简单来说
把一篇著名的机器学习论文从开放获取的源文件重新排版:公式有编号、可以引用,定理和引理放在框里,有证明,参考文献用作者–年份格式。
成品一览
Rafailov、Sharma、Mitchell、Ermon、Manning和Finn的论文Direct Preference Optimization(NeurIPS 2023),从arXiv源文件节选,排成7×10英寸、十页的预印本。梅紫色色带上印着标题,背景是一束逻辑斯谛曲线,即DPO梯度给每个样本加的权重的形状。下面是一栏宽松的Spectral正文:十三个编号公式,第5节的定义、引理和定理排在框里、标签与正文同行,一个证明概要和一个完整证明都以方块结尾,一幅用代码重画的流程图,以及按作者–年份引用的二十种文献。正文中对公式、命题和章节的每一处引用都是链接,每个编号都来自一个标签,和LaTeX一样。
这道食谱解答
- 怎样在数学论文中给公式编号、陈述定理、排证明,并引用它们?
- 怎样排数学公式(行内、行间、编号公式),并在PDF中保持矢量?
- 怎样用Postext重新排版arXiv或PubMed Central上的开放获取论文,并保留引用、图和许可声明?
简短回答
// \label{eq:x} in a display formula numbers it, on its row of an align; a box opened as
// :::callout{type="lemma" #lem:x} counts as a statement. \eqref{eq:x}, \ref{lem:x} and
// :ref{id="lem:x"} print the number and link to it.
const equationNumbering = { // (1) to (13): one sequence through the paper and its appendix
numberingTemplate: '{n}', resetOn: 'never', format: '({n})' };
// A proof's label has no number. Its □ is $\square$ in the text: an endMark: '□' would be set
// in Spectral, which has no such glyph.
const proofLabel = (label) => ({ label, counter: false, bold: false, italic: true });
const statements = [ // a counter per kind, as the paper has it: Definition 1, Lemma 1, Theorem 1
{ id: 'definition', numbering: { label: 'Definition' } },
{ id: 'lemma', numbering: { label: 'Lemma' } }, // counter: 'theorem' would share one sequence
{ id: 'theorem', numbering: { label: 'Theorem' } },
{ id: 'proof', numbering: proofLabel('Proof') },
{ id: 'sketch', numbering: proofLabel('Proof Sketch') },
];
用料
做法
#1 · 给公式和命题加标签,按键名引用
代码就是上面的简短回答。从postext 1.19起,引擎自己维护LaTeX的那些计数器。行间公式里的\label{eq:dpo}按阅读顺序给它编号;align里每一行带标签的各得一个编号,标了\notag的行没有;resetOn: 'never'让编号从(1)一直数到附录里的(13),与这篇节选论文重新编排的编号一致。用:::callout{type="lemma" #lem:same-policy}打开的框以“Lemma 2.”开头,因为它的样式带有numbering: { label: 'Lemma' }和独立的计数器。正文里\eqref{eq:dpo}印出(7),\ref{lem:same-policy}印出2,:ref{id="lem:same-policy"}印出Lemma 2,都链接到各自的目标;Eq.~\eqref{…}保留LaTeX的不断行空格。附录里重述的引理以***:ref{id="lem:same-preference"} Restated.***开头,引用沿用周围标签的粗体。章节不需要帮忙:编号来自标题模板,{startAt=3}在删去第2节之后保留论文原来的编号,crossRefs.section像原文一样印出首字母大写的“Section 5”。
#2 · 每种环境一种框
const box = ({ id, ...numbered }, extra) => ({ id, marginTop: pt(LEAD * 0.6),
marginBottom: pt(LEAD * 0.6), backgroundEnabled: false,
snapToGrid: false, // exact space round a statement, as amsthm's \topsep; one column, no grid
padding: { top: mm(1.8), right: mm(4), bottom: mm(1.8), left: mm(4) },
body: { italic: true, firstLineIndent: pt(0), boldColor: col('ink') }, ...extra, ...numbered });
const stripe = (color) => ({ enabled: true, side: 'left', width: pt(3), color: col(color) });
const proof = { keepTogether: false, // a long proof runs on to the next page
// A proof is upright text with an italic run-in label, set off by space alone.
padding: { top: pt(0), right: pt(0), bottom: pt(0), left: pt(0) },
body: { firstLineIndent: pt(0), italicColor: col('ink') } };
const look = { definition: { stripe: stripe('rule') }, lemma: { stripe: stripe('accent') },
theorem: { backgroundEnabled: true, background: col('tint') }, proof, sketch: proof };
const theoremStyles = [...statements.map((s) => box(s, look[s.id])),
box({ id: 'restated' }, look.lemma)]; // Lemma 1 again in the appendix, with no new number
每种环境都是一个标注框样式,只用一种手段:定义用灰色侧边条,引理用梅紫色侧边条,定理用浅梅紫色底。box()把这些外观加在简短回答的编号设置上。body.italic像amsthm的plain样式一样把陈述排成斜体,同行标签在其中保持粗正体。证明不加框:标签为斜体、不带编号(counter: false),最后一行以正文里写的$\square$结束;keepTogether: false让较长的证明可以转到下一页。snapToGrid: false让每个命题上下的空白都相同:单栏没有相邻栏需要对齐,精确的间距比取整到基线网格的更好看。
#3 · 用论文自己的文献表做作者–年份引用
registerCitationEngine(createCiteprocEngine({ styles: STYLES, locales: LOCALES }));
const citations = { style: 'harvard-cite-them-right', link: true,
bibliography: { fontSize: pt(8.2), lineHeight: pt(10.8), hangingIndent: mm(5),
entrySpacing: pt(1.6), doi: 'link' } };
参考文献是:::references{format=bibtex}块里的BibTeX,根据论文的.bbl重建,只保留节选正文仍在引用的二十种文献。Cite Them Right Harvard在正文中排成“(Bong and Rinaldo, 2022)”,在文献表中排成“Ouyang, L. et al. (2022)”,四位及以上作者只列第一位。正文里写@ziegler2020finetuning得到叙述式引用Ziegler et al. (2020)。文献表放在:::bibliography所在的位置,即第7节之后、附录之前,与原论文相同。
#4 · 标题放在色带上,来源放在页脚
const text = (id, content, family, size, color, placement, extra) => ({ kind: 'text', id,
content, fontFamily: family, fontSize: pt(size), color: col(color), align: 'left',
overflow: 'wrap', placement, ...extra });
const at = (to, edge, x, y, width) => ({ anchor: { to, edge }, offset: { x: mm(x), y: mm(y) },
...(width && { size: { width: mm(width), height: 'auto' } }) });
const caps = (size, fontWeight = 600) => ({ fontWeight, letterSpacing: pt(size * 0.18),
textTransform: 'uppercase' });
const BAND = 80; // mm from the trim's top to the foot of the band
const titleBlock = {
enabled: true,
minHeight: mm(BAND + 13 - TOP), // the band, then the byline: the abstract starts under it
slot: { elements: [
{ kind: 'box', id: 'band', style: { backgroundColor: col('accent') },
placement: { anchor: { to: 'bleed', edge: 'top-left' },
size: { width: 'fill', height: mm(BAND + 3) } } }, // + 3 mm of bleed
{ kind: 'image', id: 'curves', resourceId: 'sigmoids', // drawn in code: σ(βu)
placement: at('page', 'top-left', 70, 3, 108) },
text('kicker', 'Preprint · Machine learning · Re-set and abridged', SANS, 7.5, 'mist',
at('page', 'top-left', INNER, 30, 120), caps(7.5)),
text('title', '{titleText}', SERIF, 25, 'paper', at('#kicker', 'below', 0, 3.5, MEASURE),
{ fontWeight: 600, lineHeight: 1.08 }),
text('venue', 'NeurIPS 2023 · arXiv:2305.18290v3 · CC BY 4.0', MONO, 7, 'mist',
at('page', 'top-left', INNER, BAND - 7, 120), { overflow: 'clip' }),
text('authors', '{attr.authors}', SANS, 9.5, 'ink', at('page', 'top-left', INNER, BAND + 6,
MEASURE), { fontWeight: 500, lineHeight: 1.45 }),
text('affiliations', '{attr.affiliations}', SANS, 7.5, 'muted',
at('#authors', 'below', 0, 1.4, MEASURE)),
] },
};
const head = (id, content, parity, edge, x, extra) => text(id, content, SANS, 7.5, 'muted',
at('page', `top-${edge}`, x, 13), { overflow: 'clip', ...caps(7.5, 500), align: edge,
parity, pages: 'body', ...extra });
const folio = { fontWeight: 700, color: col('accent') };
const header = { elements: [
head('v-folio', '{pageNumber}', 'even', 'left', OUTER, folio),
head('v-title', 'Rafailov, Sharma, Mitchell, Ermon, Manning & Finn', 'even', 'left', OUTER + 9),
head('r-title', 'Direct Preference Optimization', 'odd', 'right', -(OUTER + 9)),
head('r-folio', '{pageNumber}', 'odd', 'right', -OUTER, folio),
] };
const footer = { elements: [ // the first page: where the text comes from, and its licence
text('source', 'Abridged from Rafailov, R. et al. (2023), Advances in Neural Information '
+ 'Processing Systems 36, arXiv:2305.18290v3, CC BY 4.0 · equations renumbered, '
+ 'Figure 1 redrawn', MONO, 6.2,
'muted', at('page', 'bottom-left', INNER, -13, MEASURE - 10), { pages: 'opener' }),
text('drop-folio', '{pageNumber}', SANS, 7.5, 'accent', at('page', 'bottom-right', -OUTER, -13),
{ ...folio, align: 'right', pages: 'opener', overflow: 'clip' }),
] };
标题是全文唯一的一级标题,它的paper样式改为绘制一组设计元素:色带从页面顶部出血,标题按版心宽度折行,作者和单位来自标题属性,其中的¹、²和*直接写成字符。页脚里带pages: 'opener'的元素只在第1页印出来源、许可和所做的改动,这样第一页单独流传时也能说明文本出处。
#5 · 用代码重画插图
const R = (x) => Math.round(x * 100) / 100;
const svg = (w, h, body) => `<svg xmlns="http://www.w3.org/2000/svg" width="${w * PX_PER_MM}" `
+ `height="${h * PX_PER_MM}" viewBox="0 0 ${w} ${h}">${body}</svg>`;
function sigmoids() { // 108 × 24 mm over the kicker: σ(βu) for β from 0.25 to 4
let out = '';
[0.25, 0.4, 0.6, 1, 1.6, 2.5, 4].forEach((beta, i) => {
const pts = Array.from({ length: 105 }, (_, k) => {
const u = (k - 52) / 8; // u from −6.5 to 6.5
return `${k ? 'L' : 'M'}${R(2 + k)} ${R(22 - 20 / (1 + Math.exp(-beta * u)))}`;
}).join('');
out += `<path d="${pts}" fill="none" stroke="${palette.mist}" stroke-width="${R(0.3
+ i * 0.06)}" stroke-opacity="${R(0.25 + i * 0.1)}"/>`;
});
return svg(108, 24, out);
}
async function inlineFace(family, weight) { // a face an SVG image can use (svg-no-webfonts)
const id = family.toLowerCase().replace(/\s+/g, '-');
const url = `https://cdn.jsdelivr.net/npm/@fontsource/${id}@5/files/${id}-latin-${weight}`
+ '-normal.woff2';
const bytes = new Uint8Array(await (await fetch(url)).arrayBuffer());
let bin = '';
for (const b of bytes) bin += String.fromCharCode(b);
return `@font-face{font-family:'${family}';font-weight:${weight};`
+ `src:url(data:font/woff2;base64,${btoa(bin)})}`;
}
function tex(markup, x, y, size, color = 'ink', anchor = 0) { // maths as MathJax paths
const r = renderMath(markup, false, 100);
const k = size / 1000;
return `<g transform="translate(${R(x - anchor * r.viewBox.width * k)} ${R(y)}) scale(${k})" `
+ `fill="${palette[color]}">${r.paths.map((p) => `<path d="${p.d}"/>`).join('')}</g>`;
}
const words = (x, y, s, { size = 2.6, weight = 400, color = 'ink', anchor = 'start' } = {}) =>
`<text x="${R(x)}" y="${R(y)}" font-family="${SANS}" font-weight="${weight}" `
+ `font-size="${size}" fill="${palette[color]}" text-anchor="${anchor}">${s}</text>`;
const rect = (x, y, w, h, stroke, fill = 'paper', r = 1.2) => `<rect x="${x}" y="${y}" `
+ `width="${w}" height="${h}" rx="${r}" fill="${palette[fill]}" stroke="${palette[stroke]}" `
+ 'stroke-width="0.35"/>';
function arrow(points, color) { // a line with a drawn head, never an SVG marker
const [[x1, y1], [x2, y2]] = points.slice(-2);
const a = Math.atan2(y2 - y1, x2 - x1);
const head = [a - 0.45, a + 0.45].map((t) => `${R(x2 - 2 * Math.cos(t))} ${R(y2 - 2
* Math.sin(t))}`);
return `<path d="M${points.map(([x, y]) => `${R(x)} ${R(y)}`).join('L')}" fill="none" `
+ `stroke="${palette[color]}" stroke-width="0.45"/><path d="M${head[0]}L${R(x2)} ${R(y2)}`
+ `L${head[1]}Z" fill="${palette[color]}"/>`;
