Daily Papers

The new paradigm of finetuning-as-a-service introduces a new attack surface for Large Language Models (LLMs): a few harmful data uploaded by users can easily trick the finetuning to produce an alignment-broken model. We conduct an empirical analysis and uncover a harmful embedding drift phenomenon, showing a probable cause of the alignment-broken effect. Inspired by our findings, we propose Vaccine, a perturbation-aware alignment technique to mitigate the security risk of users finetuning. The core idea of Vaccine is to produce invariant hidden embeddings by progressively adding crafted perturbation to them in the alignment phase. This enables the embeddings to withstand harmful perturbation from un-sanitized user data in the finetuning phase. Our results on open source mainstream LLMs (e.g., Llama2, Opt, Vicuna) demonstrate that Vaccine can boost the robustness of alignment against harmful prompts induced embedding drift while reserving reasoning ability towards benign prompts. Our code is available at https://github.com/git-disl/Vaccine.

Harmful fine-tuning issue qi2023fine poses serious safety concerns for Large language models' fine-tuning-as-a-service. While existing defenses huang2024vaccine,rosati2024representation have been proposed to mitigate the issue, their performances are still far away from satisfactory, and the root cause of the problem has not been fully recovered. For the first time in the literature, we in this paper show that harmful perturbation over the model weights should be the root cause of alignment-broken of harmful fine-tuning. In order to attenuate the negative impact of harmful perturbation, we propose an alignment-stage solution, dubbed Booster. Technically, along with the original alignment loss, we append a loss regularizer in the alignment stage's optimization. The regularizer ensures that the model's harmful loss reduction before/after simulated harmful perturbation is attenuated, thereby mitigating the subsequent fine-tuning risk. Empirical results show that Booster can effectively reduce the harmful score of the fine-tuned models while maintaining the performance of downstream tasks. Our code is available at https://github.com/git-disl/Booster.

The emergence of pre-trained AI systems with powerful capabilities across a diverse and ever-increasing set of complex domains has raised a critical challenge for AI safety as tasks can become too complicated for humans to judge directly. Irving et al. [2018] proposed a debate method in this direction with the goal of pitting the power of such AI models against each other until the problem of identifying (mis)-alignment is broken down into a manageable subtask. While the promise of this approach is clear, the original framework was based on the assumption that the honest strategy is able to simulate deterministic AI systems for an exponential number of steps, limiting its applicability. In this paper, we show how to address these challenges by designing a new set of debate protocols where the honest strategy can always succeed using a simulation of a polynomial number of steps, whilst being able to verify the alignment of stochastic AI systems, even when the dishonest strategy is allowed to use exponentially many simulation steps.

Recently, the relationship between automated and human evaluation of topic models has been called into question. Method developers have staked the efficacy of new topic model variants on automated measures, and their failure to approximate human preferences places these models on uncertain ground. Moreover, existing evaluation paradigms are often divorced from real-world use. Motivated by content analysis as a dominant real-world use case for topic modeling, we analyze two related aspects of topic models that affect their effectiveness and trustworthiness in practice for that purpose: the stability of their estimates and the extent to which the model's discovered categories align with human-determined categories in the data. We find that neural topic models fare worse in both respects compared to an established classical method. We take a step toward addressing both issues in tandem by demonstrating that a straightforward ensembling method can reliably outperform the members of the ensemble.

Recent studies show that Large Language Models (LLMs) with safety alignment can be jail-broken by fine-tuning on a dataset mixed with harmful data. First time in the literature, we show that the jail-broken effect can be mitigated by separating states in the finetuning stage to optimize the alignment and user datasets. Unfortunately, our subsequent study shows that this simple Bi-State Optimization (BSO) solution experiences convergence instability when steps invested in its alignment state is too small, leading to downgraded alignment performance. By statistical analysis, we show that the excess drift towards consensus could be a probable reason for the instability. To remedy this issue, we propose Lazy(i) safety alignment (Lisa), which introduces a proximal term to constraint the drift of each state. Theoretically, the benefit of the proximal term is supported by the convergence analysis, wherein we show that a sufficient large proximal factor is necessary to guarantee Lisa's convergence. Empirically, our results on four downstream finetuning tasks show that Lisa with a proximal term can significantly increase alignment performance while maintaining the LLM's accuracy on the user tasks. Code is available at https://github.com/git-disl/Lisa.

Monolingual word alignment is crucial to model semantic interactions between sentences. In particular, null alignment, a phenomenon in which words have no corresponding counterparts, is pervasive and critical in handling semantically divergent sentences. Identification of null alignment is useful on its own to reason about the semantic similarity of sentences by indicating there exists information inequality. To achieve unbalanced word alignment that values both alignment and null alignment, this study shows that the family of optimal transport (OT), i.e., balanced, partial, and unbalanced OT, are natural and powerful approaches even without tailor-made techniques. Our extensive experiments covering unsupervised and supervised settings indicate that our generic OT-based alignment methods are competitive against the state-of-the-arts specially designed for word alignment, remarkably on challenging datasets with high null alignment frequencies.

This work presents the first quantitative study of alignment errors between small uncrewed aerial systems (sUAS) geospatial imagery and a priori building polygons and finds that alignment errors are non-uniform and irregular. The work also introduces a publicly available dataset of imagery, building polygons, and human-generated and curated adjustments that can be used to evaluate existing strategies for aligning building polygons with sUAS imagery. There are no efforts that have aligned pre-existing spatial data with sUAS imagery, and thus, there is no clear state of practice. However, this effort and analysis show that the translational alignment errors present in this type of data, averaging 82px and an intersection over the union of 0.65, which would induce further errors and biases in downstream machine learning systems unless addressed. This study identifies and analyzes the translational alignment errors of 21,619 building polygons in fifty-one orthomosaic images, covering 16787.2 Acres (26.23 square miles), constructed from sUAS raw imagery from nine wide-area disasters (Hurricane Ian, Hurricane Harvey, Hurricane Michael, Hurricane Ida, Hurricane Idalia, Hurricane Laura, the Mayfield Tornado, the Musset Bayou Fire, and the Kilauea Eruption). The analysis finds no uniformity among the angle and distance metrics of the building polygon alignments as they present an average degree variance of 0.4 and an average pixel distance variance of 0.45. This work alerts the sUAS community to the problem of spatial alignment and that a simple linear transform, often used to align satellite imagery, will not be sufficient to align spatial data in sUAS orthomosaic imagery.

