README.md

---
language:
- en
library_name: transformers
license: cc-by-4.0
tags:
- kl3m
- kl3m-002
- legal
- financial
- enterprise
- slm
- gpt-neox
date: '2024-02-20T00:00:00.000Z'
pipeline_tag: text-generation
widget:
 - text: "Medical devices are regulated by"
 - temperature: 0.3
 - do_sample: True
---

# kl3m-002-170m

kl3m-002-170m is a (very) small language model (SLM) trained on clean, legally-permissible data. Originally 
developed by [273 Ventures](https://273ventures.com) and donated to the [ALEA Institute](https://aleainstitute.ai), 
kl3m-002-170m was the first LLM to obtain the [Fairly Trained L-Certification](https://www.fairlytrained.org/certifications)
for its ethical training data and practices. The model is designed for legal, regulatory, and financial workflows,
with a focus on low toxicity and high efficiency.

Given its small size and lack of instruction-aligned training data, kl3m-002-170m is best suited for use either in
SLM fine-tuning or as part of training larger models without using unethical data or models.

## Model Details

- **Architecture**: GPT-NeoX (i.e., ~GPT-3 architecture)
- **Size**: 170 million parameters
- **Hidden Size**: 1024
- **Layers**: 16
- **Attention Heads**: 16
- **Key-Value Heads**: 8
- **Intermediate Size**: 1024
- **Max Sequence Length**: 4,096 tokens (true size, no sliding window)
- **Tokenizer**: [kl3m-001-32k](https://huggingface.co/alea-institute/kl3m-001-32k) BPE tokenizer (32,768 vocabulary size with unorthodox whitespace handling)
- **Language(s)**: Primarily English
- **Training Objective**: Next token prediction
- **Developed by**: Originally by [273 Ventures LLC](https://273ventures.com), donated to [ALEA Institute](https://aleainstitute.ai)
- **License**: [CC-BY 4.0](https://creativecommons.org/licenses/by/4.0/)
- **Hardware Requirements**: Runs real-time in fp32 on MacBook Air M1

## Use Cases

kl3m-002-170m is particularly effective for:

- Basic regulatory question answering
- Contract provision drafting
- Structured JSON information extraction
- Foundation for downstream optimization
- Base model for domain-specific fine-tuning

## Performance

### Perplexity Scores
| Dataset        | Score  |
|---------------|--------|
| Wiki          | 19.58  |
| CNN/Daily Mail| 11.20  |
| Legal Domain  | 2.31   |

The model demonstrates particularly strong per-parameter performance on legal domain content, outperforming many 
larger models as of its training data.

## Key Features

- **Clean Training Data**: Built on what was originally referred to as the Kelvin Legal DataPack, ensuring all training data is ethically sourced and legally permissible.
- **Low Toxicity**: [Empirically lower toxicity and bias](https://github.com/alea-institute/kl3m-toxicity)
- **Enterprise Focus**: Specifically designed for legal, regulatory, and financial workflows.
- **Efficient Deployment**: Optimized for real-time inference on consumer hardware.

## Usage

Basic usage for text generation:

```python
import json
from transformers import pipeline

# Load the model and tokenizer
p = pipeline('text-generation', 'alea-institute/kl3m-002-170m', device='cpu')

# Example usage on CPU
text = "Under this"
print(
    json.dumps(
        [
            r.get("generated_text")
            for r in p(text, do_sample=True, temperature=0.5, num_return_sequences=3, max_new_tokens=32)
        ], 
        indent=2
    )
)
```

```json
[
  "Under this proposed rule, the Federal agency must determine the effect on State, local, and",
  "Under this proposed rule, we are proposing to amend the definition of \u201ccovered product\u201d in ",
  "Under this proposed rule, the FAA is considering issuing this proposed rule after evaluating the information"
]
```

### Contract Example

```python
text = "Governing Law.\n"
print(
    json.dumps(
        [
            r.get("generated_text")
            for r in p(text, do_sample=True, temperature=0.3, num_return_sequences=3, max_new_tokens=32)
        ], 
        indent=2
    )
)
```

```json
[
  "Governing Law.\n The provisions of the Plan shall be construed and enforced in accordance with",
  "Governing Law.\n The laws of the State of Delaware shall govern the validity, construction, and",
  "Governing Law.\n The laws of the State of New York shall govern the validity, construction, enforcement"
]
```

