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The o1 model series is trained with large-scale reinforcement learning to reason using chain of thought. These advanced reasoning capabilities provide new avenues for improving the safety and robustness of our models. In particular, our models can reason about our safety policies in context when responding to potentially unsafe prompts, through deliberative alignment. This leads to state-of-the-art performance on certain benchmarks for risks such as generating illicit advice, choosing stereotyped responses, and succumbing to known jailbreaks. Training models to incorporate a chain of thought before answering has the potential to unlock substantial benefits, while also increasing potential risks that stem from heightened intelligence. Our results underscore the need for building robust alignment methods, extensively stress-testing their efficacy, and maintaining meticulous risk management protocols. This report outlines the safety work carried out for the OpenAI o1 and OpenAI o1-mini models, including safety evaluations, external red teaming, and Preparedness Framework evaluations.

Large language models (LLMs) solve problems more accurately and interpretably when instructed to work out the answer step by step using a ``chain-of-thought'' (CoT) prompt. One can also improve LLMs' performance on a specific task by supervised fine-tuning, i.e., by using gradient ascent on some tunable parameters to maximize the average log-likelihood of correct answers from a labeled training set. Naively combining CoT with supervised tuning requires supervision not just of the correct answers, but also of detailed rationales that lead to those answers; these rationales are expensive to produce by hand. Instead, we propose a fine-tuning strategy that tries to maximize the \emph{marginal} log-likelihood of generating a correct answer using CoT prompting, approximately averaging over all possible rationales. The core challenge is sampling from the posterior over rationales conditioned on the correct answer; we address it using a simple Markov-chain Monte Carlo (MCMC) expectation-maximization (EM) algorithm inspired by the self-taught reasoner (STaR), memoized wake-sleep, Markovian score climbing, and persistent contrastive divergence. This algorithm also admits a novel control-variate technique that drives the variance of our gradient estimates to zero as the model improves. Applying our technique to GSM8K and the tasks in BIG-Bench Hard, we find that this MCMC-EM fine-tuning technique typically improves the model's accuracy on held-out examples more than STaR or prompt-tuning with or without CoT., Comment: 23 pages, 37th Conference on Neural Information Processing Systems (NeurIPS 2023)

We report the development of GPT-4, a large-scale, multimodal model which can accept image and text inputs and produce text outputs. While less capable than humans in many real-world scenarios, GPT-4 exhibits human-level performance on various professional and academic benchmarks, including passing a simulated bar exam with a score around the top 10% of test takers. GPT-4 is a Transformer-based model pre-trained to predict the next token in a document. The post-training alignment process results in improved performance on measures of factuality and adherence to desired behavior. A core component of this project was developing infrastructure and optimization methods that behave predictably across a wide range of scales. This allowed us to accurately predict some aspects of GPT-4's performance based on models trained with no more than 1/1,000th the compute of GPT-4., Comment: 100 pages; updated authors list; fixed author names and added citation

Given the recent impressive accomplishments of language models (LMs) for code generation, we explore the use of LMs as adaptive mutation and crossover operators for an evolutionary neural architecture search (NAS) algorithm. While NAS still proves too difficult a task for LMs to succeed at solely through prompting, we find that the combination of evolutionary prompt engineering with soft prompt-tuning, a method we term EvoPrompting, consistently finds diverse and high performing models. We first demonstrate that EvoPrompting is effective on the computationally efficient MNIST-1D dataset, where EvoPrompting produces convolutional architecture variants that outperform both those designed by human experts and naive few-shot prompting in terms of accuracy and model size. We then apply our method to searching for graph neural networks on the CLRS Algorithmic Reasoning Benchmark, where EvoPrompting is able to design novel architectures that outperform current state-of-the-art models on 21 out of 30 algorithmic reasoning tasks while maintaining similar model size. EvoPrompting is successful at designing accurate and efficient neural network architectures across a variety of machine learning tasks, while also being general enough for easy adaptation to other tasks beyond neural network design., Comment: NeurIPS 2023