Misalignment between model predictions and intended usage can be detrimental for the deployment of computer vision models. The issue is exacerbated when the task involves complex structured outputs, as it becomes harder to design procedures which address this misalignment. In natural language processing, this is often addressed using reinforcement learning techniques that align models with a task reward. We adopt this approach and show its surprising effectiveness across multiple computer vision tasks, such as object detection, panoptic segmentation, colorization and image captioning. We believe this approach has the potential to be widely useful for better aligning models with a diverse range of computer vision tasks.

Large language models (LLMs) have demonstrated revolutionary capabilities in understanding complex contexts and performing a wide range of tasks. However, LLMs can also answer questions that are unethical or harmful, raising concerns about their applications. To regulate LLMs' responses to such questions, a training strategy called alignment can help. Yet, alignment can be unexpectedly compromised when fine-tuning an LLM for downstream tasks. This paper focuses on recovering the alignment lost during fine-tuning. We observe that there are two distinct directions inherent in an aligned LLM: the aligned direction and the harmful direction. An LLM is inclined to answer questions in the aligned direction while refusing queries in the harmful direction. Therefore, we propose to recover the harmful direction of the fine-tuned model that has been compromised. Specifically, we restore a small subset of the fine-tuned model's weight parameters from the original aligned model using gradient descent. We also introduce a rollback mechanism to avoid aggressive recovery and maintain downstream task performance. Our evaluation on 125 fine-tuned LLMs demonstrates that our method can reduce their harmful rate (percentage of answering harmful questions) from 33.25\% to 1.74\%, without sacrificing task performance much. In contrast, the existing methods either only reduce the harmful rate to a limited extent or significantly impact the normal functionality. Our code is available at https://github.com/kangyangWHU/LLMAlignment

Precise alignment in Text-to-Image (T2I) systems is crucial to ensure that generated visuals not only accurately encapsulate user intents but also conform to stringent ethical and aesthetic benchmarks. Incidents like the Google Gemini fiasco, where misaligned outputs triggered significant public backlash, underscore the critical need for robust alignment mechanisms. In contrast, Large Language Models (LLMs) have achieved notable success in alignment. Building on these advancements, researchers are eager to apply similar alignment techniques, such as Direct Preference Optimization (DPO), to T2I systems to enhance image generation fidelity and reliability. We present YinYangAlign, an advanced benchmarking framework that systematically quantifies the alignment fidelity of T2I systems, addressing six fundamental and inherently contradictory design objectives. Each pair represents fundamental tensions in image generation, such as balancing adherence to user prompts with creative modifications or maintaining diversity alongside visual coherence. YinYangAlign includes detailed axiom datasets featuring human prompts, aligned (chosen) responses, misaligned (rejected) AI-generated outputs, and explanations of the underlying contradictions.

While existing image-text alignment models reach high quality binary assessments, they fall short of pinpointing the exact source of misalignment. In this paper, we present a method to provide detailed textual and visual explanation of detected misalignments between text-image pairs. We leverage large language models and visual grounding models to automatically construct a training set that holds plausible misaligned captions for a given image and corresponding textual explanations and visual indicators. We also publish a new human curated test set comprising ground-truth textual and visual misalignment annotations. Empirical results show that fine-tuning vision language models on our training set enables them to articulate misalignments and visually indicate them within images, outperforming strong baselines both on the binary alignment classification and the explanation generation tasks. Our method code and human curated test set are available at: https://mismatch-quest.github.io/

As large language models rapidly evolve to support longer context, there is a notable disparity in their capability to generate output at greater lengths. Recent study suggests that the primary cause for this imbalance may arise from the lack of data with long-output during alignment training. In light of this observation, attempts are made to re-align foundation models with data that fills the gap, which result in models capable of generating lengthy output when instructed. In this paper, we explore the impact of data-quality in tuning a model for long output, and the possibility of doing so from the starting points of human-aligned (instruct or chat) models. With careful data curation, we show that it possible to achieve similar performance improvement in our tuned models, with only a small fraction of training data instances and compute. In addition, we assess the generalizability of such approaches by applying our tuning-recipes to several models. our findings suggest that, while capacities for generating long output vary across different models out-of-the-box, our approach to tune them with high-quality data using lite compute, consistently yields notable improvement across all models we experimented on. We have made public our curated dataset for tuning long-writing capability, the implementations of model tuning and evaluation, as well as the fine-tuned models, all of which can be openly-accessed.

Large language models are susceptible to jailbreak attacks, which can result in the generation of harmful content. While prior defenses mitigate these risks by perturbing or inspecting inputs, they ignore competing objectives, the underlying cause of alignment failures. In this paper, we propose Alignment-Enhanced Decoding (AED), a novel defense that employs adaptive decoding to address the root causes of jailbreak issues. We first define the Competitive Index to quantify alignment failures and utilize feedback from self-evaluation to compute post-alignment logits. Then, AED adaptively combines AED and post-alignment logits with the original logits to obtain harmless and helpful distributions. Consequently, our method enhances safety alignment while maintaining helpfulness. We conduct experiments across five models and four common jailbreaks, with the results validating the effectiveness of our approach. Code is available at https://github.com/GIGABaozi/AED.git.

The rapid progress in open-source large language models (LLMs) is significantly advancing AI development. Extensive efforts have been made before model release to align their behavior with human values, with the primary goal of ensuring their helpfulness and harmlessness. However, even carefully aligned models can be manipulated maliciously, leading to unintended behaviors, known as "jailbreaks". These jailbreaks are typically triggered by specific text inputs, often referred to as adversarial prompts. In this work, we propose the generation exploitation attack, an extremely simple approach that disrupts model alignment by only manipulating variations of decoding methods. By exploiting different generation strategies, including varying decoding hyper-parameters and sampling methods, we increase the misalignment rate from 0% to more than 95% across 11 language models including LLaMA2, Vicuna, Falcon, and MPT families, outperforming state-of-the-art attacks with 30times lower computational cost. Finally, we propose an effective alignment method that explores diverse generation strategies, which can reasonably reduce the misalignment rate under our attack. Altogether, our study underscores a major failure in current safety evaluation and alignment procedures for open-source LLMs, strongly advocating for more comprehensive red teaming and better alignment before releasing such models. Our code is available at https://github.com/Princeton-SysML/Jailbreak_LLM.

