Quantifying the Gain in Weak-to-Strong Generalization

Recent advances in large language models have shown capabilities that are extraordinary and near-superhuman. These models operate with such complexity that reliably evaluating and aligning them proves challenging for humans. This leads to the natural question: can guidance from weak models (like humans) adequately direct the capabilities of strong models? In a recent and somewhat surprising work, Burns et al. (2023) empirically demonstrated that when strong models (like GPT-4) are finetuned using labels generated by weak supervisors (like GPT-2), the strong models outperform their weaker counterparts -- a phenomenon they term weak-to-strong generalization. In this work, we present a theoretical framework for understanding weak-to-strong generalization. Specifically, we show that the improvement in performance achieved by strong models over their weaker counterparts is quantified by the misfit error incurred by the strong model on labels generated by the weaker model. Our theory reveals several curious algorithmic insights. For instance, we can predict the amount by which the strong model will improve over the weak model, and also choose among different weak models to train the strong model, based on its misfit error. We validate our theoretical findings through various empirical assessments.

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Peer review

Reviewer 322n7/10 · confidence 4/52024-07-11

Summary

This paper studies the phenomena of weak-to-strong generalisation (WTSG) from a theoretical angle, aiming to explain why the phenomena occurs. The paper's main theoretical results show that, in a regression setting with a convex function class, the decrease in MSE from the weak to weak2strong model is bounded below by the error of the weak2strong model on the weak labels (the "misfit"). The proof of the theorem relies on the pythagoreon theorem for projectsions onto a convex set. The paper then performs synthetic (simulated guassian data) and realistic (molecular property prediction) experiments to test out the theoretical prediction, and find that the decrease in MSE is roughly linearly proportional to the misfit on the weak labels in both settings. They show that this relationship can be used to select which weak2strong model to choose (the one with the highest misfit) correctly. They finally show that in a low-sample regime, "weak" models aren't necessarily smaller ones, as larger models may overfit to the small number of samples and hence perform worse. In this setting, their predicted relationship continues to hold, but with the small model being the strong model.

Strengths

The weak-to-strong generalisation (WTSG) phenomena is an important one to study and understand. The theoreticaly explanation put forth in this paper is easy to understand, original, and produces novel insight into why WTSG happens. The confirmation of those findings empirically, including in a more realistic setting, strengthens the work's quality and significance. The paper is generally well-written and clear and easy to read.

Weaknesses

It's unclear why the authors chose the regression setting, when the original work and likely scenario of use is classification setting. I think this difference from the original work should be made clearer. The empirical confirmation in realistic data is limited to one setting, which is an unfamiliar dataset to me and likely most of the LLM and NLP community. It would be beneficial to demonstrate the phenomena across more settings, especially more standard ones. Giving some intuition as to *why* the theoretical result holds from the proof would be beneficial. In particular, pointing out that the inequality achieved relies on the distance measure not being a metric, otherwise the triangle inequality for metrics would force the inequality to be the other way round, if my understanding is correct? It's likely that in the setting from the original paper, the weak labelling is within the function class of fine-tuned strong models (where fine-tuning is over all parameters), at least on a naïve interpretation. It would be beneficial to discuss whether the authors think their theoretical results is the reason why WTSG happens in this setting as well (given the assumptions of their theory break), or whether they think WTSG happens in that scenario for a different reason. ### Summary In general, I'm in favour of the paper getting accepted, and am giving it an accept (7). I'd be willing to raise my score if additional empirical justification of theoretical claims was made in more varied settings.

Questions

-

Rating

7

Confidence

4

Soundness

4

Presentation

4

Contribution

3

Limitations

The authors have adequately discussed the limitations of the work.