Large language models have achieved impressive performance on various natural language processing tasks. However, so far they have been evaluated primarily on benchmarks where all information in the input context is relevant for solving the task. In this work, we investigate the distractibility of large language models, i.e., how the model problem-solving accuracy can be influenced by irrelevant context. In particular, we introduce Grade-School Math with Irrelevant Context (GSM-IC), an arithmetic reasoning dataset with irrelevant information in the problem description. We use this benchmark to measure the distractibility of cutting-edge prompting techniques for large language models, and find that the model performance is dramatically decreased when irrelevant information is included. We also identify several approaches for mitigating this deficiency, such as decoding with self-consistency and adding to the prompt an instruction that tells the language model to ignore the irrelevant information., Comment: Published in ICML 2023

Prompted models have demonstrated impressive few-shot learning abilities. Repeated interactions at test-time with a single model, or the composition of multiple models together, further expands capabilities. These compositions are probabilistic models, and may be expressed in the language of graphical models with random variables whose values are complex data types such as strings. Cases with control flow and dynamic structure require techniques from probabilistic programming, which allow implementing disparate model structures and inference strategies in a unified language. We formalize several existing techniques from this perspective, including scratchpads / chain of thought, verifiers, STaR, selection-inference, and tool use. We refer to the resulting programs as language model cascades., Comment: Presented as spotlight at the Beyond Bases workshop at ICML 2022 (https://beyond-bayes.github.io)

Language models have achieved remarkable performance on a wide range of tasks that require natural language understanding. Nevertheless, state-of-the-art models have generally struggled with tasks that require quantitative reasoning, such as solving mathematics, science, and engineering problems at the college level. To help close this gap, we introduce Minerva, a large language model pretrained on general natural language data and further trained on technical content. The model achieves state-of-the-art performance on technical benchmarks without the use of external tools. We also evaluate our model on over two hundred undergraduate-level problems in physics, biology, chemistry, economics, and other sciences that require quantitative reasoning, and find that the model can correctly answer nearly a third of them., Comment: 12 pages, 5 figures + references and appendices

Language models demonstrate both quantitative improvement and new qualitative capabilities with increasing scale. Despite their potentially transformative impact, these new capabilities are as yet poorly characterized. In order to inform future research, prepare for disruptive new model capabilities, and ameliorate socially harmful effects, it is vital that we understand the present and near-future capabilities and limitations of language models. To address this challenge, we introduce the Beyond the Imitation Game benchmark (BIG-bench). BIG-bench currently consists of 204 tasks, contributed by 450 authors across 132 institutions. Task topics are diverse, drawing problems from linguistics, childhood development, math, common-sense reasoning, biology, physics, social bias, software development, and beyond. BIG-bench focuses on tasks that are believed to be beyond the capabilities of current language models. We evaluate the behavior of OpenAI's GPT models, Google-internal dense transformer architectures, and Switch-style sparse transformers on BIG-bench, across model sizes spanning millions to hundreds of billions of parameters. In addition, a team of human expert raters performed all tasks in order to provide a strong baseline. Findings include: model performance and calibration both improve with scale, but are poor in absolute terms (and when compared with rater performance); performance is remarkably similar across model classes, though with benefits from sparsity; tasks that improve gradually and predictably commonly involve a large knowledge or memorization component, whereas tasks that exhibit "breakthrough" behavior at a critical scale often involve multiple steps or components, or brittle metrics; social bias typically increases with scale in settings with ambiguous context, but this can be improved with prompting., Comment: 27 pages, 17 figures + references and appendices, repo: https://github.com/google/BIG-bench