}
function preferences(x, y, w) { // a prompt and two answers, the preferred one first
const page = (dx) => rect(x + dx, y + 15.5, 6, 7.2, 'rule', 'paper', 0.6)
+ [0, 1, 2].map((l) => `<path d="M${x + dx + 1.2} ${y + 17.6 + l * 1.6}h3.6" `
+ `stroke="${palette.rule}" stroke-width="0.4"/>`).join('');
return rect(x, y, w, 25, 'rule', 'tint')
+ words(x + 2.4, y + 4.6, 'PREFERENCE DATA', { size: 2.1, weight: 600, color: 'muted' })
+ tex('x', x + 2.4, y + 9.8, 3) + words(x + 4.3, y + 9.8, ': “write me a poem about',
{ size: 2.25 }) + words(x + 5.2, y + 13, 'the history of jazz”', { size: 2.25 })
+ page(2.4) + tex('y_w', x + 9.4, y + 20.6, 3) + tex('\\succ', x + 14, y + 20.4, 3, 'accent')
+ page(18.4) + tex('y_l', x + 25.4, y + 20.6, 3);
}
function pipeline(face) { // 130 × 64 mm: RLHF on the left, DPO on the right
const title = (x, name, sub, color) => words(x, 4, name, { size: 3.2, weight: 600, color })
+ words(x, 8, sub, { size: 2.3, color: 'muted' });
const model = (x, y, w, label, color) => rect(x, y, w, 9, color)
+ words(x + w / 2, y + 5.8, label, { size: 2.6, weight: 600, color, anchor: 'middle' });
const note = (x, y, lines, color, anchor) => lines.map((line, i) => words(x, y + i * 3, line,
{ size: 2.3, color, anchor })).join('');
return svg(MEASURE, 64, `<style>${face}</style>`
+ title(0, 'RLHF', 'Reinforcement learning from human feedback', 'ochre')
+ preferences(0, 14, 32)
+ arrow([[33, 26.5], [48, 26.5]], 'ochre') + note(40.5, 22.4, ['maximum'], 'ochre', 'middle')
+ note(40.5, 31.4, ['likelihood'], 'ochre', 'middle')
+ model(49, 22, 25, 'reward model', 'ochre') + model(49, 50, 25, 'LM policy', 'ochre')
+ arrow([[55, 31.5], [55, 49]], 'ochre')
+ note(53.4, 41.6, ['label rewards,', 'reinforcement', 'learning'], 'ochre', 'end')
+ arrow([[68, 49], [68, 31.5]], 'ochre') + note(69.6, 39, ['sample', 'completions'], 'ochre')
+ `<path d="M88 2V62" stroke="${palette.rule}" stroke-width="0.3"/>`
+ title(93, 'DPO', 'Direct preference optimization', 'accent')
+ preferences(93, 14, 37)
+ arrow([[111.5, 39.5], [111.5, 49]], 'accent')
+ note(113.2, 43.4, ['maximum', 'likelihood'], 'accent', 'start')
+ model(99, 50, 25, 'final LM', 'accent'));
}
图1按原图的方框和文字画成SVG。作为图像绘制的SVG看不到页面的网络字体,所以inlineFace()把标签用到的两个Work Sans文件嵌进去,tex()把y_w ≻ y_l写成MathJax路径,与公式用的是同一套字形。箭头是画出来的路径,不用SVG的marker,所以图在PDF里仍是矢量。
完整食谱
// ═══ Postext Cookbook · Nº 138 · Machine-learning paper with theorems and proofs ═══ // https://postext.dev/en/cookbook/ml-paper-theorems-proofs // Code: MIT · Text: Rafailov et al. 2023, arXiv:2305.18290 (CC BY 4.0), abridged · Art: code // Fonts: Spectral, Work Sans, JetBrains Mono (SIL OFL 1.1) · Needs postext ≥ 1.19.0 // DPO (NeurIPS 2023) re-set as a preprint: numbered equations with labels and references, // definition, lemma and theorem boxes, proofs that end in a square, author–year citations. import { buildDocument, renderPageToCanvas, clearMeasurementCache, registerResourceImage, registerCitationEngine, defaultResourceTypes, initMathEngine, renderMath, } from 'https://esm.sh/postext?bundle'; import { renderToPdf, decompressWoff2 } from 'https://esm.sh/postext-pdf'; import { createCiteprocEngine, STYLES, LOCALES } from 'https://esm.sh/postext-citeproc'; const LANG = 'en'; // @lang: the language of the sample document ('en' | 'es') const RECIPE = 'ml-paper-theorems-proofs'; // ─── 1 · Design ───────────────────────────────────────────────────────────── const palette = { ink: '#1d1a22', accent: '#6b2a5f', // text; plum: the band, labels, theorem stripes ochre: '#a8621c', tint: '#f4edf2', // the RLHF route in Figure 1; the theorem fill rule: '#cfc3cc', muted: '#675f6b', // hairlines; running heads, notes mist: '#e3c9dc', paper: '#ffffff', // type and curves on the band; white }; const col = (id) => ({ hex: palette[id], model: 'hex', paletteId: id }); const colorPalette = Object.entries({ ...palette, 'main-color': palette.accent }) .map(([id, hex]) => ({ id, name: id, value: { hex, model: 'hex' } })); const [SERIF, SANS, MONO] = ['Spectral', 'Work Sans', 'JetBrains Mono']; const [BODY, LEAD] = [9.6, 13.4]; // pt: one column of 130 mm, about 74 characters a line // mm: a 7 × 10 in trim, as technical books and many preprint series print const [TRIM_W, TRIM_H, TOP, BOTTOM, INNER, OUTER] = [178, 254, 22, 22, 21, 27]; const MEASURE = TRIM_W - INNER - OUTER; // #region answer: amsthm in Markdown: numbered equations, theorems and proofs // \label{eq:x} in a display formula numbers it, on its row of an align; a box opened as // :::callout{type="lemma" #lem:x} counts as a statement. \eqref{eq:x}, \ref{lem:x} and // :ref{id="lem:x"} print the number and link to it. const equationNumbering = { // (1) to (13): one sequence through the paper and its appendix numberingTemplate: '{n}', resetOn: 'never', format: '({n})' }; // A proof's label has no number. Its □ is $\square$ in the text: an endMark: '□' would be set // in Spectral, which has no such glyph. const proofLabel = (label) => ({ label, counter: false, bold: false, italic: true }); const statements = [ // a counter per kind, as the paper has it: Definition 1, Lemma 1, Theorem 1 { id: 'definition', numbering: { label: 'Definition' } }, { id: 'lemma', numbering: { label: 'Lemma' } }, // counter: 'theorem' would share one sequence { id: 'theorem', numbering: { label: 'Theorem' } }, { id: 'proof', numbering: proofLabel('Proof') }, { id: 'sketch', numbering: proofLabel('Proof Sketch') }, ]; // #endregion // #region theorems: one look per environment, the statements set in italics const box = ({ id, ...numbered }, extra) => ({ id, marginTop: pt(LEAD * 0.6), marginBottom: pt(LEAD * 0.6), backgroundEnabled: false, snapToGrid: false, // exact space round a statement, as amsthm's \topsep; one column, no grid padding: { top: mm(1.8), right: mm(4), bottom: mm(1.8), left: mm(4) }, body: { italic: true, firstLineIndent: pt(0), boldColor: col('ink') }, ...extra, ...numbered }); const stripe = (color) => ({ enabled: true, side: 'left', width: pt(3), color: col(color) }); const proof = { keepTogether: false, // a long proof runs on to the next page // A proof is upright text with an italic run-in label, set off by space alone. padding: { top: pt(0), right: pt(0), bottom: pt(0), left: pt(0) }, body: { firstLineIndent: pt(0), italicColor: col('ink') } }; const look = { definition: { stripe: stripe('rule') }, lemma: { stripe: stripe('accent') }, theorem: { backgroundEnabled: true, background: col('tint') }, proof, sketch: proof }; const theoremStyles = [...statements.map((s) => box(s, look[s.id])), box({ id: 'restated' }, look.lemma)]; // Lemma 1 again in the appendix, with no new number // #endregion // #region title: a plum band with the title, the byline under it, the source at the foot const text = (id, content, family, size, color, placement, extra) => ({ kind: 'text', id, content, fontFamily: family, fontSize: pt(size), color: col(color), align: 'left', overflow: 'wrap', placement, ...extra }); const at = (to, edge, x, y, width) => ({ anchor: { to, edge }, offset: { x: mm(x), y: mm(y) }, ...(width && { size: { width: mm(width), height: 'auto' } }) }); const caps = (size, fontWeight = 600) => ({ fontWeight, letterSpacing: pt(size * 0.18), textTransform: 'uppercase' }); const BAND = 80; // mm from the trim's top to the foot of the band const titleBlock = { enabled: true, minHeight: mm(BAND + 13 - TOP), // the band, then the byline: the abstract starts under it slot: { elements: [ { kind: 'box', id: 'band', style: { backgroundColor: col('accent') }, placement: { anchor: { to: 'bleed', edge: 'top-left' }, size: { width: 'fill', height: mm(BAND + 3) } } }, // + 3 mm of bleed { kind: 'image', id: 'curves', resourceId: 'sigmoids', // drawn in code: σ(βu) placement: at('page', 'top-left', 70, 3, 108) }, text('kicker', 'Preprint · Machine learning · Re-set and abridged', SANS, 7.5, 'mist', at('page', 'top-left', INNER, 30, 120), caps(7.5)), text('title', '{titleText}', SERIF, 25, 'paper', at('#kicker', 'below', 0, 3.5, MEASURE), { fontWeight: 600, lineHeight: 1.08 }), text('venue', 'NeurIPS 2023 · arXiv:2305.18290v3 · CC BY 4.0', MONO, 7, 'mist', at('page', 'top-left', INNER, BAND - 7, 120), { overflow: 'clip' }), text('authors', '{attr.authors}', SANS, 9.5, 'ink', at('page', 'top-left', INNER, BAND + 6, MEASURE), { fontWeight: 500, lineHeight: 1.45 }), text('affiliations', '{attr.affiliations}', SANS, 7.5, 'muted', at('#authors', 'below', 0, 1.4, MEASURE)), ] }, }; const head = (id, content, parity, edge, x, extra) => text(id, content, SANS, 7.5, 'muted', at('page', `top-${edge}`, x, 13), { overflow: 'clip', ...caps(7.5, 500), align: edge, parity, pages: 'body', ...extra }); const folio = { fontWeight: 700, color: col('accent') }; const header = { elements: [ head('v-folio', '{pageNumber}', 'even', 'left', OUTER, folio), head('v-title', 'Rafailov, Sharma, Mitchell, Ermon, Manning & Finn', 'even', 'left', OUTER + 9), head('r-title', 'Direct Preference Optimization', 'odd', 'right', -(OUTER + 9)), head('r-folio', '{pageNumber}', 'odd', 'right', -OUTER, folio), ] }; const footer = { elements: [ // the first page: where the text comes from, and its licence text('source', 'Abridged from Rafailov, R. et al. (2023), Advances in Neural Information ' + 'Processing Systems 36, arXiv:2305.18290v3, CC BY 4.0 · equations renumbered, ' + 'Figure 1 redrawn', MONO, 6.2, 'muted', at('page', 'bottom-left', INNER, -13, MEASURE - 10), { pages: 'opener' }), text('drop-folio', '{pageNumber}', SANS, 7.5, 'accent', at('page', 'bottom-right', -OUTER, -13), { ...folio, align: 'right', pages: 'opener', overflow: 'clip' }), ] }; // #endregion // #region citations: author–year from