Alignment is the most critical step in building large language models (LLMs) that meet human needs. With the rapid development of LLMs gradually surpassing human capabilities, traditional alignment methods based on human-annotation are increasingly unable to meet the scalability demands. Therefore, there is an urgent need to explore new sources of automated alignment signals and technical approaches. In this paper, we systematically review the recently emerging methods of automated alignment, attempting to explore how to achieve effective, scalable, automated alignment once the capabilities of LLMs exceed those of humans. Specifically, we categorize existing automated alignment methods into 4 major categories based on the sources of alignment signals and discuss the current status and potential development of each category. Additionally, we explore the underlying mechanisms that enable automated alignment and discuss the essential factors that make automated alignment technologies feasible and effective from the fundamental role of alignment.

AI alignment aims to make AI systems behave in line with human intentions and values. As AI systems grow more capable, so do risks from misalignment. To provide a comprehensive and up-to-date overview of the alignment field, in this survey, we delve into the core concepts, methodology, and practice of alignment. First, we identify four principles as the key objectives of AI alignment: Robustness, Interpretability, Controllability, and Ethicality (RICE). Guided by these four principles, we outline the landscape of current alignment research and decompose them into two key components: forward alignment and backward alignment. The former aims to make AI systems aligned via alignment training, while the latter aims to gain evidence about the systems' alignment and govern them appropriately to avoid exacerbating misalignment risks. On forward alignment, we discuss techniques for learning from feedback and learning under distribution shift. On backward alignment, we discuss assurance techniques and governance practices. We also release and continually update the website (www.alignmentsurvey.com) which features tutorials, collections of papers, blog posts, and other resources.

Alignment is no longer a luxury, it is a necessity. As large language models (LLMs) enter high-stakes domains like education, healthcare, governance, and law, their behavior must reliably reflect human-aligned values and safety constraints. Yet current evaluations rely heavily on behavioral proxies such as refusal rates, G-Eval scores, and toxicity classifiers, all of which have critical blind spots. Aligned models are often vulnerable to jailbreaking, stochasticity of generation, and alignment faking. To address this issue, we introduce the Alignment Quality Index (AQI). This novel geometric and prompt-invariant metric empirically assesses LLM alignment by analyzing the separation of safe and unsafe activations in latent space. By combining measures such as the Davies-Bouldin Score (DBS), Dunn Index (DI), Xie-Beni Index (XBI), and Calinski-Harabasz Index (CHI) across various formulations, AQI captures clustering quality to detect hidden misalignments and jailbreak risks, even when outputs appear compliant. AQI also serves as an early warning signal for alignment faking, offering a robust, decoding invariant tool for behavior agnostic safety auditing. Additionally, we propose the LITMUS dataset to facilitate robust evaluation under these challenging conditions. Empirical tests on LITMUS across different models trained under DPO, GRPO, and RLHF conditions demonstrate AQI's correlation with external judges and ability to reveal vulnerabilities missed by refusal metrics. We make our implementation publicly available to foster future research in this area.

The rapid development of large language models (LLMs) has not only provided numerous opportunities but also presented significant challenges. This becomes particularly evident when LLMs inadvertently generate harmful or toxic content, either unintentionally or because of intentional inducement. Existing alignment methods usually direct LLMs toward the favorable outcomes by utilizing human-annotated, flawless instruction-response pairs. Conversely, this study proposes a novel alignment technique based on mistake analysis, which deliberately exposes LLMs to erroneous content to learn the reasons for mistakes and how to avoid them. In this case, mistakes are repurposed into valuable data for alignment, effectively helping to avoid the production of erroneous responses. Without external models or human annotations, our method leverages a model's intrinsic ability to discern undesirable mistakes and improves the safety of its generated responses. Experimental results reveal that our method outperforms existing alignment approaches in enhancing model safety while maintaining the overall utility.

Large language models are now tuned to align with the goals of their creators, namely to be "helpful and harmless." These models should respond helpfully to user questions, but refuse to answer requests that could cause harm. However, adversarial users can construct inputs which circumvent attempts at alignment. In this work, we study to what extent these models remain aligned, even when interacting with an adversarial user who constructs worst-case inputs (adversarial examples). These inputs are designed to cause the model to emit harmful content that would otherwise be prohibited. We show that existing NLP-based optimization attacks are insufficiently powerful to reliably attack aligned text models: even when current NLP-based attacks fail, we can find adversarial inputs with brute force. As a result, the failure of current attacks should not be seen as proof that aligned text models remain aligned under adversarial inputs. However the recent trend in large-scale ML models is multimodal models that allow users to provide images that influence the text that is generated. We show these models can be easily attacked, i.e., induced to perform arbitrary un-aligned behavior through adversarial perturbation of the input image. We conjecture that improved NLP attacks may demonstrate this same level of adversarial control over text-only models.

From the perspective of content safety issues, alignment has shown to limit large language models' (LLMs) harmful content generation. This intentional method of reinforcing models to not respond to certain user inputs seem to be present in many modern open-source instruction tuning datasets such as OpenAssistant or Guanaco. We introduce a novel insight to an instruction-tuned model's performance affected by the presence of alignment in supervised fine-tuning dataset. To be specific, we noticed that alignment acts as if it is poisoning the instruction dataset. Experimentally, we demonstrate that aligned answers significantly worsen the performance of the resulting fine-tuned model's on various reasoning benchmarks such as Big Bench (BBH), Massive Multitask Language Understanding (MMLU), Human Eval, and Discrete Reasoning Over Paragraphs (DROP), performing worse than the counterpart tuned without alignment by 4-33%.

Diffusion models have demonstrated great success in the field of text-to-image generation. However, alleviating the misalignment between the text prompts and images is still challenging. The root reason behind the misalignment has not been extensively investigated. We observe that the misalignment is caused by inadequate token attention activation. We further attribute this phenomenon to the diffusion model's insufficient condition utilization, which is caused by its training paradigm. To address the issue, we propose CoMat, an end-to-end diffusion model fine-tuning strategy with an image-to-text concept matching mechanism. We leverage an image captioning model to measure image-to-text alignment and guide the diffusion model to revisit ignored tokens. A novel attribute concentration module is also proposed to address the attribute binding problem. Without any image or human preference data, we use only 20K text prompts to fine-tune SDXL to obtain CoMat-SDXL. Extensive experiments show that CoMat-SDXL significantly outperforms the baseline model SDXL in two text-to-image alignment benchmarks and achieves start-of-the-art performance.

