# Principle-Driven Self-Alignment of Language Models from Scratch with Minimal Human Supervision

arXiv: https://arxiv.org/abs/2305.03047 · HTML: https://mlsanity.com/paper/2305.03047/

## Key facts

- Cited by 318 papers in the map (data through 14 Oct 2026).
- Placed in LLM preference optimization methods, one of 10 directions in LLM alignment / RLHF / preference optimisation.
- Builds on 39 of its 79 references that are in the map.
- First posted on arXiv 4 May 2023.

## Placed in

- LLM alignment / RLHF / preference optimisation / [LLM preference optimization methods](https://mlsanity.com/alignment/llm-preference-optimization-methods/)

## Builds on (most cited first, 30 of 39)

- [Attention Is All You Need](https://mlsanity.com/paper/1706.03762/) (2017)
- [BERT: Pre-training of Deep Bidirectional Transformers for Language Understanding](https://mlsanity.com/paper/1810.04805/) (2018)
- [Language Models are Few-Shot Learners](https://mlsanity.com/paper/2005.14165/) (2020)
- [Training language models to follow instructions with human feedback](https://mlsanity.com/paper/2203.02155/) (2022)
- [Exploring the Limits of Transfer Learning with a Unified Text-to-Text Transformer](https://mlsanity.com/paper/1910.10683/) (2019)
- [LoRA: Low-Rank Adaptation of Large Language Models](https://mlsanity.com/paper/2106.09685/) (2021)
- [LLaMA: Open and Efficient Foundation Language Models](https://mlsanity.com/paper/2302.13971/) (2023)
- [Chain-of-Thought Prompting Elicits Reasoning in Large Language Models](https://mlsanity.com/paper/2201.11903/) (2022)
- [ReAct: Synergizing Reasoning and Acting in Language Models](https://mlsanity.com/paper/2210.03629/) (2022)
- [Visual Instruction Tuning](https://mlsanity.com/paper/2304.08485/) (2023)
- [BART: Denoising Sequence-to-Sequence Pre-training for Natural Language Generation, Translation, and Comprehension](https://mlsanity.com/paper/1910.13461/) (2019)
- [PaLM: Scaling Language Modeling with Pathways](https://mlsanity.com/paper/2204.02311/) (2022)
- [Large Language Models are Zero-Shot Reasoners](https://mlsanity.com/paper/2205.11916/) (2022)
- [Deep reinforcement learning from human preferences](https://mlsanity.com/paper/1706.03741/) (2017)
- [Training a Helpful and Harmless Assistant with Reinforcement Learning from Human Feedback](https://mlsanity.com/paper/2204.05862/) (2022)
- [Constitutional AI: Harmlessness from AI Feedback](https://mlsanity.com/paper/2212.08073/) (2022)
- [TruthfulQA: Measuring How Models Mimic Human Falsehoods](https://mlsanity.com/paper/2109.07958/) (2021)
- [The Curious Case of Neural Text Degeneration](https://mlsanity.com/paper/1904.09751/) (2019)
- [Self-Instruct: Aligning Language Models with Self-Generated Instructions](https://mlsanity.com/paper/2212.10560/) (2022)
- [Beyond the Imitation Game: Quantifying and extrapolating the capabilities of language models](https://mlsanity.com/paper/2206.04615/) (2022)
- [BLOOM: A 176B-Parameter Open-Access Multilingual Language Model](https://mlsanity.com/paper/2211.05100/) (2022)
- [Pythia: A Suite for Analyzing Large Language Models Across Training and Scaling](https://mlsanity.com/paper/2304.01373/) (2023)
- [LaMDA: Language Models for Dialog Applications](https://mlsanity.com/paper/2201.08239/) (2022)
- [A General Language Assistant as a Laboratory for Alignment](https://mlsanity.com/paper/2112.00861/) (2021)
- [Red Teaming Language Models with Language Models](https://mlsanity.com/paper/2202.03286/) (2022)
- [Show Your Work: Scratchpads for Intermediate Computation with Language Models](https://mlsanity.com/paper/2112.00114/) (2021)
- [Sequence-Level Knowledge Distillation](https://mlsanity.com/paper/1606.07947/) (2016)
- [Red Teaming Language Models to Reduce Harms: Methods, Scaling Behaviors, and Lessons Learned](https://mlsanity.com/paper/2209.07858/) (2022)
- [OpenAssistant Conversations -- Democratizing Large Language Model Alignment](https://mlsanity.com/paper/2304.07327/) (2023)
- [BBQ: A Hand-Built Bias Benchmark for Question Answering](https://mlsanity.com/paper/2110.08193/) (2021)