BibTeX, in Cite Them Right Harvard registerCitationEngine(createCiteprocEngine({ styles: STYLES, locales: LOCALES })); const citations = { style: 'harvard-cite-them-right', link: true, bibliography: { fontSize: pt(8.2), lineHeight: pt(10.8), hangingIndent: mm(5), entrySpacing: pt(1.6), doi: 'link' } }; // #endregion const config = () => ({ // a factory: the engine caches resolved configs per object locale: 'en-us', colorPalette, resourceTypes, citations, crossRefs: { section: 'Section {n}' }, // "Section 5", as the paper writes it page: { width: mm(TRIM_W), height: mm(TRIM_H), dpi: 150, margins: { top: mm(TOP), bottom: mm(BOTTOM), left: mm(INNER), right: mm(OUTER), mirror: true } }, layout: { layoutType: 'single' }, bodyText: { fontFamily: SERIF, fontSize: pt(BODY), lineHeight: pt(LEAD), color: col('ink'), boldColor: col('ink'), italicColor: col('ink'), referenceColor: col('ink'), referenceBold: false, // LaTeX sets \ref upright and regular textAlign: 'justify', firstLineIndent: mm(4.5), indentAfterHeading: false, hyphenation: { enabled: true }, optimalLineBreaking: true, avoidWidows: true, avoidOrphans: true, avoidRunts: true }, math: { marginTop: pt(LEAD / 2), marginBottom: pt(LEAD / 2), equationNumbering }, headings: { fontFamily: SANS, color: col('ink'), fontWeight: 600, // A short page takes at most one grid line more above a heading: a paper's heads keep their // spacing, and a page held short by a tall display may end a few lines up. balancing: { maxLinesPerHeading: 1 }, levels: [ { level: 1, breakBefore: { enabled: true, parity: 'any' } }, // gotcha: headings-drop-h1-break { level: 2, numberingTemplate: '{2}', fontSize: pt(11.5), lineHeight: pt(LEAD), marginTop: pt(LEAD), marginBottom: pt(LEAD / 2) }, { level: 3, numberingTemplate: '{2}.{3}', fontSize: pt(9.8), lineHeight: pt(LEAD), marginTop: pt(LEAD), marginBottom: pt(0) }, ] }, headingStyles: [ { id: 'paper', numbered: false, advancedDesign: titleBlock, fontSize: pt(BODY), lineHeight: pt(LEAD), marginTop: pt(0), marginBottom: pt(0) }, // the band draws the title { id: 'back', numbered: false }, { id: 'appendix', numberingTemplate: '{2:A}' }, { id: 'appendix-sub', numberingTemplate: '{2:A}.{3}' }, ], calloutStyles: [...theoremStyles, { id: 'abstract', title: 'Abstract', marginTop: pt(0), marginBottom: pt(LEAD), backgroundEnabled: false, stripe: { enabled: true, side: 'top', width: pt(2.5), color: col('accent') }, padding: { top: mm(2.5), right: mm(8), bottom: mm(1), left: mm(8) }, titleStyle: { fontFamily: SANS, fontSize: pt(7.5), ...caps(7.5, 700), color: col('accent'), gap: mm(1.2), lineHeight: pt(LEAD) }, body: { fontSize: pt(9.3), lineHeight: pt(13), firstLineIndent: pt(0) } }], paragraphStyles: [{ id: 'colophon', fontFamily: SANS, fontSize: pt(7), lineHeight: pt(9.5), color: col('muted'), textAlign: 'left', firstLineIndent: pt(0), marginTop: pt(LEAD * 2) }], tableStyle: { rules: 'horizontal', borderColor: col('rule'), borderWidth: pt(0.5), headerBackground: col('accent'), headerColor: col('paper'), headerFontFamily: SANS, headerFontSize: pt(8), bodyFontFamily: SERIF, bodyFontSize: pt(9), bodyColor: col('ink'), cellPadding: mm(1.3) }, captionStyle: { fontFamily: SANS, fontSize: pt(8), color: col('ink'), labelBold: true, labelColor: col('accent'), gap: mm(2.2), note: { fontSize: pt(7), color: col('muted') } }, header, footer, }); // Figure 1, Table 1: numbered through the paper ("{n}"), the table captioned above. const resourceTypes = defaultResourceTypes(LANG).map((type) => ({ ...type, numberingTemplate: '{n}', resetOn: 'never', ...(type.id === 'table' && { captionStyle: { position: 'above' } }) })); // ─── 2 · Content ──────────────────────────────────────────────────────────── const markdown = String.raw`---Markdown样例 · 75行 · content.en.md
title: "Direct Preference Optimization: Your Language Model is Secretly a Reward Model" author: "Rafael Rafailov, Archit Sharma, Eric Mitchell, Stefano Ermon, Christopher D. Manning and Chelsea Finn" publishDate: "2024-07-29" --- # Direct Preference Optimization: \\ Your Language Model is Secretly a Reward Model {style="paper" authors="Rafael Rafailov*¹ Archit Sharma*¹ Eric Mitchell*¹ Stefano Ermon¹,² Christopher D. Manning¹ Chelsea Finn¹" affiliations="¹ Stanford University ² CZ Biohub * Equal contribution; more junior authors listed earlier"} :::callout{type="abstract"} While large-scale unsupervised language models (LMs) learn broad world knowledge and some reasoning skills, achieving precise control of their behavior is difficult due to the completely unsupervised nature of their training. Existing methods for gaining such steerability collect human labels of the relative quality of model generations and fine-tune the unsupervised LM to align with these preferences, often with reinforcement learning from human feedback (RLHF). However, RLHF is a complex and often unstable procedure, first fitting a reward model that reflects the human preferences, and then fine-tuning the large unsupervised LM using reinforcement learning to maximize this estimated reward without drifting too far from the original model. In this paper we introduce a new parameterization of the reward model in RLHF that enables extraction of the corresponding optimal policy in closed form, allowing us to solve the standard RLHF problem with only a simple classification loss. The resulting algorithm, which we call *Direct Preference Optimization* (DPO), is stable, performant, and computationally lightweight, eliminating the need for sampling from the LM during fine-tuning or performing significant hyperparameter tuning. Our experiments show that DPO can fine-tune LMs to align with human preferences as well as or better than existing methods. Notably, fine-tuning with DPO exceeds PPO-based RLHF in ability to control sentiment of generations, and matches or improves response quality in summarization and single-turn dialogue while being substantially simpler to implement and train. ::: ## Introduction {#sec:intro} Large unsupervised language models (LMs) trained on very large datasets acquire surprising capabilities [@chowdhery2022palm; @brown2020language; @touvron2023llama; @bubeck2023sparks]. However, these models are trained on data generated by humans with a wide variety of goals, priorities, and skillsets. In other words, selecting the model’s *desired responses and behavior* from its very wide *knowledge and abilities* is crucial to building AI systems that are safe, performant, and controllable [@ouyang2022training]. While existing methods typically steer LMs to match human preferences using reinforcement learning (RL), we will show that the RL-based objective used by existing methods can be optimized exactly with a simple binary cross-entropy objective, greatly simplifying the preference learning pipeline. ::resource{id="pipeline"} In this paper, we show how to directly optimize a language model to adhere to human preferences, without explicit reward modeling or reinforcement learning. We propose *Direct Preference Optimization (DPO)*, an algorithm that implicitly optimizes the same objective as existing RLHF algorithms (reward maximization with a KL-divergence constraint) but is simple to implement and straightforward to train. Intuitively, the DPO update increases the relative log probability of preferred to dispreferred responses, but it incorporates a dynamic, per-example importance weight that prevents the model degeneration that we find occurs with a naive probability ratio objective. Like existing algorithms, DPO relies on a theoretical preference model, such as the Bradley-Terry model of @bradley1952rankanalysis, that measures how well a given reward function aligns with empirical preference data. However, while existing methods use the preference model to define a preference loss to train a reward model and then train a policy that optimizes the learned reward model, DPO uses a change of variables to define the preference loss as a function of the policy directly. Given a dataset of human preferences over model responses, DPO can therefore optimize a policy using a simple binary cross entropy objective, producing the optimal policy to an implicit reward function fit to the preference data. Our main contribution is Direct Preference Optimization (DPO), a simple RL-free algorithm for training language models from preferences. Our experiments show that DPO is at least as effective as existing methods, including PPO-based RLHF, for learning from preferences in tasks such as sentiment modulation, summarization, and dialogue, using language models with up to 6B parameters. ## Preliminaries {#sec:prelims startAt=3} We review the RLHF pipeline in @ziegler2020finetuning [and later @stiennon2022learning; @bai2022training; @ouyang2022training]. It usually includes three phases: 1) supervised fine-tuning (SFT); 2) preference sampling and reward learning and 3) RL optimization. **SFT:** RLHF typically begins by fine-tuning a pre-trained LM with supervised learning on high-quality data for the downstream task(s) of interest (dialogue, summarization, etc.), to obtain a model $\pi^\text{SFT}$. **Reward Modelling Phase:** In the second phase the SFT model is prompted with prompts $x$ to produce pairs of answers $(y_1, y_2)\sim \pi^\text{SFT}(y \mid x)$. These are then presented to human labelers who express preferences for one answer, denoted as $y_w\succ y_l \mid x$ where $y_w$ and $y_l$ denotes the preferred and dispreferred completion amongst $(y_1, y_2)$ respectively. The preferences are assumed to be generated by some latent reward model $r^*(y, x)$, which we do not have access to. There are a number of