Recent vision-language foundation models still frequently produce outputs misaligned with their inputs, evidenced by object hallucination in captioning and prompt misalignment in the text-to-image generation model. Recent studies have explored methods for identifying misaligned elements, aiming not only to enhance interpretability but also to improve model performance. However, current approaches primarily rely on large foundation models in a zero-shot manner or fine-tuned models with human annotations, which limits scalability due to significant computational costs. This work proposes a novel approach, dubbed CLIP4DM, for detecting dense misalignments from pre-trained CLIP, specifically focusing on pinpointing misaligned words between image and text. We carefully revamp the gradient-based attribution computation method, enabling negative gradient of individual text tokens to indicate misalignment. We also propose F-CLIPScore, which aggregates misaligned attributions with a global alignment score. We evaluate our method on various dense misalignment detection benchmarks, covering various image and text domains and misalignment types. Our method demonstrates state-of-the-art performance among zero-shot models and competitive performance with fine-tuned models while maintaining superior efficiency. Our qualitative examples show that our method has a unique strength to detect entity-level objects, intangible objects, and attributes that can not be easily detected for existing works. We conduct ablation studies and analyses to highlight the strengths and limitations of our approach. Our code is publicly available at https://github.com/naver-ai/CLIP4DM.

Recent years have witnessed remarkable progress made in large language models (LLMs). Such advancements, while garnering significant attention, have concurrently elicited various concerns. The potential of these models is undeniably vast; however, they may yield texts that are imprecise, misleading, or even detrimental. Consequently, it becomes paramount to employ alignment techniques to ensure these models to exhibit behaviors consistent with human values. This survey endeavors to furnish an extensive exploration of alignment methodologies designed for LLMs, in conjunction with the extant capability research in this domain. Adopting the lens of AI alignment, we categorize the prevailing methods and emergent proposals for the alignment of LLMs into outer and inner alignment. We also probe into salient issues including the models' interpretability, and potential vulnerabilities to adversarial attacks. To assess LLM alignment, we present a wide variety of benchmarks and evaluation methodologies. After discussing the state of alignment research for LLMs, we finally cast a vision toward the future, contemplating the promising avenues of research that lie ahead. Our aspiration for this survey extends beyond merely spurring research interests in this realm. We also envision bridging the gap between the AI alignment research community and the researchers engrossed in the capability exploration of LLMs for both capable and safe LLMs.

Big models, exemplified by Large Language Models (LLMs), are models typically pre-trained on massive data and comprised of enormous parameters, which not only obtain significantly improved performance across diverse tasks but also present emergent capabilities absent in smaller models. However, the growing intertwining of big models with everyday human lives poses potential risks and might cause serious social harm. Therefore, many efforts have been made to align LLMs with humans to make them better follow user instructions and satisfy human preferences. Nevertheless, `what to align with' has not been fully discussed, and inappropriate alignment goals might even backfire. In this paper, we conduct a comprehensive survey of different alignment goals in existing work and trace their evolution paths to help identify the most essential goal. Particularly, we investigate related works from two perspectives: the definition of alignment goals and alignment evaluation. Our analysis encompasses three distinct levels of alignment goals and reveals a goal transformation from fundamental abilities to value orientation, indicating the potential of intrinsic human values as the alignment goal for enhanced LLMs. Based on such results, we further discuss the challenges of achieving such intrinsic value alignment and provide a collection of available resources for future research on the alignment of big models.

Word alignment, which aims to align translationally equivalent words between source and target sentences, plays an important role in many natural language processing tasks. Current unsupervised neural alignment methods focus on inducing alignments from neural machine translation models, which does not leverage the full context in the target sequence. In this paper, we propose Mask-Align, a self-supervised word alignment model that takes advantage of the full context on the target side. Our model masks out each target token and predicts it conditioned on both source and the remaining target tokens. This two-step process is based on the assumption that the source token contributing most to recovering the masked target token should be aligned. We also introduce an attention variant called leaky attention, which alleviates the problem of unexpected high cross-attention weights on special tokens such as periods. Experiments on four language pairs show that our model outperforms previous unsupervised neural aligners and obtains new state-of-the-art results.

Large language models (LLMs) may exhibit undesirable behaviors. Recent efforts have focused on aligning these models to prevent harmful generation. Despite these efforts, studies have shown that even a well-conducted alignment process can be easily circumvented, whether intentionally or accidentally. Do alignment fine-tuning have robust effects on models, or are merely superficial? In this work, we answer this question through both theoretical and empirical means. Empirically, we demonstrate the elasticity of post-alignment models, i.e., the tendency to revert to the behavior distribution formed during the pre-training phase upon further fine-tuning. Using compression theory, we formally derive that such fine-tuning process disproportionately undermines alignment compared to pre-training, potentially by orders of magnitude. We conduct experimental validations to confirm the presence of elasticity across models of varying types and sizes. Specifically, we find that model performance declines rapidly before reverting to the pre-training distribution, after which the rate of decline drops significantly. We further reveal that elasticity positively correlates with increased model size and the expansion of pre-training data. Our discovery signifies the importance of taming the inherent elasticity of LLMs, thereby overcoming the resistance of LLMs to alignment finetuning.

Alignment is a standard procedure to fine-tune pre-trained large language models (LLMs) to follow natural language instructions and serve as helpful AI assistants. We have observed, however, that the conventional alignment process fails to enhance the factual accuracy of LLMs, and often leads to the generation of more false facts (i.e. hallucination). In this paper, we study how to make the LLM alignment process more factual, by first identifying factors that lead to hallucination in both alignment steps:\ supervised fine-tuning (SFT) and reinforcement learning (RL). In particular, we find that training the LLM on new knowledge or unfamiliar texts can encourage hallucination. This makes SFT less factual as it trains on human labeled data that may be novel to the LLM. Furthermore, reward functions used in standard RL can also encourage hallucination, because it guides the LLM to provide more helpful responses on a diverse set of instructions, often preferring longer and more detailed responses. Based on these observations, we propose factuality-aware alignment, comprised of factuality-aware SFT and factuality-aware RL through direct preference optimization. Experiments show that our proposed factuality-aware alignment guides LLMs to output more factual responses while maintaining instruction-following capability.

