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A Theoretical Framework for LLM Fine-tuning Using Early Stopping for Non-random Initialization

Sun, Zexuan, Raskutti, Garvesh

arXiv.org Machine Learning

In the era of large language models (LLMs), fine-tuning pretrained models has become ubiquitous. Yet the theoretical underpinning remains an open question. A central question is why only a few epochs of fine-tuning are typically sufficient to achieve strong performance on many different tasks. In this work, we approach this question by developing a statistical framework, combining rigorous early stopping theory with the attention-based Neural Tangent Kernel (NTK) for LLMs, offering new theoretical insights on fine-tuning practices. Specifically, we formally extend classical NTK theory [Jacot et al., 2018] to non-random (i.e., pretrained) initializations and provide a convergence guarantee for attention-based fine-tuning. One key insight provided by the theory is that the convergence rate with respect to sample size is closely linked to the eigenvalue decay rate of the empirical kernel matrix induced by the NTK. We also demonstrate how the framework can be used to explain task vectors for multiple tasks in LLMs. Finally, experiments with modern language models on real-world datasets provide empirical evidence supporting our theoretical insights.






A Appendix

Neural Information Processing Systems

In the appendix, we have the following results. In Appendix A.1, we summarize the main notations used in this paper. In Appendix A.2 - A.9, we show all the proofs of our theoretical results. In Appendix A.10, we present the overall training procedures (e.g., pseudo code) of our proposed DINO-INIT and DINO-TRAIN algorithms, as well as the limitations of our work. Assume that all the parameters of f() follows standard normal distribution, in the limits as the layer width d!1, the output function of the distribution-informed neural network f(x) in Eq (5) at initialization is iid centered Gaussian process, i.e., f() N 0, K Using the definition of the distribution kernel in Eq. (6), we have K It is shown [4] that the key difference between NNGP kernel and NTK is that NTK is generated by a fully-trained neural network, whereas NNGP kernel is produced by a weakly-trained neural network.





"As Eastern Powers, I will veto." : An Investigation of Nation-level Bias of Large Language Models in International Relations

Choi, Jonghyeon, Choi, Yeonjun, Kim, Hyun-chul, Jang, Beakcheol

arXiv.org Artificial Intelligence

This paper systematically examines nation-level biases exhibited by Large Language Models (LLMs) within the domain of International Relations (IR). Leveraging historical records from the United Nations Security Council (UNSC), we developed a bias evaluation framework comprising three distinct tests to explore nation-level bias in various LLMs, with a particular focus on the five permanent members of the UNSC. Experimental results show that, even with the general bias patterns across models (e.g., favorable biases toward the western nations, and unfavorable biases toward Russia), these still vary based on the LLM. Notably, even within the same LLM, the direction and magnitude of bias for a nation change depending on the evaluation context. This observation suggests that LLM biases are fundamentally multidimensional, varying across models and tasks. We also observe that models with stronger reasoning abilities show reduced bias and better performance. Building on this finding, we introduce a debiasing framework that improves LLMs' factual reasoning combining Retrieval-Augmented Generation with Reflexion-based self-reflection techniques. Experiments show it effectively reduces nation-level bias, and improves performance, particularly in GPT-4o-mini and LLama-3.3-70B. Our findings emphasize the need to assess nation-level bias alongside performance when applying LLMs in the IR domain.