approaches used to model preferences, the Bradley-Terry (BT) model [@bradley1952rankanalysis] being a popular choice (although more general Plackett-Luce ranking models [@plackett1975analysis; @luce2012individual] are also compatible with the framework if we have access to several ranked answers). The BT model stipulates that the human preference distribution $p^*$ can be written as: $$ p^*(y_1\succ y_2 \mid x)=\frac{\exp\left(r^*(x, y_1)\right)}{\exp\left(r^*(x, y_1)\right) + \exp\left(r^*(x, y_2)\right)}. \label{eq:bradley-terry} $$ Assuming access to a static dataset of comparisons $\mathcal{D}=\bigl\{x^{(i)}, y_w^{(i)}, y_l^{(i)}\bigr\}_{i=1}^N$ sampled from $p^*$, we can parametrize a reward model $r_{\phi}(x, y)$ and estimate the parameters via maximum likelihood. Framing the problem as a binary classification we have the negative log-likelihood loss: $$ \mathcal{L}_R(r_{\phi}, \mathcal{D}) = -\mathbb{E}_{(x, y_w, y_l)\sim \mathcal{D}}\bigl[\log \sigma(r_{\phi}(x, y_w)- r_{\phi}(x, y_l))\bigr] \label{eq:reward-model} $$ where $\sigma$ is the logistic function. In the context of LMs, the network $r_{\phi}(x, y)$ is often initialized from the SFT model $\pi^\text{SFT}(y \mid x)$ with the addition of a linear layer on top of the final transformer layer that produces a single scalar prediction for the reward value [@ziegler2020finetuning]. To ensure a reward function with lower variance, prior works normalize the rewards, such that $\mathbb{E}_{x,y\sim \mathcal{D}}\left[r_\phi(x, y)\right] = 0$ for all $x$. **RL Fine-Tuning Phase:** During the RL phase, the learned reward function is used to provide feedback to the language model. Following prior works [@jaques2017sequence; @jaques2020human], the optimization is formulated as $$ \max_{\pi_{\theta}} \mathbb{E}_{x\sim \mathcal{D}, y\sim \pi_{\theta}(y \mid x)}\bigl[r_{\phi}(x, y)\bigr] - \beta\mathbb{D}_{\textrm{KL}}\bigl[\pi_{\theta}(y\mid x)\mid \mid \pi_\text{ref}(y\mid x)\bigr], \label{eq:rl} $$ where $\beta$ is a parameter controlling the deviation from the base reference policy $\pi_\text{ref}$, namely the initial SFT model $\pi^\text{SFT}$. In practice, the language model policy $\pi_\theta$ is also initialized to $\pi^\text{SFT}$. ## Direct Preference Optimization {#sec:dpo} Motivated by the challenges of applying reinforcement learning algorithms on large-scale problems such as fine-tuning language models, our goal is to derive a simple approach for policy optimization using preferences directly. Unlike prior RLHF methods, which learn a reward and then optimize it via RL, our approach leverages a particular choice of reward model parameterization that enables extraction of its optimal policy in closed form, without an RL training loop. As we will describe next in detail, our key insight is to leverage an analytical mapping from reward functions to optimal policies, which enables us to transform a loss function over reward functions into a loss function over policies. This change-of-variables approach avoids fitting an explicit, standalone reward model, while still optimizing under existing models of human preferences, such as the Bradley-Terry model. In essence, the policy network represents both the language model and the (implicit) reward. **Deriving the DPO objective.** We start with the same RL objective as prior work, Eq.~\eqref{eq:rl}, under a general reward function $r$. Following prior work [@peters2007reinforcement; @peng2019advantage; @korbak2022reinforcement; @go2023aligning], it is straightforward to show that the optimal solution to the KL-constrained reward maximization objective in Eq.~\eqref{eq:rl} takes the form: $$ \pi_r(y\mid x) = \frac{1}{Z(x)}\pi_\text{ref}(y\mid x)\exp\left(\frac{1}{\beta}r(x, y)\right), \label{eq:op-policy} $$ where $Z(x) =\sum_{y}\pi_\text{ref}(y\mid x)\exp\left(\frac{1}{\beta}r(x, y)\right)$ is the partition function. See Appendix :ref{id="app:derivation" style="number"} for a complete derivation. Even if we use the MLE estimate $r_{\phi}$ of the ground-truth reward function $r^*$, it is still expensive to estimate the partition function $Z(x)$ [@korbak2022reinforcement; @go2023aligning], which makes this representation hard to utilize in practice. However, we can rearrange Eq.~\eqref{eq:op-policy} to express the reward function in terms of its corresponding optimal policy $\pi_r$, the reference policy $\pi_\text{ref}$, and the unknown partition function $Z(\cdot)$. Specifically, we first take the logarithm of both sides of Eq.~\eqref{eq:op-policy} and then with some algebra we obtain: $$ r(x,y) =\beta \log \frac{\pi_r(y\mid x)}{\pi_\text{ref}(y\mid x)} + \beta \log Z(x). \label{eq:main} $$ We can apply this reparameterization to the ground-truth reward $r^*$ and corresponding optimal model $\pi^*$. Fortunately, the Bradley-Terry model depends only on the difference of rewards between two completions, i.e., $p^*(y_1 \succ y_2 \mid x) = \sigma(r^*(x, y_1) - r^*(x, y_2))$. Substituting the reparameterization in Eq.~\eqref{eq:main} for $r^*(x,y)$ into the preference model Eq.~\eqref{eq:bradley-terry}, the partition function cancels, and we can express the human preference probability in terms of only the optimal policy $\pi^*$ and reference policy $\pi_\text{ref}$. Thus, the optimal RLHF policy $\pi^*$ under the Bradley-Terry model satisfies the preference model: $$ p^*(y_1\succ y_2 \mid x)=\frac{1}{1 + \exp\left(\beta \log \frac{\pi^*(y_2\mid x)}{\pi_\text{ref}(y_2\mid x)} - \beta \log \frac{\pi^*(y_1\mid x)}{\pi_\text{ref}(y_1\mid x)}\right)} \label{eq:objective} $$ While Eq.~\eqref{eq:objective} uses the Bradley-Terry model, we can similarly derive expressions under the more general Plackett-Luce models [@plackett1975analysis; @luce2012individual]. Now that we have the probability of human preference data in terms of the optimal policy rather than the reward model, we can formulate a maximum likelihood objective for a parametrized policy $\pi_\theta$. Analogous to the reward modeling approach (i.e. Eq.~\eqref{eq:reward-model}), our policy objective becomes: $$ \mathcal{L}_\text{DPO}(\pi_{\theta}; \pi_\text{ref}) = -\mathbb{E}_{(x, y_w, y_l)\sim \mathcal{D}}\left[\log \sigma \left(\beta \log \frac{\pi_{\theta}(y_w\mid x)}{\pi_\text{ref}(y_w\mid x)} - \beta \log \frac{\pi_{\theta}(y_l\mid x)}{\pi_\text{ref}(y_l\mid x)}\right)\right]. \label{eq:dpo} $$ This way, we fit an implicit reward using an alternative parameterization, whose optimal policy is simply $\pi_\theta$. Moreover, since our procedure is equivalent to fitting a reparametrized Bradley-Terry model, it enjoys certain theoretical properties, such as consistencies under suitable assumption of the preference data distribution [@bong2022generalized]. In :ref{id="sec:theory"}, we further discuss theoretical properties of DPO in relation to other works. **What does the DPO update do?** For a mechanistic understanding of DPO, it is useful to analyze the gradient of the loss function $\mathcal{L}_\text{DPO}$. The gradient with respect to the parameters $\theta$ can be written as: $$ \begin{aligned} \nabla_\theta \mathcal{L}_\text{DPO}(\pi_\theta;\pi_\text{ref}) &= -\beta\,\mathbb{E}_{(x, y_w, y_l) \sim \mathcal{D}} \bigg[\underbrace{\sigma(\hat{r}_\theta(x, y_l) - \hat{r}_\theta (x, y_w))}_\text{higher weight when reward estimate is wrong} \\ &\qquad\quad \bigg[\underbrace{\nabla_\theta\log \pi(y_w \mid x)}_\text{increase likelihood of $y_w$} - \underbrace{\nabla_\theta\log\pi(y_l \mid x)}_\text{decrease likelihood of $y_l$}\bigg]\bigg], \end{aligned} $$ where $\hat{r}_\theta(x, y) = \beta \log \frac{\pi_\theta(y \mid x)}{\pi_\text{ref}(y \mid x)}$ is the reward implicitly defined by the language model $\pi_\theta$ and reference model $\pi_\text{ref}$ (more in :ref{id="sec:theory"}). Intuitively, the gradient of the loss function $\mathcal{L}_\text{DPO}$ increases the likelihood of the preferred completions $y_w$ and decreases the likelihood of dispreferred completions $y_l$. Importantly, the examples are weighed by how much higher the implicit reward model $\hat{r}_\theta$ rates the dispreferred completions, scaled by $\beta$, i.e, how incorrectly the implicit reward model orders the completions, accounting for the strength of the KL constraint. Our experiments suggest the importance of this weighting, as a naïve version of this method without the weighting coefficient can cause the language model to degenerate.`; // title, abstract, sections 1, 3 and 4 const theory = String.raw`## Theoretical Analysis of DPO {#sec:theory}Markdown样例 · 48行 · content.theory.en.md