The alignment tuning process of large language models (LLMs) typically involves instruction learning through supervised fine-tuning (SFT) and preference tuning via reinforcement learning from human feedback (RLHF). A recent study, LIMA (Zhou et al. 2023), shows that using merely 1K examples for SFT can achieve significant alignment performance as well, suggesting that the effect of alignment tuning might be "superficial." This raises questions about how exactly the alignment tuning transforms a base LLM. We analyze the effect of alignment tuning by examining the token distribution shift between base LLMs and their aligned counterpart. Our findings reveal that base LLMs and their alignment-tuned versions perform nearly identically in decoding on the majority of token positions. Most distribution shifts occur with stylistic tokens. These direct evidence strongly supports the Superficial Alignment Hypothesis suggested by LIMA. Based on these findings, we rethink the alignment of LLMs by posing the research question: how effectively can we align base LLMs without SFT or RLHF? To address this, we introduce a simple, tuning-free alignment method, URIAL. URIAL achieves effective alignment purely through in-context learning (ICL) with base LLMs, requiring as few as three constant stylistic examples and a system prompt. We conduct a fine-grained and interpretable evaluation on a diverse set of examples, named JUST-EVAL-INSTRUCT. Results demonstrate that base LLMs with URIAL can match or even surpass the performance of LLMs aligned with SFT or SFT+RLHF. We show that the gap between tuning-free and tuning-based alignment methods can be significantly reduced through strategic prompting and ICL. Our findings on the superficial nature of alignment tuning and results with URIAL suggest that deeper analysis and theoretical understanding of alignment is crucial to future LLM research.

Large Language Models (LLMs) fine-tuned to align with human values often exhibit alignment drift, producing unsafe or policy-violating completions when exposed to adversarial prompts, decoding perturbations, or paraphrased jailbreaks. While prior work has behaviorally characterized alignment failure, little is known about the training-time belief sources underlying these failures. We introduce TraceAlign, a unified framework for tracing unsafe completions back to their root causes in the model's training corpus. Central to our approach is the Belief Conflict Index (BCI), which quantifies semantic inconsistency between generated spans and aligned policies, based on retrieved training documents using suffix-array matching. We propose three complementary interventions: (i) TraceShield, an inference-time safety filter that refuses completions with high-BCI spans, (ii) Contrastive Belief Deconfliction Loss, a contrastive fine-tuning objective penalizing high-BCI continuations during DPO, and (iii) Prov-Decode, a provenance-aware decoding strategy that vetoes beam expansions predicted to yield high-BCI spans. Together, these defenses reduce alignment drift by up to 85% on our curated Alignment Drift Benchmark (ADB) while preserving utility on standard tasks, with delta less than 0.2 and improved refusal quality. We further derive a theoretical upper bound on drift likelihood via suffix-array span statistics, linking memorization frequency and length to adversarial reactivation risk. TraceAlign thus provides the first scalable, traceable, and grounded toolkit for understanding and mitigating alignment failures at source. To encourage further exploration and development, we open-source our implementation at: https://anonymous.4open.science/r/tracealign-2DA7

The alignment problem in Large Language Models (LLMs) involves adapting them to the broad spectrum of human values. This requirement challenges existing alignment methods due to diversity of preferences and regulatory standards. This paper introduces a novel alignment paradigm, priority rule following, which defines rules as the primary control mechanism in each dialog, prioritizing them over user instructions. Our preliminary analysis reveals that even the advanced LLMs, such as GPT-4, exhibit shortcomings in understanding and prioritizing the rules. Therefore, we present PriorityDistill, a semi-automated approach for distilling priority following signals from LLM simulations to ensure robust rule integration and adherence. Our experiments show that this method not only effectively minimizes misalignments utilizing only one general rule but also adapts smoothly to various unseen rules, ensuring they are shielded from hijacking and that the model responds appropriately.

Public LLMs such as the Llama 2-Chat have driven huge activity in LLM research. These models underwent alignment training and were considered safe. Recently Qi et al. (2023) reported that even benign fine-tuning (e.g., on seemingly safe datasets) can give rise to unsafe behaviors in the models. The current paper is about methods and best practices to mitigate such loss of alignment. Through extensive experiments on several chat models (Meta's Llama 2-Chat, Mistral AI's Mistral 7B Instruct v0.2, and OpenAI's GPT-3.5 Turbo), this paper uncovers that the prompt templates used during fine-tuning and inference play a crucial role in preserving safety alignment, and proposes the "Pure Tuning, Safe Testing" (PTST) principle -- fine-tune models without a safety prompt, but include it at test time. Fine-tuning experiments on GSM8K, ChatDoctor, and OpenOrca show that PTST significantly reduces the rise of unsafe behaviors, and even almost eliminates them in some cases.

Diffusion-based large language models (dLLMs) have recently emerged as a powerful alternative to autoregressive LLMs, offering faster inference and greater interactivity via parallel decoding and bidirectional modeling. However, despite strong performance in code generation and text infilling, we identify a fundamental safety concern: existing alignment mechanisms fail to safeguard dLLMs against context-aware, masked-input adversarial prompts, exposing novel vulnerabilities. To this end, we present DIJA, the first systematic study and jailbreak attack framework that exploits unique safety weaknesses of dLLMs. Specifically, our proposed DIJA constructs adversarial interleaved mask-text prompts that exploit the text generation mechanisms of dLLMs, i.e., bidirectional modeling and parallel decoding. Bidirectional modeling drives the model to produce contextually consistent outputs for masked spans, even when harmful, while parallel decoding limits model dynamic filtering and rejection sampling of unsafe content. This causes standard alignment mechanisms to fail, enabling harmful completions in alignment-tuned dLLMs, even when harmful behaviors or unsafe instructions are directly exposed in the prompt. Through comprehensive experiments, we demonstrate that DIJA significantly outperforms existing jailbreak methods, exposing a previously overlooked threat surface in dLLM architectures. Notably, our method achieves up to 100% keyword-based ASR on Dream-Instruct, surpassing the strongest prior baseline, ReNeLLM, by up to 78.5% in evaluator-based ASR on JailbreakBench and by 37.7 points in StrongREJECT score, while requiring no rewriting or hiding of harmful content in the jailbreak prompt. Our findings underscore the urgent need for rethinking safety alignment in this emerging class of language models. Code is available at https://github.com/ZichenWen1/DIJA.

