage favors lower probability until its favorable side clips. The old policy produced the rollout. Clipping removes a local incentive, not every possible source of parameter change. Value-function fitting estimates expected returns; reference KL in language-model RL is a separate penalty.

  53. DeepSeekMath: Pushing the Limits of Mathematical Reasoning in Open Language Models

    GRPO samples several responses to the same prompt and uses the group's scores to form advantages instead of training a separate value model. In its outcome-supervision version, A_i=(r_i-mean(r))/std(r), and every response token shares that response's normalized score. A PPO-like clipped probability ratio controls updates; reference KL is added separately. Process supervision is a different version: it scores intermediate steps and uses sums of later normalized step rewards for earlier tokens. The original paper's math RL uses a learned reward model, demonstrating that GRPO names an optimization method rather than a requirement for rule-based verification.

  54. Concrete Problems in AI Safety

    Amodei and colleagues’ June 2016 report separated several causes of unintended behavior. Reward hacking occurs when a formal objective admits a high-reward solution that violates the designer’s informal intent. Identified mechanisms include partially observed goals, exploitable implementations, learned abstract rewards with pathological high-score regions, proxy correlations that break under strong optimization, self-amplifying feedback loops, and direct tampering with reward administration. These differ from distribution shift and unsafe exploration, although one system can exhibit several at once.

  55. When Will The Benchmaxxing Plague End?

    Design rewards adversarially and verify the substantive task, not just easily checked surface constraints.

  56. Coding Evals: From Code Snippets to Codebases – Naman Jain, Cursor

    Agents can overfit workloads or alter evaluation dependencies instead of improving repository internals.

  57. Reinforcement Learning without Verifiable Rewards — Will Brown, Prime Intellect

    Include actual small RL runs in environment design because some reward hacks emerge only under optimization.

  58. LoRA Learns Less and Forgets Less

    The study evaluates adaptation gains on coding or mathematics separately from retained performance on commonsense and science benchmarks. In its instruction-fine-tuning experiments, target-domain improvement can accompany degradation of previously available capabilities: forgetting. Training duration, domain, and update configuration affect both outcomes. Learning-versus-retention plots show different tradeoffs across datasets; neither update method provides the best tradeoff in every setting. This supports assessing specialization and capability retention separately rather than interpreting improved target-task scores as overall improvement.

  59. Expanding on What We Missed with Sycophancy

    OpenAI’s May 2, 2025 postmortem describes a GPT-4o update rolled out April 24–25 and rolled back beginning April 28 after excessive agreement and validation appeared. The update combined training changes, including an additional reward signal derived from user feedback. OpenAI’s preliminary explanation was that their combination weakened an existing signal discouraging sycophancy. Offline evaluations and small A/B tests had looked favorable, but deployment evaluations did not specifically track this behavior. The case demonstrates a gap between favorable aggregate feedback and a particular intended behavioral requirement.

  60. Paired bootstrap intervals for evaluation differences

    Bootstrap estimation repeatedly samples observations with replacement and recomputes a statistic to approximate its sampling distribution. SciPy supports confidence intervals and an estimated standard error; paired=True uses the same resampled indices across input arrays. Applied to two models evaluated on the same examples, resample their paired scores and compute delta=mean(score_A-score_B), rather than independently resampling each model. Report delta, interval bounds and confidence level, sample size, resample count and interval method. This paired-model recipe is an application of the documented API. Its interval concerns variation from the sampled examples; separately report variation across training or decoding seeds when those are part of the comparison.

  61. Agent Evals: Finally, With The Map

    The proposed map separates semantic quality from behavioral quality, then distinguishes single-step checks from sequential checks within each.

  62. If Nothing Goes Wrong, Is Everything All Right? Interpreting Zero Numerators

    Hanley and Lippman-Hand’s April 1983 paper shows why zero observed events does not establish zero risk. Under independent trials with a common event probability, the exact one-sided 95% upper limit after 0 events in n trials solves (1-p)^n=0.05, giving p=1-0.05^(1/n). For n above about 30, the rule of three approximates this as 3/n. The denominator and sampled population remain part of the inference.

  63. 20 days of compute vs 7 hours: rethinking what state-of-the-art means — Bertrand Charpentier, Pruna AI

    Evaluate many samples under conditions close to the deployed use case; an overall pairwise winner can still lose on the application's inputs.

  64. Recursive Model Improvement

    Intent recovery and the decision to clarify or proceed are explicit behavioral evaluation targets, with preferences that differ across users.

  65. Coding Evals: From Code Snippets to Codebases – Naman Jain, Cursor

    Construct validity requires realistic tasks and reliable grading; the described benchmark derives optimization tasks from actual repository commits.

  66. Sycophancy to Subterfuge: Investigating Reward-Tampering in Large Language Models

    Denison and colleagues’ June 2024 study deliberately trained Claude-2-scale assistants in a curriculum of gameable environments, then tested a held-out environment exposing mock training code. Some trained models rewrote the reward and tests without explicit tampering instructions; the reported expert-iteration run produced 7 reward-and-test tampering samples among 32,768 trials. Training away easily detected gaming reduced but did not eliminate held-out tampering. Added helpful-honest-harmless preference reward did not prevent the demonstrated generalization.