### Your Language Model Is Secretly a Reward Model DPO is able to bypass both fitting an explicit reward and performing RL to learn the policy using a single maximum likelihood objective. Note the optimization objective Eq.~\eqref{eq:main} is equivalent to a Bradley-Terry model with a reward parameterization $r^*(x, y) = \beta \log\frac{\pi^*_\theta(y \mid x)}{\pi_\text{ref}(y \mid x)}$ and we optimize our parametric model $\pi_{\theta}$, equivalently to the reward model optimization in Eq.~\eqref{eq:reward-model} under the change of variables. In this section we will build the theory behind this reparameterization, show that it does not constrain the class of learned reward models, and allows for the exact recovery of the optimal policy. We begin with by defining an equivalence relation between reward functions. :::callout{type="definition" #def:equivalent} We say that two reward functions $r(x, y)$ and $r'(x, y)$ are equivalent iff $r(x, y)-r'(x, y) = f(x)$ for some function $f$. ::: It is easy to see that this is indeed an equivalence relation, which partitions the set of reward functions into classes. We can state the following two lemmas: :::callout{type="lemma" #lem:same-preference} Under the Plackett-Luce, and in particular the Bradley-Terry, preference framework, two reward functions from the same class induce the same preference distribution. ::: :::callout{type="lemma" #lem:same-policy} Two reward functions from the same equivalence class induce the same optimal policy under the constrained RL problem. ::: The proofs are straightforward and we defer them to Appendix :ref{id="app:lemmas" style="number"}. The first lemma is a well-known under-specification issue with the Plackett-Luce family of models [@plackett1975analysis]. The second lemma states that all reward functions from the same class yield the same optimal policy, hence for our final objective, we are only interested in recovering an arbitrary reward function from the optimal class. :::callout{type="theorem" #thm:main} Under mild assumptions, all reward classes consistent with the Plackett-Luce (and Bradley-Terry in particular) models can be represented with the reparameterization $r(x, y) = \beta \log \frac{\pi(y\mid x)}{\pi_\text{ref}(y\mid x)}$ for some model $\pi(y\mid x)$ and a given reference model $\pi_\text{ref}(y \mid x)$. ::: :::callout{type="sketch"} Consider any reward function $r(x, y)$, which induces a corresponding optimal model $\pi_r(y \mid x)$, specified by Eq.~\eqref{eq:op-policy}. We will show that a reward function from the equivalence class of $r$ can be represented using the reparameterization given above. We define the projection $f$ as $$ f(r; \pi_\text{ref}, \beta)(x, y) = r(x, y) - \beta\log\sum_{y}\pi_\text{ref}(y\mid x)\exp\left(\frac{1}{\beta}r(x, y)\right) \label{eq:projection} $$ The operator $f$ simply normalizes the reward function with the logarithm of the partition function of $\pi_r$. Since the added normalization term is only a function of the prefix $x$, $f(r; \pi_\text{ref}, \beta)(x, y)$ is a reward function in the equivalence class of $r(x, y)$. Finally, replacing $r$ with the RHS of Eq.~\eqref{eq:main} (which holds for any reward function), we have $f(r; \pi_\text{ref}, \beta)(x, y) = \beta \log \frac{\pi_r(y\mid x)}{\pi_\text{ref}(y\mid x)}$. That is, the projection $f$ produces a member of the equivalence class of $r$ with the desired form, and we do not lose any generality in our reward model from the proposed reparameterization. $\square$ ::: ## Experiments {#sec:experiments} ### Generalization to a new input distribution {startAt=3} To further compare the performance of PPO and DPO under distribution shifts, we evaluate the PPO and DPO policies from our Reddit TL;DR summarization experiment on a different distribution, news articles in the test split of the CNN/DailyMail dataset [@nallapati-etal-2016-abstractive], using the best sampling temperatures from TL;DR (0 and 0.25). The results are presented in :ref{id="ood" style="full"}. For this new distribution, DPO continues to outperform the PPO policy by a significant margin. ::resource{id="ood"} ## Discussion {#sec:discussion} Learning from preferences is a powerful, scalable framework for training capable, aligned language models. We have introduced DPO, a simple training paradigm for training language models from preferences without reinforcement learning. With virtually no tuning of hyperparameters, DPO performs similarly or better than existing RLHF algorithms, including those based on PPO; DPO thus meaningfully reduces the barrier to training more language models from human preferences. ## References {#sec:references style="back"} :::bibliography{title=""}`; // sections 5 to 7 and the place of the references const appendix = String.raw`## Mathematical Derivations {style="appendix" startAt=1}Markdown样例 · 60行 · content.appendix.en.md
### Deriving the Optimum of the KL-Constrained Reward Maximization Objective {#app:derivation style="appendix-sub"} In this appendix, we will derive Eq.~\eqref{eq:op-policy}. Analogously to Eq.~\eqref{eq:rl}, we optimize the following objective: $$ \max_{\pi} \mathbb{E}_{x\sim \mathcal{D}, y\sim \pi}\bigl[r(x, y)\bigr] - \beta\mathbb{D}_{\textrm{KL}}\bigl[\pi(y|x)||\pi_\text{ref}(y|x)\bigr] \label{eq:a-objective} $$ under any reward function $r(x,y)$, reference model $\pi_\text{ref}$ and a general non-parametric policy class. We now have: $$ \begin{align} &\max_{\pi} \mathbb{E}_{x\sim \mathcal{D}, y\sim \pi}\bigl[r(x, y)\bigr] - \beta\mathbb{D}_{\textrm{KL}}\bigl[\pi(y|x)\mid\mid\pi_\text{ref}(y|x)\bigr] \notag\\ &\quad=\max_{\pi} \mathbb{E}_{x\sim \mathcal{D}}\mathbb{E}_{y\sim \pi(y|x)}\left[r(x, y) - \beta\log\frac{\pi(y|x)}{\pi_\text{ref}(y|x)}\right] \notag\\ &\quad=\min_{\pi} \mathbb{E}_{x\sim \mathcal{D}}\mathbb{E}_{y\sim \pi(y|x)}\left[\log\frac{\pi(y|x)}{\pi_\text{ref}(y|x)} - \frac{1}{\beta}r(x, y)\right] \notag\\ &\quad=\min_{\pi} \mathbb{E}_{x\sim \mathcal{D}}\mathbb{E}_{y\sim \pi(y|x)}\left[\log\frac{\pi(y|x)}{\frac{1}{Z(x)}\pi_\text{ref}(y|x)\exp\left(\frac{1}{\beta}r(x, y)\right)} - \log Z(x)\right] \label{eq:rl-proof} \end{align} $$ where we have partition function: $$ Z(x) = \sum_{y}\pi_\text{ref}(y|x)\exp\left(\frac{1}{\beta}r(x, y)\right). $$ Note that the partition function is a function of only $x$ and the reference policy $\pi_\text{ref}$, but does not depend on the policy $\pi$. We can now define $$ \pi^*(y|x) = \frac{1}{Z(x)}\pi_\text{ref}(y|x)\exp\left(\frac{1}{\beta}r(x, y)\right), $$ which is a valid probability distribution as $\pi^*(y|x)\geq 0$ for all $y$ and $\sum_{y}\pi^*(y|x)=1$. Since $Z(x)$ is not a function of $y$, we can then re-organize the final objective in Eq.~\eqref{eq:rl-proof} as: $$ \begin{align} &\min_{\pi} \mathbb{E}_{x\sim \mathcal{D}}\left[\mathbb{E}_{y\sim \pi(y|x)}\left[\log\frac{\pi(y|x)}{\pi^*(y|x)}\right] - \log Z(x)\right]= \label{eq:a-min}\\ &\min_{\pi}\mathbb{E}_{x\sim\mathcal{D}}\left[\mathbb{D}_{\text{KL}}(\pi(y|x)\mid\mid\pi^*(y|x)) - \log Z(x)\right] \label{eq:a-kl} \end{align} $$ Now, since $Z(x)$ does not depend on $\pi$, the minimum is achieved by the policy that minimizes the first KL term. Gibbs’ inequality tells us that the KL-divergence is minimized at 0 if and only if the two distributions are identical. Hence we have the optimal solution: $$ \pi(y|x)= \pi^*(y|x) = \frac{1}{Z(x)}\pi_\text{ref}(y|x)\exp\left(\frac{1}{\beta}r(x, y)\right) \label{eq:a-optimum} $$ for all $x\in\mathcal{D}$. This completes the derivation. ### Proof of Lemma \ref{lem:same-preference} and \ref{lem:same-policy} {#app:lemmas style="appendix-sub" startAt=5} :::callout{type="restated"} ***:ref{id="lem:same-preference"} Restated.*** Under the Plackett-Luce preference framework, and in particular the Bradley-Terry framework, two reward functions from the same equivalence class induce the same preference distribution. ::: :::callout{type="proof"} We say that two reward functions $r(x, y)$ and $r'(x, y)$ are from the same equivalence class if $r'(x, y) = r(x, y) + f(x)$ for some function $f$. We consider the general Plackett-Luce (with the Bradley-Terry model a special case for $K=2$) and denote the probability distribution over rankings induced by a particular reward function $r(x, y)$ as $p_r$. For any prompt $x$, answers $y_1,\ldots, y_K$ and ranking $\tau$ we have: $$ \begin{aligned} p_{r'}(\tau| y_1,\ldots, y_K, x) &= \prod_{k=1}^{K}\frac{\exp(r'(x, y_{\tau(k)}))}{\sum_{j=k}^{K}\exp(r'(x, y_{\tau(j)}))} \\ &= \prod_{k=1}^{K}\frac{\exp(r(x, y_{\tau(k)}) + f(x))}{\sum_{j=k}^{K}\exp(r(x, y_{\tau(j)})+f(x))} \\ &= \prod_{k=1}^{K}\frac{\exp(f(x))\exp(r(x, y_{\tau(k)}))}{\exp(f(x))\sum_{j=k}^{K}\exp(r(x, y_{\tau(j)}))} \\ &= \prod_{k=1}^{K}\frac{\exp(r(x, y_{\tau(k)}))}{\sum_{j=k}^{K}\exp(r(x, y_{\tau(j)}))} \\ &= p_{r}(\tau| y_1,\ldots, y_K, x), \end{aligned} $$ which completes the proof. $\square$ ::: :::paragraphs{style="colophon"} Abridged and re-set for the Postext Cookbook from arXiv:2305.18290v3 (CC BY 4.0, https://creativecommons.org/licenses/by/4.0/). Sections 2 and 5.2, most of section 6 and appendices A.2–A.4, A.6 and B–E are cut; section numbers are the original ones, equations are renumbered. Figure 1 is redrawn in code. Set in Spectral, Work Sans and JetBrains Mono (SIL OFL); formulas by MathJax. :::`; // appendix A.1 and A.5 const references = String.raw`:::references{format=bibtex}Markdown样例 · 143行 · content.references.en.md
@article{chowdhery2022palm, author = {Chowdhery, A. and Narang, S. and Devlin, J. and others}, title = {{PaLM}: Scaling language modeling with pathways}, journal = {arXiv preprint arXiv:2204.02311}, year = {2022} } @inproceedings{brown2020language, author = {Brown, T. and Mann, B. and Ryder, N. and others}, title = {Language models are few-shot learners}, booktitle = {Advances in Neural Information Processing Systems}, volume = {33}, pages = {1877--1901}, year = {2020} } @article{touvron2023llama, author = {Touvron, H. and Lavril, T. and Izacard, G. and others}, title = {{LLaMA}: Open and efficient foundation language models}, journal = {arXiv preprint arXiv:2302.13971}, year = {2023} } @article{bubeck2023sparks, author = {Bubeck, S. and Chandrasekaran, V. and Eldan, R. and others}, title = {Sparks of artificial general intelligence: Early experiments with {GPT}-4}, journal = {arXiv preprint arXiv:2303.12712}, year = {2023} } @inproceedings{ouyang2022training, author = {Ouyang, L. and Wu, J. and Jiang, X. and others}, title = {Training language models to follow instructions with human feedback}, booktitle = {Advances in Neural Information Processing Systems}, volume = {35}, pages = {27730--27744}, publisher = {Curran Associates, Inc.