## Built on by (most cited first, 30 of 318)

- [Qwen Technical Report](https://mlsanity.com/paper/2309.16609/) (2023)
- [Jailbroken: How Does LLM Safety Training Fail?](https://mlsanity.com/paper/2307.02483/) (2023)
- [Fine-tuning Aligned Language Models Compromises Safety, Even When Users Do Not Intend To!](https://mlsanity.com/paper/2310.03693/) (2023)
- [LIMA: Less Is More for Alignment](https://mlsanity.com/paper/2305.11206/) (2023)
- [Large Language Models are not Fair Evaluators](https://mlsanity.com/paper/2305.17926/) (2023)
- [Enhancing Chat Language Models by Scaling High-quality Instructional Conversations](https://mlsanity.com/paper/2305.14233/) (2023)
- [Aligning Large Multimodal Models with Factually Augmented RLHF](https://mlsanity.com/paper/2309.14525/) (2023)
- [Safe RLHF: Safe Reinforcement Learning from Human Feedback](https://mlsanity.com/paper/2310.12773/) (2023)
- [A Comprehensive Overview of Large Language Models](https://mlsanity.com/paper/2307.06435/) (2023)
- [Large Language Models: A Survey](https://mlsanity.com/paper/2402.06196/) (2024)
- [Self-Distilled Reasoner: On-Policy Self-Distillation for Large Language Models](https://mlsanity.com/paper/2601.18734/) (2026)
- [GPT-4 Is Too Smart To Be Safe: Stealthy Chat with LLMs via Cipher](https://mlsanity.com/paper/2308.06463/) (2023)
- [UltraFeedback: Boosting Language Models with Scaled AI Feedback](https://mlsanity.com/paper/2310.01377/) (2023)
- [A Survey on Large Language Model (LLM) Security and Privacy: The Good, the Bad, and the Ugly](https://mlsanity.com/paper/2312.02003/) (2023)
- [What Makes Good Data for Alignment? A Comprehensive Study of Automatic Data Selection in Instruction Tuning](https://mlsanity.com/paper/2312.15685/) (2023)
- [Magpie: Alignment Data Synthesis from Scratch by Prompting Aligned LLMs with Nothing](https://mlsanity.com/paper/2406.08464/) (2024)
- [Visual Adversarial Examples Jailbreak Aligned Large Language Models](https://mlsanity.com/paper/2306.13213/) (2023)
- [A Survey on Knowledge Distillation of Large Language Models](https://mlsanity.com/paper/2402.13116/) (2024)
- [A Comprehensive Survey of Hallucination Mitigation Techniques in Large Language Models](https://mlsanity.com/paper/2401.01313/) (2024)
- [Self-Preference Bias in LLM-as-a-Judge](https://mlsanity.com/paper/2410.21819/) (2024)
- [On LLMs-Driven Synthetic Data Generation, Curation, and Evaluation: A Survey](https://mlsanity.com/paper/2406.15126/) (2024)
- [Rewarded soups: towards Pareto-optimal alignment by interpolating weights fine-tuned on diverse rewards](https://mlsanity.com/paper/2306.04488/) (2023)
- [Large Language Model Alignment: A Survey](https://mlsanity.com/paper/2309.15025/) (2023)
- [Large Language Model as Attributed Training Data Generator: A Tale of Diversity and Bias](https://mlsanity.com/paper/2306.15895/) (2023)
- [Assessing the Brittleness of Safety Alignment via Pruning and Low-Rank Modifications](https://mlsanity.com/paper/2402.05162/) (2024)
- [Jailbreak Attacks and Defenses Against Large Language Models: A Survey](https://mlsanity.com/paper/2407.04295/) (2024)
- [Red-Teaming Large Language Models using Chain of Utterances for Safety-Alignment](https://mlsanity.com/paper/2308.09662/) (2023)
- [A Survey on Test-Time Scaling in Large Language Models: What, How, Where, and How Well?](https://mlsanity.com/paper/2503.24235/) (2025)
- [Agent Hospital: A Simulacrum of Hospital with Evolvable Medical Agents](https://mlsanity.com/paper/2405.02957/) (2024)
- [RAIN: Your Language Models Can Align Themselves without Finetuning](https://mlsanity.com/paper/2309.07124/) (2023)

## Abstract (arXiv)

Recent AI-assistant agents, such as ChatGPT, predominantly rely on supervised fine-tuning (SFT) with human annotations and reinforcement learning from human feedback (RLHF) to align the output of large language models (LLMs) with human intentions, ensuring they are helpful, ethical, and reliable. However, this dependence can significantly constrain the true potential of AI-assistant agents due to the high cost of obtaining human supervision and the related issues on quality, reliability, diversity, self-consistency, and undesirable biases. To address these challenges, we propose a novel approach called SELF-ALIGN, which combines principle-driven reasoning and the generative power of LLMs for the self-alignment of AI agents with minimal human supervision. Our approach encompasses four stages: first, we use an LLM to generate synthetic prompts, and a topic-guided method to augment the prompt diversity; second, we use a small set of human-written principles for AI models to follow, and guide the LLM through in-context learning from demonstrations (of principles application) to produce helpful, ethical, and reliable responses to user's queries; third, we fine-tune the original LLM with the high-quality self-aligned responses so that the resulting model can generate desirable responses for each query directly without the principle set and the demonstrations anymore; and finally, we offer a refinement step to address the issues of overly-brief or indirect responses. Applying SELF-ALIGN to the LLaMA-65b base language model, we develop an AI assistant named Dromedary. With fewer than 300 lines of human annotations (including < 200 seed prompts, 16 generic principles, and 5 exemplars for in-context learning). Dromedary significantly surpasses the performance of several state-of-the-art AI systems, including Text-Davinci-003 and Alpaca, on benchmark datasets with various settings.