### Generation Parameters

The model supports various parameters to control the generation process:

- `temperature`: Controls randomness (lower = more deterministic)
- `top_p`: Nucleus sampling parameter (lower = more focused)
- `top_k`: Limits vocabulary selection to top k tokens
- `max_new_tokens`: Maximum number of tokens to generate
- `do_sample`: Whether to use sampling vs. greedy decoding
- `num_return_sequences`: Number of different sequences to generate

## Training

The model was originally trained between November 2023 and January 2024 on a 12xRTX4090 node in DDP. A similar model is
being provided with complete source and data replication as part of the `kl3m-004` family to be released in Q4 2024.

The model implements several techniques during training:

- Hybrid NTP and SFT cotraining
- Dynamic, document-aware segmentation
- Randomized padding
- Traditional fixed-attention mechanisms

### Training Data

While the original training data collection and training infrastructure relies on software that was not donated by
273 Ventures, ALEA Institute is open-sourcing an improved dataset, including both replication and an API.

[https://github.com/alea-institute/kl3m-data](https://github.com/alea-institute/kl3m-data)

Data is available upon request at this time via S3 under a Requester Pays model. We are actively working on a
zero-cost distribution model as soon as we can obtain additional support.

This model, the original `kl3m-002-170m` model, was trained on a US-only subset of the Kelvin Legal DataPack that
we believe is 100% public domain material. However, so as to enforce maximum transparency to all 
downstream users in the event of any future determination otherwise, we are licensing this model under CC-BY 4.0.

## Intended Usage

This model is intended for use in:

- Legal and regulatory document processing systems
- Contract drafting assistance
- Financial and enterprise document workflows
- Educational contexts for learning about domain-specific language models
- Research on small, efficient language models

## Special Tokens

kl3m-002-170m uses the following special tokens:

- `<s>` (ID: 0): Beginning of sequence token (BOS)
- `</s>` (ID: 1): End of sequence token (EOS)
- `<pad>` (ID: 2): Padding token

## Limitations

- Limited to a 4,096 token context window
- As a small language model (170M parameters), it has limited general knowledge
- Not instruction-tuned or aligned with human preferences
- May generate plausible-sounding but incorrect legal or regulatory text
- Not a substitute for professional legal advice or domain expertise
- Performance is optimized for legal and financial domains; general performance may be lower

## Ethical Considerations

- This model should not be used to generate legal advice without human expert review
- The model may reflect biases present in the training data despite efforts to use clean data
- While trained on ethically sourced data, users should verify outputs for accuracy and appropriateness

## Source

[https://github.com/alea-institute/kl3m-model-research](https://github.com/alea-institute/kl3m-model-research)

## References

- [KL3M Tokenizers: A Family of Domain-Specific and Character-Level Tokenizers for Legal, Financial, and Preprocessing Applications](https://arxiv.org/abs/2503.17247)
- Additional tokenizer, dataset, and model publications are pending.

## Citation

```bibtex
@misc{kl3m-002-170m,
  author = {ALEA Institute},
  title = {kl3m-002-170m: A Small Language Model for Legal and Regulatory Text},
  year = {2024},
  publisher = {Hugging Face},
  howpublished = {\url{https://huggingface.co/alea-institute/kl3m-002-170m}}
}
```

## License

This model was originally developed by 273 Ventures and has been donated to the ALEA Institute. 

The model weights are released under the CC-BY 4.0 License.

## Contact

The KL3M model family is now maintained by the [ALEA Institute](https://aleainstitute.ai). For technical support, collaboration opportunities, or general inquiries:
 
- GitHub: https://github.com/alea-institute/kl3m-model-research
- Email: hello@aleainstitute.ai
- Website: https://aleainstitute.ai

![logo](https://aleainstitute.ai/images/alea-logo-ascii-1x1.png)