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A Systematic Survey of Automatic Prompt Optimization Techniques

arXiv.org Artificial Intelligence

Since the advent of large language models (LLMs), prompt engineering has been a crucial step for eliciting desired responses for various Natural Language Processing (NLP) tasks. However, prompt engineering remains an impediment for end users due to rapid advances in models, tasks, and associated best practices. To mitigate this, Automatic Prompt Optimization (APO) techniques have recently emerged that use various automated techniques to help improve the performance of LLMs on various tasks. In this paper, we present a comprehensive survey summarizing the current progress and remaining challenges in this field. We provide a formal definition of APO, a 5-part unifying framework, and then proceed to rigorously categorize all relevant works based on their salient features therein. We hope to spur further research guided by our framework.


Dependency Parsing with the Structuralized Prompt Template

arXiv.org Artificial Intelligence

Dependency parsing is a fundamental task in natural language processing (NLP), aiming to identify syntactic dependencies and construct a syntactic tree for a given sentence. Traditional dependency parsing models typically construct embeddings and utilize additional layers for prediction. We propose a novel dependency parsing method that relies solely on an encoder model with a text-to-text training approach. To facilitate this, we introduce a structured prompt template that effectively captures the structural information of dependency trees. Our experimental results demonstrate that the proposed method achieves outstanding performance compared to traditional models, despite relying solely on a pre-trained model. Furthermore, this method is highly adaptable to various pre-trained models across different target languages and training environments, allowing easy integration of task-specific features.


AutoLogi: Automated Generation of Logic Puzzles for Evaluating Reasoning Abilities of Large Language Models

arXiv.org Artificial Intelligence

While logical reasoning evaluation of Large Language Models (LLMs) has attracted significant attention, existing benchmarks predominantly rely on multiple-choice formats that are vulnerable to random guessing, leading to overestimated performance and substantial performance fluctuations. To obtain more accurate assessments of models' reasoning capabilities, we propose an automated method for synthesizing open-ended logic puzzles, and use it to develop a bilingual benchmark, AutoLogi. Our approach features program-based verification and controllable difficulty levels, enabling more reliable evaluation that better distinguishes models' reasoning abilities. Extensive evaluation of eight modern LLMs shows that AutoLogi can better reflect true model capabilities, with performance scores spanning from 35% to 73% compared to the narrower range of 21% to 37% on the source multiple-choice dataset. Beyond benchmark creation, this synthesis method can generate high-quality training data by incorporating program verifiers into the rejection sampling process, enabling systematic enhancement of LLMs' reasoning capabilities across diverse datasets.


A Multi-LLM-Agent-Based Framework for Economic and Public Policy Analysis

arXiv.org Artificial Intelligence

We first evaluate five LLMs' economic decision-making capabilities in solving two-period consumption allocation problems under two distinct scenarios: with explicit utility functions and based on intuitive reasoning. While previous research has often simulated heterogeneity by solely varying prompts, our approach harnesses the inherent variations in analytical capabilities across different LLMs to model agents with diverse cognitive traits. Building on these findings, we construct a Multi-LLM-Agent-Based (MLAB) framework by mapping these LLMs to specific educational groups and corresponding income brackets. Using interest-income taxation as a case study, we demonstrate how the MLAB framework can simulate policy impacts across heterogeneous agents, offering a promising new direction for economic and public policy analysis by leveraging LLMs' human-like reasoning capabilities and computational power.


AUKT: Adaptive Uncertainty-Guided Knowledge Transfer with Conformal Prediction

arXiv.org Artificial Intelligence

Knowledge transfer between teacher and student models has proven effective across various machine learning applications. However, challenges arise when the teacher's predictions are noisy, or the data domain during student training shifts from the teacher's pretraining data. In such scenarios, blindly relying on the teacher's predictions can lead to suboptimal knowledge transfer. To address these challenges, we propose a novel and universal framework, Adaptive Uncertainty-guided Knowledge Transfer ($\textbf{AUKT}$), which leverages Conformal Prediction (CP) to dynamically adjust the student's reliance on the teacher's guidance based on the teacher's prediction uncertainty. CP is a distribution-free, model-agnostic approach that provides reliable prediction sets with statistical coverage guarantees and minimal computational overhead. This adaptive mechanism mitigates the risk of learning undesirable or incorrect knowledge. We validate the proposed framework across diverse applications, including image classification, imitation-guided reinforcement learning, and autonomous driving. Experimental results consistently demonstrate that our approach improves performance, robustness and transferability, offering a promising direction for enhanced knowledge transfer in real-world applications.


Superintelligent Agents Pose Catastrophic Risks: Can Scientist AI Offer a Safer Path?

arXiv.org Artificial Intelligence

The leading AI companies are increasingly focused on building generalist AI agents -- systems that can autonomously plan, act, and pursue goals across almost all tasks that humans can perform. Despite how useful these systems might be, unchecked AI agency poses significant risks to public safety and security, ranging from misuse by malicious actors to a potentially irreversible loss of human control. We discuss how these risks arise from current AI training methods. Indeed, various scenarios and experiments have demonstrated the possibility of AI agents engaging in deception or pursuing goals that were not specified by human operators and that conflict with human interests, such as self-preservation. Following the precautionary principle, we see a strong need for safer, yet still useful, alternatives to the current agency-driven trajectory. Accordingly, we propose as a core building block for further advances the development of a non-agentic AI system that is trustworthy and safe by design, which we call Scientist AI. This system is designed to explain the world from observations, as opposed to taking actions in it to imitate or please humans. It comprises a world model that generates theories to explain data and a question-answering inference machine. Both components operate with an explicit notion of uncertainty to mitigate the risks of overconfident predictions. In light of these considerations, a Scientist AI could be used to assist human researchers in accelerating scientific progress, including in AI safety. In particular, our system can be employed as a guardrail against AI agents that might be created despite the risks involved. Ultimately, focusing on non-agentic AI may enable the benefits of AI innovation while avoiding the risks associated with the current trajectory. We hope these arguments will motivate researchers, developers, and policymakers to favor this safer path.