Meta-learning hyperparameter optimization (HPO) algorithms from prior experiments is a promising approach to improve optimization efficiency over objective functions from a similar distribution. However, existing methods are restricted to learning from experiments sharing the same set of hyperparameters. In this paper, we introduce the OptFormer, the first text-based Transformer HPO framework that provides a universal end-to-end interface for jointly learning policy and function prediction when trained on vast tuning data from the wild, such as Google's Vizier database, one of the world's largest HPO datasets. Our extensive experiments demonstrate that the OptFormer can simultaneously imitate at least 7 different HPO algorithms, which can be further improved via its function uncertainty estimates. Compared to a Gaussian Process, the OptFormer also learns a robust prior distribution for hyperparameter response functions, and can thereby provide more accurate and better calibrated predictions. This work paves the path to future extensions for training a Transformer-based model as a general HPO optimizer., Comment: Published as a conference paper in Neural Information Processing Systems (NeurIPS) 2022. Code can be found in https://github.com/google-research/optformer and Google AI Blog can be found in https://ai.googleblog.com/2022/08/optformer-towards-universal.html

Large language models have been shown to achieve remarkable performance across a variety of natural language tasks using few-shot learning, which drastically reduces the number of task-specific training examples needed to adapt the model to a particular application. To further our understanding of the impact of scale on few-shot learning, we trained a 540-billion parameter, densely activated, Transformer language model, which we call Pathways Language Model PaLM. We trained PaLM on 6144 TPU v4 chips using Pathways, a new ML system which enables highly efficient training across multiple TPU Pods. We demonstrate continued benefits of scaling by achieving state-of-the-art few-shot learning results on hundreds of language understanding and generation benchmarks. On a number of these tasks, PaLM 540B achieves breakthrough performance, outperforming the finetuned state-of-the-art on a suite of multi-step reasoning tasks, and outperforming average human performance on the recently released BIG-bench benchmark. A significant number of BIG-bench tasks showed discontinuous improvements from model scale, meaning that performance steeply increased as we scaled to our largest model. PaLM also has strong capabilities in multilingual tasks and source code generation, which we demonstrate on a wide array of benchmarks. We additionally provide a comprehensive analysis on bias and toxicity, and study the extent of training data memorization with respect to model scale. Finally, we discuss the ethical considerations related to large language models and discuss potential mitigation strategies.

Large pre-trained language models perform remarkably well on tasks that can be done "in one pass", such as generating realistic text or synthesizing computer programs. However, they struggle with tasks that require unbounded multi-step computation, such as adding integers or executing programs. Surprisingly, we find that these same models are able to perform complex multi-step computations -- even in the few-shot regime -- when asked to perform the operation "step by step", showing the results of intermediate computations. In particular, we train transformers to perform multi-step computations by asking them to emit intermediate computation steps into a "scratchpad". On a series of increasingly complex tasks ranging from long addition to the execution of arbitrary programs, we show that scratchpads dramatically improve the ability of language models to perform multi-step computations.

This paper explores the limits of the current generation of large language models for program synthesis in general purpose programming languages. We evaluate a collection of such models (with between 244M and 137B parameters) on two new benchmarks, MBPP and MathQA-Python, in both the few-shot and fine-tuning regimes. Our benchmarks are designed to measure the ability of these models to synthesize short Python programs from natural language descriptions. The Mostly Basic Programming Problems (MBPP) dataset contains 974 programming tasks, designed to be solvable by entry-level programmers. The MathQA-Python dataset, a Python version of the MathQA benchmark, contains 23914 problems that evaluate the ability of the models to synthesize code from more complex text. On both datasets, we find that synthesis performance scales log-linearly with model size. Our largest models, even without finetuning on a code dataset, can synthesize solutions to 59.6 percent of the problems from MBPP using few-shot learning with a well-designed prompt. Fine-tuning on a held-out portion of the dataset improves performance by about 10 percentage points across most model sizes. On the MathQA-Python dataset, the largest fine-tuned model achieves 83.8 percent accuracy. Going further, we study the model's ability to engage in dialog about code, incorporating human feedback to improve its solutions. We find that natural language feedback from a human halves the error rate compared to the model's initial prediction. Additionally, we conduct an error analysis to shed light on where these models fall short and what types of programs are most difficult to generate. Finally, we explore the semantic grounding of these models by fine-tuning them to predict the results of program execution. We find that even our best models are generally unable to predict the output of a program given a specific input., Comment: Jacob and Augustus contributed equally