Authorsrebuttal2024-08-10

Response to comment

Thank you for your comment. We do believe that the performance gains via WTSG in classification settings ought to also be characterized to some extent by the misfit between weak and strong models; however, other terms also seem necessary (capturing, among other factors, the case where the strong model can represent the weak model). Indeed, the gains in accuracy with naive finetuning without auxiliary losses in the classification settings considered by Burns et al. 23 already suggest that such terms should be necessary, and that the phenomenon of accuracy gain via WTSG in classification is more nuanced than in regression (e.g., not only the quantity, but even the *quality* of misfit can matter here). Thus, our theory does not directly explain the gains in performance in these cases, and a different analysis seems to be required. As for initial thoughts about a theoretical explanation for gains in classification: the phenomenon in classification that we want to capture is the following: the weak model is presenting the strong model with labeled data; however, the labels are really only "pseudolabels", and not true labels. The strong model, while learning from the weak model, is nevertheless still *rectifying* the wrong "pseudolabels". The self-training framework of [1], where the student and teacher are the same model, does indeed capture the case where the student model can in principle fully represent the weak model. Under certain assumptions (like expansion and separation), and along with consistency losses, this theory does explain performance gains of the self-trained student model, and thus seems to be a promising avenue to explain gains in WTSG as well. It would be interesting to see if the high-level analysis in our work (projection onto the space of strong models that are already implicitly biased towards the ground truth) could be combined with such an analysis to explain performance gains, even when no consistency losses are involved. Again, all these are really fascinating directions for future study! [1] Colin Wei, Kendrick Shen, Yining Chen, and Tengyu Ma. Theoretical analysis of self-training with deep networks on unlabeled data.

Reviewer 322n2024-08-12

Thanks for the response and discussion. My point was that main difference between your analysis and Burns et al. is not classification vs regression, but that your analysis assumes probing pretrained models, as opposed to fine-tuning all the weights. If you were to perform full fine-tuning in the regression setting then I would expect you would still see WTSG, but your theory would not predict that, as I think full fine-tuning of the strong model should be able to completely fit the labels of the weaker model (i.e. weak model function is inside the strong model function class), as it is a bigger model. Your theory would not predict WTSG here I think? If you ran WTSG for regression with full fine-tuning, what would you predict would happen, and how might you extend your theory to cover that case?

Authorsrebuttal2024-08-12

Response to comment

Thank you so much for the clarification. We really appreciate your time engaging in this discussion, and acknowledge that our analysis assumes linear probing of pretrained models, whereas the gains in the classification settings of Burns et al. hold even when all the parameters of the strong model are finetuned. Here are a few thoughts: 1) You are right that if we allow finetuning of all the parameters of the strong model in the weak supervision stage, the weak model function is inside the strong model function class. However, we would like to note that in this case, the class of strong model functions ($f \circ h_s$ where both $f$, $h_s$ are free) is no longer a convex set---thus, our theory doesn't extend to this setting, and doesn't exactly predict whether we should/should not see WTSG. 2) Nevertheless, we ran a quick experiment on synthetic data (as in Figure 2(a), 2(b) of the paper), where we finetuned all the parameters in the strong model in the weak supervision stage. We would like to remark that we didn't see a clear WTSG trend in these experiments. It still might be true that on large-scale, real data, WTSG is observed in the regression setting, even if we were to finetune all the strong model parameters (like what we see in Burns et al.). If this is so, it would be interesting to characterize why this is happening, given that the underlying convexity assumption from our theory is broken (e.g., does the number of finetuning examples matter in the weak supervision stage?) On the other hand, if no clear WTSG is seen even in large scale experiments (like in the synthetic data), this would also be very interesting and suggest that 1) the conclusion of our analysis may be extendable to non-convex spaces of strong model functions, and 2) even further differences in WTSG between classification and regression.