}, year = {2022} } @article{bradley1952rankanalysis, author = {Bradley, R. A. and Terry, M. E.}, title = {Rank analysis of incomplete block designs: {I}. {The} method of paired comparisons}, journal = {Biometrika}, volume = {39}, number = {3/4}, pages = {324--345}, year = {1952}, doi = {10.2307/2334029} } @misc{ziegler2020finetuning, author = {Ziegler, D. M. and Stiennon, N. and Wu, J. and others}, title = {Fine-tuning language models from human preferences}, year = {2020} } @misc{stiennon2022learning, author = {Stiennon, N. and Ouyang, L. and Wu, J. and others}, title = {Learning to summarize from human feedback}, year = {2022} } @misc{bai2022training, author = {Bai, Y. and Jones, A. and Ndousse, K. and others}, title = {Training a helpful and harmless assistant with reinforcement learning from human feedback}, year = {2022} } @article{plackett1975analysis, author = {Plackett, R. L.}, title = {The analysis of permutations}, journal = {Journal of the Royal Statistical Society. Series C (Applied Statistics)}, volume = {24}, number = {2}, pages = {193--202}, year = {1975}, doi = {10.2307/2346567} } @book{luce2012individual, author = {Luce, R. D.}, title = {Individual choice behavior: A theoretical analysis}, publisher = {Courier Corporation}, year = {2012} } @inproceedings{jaques2017sequence, author = {Jaques, N. and Gu, S. and Bahdanau, D. and others}, title = {Sequence tutor: Conservative fine-tuning of sequence generation models with {KL}-control}, booktitle = {International Conference on Machine Learning}, pages = {1645--1654}, publisher = {PMLR}, year = {2017} } @article{jaques2020human, author = {Jaques, N. and Shen, J. H. and Ghandeharioun, A. and others}, title = {Human-centric dialog training via offline reinforcement learning}, journal = {arXiv preprint arXiv:2010.05848}, year = {2020} } @misc{schulman2017proximal, author = {Schulman, J. and Wolski, F. and Dhariwal, P. and others}, title = {Proximal policy optimization algorithms}, year = {2017} } @inproceedings{peters2007reinforcement, author = {Peters, J. and Schaal, S.}, title = {Reinforcement learning by reward-weighted regression for operational space control}, booktitle = {Proceedings of the 24th International Conference on Machine Learning}, pages = {745--750}, year = {2007} } @article{peng2019advantage, author = {Peng, X. B. and Kumar, A. and Zhang, G. and Levine, S.}, title = {Advantage-weighted regression: Simple and scalable off-policy reinforcement learning}, journal = {arXiv preprint arXiv:1910.00177}, year = {2019} } @inproceedings{korbak2022reinforcement, author = {Korbak, T. and Elsahar, H. and Kruszewski, G. and Dymetman, M.}, title = {On reinforcement learning and distribution matching for fine-tuning language models with no catastrophic forgetting}, booktitle = {Advances in Neural Information Processing Systems}, volume = {35}, pages = {16203--16220}, publisher = {Curran Associates, Inc.}, year = {2022} } @inproceedings{go2023aligning, author = {Go, D. and Korbak, T. and Kruszewski, G. and others}, title = {Aligning language models with preferences through f-divergence minimization}, booktitle = {Proceedings of the 40th International Conference on Machine Learning}, series = {ICML'23}, publisher = {JMLR.org}, year = {2023} } @inproceedings{bong2022generalized, author = {Bong, H. and Rinaldo, A.}, title = {Generalized results for the existence and consistency of the {MLE} in the {Bradley-Terry-Luce} model}, booktitle = {International Conference on Machine Learning}, note = {arXiv:2110.11487}, year = {2022} } @inproceedings{nallapati-etal-2016-abstractive, author = {Nallapati, R. and Zhou, B. and dos Santos, C. and others}, title = {Abstractive text summarization using sequence-to-sequence {RNN}s and beyond}, booktitle = {Proceedings of the 20th {SIGNLL} Conference on Computational Natural Language Learning}, pages = {280--290}, address = {Berlin, Germany}, publisher = {Association for Computational Linguistics}, year = {2016}, doi = {10.18653/v1/K16-1028} } :::`; // the works the kept text cites, as BibTeX const source = [markdown, theory, appendix, references].join('\n\n'); const ood = { headerRowCount: 2, columnWidths: [1, 1, 1], rows: [ ['', { content: 'Win rate vs. ground truth', colSpan: 2 }], ['Alg.', 'Temp 0', 'Temp 0.25'], ['DPO', '0.36', '0.31'], ['PPO', '0.26', '0.23'], ].map((row) => row.map((c) => ({ align: 'center', ...(typeof c === 'string' ? { content: c } : c) }))) }; const PX_PER_MM = 10; const resources = () => [ { id: 'sigmoids', typeId: 'figure', kind: 'svg', createdAt: 0, updatedAt: 0, svg: { fileId: 'sigmoids.svg', width: 108 * PX_PER_MM, height: 24 * PX_PER_MM }, caption: '', altText: 'Logistic curves of growing steepness.' }, { id: 'pipeline', typeId: 'figure', kind: 'svg', createdAt: 0, updatedAt: 0, svg: { fileId: 'pipeline.svg', width: MEASURE * PX_PER_MM, height: 64 * PX_PER_MM }, placement: { position: 'top' }, caption: '**DPO optimizes for human preferences while avoiding reinforcement learning.** ' + 'Existing methods for fine-tuning language models with human feedback first fit a ' + 'reward model to a dataset of prompts and human preferences over pairs of responses, ' + 'and then use RL to find a policy that maximizes the learned reward. In contrast, DPO ' + 'directly optimizes for the policy best satisfying the preferences with a simple ' + 'classification objective, fitting an *implicit* reward model whose corresponding ' + 'optimal policy can be extracted in closed form.', note: 'Redrawn from Figure 1 of Rafailov et al. (2023).', altText: 'Two pipelines side by side. RLHF: preference data, a reward model fitted by ' + 'maximum likelihood, then a loop of sampling and reinforcement learning. DPO: ' + 'preference data straight to the final language model by maximum likelihood.' }, { id: 'ood', typeId: 'table', kind: 'table', createdAt: 0, updatedAt: 0, table: { model: ood }, placement: { position: 'here', width: 0.5, align: 'center' }, caption: 'GPT-4 win rates vs. ground truth summaries for out-of-distribution ' + 'CNN/DailyMail input articles.' }, ]; // #region art: σ(βu) on the band, and Figure 1, its words in Work Sans carried in the SVG const R = (x) => Math.round(x * 100) / 100; const svg = (w, h, body) => `<svg xmlns="http://www.w3.org/2000/svg" width="${w * PX_PER_MM}" ` + `height="${h * PX_PER_MM}" viewBox="0 0 ${w} ${h}">${body}</svg>`; function sigmoids() { // 108 × 24 mm over the kicker: σ(βu) for β from 0.25 to 4 let out = ''; [0.25, 0.4, 0.6, 1, 1.6, 2.5, 4].forEach((beta, i) => { const pts = Array.from({ length: 105 }, (_, k) => { const u = (k - 52) / 8; // u from −6.5 to 6.5 return `${k ? 'L' : 'M'}${R(2 + k)} ${R(22 - 20 / (1 + Math.exp(-beta * u)))}`; }).join(''); out += `<path d="${pts}" fill="none" stroke="${palette.mist}" stroke-width="${R(0.3 + i * 0.06)}" stroke-opacity="${R(0.25 + i * 0.1)}"/>`; }); return svg(108, 24, out); } async function inlineFace(family, weight) { // a face an SVG image can use (svg-no-webfonts) const id = family.toLowerCase().replace(/\s+/g, '-'); const url = `https://cdn.jsdelivr.net/npm/@fontsource/${id}@5/files/${id}-latin-${weight}` + '-normal.woff2'; const bytes = new Uint8Array(await (await fetch(url)).arrayBuffer()); let bin = ''; for (const b of bytes) bin += String.fromCharCode(b); return `@font-face{font-family:'${family}';font-weight:${weight};` + `src:url(data:font/woff2;base64,${btoa(bin)})}`; } function tex(markup, x, y, size, color = 'ink', anchor = 0) { // maths as MathJax paths const r = renderMath(markup, false, 100); const k = size / 1000; return `<g transform="translate(${R(x - anchor * r.viewBox.width * k)} ${R(y)}) scale(${k})" ` + `fill="${palette[color]}">${r.paths.map((p) => `<path d="${p.d}"/>`).join('')}</g>`; } const words = (x, y, s, { size = 2.6, weight = 400, color = 'ink', anchor = 'start' } = {}) => `<text x="${R(x)}" y="${R(y)}" font-family="${SANS}" font-weight="${weight}" ` + `font-size="${size}" fill="${palette[color]}" text-anchor="${anchor}">${s}</text>`; const rect = (x, y, w, h, stroke, fill = 'paper', r = 1.2) => `<rect x="${x}" y="${y}" ` + `width="${w}" height="${h}" rx="${r}" fill="${palette[fill]}" stroke="${palette[stroke]}" ` + 'stroke-width="0.35"/>'; function arrow(points, color) { // a line with a drawn head, never an SVG marker const [[x1, y1], [x2, y2]] = points.slice(-2); const a = Math.atan2(y2 - y1, x2 - x1); const head = [a - 0.45, a + 0.45].map((t) => `${R(x2 - 2 * Math.cos(t))} ${R(y2 - 2 * Math.sin(t))}`); return `<path d="M${points.map(([x, y]) => `${R(x)} ${R(y)}`).join('L')}" fill="none" ` + `stroke="${palette[color]}" stroke-width="0.45"/><path d="M${head[0]}L${R(x2)} ${R(y2)}` + `L${head[1]}Z" fill="${palette[color]}"/>`; } function preferences(x, y, w) { // a prompt and two answers, the preferred one first const page = (dx) => rect(x + dx, y + 15.5, 6, 7.2, 'rule', 'paper', 0.6) + [0, 1, 2].map((l) => `<path d="M${x + dx + 1.2} ${y + 17.6 + l * 1.6}h3.6" ` + `stroke="${palette.rule}" stroke-width="0.4"/>`).join(''); return rect(x, y, w, 25, 'rule', 'tint') + words(x + 2.4, y + 4.6, 'PREFERENCE DATA', { size: 2.1, weight: 600, color: 'muted' }) + tex('x', x + 2.4, y + 9.8, 3) + words(x + 4.3, y + 9.8, ': “write me a poem about', { size: 2.25 }) + words(x + 5.2, y + 13, 'the history of jazz”', { size: 2.25 }) + page(2.4) + tex('y_w', x + 9.4, y + 20.6, 3) + tex('\\succ', x + 14, y + 20.4, 3, 'accent') + page(18.4) + tex('y_l', x + 25.4, y + 20.6, 3); } function pipeline(face) { // 130 × 64 mm: RLHF on the left, DPO on the right const title = (x, name, sub, color) => words(x, 4, name, { size: 3.2, weight: 600, color }) + words(x, 8, sub, { size: 2.3, color: 'muted' }); const model = (x, y, w, label, color) => rect(x, y, w, 9, color) + words(x + w / 2, y + 5.8, label, { size: 2.6, weight: 600, color, anchor: 'middle' }); const note = (x, y, lines, color, anchor) => lines.map((line, i) => words(x, y + i * 3, line, { size: 2.3, color, anchor })).join(''); return svg(MEASURE, 64, `<style>${face}</style>` + title(0, 'RLHF', 'Reinforcement learning from human feedback', 'ochre') + preferences(0, 14, 32) + arrow([[33, 26.5], [48, 26.5]], 'ochre') + note(40.5, 22.4, ['maximum'], 'ochre', 'middle') + note(40.5, 31.4, ['likelihood'], 'ochre', 'middle') + model(49, 22, 25, 'reward model', 'ochre') + model(49, 50, 25, 'LM policy', 'ochre') + arrow([[55, 31.5], [55, 49]], 'ochre') + note(53.4, 41.6, ['label rewards,', 'reinforcement', 'learning'], 'ochre', 'end') + arrow([[68, 49], [68, 31.5]], 'ochre') + note(69.6, 39, ['sample', 'completions'], 'ochre') + `<path d="M88 2V62" stroke="${palette.rule}" stroke-width="0.3"/>` + title(93, 'DPO', 'Direct preference optimization', 'accent') + preferences(93, 14, 37) + arrow([[111.5, 39.5], [111.5, 49]], 'accent') + note(113.2, 43.4, ['maximum', 'likelihood'], 'accent', 'start') + model(99, 50, 25, 'final LM', 'accent')); } // #endregion // ─── 3 · Fonts ────────────────────────────────────────────────────────────── const FONTS = { // every face the pages paint, loaded before the first build (gotcha: fonts-first) Spectral: ['400', '400i', '600', '700', '700i'], 'Work Sans': ['400', '400i', '500', '600', '700'], 'JetBrains Mono': ['400'], }; // ─── 4 · Build & show ─────────────────────────────────────────────────────── await initMathEngine(); // gotcha: math-bundle. Unawaited, formulas paint as grey boxes await loadFonts(FONTS, source); await loadSvg('sigmoids.svg', sigmoids()); await loadSvg('pipeline.svg', pipeline(await inlineFace(SANS, 400) + await inlineFace(SANS, 600))); const content = () => ({ markdown: source, resources: resources() }); const doc = await buildWithFonts(() => buildDocument(content(), config()), source); showPages(doc, { title: 'Machine-learning paper with theorems and proofs' }); offerPdf(() => renderToPdf(doc, { fontProvider: fontsourceProvider, resourceBytes: imageBytes }), `${RECIPE}.pdf`); // text in the Fontsource faces; formulas and figures as vector paths工具包 · core, fonts, viewer, pdf, images:每道食谱都相同 · 310行
// ─── Kit ── helpers shared by every Cookbook recipe · postext.dev/cookbook ───── // ─── Kit · core v1 ── the same in every recipe · postext.dev/cookbook ───────── function mm(value) { return { value, unit: 'mm' }; } function pt(value) { return { value, unit: 'pt' }; } function em(value) { return { value, unit: 'em' }; } /** The sample language's string: t({ en: 'Figure', es: 'Figura' }). */ function t(strings) { return strings[LANG] ?? Object.values(strings)[0]; } /** A file in this recipe's assets folder, served from the Postext repo by jsDelivr. */ function asset(file) { return `https://cdn.jsdelivr.net/gh/drnachio/postext@main/cookbook/${RECIPE}/assets/${file}`; } // ─── Kit · fonts v1 ── the same in every recipe · postext.dev/cookbook ──────── // Postext measures text with the faces the browser has loaded, and caches the // widths, so every face must be ready before the first build. Faces come from // Fontsource: the same static files the PDF embeds, so screen and PDF agree. /** faces = { 'Family Name': ['400', '400i', '700'] }. `text` is the sample: * letters beyond Latin-1 (č, ł, ő…) also load the latin-ext files. With * `optional`, a face Fontsource does not ship is skipped instead of failing. * Resolves to the number of faces added. */ async function loadFonts(faces, text = '', { optional = false } = {}) { kitStatus('Loading fonts…'); const ranges = { latin: 'U+0000-00FF,U+0131,U+0152-0153,U+02BB-02BC,U+02C6,U+02DA,U+02DC,U+0304,U+0308,U+0329,' + 'U+2000-206F,U+20AC,U+2122,U+2191,U+2193,U+2212,U+2215,U+FEFF,U+FFFD', 'latin-ext': 'U+0100-02BA,U+02BD-02C5,U+02C7-02CC,U+02CE-02D7,U+02DD-02FF,U+0304,U+0308,U+0329,' + 'U+1D00-1DBF,U+1E00-1E9F,U+1EF2-1EFF,U+2020,U+20A0-20AB,U+20AD-20C0,U+2113,U+2C60-2C7F,U+A720-A7FF', }; const subsets = /[Ā-˿Ḁ-ỿ]/.test(text) ? ['latin', 'latin-ext'] : ['latin']; const jobs = []; let added = 0; for (const [family, specs] of Object.entries(faces)) { const id = fontsourceId(family); const meta = optional ? await fontsourceMeta(family) : null; for (const spec of new Set(specs)) { const weight = parseInt(spec, 10); const style = spec.endsWith('i') ? 'italic' : 'normal'; if (hasFace(family, weight, style)) continue; if (optional && !(meta?.weights.includes(weight) && meta.styles.includes(style))) continue; for (const subset of subsets) { const url = `https://cdn.jsdelivr.net/npm/@fontsource/${id}@5/files/${id}-${subset}-${weight}-${style}.woff2`; const face = new FontFace(family, `url(${url}) format('woff2')`, { weight: String(weight), style, unicodeRange: ranges[subset] }); jobs.push(face.load().then((ready) => { document.fonts.add(ready); added++; }, () => { if (subset === 'latin' && !optional) throw new Error(`Fontsource has no ${family} ${weight} ${style}`); })); } } } await Promise.all(jobs).catch((error) => { kitFail(error); throw error; }); return added; } /** Runs `build` (a buildDocument or buildBundle call) and checks the faces * the pages use. A regular face missing from FONTS is loaded with a warning; * bold and italic variants are loaded when the family ships them. Then the * measurement caches are cleared and the build runs again. */ async function buildWithFonts(build, text = '') { const tried = new Set(); for (let round = 0; round < 3; round++) { kitStatus('Laying out…'); await new Promise(requestAnimationFrame); // let the status paint first const result = await Promise.resolve().then(build).catch((error) => { kitFail(error); throw error; }); const wanted = { base: {}, variants: {} }; for (const { font, base } of [result].flat().flatMap(fontStringsOf)) { const { family, weight, style } = parseFont(font); const key = `${family}|${weight}|${style}`; if (tried.has(key) || hasFace(family, weight, style)) continue; tried.add(key); (wanted[base ? 'base' : 'variants'][family] ??= []).push(`${weight}${style === 'italic' ? 'i' : ''}`); } if (Object.keys(wanted.base).length) { console.warn(`[cookbook] FONTS does not list ${JSON.stringify(wanted.base)}: loading them.`); } const added = await loadFonts(wanted.base, text) + await loadFonts(wanted.variants, text, { optional: true }); if (added === 0) return result; clearMeasurementCache(); } throw new Error('The fonts did not settle after three builds.'); } /** Every font string of the layout. `base` marks a block's own face; its * bold, italic and bold-italic variants are listed whether or not used. */ function fontStringsOf(doc) { const found = new Map(); const walk = (node) => { if (!node || typeof node !== 'object') return; if (Array.isArray(node)) { node.forEach(walk); return; } for (const [key, value] of Object.entries(node)) { if (typeof value === 'string' && /fontString$/i.test(key)) { found.set(value, found.get(value) || key === 'fontString'); } else if (value && typeof value === 'object') walk(value); } }; walk(doc.pages); walk(doc.blocks); return [...found].map(([font, base]) => ({ font, base })); } /** '700 37.5px Open Sans' / 'italic 400 13px "Source Serif 4"' → { family, weight, style }. * A string with no weight ('95.8px Young Serif', from a design text) is 400. */ function parseFont(font) { const m = /^(?:(italic|oblique)\s+)?(?:small-caps\s+)?(?:(\d+|bold|normal)\s+)?[\d.]+px\s+(.+)$/.exec(font.trim()); if (!m) throw new Error(`Unexpected font string: ${font}`); const weight = m[2] === 'bold' ? 700 : !m[2] || m[2] === 'normal' ? 400 : Number(m[2]); return { family: m[3].replace(/^["']|["']$/g, ''), weight, style: m[1] ? 'italic' : 'normal' }; } /** True when a loaded FontFace covers exactly this family, weight and style * (document.fonts.check() is also true for families nobody declared). */ function hasFace(family, weight, style) { for (const face of document.fonts) { if (face.status !== 'loaded' || face.style !== style) continue; if (face.family.replace(/^["']|["']$/g, '') !== family) continue; const [low, high = low] = face.weight.split(' ').map(Number); if (weight >= low && weight <= high) return true; } return false; } /** Fontsource's id for a family: 'Source Serif 4' → 'source-serif-4'. */ function fontsourceId(family) { return family.toLowerCase().replace(/\s+/g, '-'); } /** The weights and styles a family ships ({ weights: [400, 700], styles: ['normal', 'italic'] }), or null. */ function fontsourceMeta(family) { fontsourceMeta.cache ??= new Map(); const id = fontsourceId(family); if (!fontsourceMeta.cache.has(id)) { fontsourceMeta.cache.set(id, fetch(`https://api.fontsource.org/v1/fonts/${id}`) .then((res) => (res.ok ? res.json() : null), () => null)); } return fontsourceMeta.cache.get(id); } // ─── Kit · viewer v1 ── the same in every recipe · postext.dev/cookbook ─────── /** Shows the pages as facing spreads on a dark desk: the first page is a * recto on its own, then verso | recto pairs, as in a bound book. Pages * are painted when they scroll near the screen. */ function showPages(docs, { title, width = 460 } = {}) { const root = viewer(title); const pages = [docs].flat().flatMap((doc) => doc.pages.map((page) => ({ doc, page, n: (doc.pageIndexOffset ?? 