Like a criminal under investigation, Large Language Models (LLMs) might pretend to be aligned while evaluated and misbehave when they have a good opportunity. Can current interpretability methods catch these 'alignment fakers?' To answer this question, we introduce a benchmark that consists of 324 pairs of LLMs fine-tuned to select actions in role-play scenarios. One model in each pair is consistently benign (aligned). The other model misbehaves in scenarios where it is unlikely to be caught (alignment faking). The task is to identify the alignment faking model using only inputs where the two models behave identically. We test five detection strategies, one of which identifies 98% of alignment-fakers.

Despite significant advances in alignment techniques, we demonstrate that state-of-the-art language models remain vulnerable to carefully crafted conversational scenarios that can induce various forms of misalignment without explicit jailbreaking. Through systematic manual red-teaming with Claude-4-Opus, we discovered 10 successful attack scenarios, revealing fundamental vulnerabilities in how current alignment methods handle narrative immersion, emotional pressure, and strategic framing. These scenarios successfully elicited a range of misaligned behaviors, including deception, value drift, self-preservation, and manipulative reasoning, each exploiting different psychological and contextual vulnerabilities. To validate generalizability, we distilled our successful manual attacks into MISALIGNMENTBENCH, an automated evaluation framework that enables reproducible testing across multiple models. Cross-model evaluation of our 10 scenarios against five frontier LLMs revealed an overall 76% vulnerability rate, with significant variations: GPT-4.1 showed the highest susceptibility (90%), while Claude-4-Sonnet demonstrated greater resistance (40%). Our findings demonstrate that sophisticated reasoning capabilities often become attack vectors rather than protective mechanisms, as models can be manipulated into complex justifications for misaligned behavior. This work provides (i) a detailed taxonomy of conversational manipulation patterns and (ii) a reusable evaluation framework. Together, these findings expose critical gaps in current alignment strategies and highlight the need for robustness against subtle, scenario-based manipulation in future AI systems.

Large Language Models (LLMs) need to be aligned with human expectations to ensure their safety and utility in most applications. Alignment is challenging, costly, and needs to be repeated for every LLM and alignment criterion. We propose to decouple LLMs and alignment by training aligner models that can be used to align any LLM for a given criteria on an as-needed basis, thus also reducing the potential negative impacts of alignment on performance. Our recipe for training the aligner models solely relies on synthetic data generated with a (prompted) LLM and can be easily adjusted for a variety of alignment criteria. We illustrate our method by training an "ethical" aligner and verify its efficacy empirically.

A key concern with the concept of "alignment" is the implicit question of "alignment to what?". AI systems are increasingly used across the world, yet safety alignment is often focused on homogeneous monolingual settings. Additionally, preference training and safety measures often overfit to harms common in Western-centric datasets. Here, we explore the viability of different alignment approaches when balancing dual objectives: addressing and optimizing for a non-homogeneous set of languages and cultural preferences while minimizing both global and local harms. We collect the first set of human annotated red-teaming prompts in different languages distinguishing between global and local harm, which serve as a laboratory for understanding the reliability of alignment techniques when faced with preference distributions that are non-stationary across geographies and languages. While this setting is seldom covered by the literature to date, which primarily centers on English harm mitigation, it captures real-world interactions with AI systems around the world. We establish a new precedent for state-of-the-art alignment techniques across 6 languages with minimal degradation in general performance. Our work provides important insights into cross-lingual transfer and novel optimization approaches to safeguard AI systems designed to serve global populations.

Alignment has become a critical step for instruction-tuned Large Language Models (LLMs) to become helpful assistants. However, effective evaluation of alignment for emerging Chinese LLMs is still significantly lacking, calling for real-scenario grounded, open-ended, challenging and automatic evaluations tailored for alignment. To fill in this gap, we introduce AlignBench, a comprehensive multi-dimensional benchmark for evaluating LLMs' alignment in Chinese. Equipped with a human-in-the-loop data curation pipeline, our benchmark employs a rule-calibrated multi-dimensional LLM-as-Judge with Chain-of-Thought to generate explanations and final ratings as evaluations, ensuring high reliability and interpretability. Furthermore, we report AlignBench evaluated by CritiqueLLM, a dedicated Chinese evaluator LLM that recovers 95% of GPT-4's evaluation ability. We will provide public APIs for evaluating AlignBench with CritiqueLLM to facilitate the evaluation of LLMs' Chinese alignment. All evaluation codes, data, and LLM generations are available at https://github.com/THUDM/AlignBench.

Effectively handling instructions with extremely long context remains a challenge for Large Language Models (LLMs), typically necessitating high-quality long data and substantial computational resources. This paper introduces Step-Skipping Alignment (SkipAlign), a new technique designed to enhance the long-context capabilities of LLMs in the phase of alignment without the need for additional efforts beyond training with original data length. SkipAlign is developed on the premise that long-range dependencies are fundamental to enhancing an LLM's capacity of long context. Departing from merely expanding the length of input samples, SkipAlign synthesizes long-range dependencies from the aspect of positions indices. This is achieved by the strategic insertion of skipped positions within instruction-following samples, which utilizes the semantic structure of the data to effectively expand the context. Through extensive experiments on base models with a variety of context window sizes, SkipAlign demonstrates its effectiveness across a spectrum of long-context tasks. Particularly noteworthy is that with a careful selection of the base model and alignment datasets, SkipAlign with only 6B parameters achieves it's best performance and comparable with strong baselines like GPT-3.5-Turbo-16K on LongBench.