In many sequence learning tasks, such as program synthesis and document summarization, a key problem is searching over a large space of possible output sequences. We propose to learn representations of the outputs that are specifically meant for search: rich enough to specify the desired output but compact enough to make search more efficient. Discrete latent codes are appealing for this purpose, as they naturally allow sophisticated combinatorial search strategies. The latent codes are learned using a self-supervised learning principle, in which first a discrete autoencoder is trained on the output sequences, and then the resulting latent codes are used as intermediate targets for the end-to-end sequence prediction task. Based on these insights, we introduce the \emph{Latent Programmer}, a program synthesis method that first predicts a discrete latent code from input/output examples, and then generates the program in the target language. We evaluate the Latent Programmer on two domains: synthesis of string transformation programs, and generation of programs from natural language descriptions. We demonstrate that the discrete latent representation significantly improves synthesis accuracy., Comment: ICML 2021; 15 pages, 9 figures

Recently, there has been great interest in learning how to best represent proteins, specifically with fixed-length embeddings. Deep learning has become a popular tool for protein representation learning as a model's hidden layers produce potentially useful vector embeddings. TAPE introduced a number of benchmark tasks and showed that semi-supervised learning, via pretraining language models on a large protein corpus, improved performance on downstream tasks. Two of the tasks (fluorescence prediction and stability prediction) involve learning fitness landscapes. In this paper, we show that CNN models trained solely using supervised learning both compete with and sometimes outperform the best models from TAPE that leverage expensive pretraining on large protein datasets. These CNN models are sufficiently simple and small that they can be trained using a Google Colab notebook. We also find for the fluorescence task that linear regression outperforms our models and the TAPE models. The benchmarking tasks proposed by TAPE are excellent measures of a model's ability to predict protein function and should be used going forward. However, we believe it is important to add baselines from simple models to put the performance of the semi-supervised models that have been reported so far into perspective.

The Basic Local Alignment Search Tool (BLAST) is currently the most popular method for searching databases of biological sequences. BLAST compares sequences via similarity defined by a weighted edit distance, which results in it being computationally expensive. As opposed to working with edit distance, a vector similarity approach can be accelerated substantially using modern hardware or hashing techniques. Such an approach would require fixed-length embeddings for biological sequences. There has been recent interest in learning fixed-length protein embeddings using deep learning models under the hypothesis that the hidden layers of supervised or semi-supervised models could produce potentially useful vector embeddings. We consider transformer (BERT) protein language models that are pretrained on the TrEMBL data set and learn fixed-length embeddings on top of them with contextual lenses. The embeddings are trained to predict the family a protein belongs to for sequences in the Pfam database. We show that for nearest-neighbor family classification, pretraining offers a noticeable boost in performance and that the corresponding learned embeddings are competitive with BLAST. Furthermore, we show that the raw transformer embeddings, obtained via static pooling, do not perform well on nearest-neighbor family classification, which suggests that learning embeddings in a supervised manner via contextual lenses may be a compute-efficient alternative to fine-tuning.

We introduce Performers, Transformer architectures which can estimate regular (softmax) full-rank-attention Transformers with provable accuracy, but using only linear (as opposed to quadratic) space and time complexity, without relying on any priors such as sparsity or low-rankness. To approximate softmax attention-kernels, Performers use a novel Fast Attention Via positive Orthogonal Random features approach (FAVOR+), which may be of independent interest for scalable kernel methods. FAVOR+ can be also used to efficiently model kernelizable attention mechanisms beyond softmax. This representational power is crucial to accurately compare softmax with other kernels for the first time on large-scale tasks, beyond the reach of regular Transformers, and investigate optimal attention-kernels. Performers are linear architectures fully compatible with regular Transformers and with strong theoretical guarantees: unbiased or nearly-unbiased estimation of the attention matrix, uniform convergence and low estimation variance. We tested Performers on a rich set of tasks stretching from pixel-prediction through text models to protein sequence modeling. We demonstrate competitive results with other examined efficient sparse and dense attention methods, showcasing effectiveness of the novel attention-learning paradigm leveraged by Performers., Comment: Published as a conference paper + oral presentation at ICLR 2021. 38 pages. See https://github.com/google-research/google-research/tree/master/protein_lm for protein language model code, and https://github.com/google-research/google-research/tree/master/performer for Performer code. See https://ai.googleblog.com/2020/10/rethinking-attention-with-performers.html for Google AI Blog