Identifying Features that Shape Perceived Consciousness in Large Language Model-based AI: A Quantitative Study of Human Responses

arXiv.org Artificial Intelligence

This study quantitively examines which features of AI-generated text lead humans to perceive subjective consciousness in large language model (LLM)-based AI systems. Drawing on 99 passages from conversations with Claude 3 Opus and focusing on eight features -- metacognitive self-reflection, logical reasoning, empathy, emotionality, knowledge, fluency, unexpectedness, and subjective expressiveness -- we conducted a survey with 123 participants. Using regression and clustering analyses, we investigated how these features influence participants' perceptions of AI consciousness. The results reveal that metacognitive self-reflection and the AI's expression of its own emotions significantly increased perceived consciousness, while a heavy emphasis on knowledge reduced it. Participants clustered into seven subgroups, each showing distinct feature-weighting patterns. Additionally, higher prior knowledge of LLMs and more frequent usage of LLM-based chatbots were associated with greater overall likelihood assessments of AI consciousness. This study underscores the multidimensional and individualized nature of perceived AI consciousness and provides a foundation for better understanding the psychosocial implications of human-AI interaction.


Reinforcement Learning for Generative AI: A Survey

arXiv.org Artificial Intelligence

Deep Generative AI has been a long-standing essential topic in the machine learning community, which can impact a number of application areas like text generation and computer vision. The major paradigm to train a generative model is maximum likelihood estimation, which pushes the learner to capture and approximate the target data distribution by decreasing the divergence between the model distribution and the target distribution. This formulation successfully establishes the objective of generative tasks, while it is incapable of satisfying all the requirements that a user might expect from a generative model. Reinforcement learning, serving as a competitive option to inject new training signals by creating new objectives that exploit novel signals, has demonstrated its power and flexibility to incorporate human inductive bias from multiple angles, such as adversarial learning, hand-designed rules and learned reward model to build a performant model. Thereby, reinforcement learning has become a trending research field and has stretched the limits of generative AI in both model design and application. It is reasonable to summarize and conclude advances in recent years with a comprehensive review. Although there are surveys in different application areas recently, this survey aims to shed light on a high-level review that spans a range of application areas. We provide a rigorous taxonomy in this area and make sufficient coverage on various models and applications. Notably, we also surveyed the fast-developing large language model area. We conclude this survey by showing the potential directions that might tackle the limit of current models and expand the frontiers for generative AI.


An Overview of Large Language Models for Statisticians

arXiv.org Machine Learning

Large Language Models (LLMs) have emerged as transformative tools in artificial intelligence (AI), exhibiting remarkable capabilities across diverse tasks such as text generation, reasoning, and decision-making. While their success has primarily been driven by advances in computational power and deep learning architectures, emerging problems -- in areas such as uncertainty quantification, decision-making, causal inference, and distribution shift -- require a deeper engagement with the field of statistics. This paper explores potential areas where statisticians can make important contributions to the development of LLMs, particularly those that aim to engender trustworthiness and transparency for human users. Thus, we focus on issues such as uncertainty quantification, interpretability, fairness, privacy, watermarking and model adaptation. We also consider possible roles for LLMs in statistical analysis. By bridging AI and statistics, we aim to foster a deeper collaboration that advances both the theoretical foundations and practical applications of LLMs, ultimately shaping their role in addressing complex societal challenges.


Towards Auto-Regressive Next-Token Prediction: In-Context Learning Emerges from Generalization

arXiv.org Machine Learning

Large language models (LLMs) have demonstrated remarkable in-context learning (ICL) abilities. However, existing theoretical analysis of ICL primarily exhibits two limitations: (a) Limited i.i.d. Setting. Most studies focus on supervised function learning tasks where prompts are constructed with i.i.d. input-label pairs. This i.i.d. assumption diverges significantly from real language learning scenarios where prompt tokens are interdependent. (b) Lack of Emergence Explanation. Most literature answers what ICL does from an implicit optimization perspective but falls short in elucidating how ICL emerges and the impact of pre-training phase on ICL. In our paper, to extend (a), we adopt a more practical paradigm, auto-regressive next-token prediction (AR-NTP), which closely aligns with the actual training of language models. Specifically, within AR-NTP, we emphasize prompt token-dependency, which involves predicting each subsequent token based on the preceding sequence. To address (b), we formalize a systematic pre-training and ICL framework, highlighting the layer-wise structure of sequences and topics, alongside a two-level expectation. In conclusion, we present data-dependent, topic-dependent and optimization-dependent PAC-Bayesian generalization bounds for pre-trained LLMs, investigating that ICL emerges from the generalization of sequences and topics. Our theory is supported by experiments on numerical linear dynamic systems, synthetic GINC and real-world language datasets.