Reviewer 8aZZ5/10 · confidence 4/52024-07-14

Summary

The paper provides a geometric perspective on weak-to-strong generalization [[Burns et al., 23](https://arxiv.org/abs/2312.09390)]. Specifically, the authors show that if the set of strong model-representable functions the following holds: $$MSE(\phi^*, \phi^{ws}) \le MSE(\phi^*, \phi^w) - MSE(\phi^w, \phi^{ws}),$$ where $\phi^*$ is the ground truth labeling function, $phi^{w}$ is the the weak model labeling function and $\phi^{ws}$ is the weak-to-strong model labeling function. By labeling function I mean a mapping from inputs $x$ to real-valued labels $y$. The authors use this result to argue that the gain in MSE loss in weak-to-strong generalization is at least equal to the _misfit_ term $MSE(\phi^w, \phi^{ws})$. There are some experiments verifying this result in practice.

Strengths

1. The core result is in fact very simple and intuitive: it's a geometric argument about a projection on a convex set. 2. To the best of my knowledge, this main result was not reported previously in the context of weak-to-strong generalization. It provides a toy model where it's trivial to see that weak-to-strong generalization will hold. 3. The authors show some simple experiments where their theory is applicable: synthetic regression tasks and molecular property prediction.

Weaknesses

W1. My main concern with the paper is that in my opinion the presentation is very confusing. Specifically, the core result is very simple, but it is presented in a way that took me a while to understand. My first issue is that the authors use notation $d_{\mathcal{P}}$ to denote the mean-squared distance, i.e. $\mathbb{E}(f(x) - g(x))^2$ and refer to it as distance (line 133). If $d_{\mathcal{P}}$ was in fact a distance, then Eq. (2) is the inverse of the triangular inequality. This confused me for a while. Moreover, Fig 1 shows a triangle with sides labeled as $A$, $B$, $C$, and states $C \ge A + B$. The resolution is that $d_{\mathcal{P}}$ is a square of a distance, not a distance. Then, Theorem 1 is just a combination of (1) law of cosines and (2) and the fact that the angle between the vectors connecting a point to its projection on a convex set, and a vector connecting its projection to any point in the convex set is $\ge 90$ degrees. The proof and the statement of the theorem are in my opinion significantly complicated by the explicit use of representations $h$ throughout. I don't understand what value they add: throughout the paper, the authors always use the same compositions e.g. $f^s \circ h^s$. Denoting the entire mapping with one letter would simplify the presentation. Currently, the authors also state that they are "employing a representation-theoretic perspective" (line 308), but I don't think there is anything added by the parameterization of the model as a function on top of some representations. Possibly the only thing is Claim 3, but it doesn't affect other parts of the paper much. W2. The result of the paper holds specifically for the MSE loss. Indeed, if $d_{\mathcal{P}}$ is a distance metric, then Eq.2 is the opposite of the triangle inequality and doesn't hold. Moreover, for the qualitative conclusion > Thus, the 148 inequality directly says that the weakly-supervised strong model improves over the weak model by (at least) an amount equal to the misfit. clearly doesn't hold for the classification settings considered by [Burns et al., 23]: it is possible for the strong model to differ from the weak model on datapoints where the weak model is correct, which would not make it more accurate with respect to the ground truth labels. W3. In fact, [Burns et al., 23] provide a relevant discussion of _simulation difficulty_ in Appendix E (especially E.1). They also note that in order for the strong model to improve upon the weak supervisor, the strong model should be unable to simulate the weak labels well. A related result is also reported in Fig 8 of that paper. I think it would be good for the authors to comment on how their results connect to these results. W4. The practical proposition of using the weak model with the highest misfit will not work without further assumptions. This idea is again quite related to the result in Appendix E.1 of [Burns et al., 23]: if the errors of the weak model are not simulatable by the strong model, but the signal is easy to simulate, then we will get very good weak-to-strong generalization. But in general, high weak-to-strong disagreement will not always imply good weak-to-strong generalization. Even under the assumptions of convexity etc of theorem 1, I believe it is not true that for a given $d_{\mathcal{P}}(\phi^*, \phi^w)$ higher $d_{\mathcal{P}}(\phi^w, \phi^{ws})$ always lead to lower $d_{\mathcal{P}}(\phi^*, \phi^{ws})$. Is that correct?