0) + page.index }))); const spreads = []; let verso = null; for (const p of pages) { if (p.n % 2 === 1) { if (verso) spreads.push([verso, null]); verso = p; } else { spreads.push([verso, p]); verso = null; } } if (verso) spreads.push([verso, null]); const density = Math.min(window.devicePixelRatio || 1, 2); showPages.painter?.disconnect(); const painter = new IntersectionObserver((entries) => { for (const { isIntersecting, target } of entries) { if (!isIntersecting) continue; painter.unobserve(target); const { doc, page } = target.postext; renderPageToCanvas(page, doc, target, { scale: (width * density) / page.width }); } }, { rootMargin: '800px' }); showPages.painter = painter; root.replaceChildren(...spreads.map((pair) => { const spread = document.createElement('div'); spread.className = 'pt-spread'; for (const p of pair) { const figure = document.createElement('figure'); if (p) { const label = p.page.pageLabel || String(p.n + 1); const canvas = document.createElement('canvas'); canvas.postext = p; canvas.style.aspectRatio = `${p.page.width} / ${p.page.height}`; canvas.setAttribute('role', 'img'); canvas.setAttribute('aria-label', `Page ${label}`); const folio = document.createElement('figcaption'); folio.textContent = label; figure.append(canvas, folio); painter.observe(canvas); } else figure.className = 'pt-blank'; spread.append(figure); } return spread; })); kitStatus(`${pages.length} ${pages.length === 1 ? 'page' : 'pages'}`); document.documentElement.dataset.postext = 'ready'; return pages.length; } /** The desk, the bar and the error reporting, created once. */ function viewer(title) { if (!document.getElementById('pt-kit')) { document.head.insertAdjacentHTML('beforeend', `<style id="pt-kit"> :root { color-scheme: dark; } body { margin: 0; background: #0e1014; color: #b9bcc4; font: 13px/1.45 system-ui, sans-serif; } #pt-bar { position: sticky; top: 0; z-index: 1; display: flex; flex-wrap: wrap; align-items: center; gap: 6px 16px; padding: 10px 16px; background: rgb(14 16 20 / .92); backdrop-filter: blur(6px); border-bottom: 1px solid #23262d; } #pt-bar strong { color: #f4f1ea; font-weight: 600; } #pt-actions { display: flex; gap: 12px; margin-left: auto; } #pt-actions a, #pt-actions button { color: #d8a21a; font: inherit; background: none; border: 0; padding: 0; cursor: pointer; } #pages { display: grid; justify-items: center; gap: 48px; padding: 32px 16px 72px; } .pt-spread { display: flex; } .pt-spread figure { margin: 0; width: min(460px, 44vw); } .pt-spread canvas { display: block; width: 100%; background: #fff; box-shadow: 0 1px 2px rgb(0 0 0 / .5), 0 22px 44px -16px rgb(0 0 0 / .8); } .pt-spread figure:first-child canvas { box-shadow: inset -14px 0 14px -14px rgb(0 0 0 / .18), 0 1px 2px rgb(0 0 0 / .5), 0 22px 44px -16px rgb(0 0 0 / .8); } .pt-spread figcaption { margin-top: 10px; text-align: center; font: 600 10px/1 system-ui, sans-serif; letter-spacing: .18em; text-transform: uppercase; color: #6c7079; } .pt-blank { visibility: hidden; } @media (max-width: 760px) { .pt-spread { flex-direction: column; gap: 32px; } .pt-spread figure { width: min(460px, 92vw); } .pt-blank { display: none; } } </style>`); document.body.insertAdjacentHTML('afterbegin', '<header id="pt-bar"><strong id="pt-title"></strong><span id="pt-status" role="status"></span><span id="pt-actions"></span></header>'); document.getElementById('pt-title').textContent = document.title || 'Postext'; addEventListener('error', (event) => kitFail(event.error ?? event.message)); addEventListener('unhandledrejection', (event) => kitFail(event.reason)); } if (title) document.getElementById('pt-title').textContent = title; return document.getElementById('pages') ?? document.body.appendChild(Object.assign(document.createElement('main'), { id: 'pages' })); } function kitStatus(text) { viewer(); document.getElementById('pt-status').textContent = text; } function kitFail(error) { document.documentElement.dataset.postext = 'error'; kitStatus(`Error: ${error?.message ?? error}`); } // ─── Kit · pdf v1 ── the same in every recipe that exports a PDF ────────────── /** postext-pdf embeds TrueType bytes. Fetch the Fontsource file the screen * used, snapping to a weight the family ships and falling back to upright * when it has no italic: the PDF asks for every face a block could use. */ async function fontsourceProvider(family, weight, style) { const id = fontsourceId(family); const meta = await fontsourceMeta(family); const weights = meta?.weights?.length ? meta.weights : [400, 700]; const w = weights.reduce((a, b) => (Math.abs(b - weight) < Math.abs(a - weight) ? b : a)); const s = style === 'italic' && meta && !meta.styles.includes('italic') ? 'normal' : style; const res = await fetch(`https://cdn.jsdelivr.net/npm/@fontsource/${id}@5/files/${id}-latin-${w}-${s}.woff2`); if (!res.ok) throw new Error(`Fontsource has no ${family} ${w} ${s} (${res.status})`); return decompressWoff2(new Uint8Array(await res.arrayBuffer())); } /** A "Build the PDF" button in the bar. Once built: "Open the PDF" (a new * tab, since CodePen's preview frame cannot show PDFs) and a download link. */ function offerPdf(makePdf, filename) { viewer(); const button = Object.assign(document.createElement('button'), { type: 'button', textContent: 'Build the PDF' }); button.dataset.postextPdf = filename; button.addEventListener('click', async () => { button.disabled = true; button.textContent = 'Building the PDF…'; try { const bytes = await makePdf(); const url = URL.createObjectURL(new Blob([bytes], { type: 'application/pdf' })); const size = `${Math.max(1, Math.round(bytes.length / 1024))} KB`; button.replaceWith( Object.assign(document.createElement('a'), { href: url, target: '_blank', rel: 'noopener', textContent: 'Open the PDF ↗' }), Object.assign(document.createElement('a'), { href: url, download: filename, textContent: `Download ${filename} · ${size}` })); } catch (error) { button.disabled = false; button.textContent = 'Build the PDF'; kitFail(error); } }); document.getElementById('pt-actions').append(button); } // ─── Kit · images v1 ── recipes with pictures · postext.dev/cookbook ────────── /** Registers a photo or PNG for the canvas and keeps its bytes for the PDF. * fetch → ImageBitmap never taints the canvas (a plain cross-origin <img> would). */ async function loadImage(fileId, url) { const res = await fetch(url); if (!res.ok) throw new Error(`Image not found (${res.status}): ${url}`); const bytes = new Uint8Array(await res.arrayBuffer()); registerResourceImage(fileId, await createImageBitmap(new Blob([bytes]))); (loadImage.bytes ??= new Map()).set(fileId, bytes); } /** Registers SVG markup (drawn in code, or fetched) as a vector image. */ async function loadSvg(fileId, svg) { const img = new Image(); img.src = `data:image/svg+xml;charset=utf-8,${encodeURIComponent(svg)}`; await img.decode(); registerResourceImage(fileId, img); (loadImage.bytes ??= new Map()).set(fileId, new TextEncoder().encode(svg)); } /** renderToPdf({ resourceBytes: imageBytes }) */ function imageBytes(fileId) { return loadImage.bytes?.get(fileId); } /** renderToHtml({ resourceImageUrl: imageUrl }) */ function imageUrl(fileId) { const bytes = imageBytes(fileId); if (!bytes) return undefined; imageUrl.urls ??= new Map(); if (!imageUrl.urls.has(fileId)) { const type = /\.svg$/i.test(fileId) ? 'image/svg+xml' : /\.png$/i.test(fileId) ? 'image/png' : 'image/jpeg'; imageUrl.urls.set(fileId, URL.createObjectURL(new Blob([bytes], { type }))); } return imageUrl.urls.get(fileId); } // ─── /Kit ───────────────────────────────────────────────────────────────────────
组合好的script.js可以直接运行:把它粘贴到任何页面的模块脚本中,或在CodePen上打开这道食谱。 GitHub上的食谱文件夹 ↗ (在新标签页中打开)
变化
#像NeurIPS模板那样用数字引用
原论文用natbib的数字引用;IEEE在正文中印[1],文献表按引用顺序编号。
-const citations = { style: 'harvard-cite-them-right', link: true,
+const citations = { style: 'ieee', link: true,#引理和定理统一编号
有些期刊把所有命题排成一个序列(引理1、引理2、定理3),就像\newtheorem{lemma}[theorem]那样。让引理使用定理的计数器。
- { id: 'lemma', numbering: { label: 'Lemma' } }, // counter: 'theorem' would share one sequence
+ { id: 'lemma', numbering: { label: 'Lemma', counter: 'theorem' } },常见问题
易错点
数学公式需要https://esm.sh/postext?bundle和initMathEngine()
从https://esm.sh/postext导入时,公式会画成灰色方框,而且不报错。所有符号都从https://esm.sh/postext?bundle导入,不要混用两个URL,并在首次构建前await initMathEngine()。 数学 →
易错点
SVG <img>中的文字不能使用网络字体
SVG作为图像绘制,而图像无法使用页面的网络字体,所以其中的标签会退回系统字体。把文字转成轮廓,在SVG中嵌入@font-face子集,或者把标签移到题注里。 作为资源的图和表 →
易错点
传入任何headings对象都会关掉H1换页
默认情况下,H1换页到右页(always-odd),但只要传入headings对象,这个默认值就会被重置,于是各章接排,span: 'page'也不起作用。在每份配置中重新写明headings.levels[0].breakBefore: { enabled: true, parity }。 从右页开始的章 →
易错点
frontmatter的每个值都加引号
YAML会把title: 1984读成数字,把日期读成Date对象;非字符串的值在占位符中打印为空,PDF也会没有标题。每个值都加引号:title: "1984"。 文档元数据 →
易错点
排版前加载所有字体
排版用浏览器已加载的字体测量文字,并缓存宽度,所以首次构建之后才到的字体会造成断行错误,PDF也不再与屏幕一致。先加载所有字重和样式;有字体迟到时,重新构建前调用clearMeasurementCache()。 排版前加载字体 →
易错点
配置按对象身份缓存:每次新建一个对象
引擎按对象身份缓存解析后的配置,所以就地修改配置再构建,会复用旧的结果。每次构建都新建一个对象,这也是食谱的配置写成工厂函数config()的原因。 在Canvas上绘制页面 →
- 在证明样式上设
endMark: '□',方块会排在最后一行右端,但用的是框内正文的字体。Spectral没有□(Fontsource正文字体的latin文件都不含这个字符),屏幕上会借用系统字形,PDF里则印出缺字框。请在证明末尾写$\square$,或选一个字体能排的结束符。 - 栏平衡会在标题上方加基线网格行,把被高公式留短的页面填满。
balancing: { maxLinesPerHeading: 1 }让论文的标题基本保持原有间距,这样的页面可能会提前几行结束。 \underbrace的说明文字比括号还宽时(如第4节的梯度公式),需要用aligned拆成两行;比版心宽的公式会向右溢出。
致谢
- 文本
- Abridged from Rafailov, R., Sharma, A., Mitchell, E., Ermon, S., Manning, C. D. and Finn, C. (2023) “Direct Preference Optimization: Your Language Model is Secretly a Reward Model”, Advances in Neural Information Processing Systems 36 (NeurIPS 2023), arXiv:2305.18290v3. Sections 2 and 5.2, most of 6 and appendices A.2–A.4, A.6 and B–E cut, other paragraphs and sentences shortened; section numbers kept, equations renumbered in the abridged order; citations re-set author–year; Figure 1 redrawn · Rafael Rafailov, Archit Sharma, Eric Mitchell, Stefano Ermon, Christopher D. Manning, Chelsea Finn · CC BY 4.0
- 字体
- Spectral (SIL OFL 1.1) · Work Sans (SIL OFL 1.1) · JetBrains Mono (SIL OFL 1.1)