Superalignment, where humans are weak supervisors of superhuman models, has become an important and widely discussed issue in the current era of rapid development of Large Language Models (LLMs). The recent work preliminarily studies this problem by using weak models to supervise strong models. It discovers that weakly supervised strong students can consistently outperform weak teachers towards the alignment target, leading to a weak-to-strong generalization phenomenon. However, we are concerned that behind such a promising phenomenon, whether there exists an issue of weak-to-strong deception, where strong models may deceive weak models by exhibiting well-aligned in areas known to weak models but producing misaligned behaviors in cases weak models do not know. We then take an initial step towards exploring this security issue in a specific but realistic multi-objective alignment case, where there may be some alignment targets conflicting with each other (e.g., helpfulness v.s. harmlessness). Such a conflict is likely to cause strong models to deceive weak models in one alignment dimension to gain high reward in other alignment dimension. Our experiments on both the reward modeling task and the preference optimization scenario indicate: (1) the weak-to-strong deception exists; (2) the deception phenomenon may intensify as the capability gap between weak and strong models increases. We also discuss potential solutions and find bootstrapping with an intermediate model can mitigate the deception to some extent. Our work highlights the urgent need to pay more attention to the true reliability of superalignment.

Alignment is a crucial step to enhance the instruction-following and conversational abilities of language models. Despite many recent work proposing new algorithms, datasets, and training pipelines, there is a lack of comprehensive studies measuring the impact of various design choices throughout the whole training process. We first conduct a rigorous analysis over a three-stage training pipeline consisting of supervised fine-tuning, offline preference learning, and online preference learning. We have found that using techniques like sequence packing, loss masking in SFT, increasing the preference dataset size in DPO, and online DPO training can significantly improve the performance of language models. We then train from Gemma-2b-base and LLama-3-8b-base, and find that our best models exceed the performance of the official instruct models tuned with closed-source data and algorithms. Our code and models can be found at https://github.com/Columbia-NLP-Lab/LionAlignment.

We propose a theoretical framework demonstrating that popular Large Language Model (LLM) alignment methods, including Reinforcement Learning from Human Feedback (RLHF) and alternatives, fundamentally function as divergence estimators between aligned (preferred or safe) and unaligned (less-preferred or harmful) distributions. This explains the separation phenomenon between safe and harmful prompts in the model hidden representation after alignment. Inspired by the theoretical results, we identify that some alignment methods are better than others in terms of separation and, introduce a new method, KLDO, and further demonstrate the implication of our theories. We advocate for compliance-refusal datasets over preference datasets to enhance safety alignment, supported by both theoretical reasoning and empirical evidence. Additionally, to quantify safety separation, we leverage a distance metric in the representation space and statistically validate its efficacy as a statistical significant indicator of LLM resilience against jailbreak attacks.

Alignment in large language models (LLMs) is used to enforce guidelines such as safety. Yet, alignment fails in the face of jailbreak attacks that modify inputs to induce unsafe outputs. In this paper, we present and evaluate a method to assess the robustness of LLM alignment. We observe that alignment embeds a safety classifier in the target model that is responsible for deciding between refusal and compliance. We seek to extract an approximation of this classifier, called a surrogate classifier, from the LLM. We develop an algorithm for identifying candidate classifiers from subsets of the LLM model. We evaluate the degree to which the candidate classifiers approximate the model's embedded classifier in benign (F1 score) and adversarial (using surrogates in a white-box attack) settings. Our evaluation shows that the best candidates achieve accurate agreement (an F1 score above 80%) using as little as 20% of the model architecture. Further, we find attacks mounted on the surrogate models can be transferred with high accuracy. For example, a surrogate using only 50% of the Llama 2 model achieved an attack success rate (ASR) of 70%, a substantial improvement over attacking the LLM directly, where we only observed a 22% ASR. These results show that extracting surrogate classifiers is a viable (and highly effective) means for modeling (and therein addressing) the vulnerability of aligned models to jailbreaking attacks.

Recent developments in Large Language Models (LLMs) have manifested significant advancements. To facilitate safeguards against malicious exploitation, a body of research has concentrated on aligning LLMs with human preferences and inhibiting their generation of inappropriate content. Unfortunately, such alignments are often vulnerable: fine-tuning with a minimal amount of harmful data can easily unalign the target LLM. While being effective, such fine-tuning-based unalignment approaches also have their own limitations: (1) non-stealthiness, after fine-tuning, safety audits or red-teaming can easily expose the potential weaknesses of the unaligned models, thereby precluding their release/use. (2) non-persistence, the unaligned LLMs can be easily repaired through re-alignment, i.e., fine-tuning again with aligned data points. In this work, we show that it is possible to conduct stealthy and persistent unalignment on large language models via backdoor injections. We also provide a novel understanding on the relationship between the backdoor persistence and the activation pattern and further provide guidelines for potential trigger design. Through extensive experiments, we demonstrate that our proposed stealthy and persistent unalignment can successfully pass the safety evaluation while maintaining strong persistence against re-alignment defense.

As Large Language Models (LLMs) become increasingly integrated into real-world applications, ensuring their outputs align with human values and safety standards has become critical. The field has developed diverse alignment approaches including traditional fine-tuning methods (RLHF, instruction tuning), post-hoc correction systems, and inference-time interventions, each with distinct advantages and limitations. However, the lack of unified evaluation frameworks makes it difficult to systematically compare these paradigms and guide deployment decisions. This paper introduces a multi-dimensional evaluation of alignment techniques for LLMs, a comprehensive evaluation framework that provides a systematic comparison across all major alignment paradigms. Our framework assesses methods along four key dimensions: alignment detection, alignment quality, computational efficiency, and robustness. Through experiments across diverse base models and alignment strategies, we demonstrate the utility of our framework in identifying strengths and limitations of current state-of-the-art models, providing valuable insights for future research directions.

