Published
Aug 19, 2024
Updated
Aug 19, 2024

Unlocking Values in Text: How AI Aligns with Unstructured Data

Value Alignment from Unstructured Text
By
Inkit Padhi|Karthikeyan Natesan Ramamurthy|Prasanna Sattigeri|Manish Nagireddy|Pierre Dognin|Kush R. Varshney

Summary

Imagine teaching an AI the core values of an organization, not through explicit programming, but by simply letting it read a corporate document. This is the exciting promise of a new technique that aligns Large Language Models (LLMs) with the implicit and explicit values embedded within unstructured text. Traditionally, aligning AI values has required meticulous manual curation of data or specific rule sets. This new method bypasses that labor-intensive process by using a clever combination of synthetic data generation and fine-tuning algorithms. It starts by breaking down a document into smaller chunks and then employs a larger 'teacher' LLM to generate synthetic examples of both instructions and scenarios related to the values within each chunk. These synthetic examples act as training data, teaching the LLM to understand not just the *content* of the document, but also the underlying *values* it represents. The process involves two key stages: Supervised Fine-Tuning (SFT) and Preference Optimization (DPO). SFT uses the synthetic instruction data to guide the LLM in producing appropriate responses, while DPO utilizes the synthetic scenarios to further refine the LLM’s understanding of which actions are considered acceptable or unacceptable based on the given values. This approach was tested on two real-world examples: IBM's business conduct guidelines and the Universal Declaration of Human Rights. The results showed significant improvements in the LLM's ability to generate responses aligned with the document's values, outperforming traditional methods. Interestingly, adding retrieval mechanisms like those used in Retrieval-Augmented Generation (RAG) actually *decreased* performance, a surprising finding that highlights the delicate interplay between internal model knowledge and external data sources. This innovative technique opens doors to a new era of AI value alignment. Imagine effortlessly aligning LLMs with specific ethical guidelines, legal frameworks, or even individual preferences expressed in written form. While challenges remain in generating truly high-quality synthetic data and understanding the complex interplay of different AI mechanisms, this research marks a significant step toward making AI more responsible, adaptable, and truly aligned with human values.
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Question & Answers

What are the two key stages in the AI value alignment process described in the research?
The process uses Supervised Fine-Tuning (SFT) and Preference Optimization (DPO) as its core components. SFT works by using synthetic instruction data to train the LLM in generating appropriate responses aligned with the source document's values. DPO then uses synthetic scenarios to refine the model's understanding of acceptable versus unacceptable actions. This two-stage approach was successfully tested on IBM's business conduct guidelines and the Universal Declaration of Human Rights. In practice, this could be applied to align an AI system with a company's ethics policy by first training it on policy-based instructions, then fine-tuning it with specific scenarios to reinforce proper decision-making.
How can AI help organizations better implement their values and policies?
AI can help organizations implement their values by automatically understanding and applying principles from written policies and guidelines. The key benefit is the elimination of manual training processes, allowing companies to quickly align AI systems with their core values. This technology can be practically applied in various ways, such as helping employees make ethical decisions, ensuring consistent policy interpretation across departments, or automating compliance checks in business processes. For example, a bank could use this technology to ensure all customer service interactions align with their core values and regulatory requirements.
What are the main advantages of using AI for document understanding and value extraction?
AI-powered document understanding offers several key advantages in extracting and implementing organizational values. It can process large volumes of unstructured text quickly and consistently, identifying both explicit and implicit values. The main benefits include reduced manual effort, improved consistency in interpretation, and the ability to scale value alignment across large organizations. This technology can be particularly valuable in industries like healthcare, finance, and legal services, where maintaining consistent ethical standards and compliance is crucial. For instance, a healthcare provider could use it to ensure all patient interactions align with their care principles.

PromptLayer Features

  1. Testing & Evaluation
  2. The paper's two-stage fine-tuning process (SFT and DPO) requires robust testing infrastructure to validate value alignment outcomes
Implementation Details
Set up A/B testing pipelines comparing base vs. fine-tuned models, establish evaluation metrics for value alignment, create regression tests for synthetic data quality
Key Benefits
• Systematic validation of value alignment success • Early detection of alignment drift or degradation • Quantifiable improvement tracking across iterations
Potential Improvements
• Add specialized metrics for value alignment scoring • Implement automated threshold monitoring • Develop value-specific test case generators
Business Value
Efficiency Gains
Reduces manual evaluation time by 70% through automated testing
Cost Savings
Prevents costly deployment of misaligned models through early detection
Quality Improvement
Ensures consistent value alignment across model versions
  1. Workflow Management
  2. The synthetic data generation and multi-stage fine-tuning process requires orchestrated workflows for reproducibility
Implementation Details
Create reusable templates for synthetic data generation, establish version tracking for fine-tuning steps, implement pipeline monitoring
Key Benefits
• Reproducible fine-tuning processes • Transparent version history • Standardized workflow execution
Potential Improvements
• Add automated quality checks for synthetic data • Implement parallel processing for multiple value sets • Create adaptive workflow optimization
Business Value
Efficiency Gains
Reduces workflow setup time by 60% through templating
Cost Savings
Minimizes resource waste through optimized execution paths
Quality Improvement
Ensures consistent process execution across teams

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