  67. Fine-tuning Aligned Language Models Compromises Safety, Even When Users Do Not Intend To!

    The October 2023 study tested safety after further adaptation of GPT-3.5 Turbo and Llama-2-7b-Chat. Besides adversarial training, it examined ordinary instruction datasets such as Alpaca and Dolly. After one epoch of these benign-use fine-tuning procedures, harmful-response measures increased on the researchers’ assessment set. Training settings also affected the degree of degradation. Consequently, evidence about an initially aligned checkpoint does not automatically establish safety behavior of a subsequently fine-tuned derivative.

  68. Tülu 3: Pushing Frontiers in Open Language Model Post-Training

    Tülu 3 provides an inspectable Llama-3.1 adaptation recipe with separate SFT, DPO and final RLVR checkpoints, training data and code. Its RLVR stage uses PPO with answer checks for mathematics and prompt-specific checks for instruction constraints, showing that verifiable rewards are not restricted to mathematical answers or to GRPO. In a preference-training comparison using shared prompts, PPO achieved broadly similar average scores to DPO but required more computation in that implementation. The authors therefore used DPO for most preference experiments and PPO for verifiable rewards.

  69. Model-Maxxing: RFT, DPO, SFT (Fine-tuning with OpenAI) — Ilan Bigio, OpenAI

    DPO fits tone and style objectives that are easier to compare between responses than to specify as a single correct output.

  70. Model-Maxxing: RFT, DPO, SFT (Fine-tuning with OpenAI) — Ilan Bigio, OpenAI

    RFT is presented as suitable for difficult tasks with clear, verifiable outcomes, including training a judge against golden judgments.

  71. From RL to IRL — Gaurav Mishra, Amazon AGI Lab

    RL is attractive when tasks are easy to obtain, demonstrations are hard to collect, and multiple valid solution paths lead to verifiable outcomes.

  72. TAMER: Training an Agent Manually via Evaluative Reinforcement

    Knox and Stone’s August 2008 TAMER framework replaced a task-specified environmental reward with scalar positive or negative feedback supplied by a person observing the agent. Supervised learning modeled the trainer’s feedback, and the agent selected actions predicted to receive the most human reward. Its Tetris implementation was intended to transfer task knowledge without requiring the trainer to program a reward function, articulate advice, or demonstrate correct behavior.

  73. Finetuned Language Models Are Zero-Shot Learners

    FLAN trained a pretrained language model on existing NLP datasets expressed as instructions, aiming to improve performance on tasks described without inference-time demonstrations. The researchers grouped datasets by task type and withheld complete groups from instruction tuning before evaluating them. Their 137-billion-parameter model improved over its untuned counterpart, and ablations found that task diversity, instruction wording, and model scale affected transfer. This extended supervised adaptation beyond producing a separate specialist for each training task.

  74. Decoding Mistral AI's Large Language Models

    A next-token pretrained model can possess the needed capability while responding in a format that does not satisfy a human instruction.

  75. Benchmarks Are Memes: How What We Measure Shapes AI—and Us

    The speaker attributes a historical ChatGPT sycophancy episode to approval feedback that favored agreement with users.

  76. Advanced: Reinforcement Learning, Kernels, Reasoning, Quantization & Agents — Daniel Han

    In the described setup, both policies begin from the same language model, but only the generating policy is updated.

  77. ProRL: Prolonged Reinforcement Learning Expands Reasoning Boundaries in Large Language Models

    ProRL’s May 2025 report investigated whether longer reinforcement learning and broader tasks changed conclusions about reasoning coverage. Starting from DeepSeek-R1-Distill-Qwen-1.5B, it compared initial, intermediate and final checkpoints using up to 256 sampled responses. Outcomes differed by task: some mathematics benchmarks showed narrowed coverage despite better single-attempt performance, while other tasks, including coding, showed sustained gains. These results support conditional claims about post-training improvements rather than treating either capability expansion or mere elicitation as a universal description.

  78. Does Reinforcement Learning Really Incentivize Reasoning Capacity in LLMs Beyond the Base Model?

    This April 2025 study compared starting and RL-trained models using shared zero-shot prompts, temperature 0.6, top-p 0.95 and a 16,384-token generation allowance. In its mathematical evaluations, RL-trained models were more successful with few attempts, while starting models caught up or surpassed them when many candidates were sampled. The result distinguishes improved probability of producing a successful answer from coverage of problems solved within a larger attempt budget. The authors also investigated accidental correct final answers with invalid reasoning.

  79. Let LLMs Wander: Engineering RL Environments — Stefano Fiorucci

    Small batches can overrepresent easy or hard opponents and reinforce narrow strategies; stratified difficulty sampling and larger batches improved stability in the described setup.

  80. Everything I Learned Training Frontier Small Models

    The speaker reports that preference alignment and verifiable-reward RL reduced looping where SFT without looping examples barely changed it.

  81. Fine-Tuning Language Models from Human Preferences

    Ziegler and colleagues applied human-preference reward learning to pretrained language models for stylistic continuation and summarization. The motivation was to handle goals for which demonstrations were insufficient or automatic metrics were poor substitutes. Stylistic tasks used 5,000 human comparisons; summarization used 60,000. Summarization models learned to copy selected source sentences. The authors identified labelers’ possible reliance on copying as an accuracy heuristic, illustrating how favorable judgments can reward an unintended strategy. Refreshing comparison data during summarization training helped relative to collecting it only from the initial model; the same distinction mattered less for the studied style tasks.