Transformer models have achieved state-of-the-art results across a diverse range of domains. However, concern over the cost of training the attention mechanism to learn complex dependencies between distant inputs continues to grow. In response, solutions that exploit the structure and sparsity of the learned attention matrix have blossomed. However, real-world applications that involve long sequences, such as biological sequence analysis, may fall short of meeting these assumptions, precluding exploration of these models. To address this challenge, we present a new Transformer architecture, Performer, based on Fast Attention Via Orthogonal Random features (FAVOR). Our mechanism scales linearly rather than quadratically in the number of tokens in the sequence, is characterized by sub-quadratic space complexity and does not incorporate any sparsity pattern priors. Furthermore, it provides strong theoretical guarantees: unbiased estimation of the attention matrix and uniform convergence. It is also backwards-compatible with pre-trained regular Transformers. We demonstrate its effectiveness on the challenging task of protein sequence modeling and provide detailed theoretical analysis., Comment: This arXiv submission has been deprecated. Please see "Rethinking Attention with Performers" at arXiv:2009.14794 for the most updated version of the paper

The use of black-box optimization for the design of new biological sequences is an emerging research area with potentially revolutionary impact. The cost and latency of wet-lab experiments requires methods that find good sequences in few experimental rounds of large batches of sequences--a setting that off-the-shelf black-box optimization methods are ill-equipped to handle. We find that the performance of existing methods varies drastically across optimization tasks, posing a significant obstacle to real-world applications. To improve robustness, we propose Population-Based Black-Box Optimization (P3BO), which generates batches of sequences by sampling from an ensemble of methods. The number of sequences sampled from any method is proportional to the quality of sequences it previously proposed, allowing P3BO to combine the strengths of individual methods while hedging against their innate brittleness. Adapting the hyper-parameters of each of the methods online using evolutionary optimization further improves performance. Through extensive experiments on in-silico optimization tasks, we show that P3BO outperforms any single method in its population, proposing higher quality sequences as well as more diverse batches. As such, P3BO and Adaptive-P3BO are a crucial step towards deploying ML to real-world sequence design.

Current end-to-end machine reading and question answering (Q\&A) models are primarily based on recurrent neural networks (RNNs) with attention. Despite their success, these models are often slow for both training and inference due to the sequential nature of RNNs. We propose a new Q\&A architecture called QANet, which does not require recurrent networks: Its encoder consists exclusively of convolution and self-attention, where convolution models local interactions and self-attention models global interactions. On the SQuAD dataset, our model is 3x to 13x faster in training and 4x to 9x faster in inference, while achieving equivalent accuracy to recurrent models. The speed-up gain allows us to train the model with much more data. We hence combine our model with data generated by backtranslation from a neural machine translation model. On the SQuAD dataset, our single model, trained with augmented data, achieves 84.6 F1 score on the test set, which is significantly better than the best published F1 score of 81.8., Comment: Published as full paper in ICLR 2018

Collecting well-annotated image datasets to train modern machine learning algorithms is prohibitively expensive for many tasks. One appealing alternative is rendering synthetic data where ground-truth annotations are generated automatically. Unfortunately, models trained purely on rendered images often fail to generalize to real images. To address this shortcoming, prior work introduced unsupervised domain adaptation algorithms that attempt to map representations between the two domains or learn to extract features that are domain-invariant. In this work, we present a new approach that learns, in an unsupervised manner, a transformation in the pixel space from one domain to the other. Our generative adversarial network (GAN)-based method adapts source-domain images to appear as if drawn from the target domain. Our approach not only produces plausible samples, but also outperforms the state-of-the-art on a number of unsupervised domain adaptation scenarios by large margins. Finally, we demonstrate that the adaptation process generalizes to object classes unseen during training., Comment: Final CVPR 2017 paper and supplementary material