Questions

Please comment on W1-W4.

Rating

5

Confidence

4

Soundness

3

Presentation

1

Contribution

2

Limitations

Limitations are adequately discussed.

Reviewer oUtk7/10 · confidence 5/52024-07-15

Summary

This paper provides bounds for weak-to-strong generalization, where a strong student model is trained on the labels produced by a weaker teacher model. The authors prove that in a regression setup, under certain assumptions, the strong model gains over the weak model's accuracy by an amount equal to the *disagreement* between the strong and weak model. This gives a natural generalization bound for weakly-supervised regression models and also gives a selection criterion for which weak model to choose in practice, which the experiments show leads to good empirical performance.

Strengths

- Proves a clean and intuitive theory for weak-to-strong regression. - Empirical results showing that the proposed bounds are tight (in fact, almost exact).

Weaknesses

- The results of WSCM20 are not properly contextualized. Their analysis is *not* limited to a self-training scenario and applies for any student model learning from an arbitrary teacher, including a student that is more powerful than the teacher. - The paper is missing a discussion of and citations to relevant work in other semi- or un-supervised settings that bound generalization error in terms of the disagreement between two classifiers, such as [1], [2], and especially [3]. [1] https://arxiv.org/abs/1708.04403 [2] https://arxiv.org/abs/1901.04215 [3] https://papers.nips.cc/paper_files/paper/2001/file/4c144c47ecba6f8318128703ca9e2601-Paper.pdf

Questions

- L71 "Next, we imagine that the weak model sees data labeled by the target function $f^* \circ h^*$, and after finetuning, learns some arbitrary function $f_w \circ h_w$." Is this assumption really necessary? Can't we just assume we are given a weak predictor with some error rate? This limits the setup significantly to weak teacher models that are fine-tuned on ground-truth data. - What happens in the current theory if technically the strong model hypothesis class $\mathcal{F}_s$ technically contains a function that can exactly fit the weak classifier $f_w \circ h_w$, but due to regularization this doesn't occur? This is often the case in practice, where regularization terms are required to avoid overfitting to the weak labels. Can the theory be modified to include a regularized version of $\mathcal{F}_s$?

Rating

7

Confidence

5

Soundness

3

Presentation

3

Contribution

3

Limitations

The paper already discusses what are in my view its main limitations: (1) it only applies to regression and (2) it only applies to settings where the strong model hypothesis class $\mathcal{F}_s$ is convex.

Reviewer 322n2024-08-10

Thanks for your clarification and response. In response to your last point, while Burns et al do propose the auxiliary confidence loss, even without this loss (i.e. naïve WTSG), the w2s model outperforms the weak model, which is anti-predicted by your theory (which as you note would predict no performance boost on top of the weak model). Ignoring the auxiliary confidence loss entirely Burns et al's results still don't match your theory, so I'll ask again whether you have any ideas as to why that is the case: Do you think your theoretical results are the reason why WTSG happens in this setting as well (given the assumptions of your theory break), or do you think WTSG happens in that scenario for a different reason? I agree that it would be interesting to extend your theory to explaining the auxiliary confidence loss' boost in performance, but you would first need to ensure it explains the naïve WTSG effect in the full fine-tuning regime, as it currently does not. Regardless, I am still happy to recommend acceptance of the paper, and will maintain my score.

Authorsrebuttal2024-08-12

Checking in....

Thank you so much again for taking the time to read our manuscript! As the deadline for the discussion period is approaching, we would really appreciate hearing from you, and ask if any further clarifications are required!

Authorsrebuttal2024-08-12

Checking in....

Thank you so much again for taking the time to read our manuscript! As the deadline for the discussion period is approaching, we would really appreciate hearing from you, and ask if any further clarifications are required!

Program Chairsdecision2024-09-25

Decision

Accept (poster)

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