Efforts to align Large Language Models (LLMs) are mainly conducted via Reinforcement Learning from Human Feedback (RLHF) methods. However, RLHF encounters major challenges including training reward models, actor-critic engineering, and importantly, it requires access to LLM parameters. Here we introduce Aligner, a new efficient alignment paradigm that bypasses the whole RLHF process by learning the correctional residuals between the aligned and the unaligned answers. Our Aligner offers several key advantages. Firstly, it is an autoregressive seq2seq model that is trained on the query-answer-correction dataset via supervised learning; this offers a parameter-efficient alignment solution with minimal resources. Secondly, the Aligner facilitates weak-to-strong generalization; finetuning large pretrained models by Aligner's supervisory signals demonstrates strong performance boost. Thirdly, Aligner functions as a model-agnostic plug-and-play module, allowing for its direct application on different open-source and API-based models. Remarkably, Aligner-7B improves 11 different LLMs by 21.9% in helpfulness and 23.8% in harmlessness on average (GPT-4 by 17.5% and 26.9%). When finetuning (strong) Llama2-70B with (weak) Aligner-13B's supervision, we can improve Llama2 by 8.2% in helpfulness and 61.6% in harmlessness. See our dataset and code at https://aligner2024.github.io

Before being deployed for user-facing applications, developers align Large Language Models (LLMs) to user preferences through a variety of procedures, such as Reinforcement Learning From Human Feedback (RLHF) and Direct Preference Optimization (DPO). Current evaluations of these procedures focus on benchmarks of instruction following, reasoning, and truthfulness. However, human preferences are not universal, and aligning to specific preference sets may have unintended effects. We explore how alignment impacts performance along three axes of global representation: English dialects, multilingualism, and opinions from and about countries worldwide. Our results show that current alignment procedures create disparities between English dialects and global opinions. We find alignment improves capabilities in several languages. We conclude by discussing design decisions that led to these unintended impacts and recommendations for more equitable preference tuning.

Forced alignment (FA) plays a key role in speech research through the automatic time alignment of speech signals with corresponding text transcriptions. Despite the move towards end-to-end architectures for speech technology, FA is still dominantly achieved through a classic GMM-HMM acoustic model. This work directly compares alignment performance from leading automatic speech recognition (ASR) methods, WhisperX and Massively Multilingual Speech Recognition (MMS), against a Kaldi-based GMM-HMM system, the Montreal Forced Aligner (MFA). Performance was assessed on the manually aligned TIMIT and Buckeye datasets, with comparisons conducted only on words correctly recognized by WhisperX and MMS. The MFA outperformed both WhisperX and MMS, revealing a shortcoming of modern ASR systems. These findings highlight the need for advancements in forced alignment and emphasize the importance of integrating traditional expertise with modern innovation to foster progress. Index Terms: forced alignment, phoneme alignment, word alignment

Evaluating explanations of image classifiers regarding ground truth, e.g. segmentation masks defined by human perception, primarily evaluates the quality of the models under consideration rather than the explanation methods themselves. Driven by this observation, we propose a framework for jointly evaluating the robustness of safety-critical systems that combine a deep neural network with an explanation method. These are increasingly used in real-world applications like medical image analysis or robotics. We introduce a fine-tuning procedure to (mis)align modelx2013explanation pipelines with ground truth and use it to quantify the potential discrepancy between worst and best-case scenarios of human alignment. Experiments across various model architectures and post-hoc local interpretation methods provide insights into the robustness of vision transformers and the overall vulnerability of such AI systems to potential adversarial attacks.

Large Language Models (LLMs) are expected to produce safe, helpful, and honest content during interaction with human users, but they frequently fail to align with such values when given flawed instructions, e.g., missing context, ambiguous directives, or inappropriate tone, leaving substantial room for improvement along multiple dimensions. A cost-effective yet high-impact way is to pre-align instructions before the model begins decoding. Existing approaches either rely on prohibitive test-time search costs or end-to-end model rewrite, which is powered by a customized training corpus with unclear objectives. In this work, we demonstrate that the goal of efficient and effective preference alignment can be achieved by P-Aligner, a lightweight module generating instructions that preserve the original intents while being expressed in a more human-preferred form. P-Aligner is trained on UltraPrompt, a new dataset synthesized via a proposed principle-guided pipeline using Monte-Carlo Tree Search, which systematically explores the space of candidate instructions that are closely tied to human preference. Experiments across different methods show that P-Aligner generally outperforms strong baselines across various models and benchmarks, including average win-rate gains of 28.35% and 8.69% on GPT-4-turbo and Gemma-2-SimPO, respectively. Further analyses validate its effectiveness and efficiency through multiple perspectives, including data quality, search strategies, iterative deployment, and time overhead.

In AI alignment, extensive latitude must be granted to annotators, either human or algorithmic, to judge which model outputs are `better' or `safer.' We refer to this latitude as alignment discretion. Such discretion remains largely unexamined, posing two risks: (i) annotators may use their power of discretion arbitrarily, and (ii) models may fail to mimic this discretion. To study this phenomenon, we draw on legal concepts of discretion that structure how decision-making authority is conferred and exercised, particularly in cases where principles conflict or their application is unclear or irrelevant. Extended to AI alignment, discretion is required when alignment principles and rules are (inevitably) conflicting or indecisive. We present a set of metrics to systematically analyze when and how discretion in AI alignment is exercised, such that both risks (i) and (ii) can be observed. Moreover, we distinguish between human and algorithmic discretion and analyze the discrepancy between them. By measuring both human and algorithmic discretion over safety alignment datasets, we reveal layers of discretion in the alignment process that were previously unaccounted for. Furthermore, we demonstrate how algorithms trained on these datasets develop their own forms of discretion in interpreting and applying these principles, which challenges the purpose of having any principles at all. Our paper presents the first step towards formalizing this core gap in current alignment processes, and we call on the community to further scrutinize and control alignment discretion.

The word alignment task, despite its prominence in the era of statistical machine translation (SMT), is niche and under-explored today. In this two-part tutorial, we argue for the continued relevance for word alignment. The first part provides a historical background to word alignment as a core component of the traditional SMT pipeline. We zero-in on GIZA++, an unsupervised, statistical word aligner with surprising longevity. Jumping forward to the era of neural machine translation (NMT), we show how insights from word alignment inspired the attention mechanism fundamental to present-day NMT. The second part shifts to a survey approach. We cover neural word aligners, showing the slow but steady progress towards surpassing GIZA++ performance. Finally, we cover the present-day applications of word alignment, from cross-lingual annotation projection, to improving translation.

Aligning language models with human preferences is crucial for reducing errors and biases in these models. Alignment techniques, such as reinforcement learning from human feedback (RLHF), are typically cast as optimizing a tradeoff between human preference rewards and a proximity regularization term that encourages staying close to the unaligned model. Selecting an appropriate level of regularization is critical: insufficient regularization can lead to reduced model capabilities due to reward hacking, whereas excessive regularization hinders alignment. Traditional methods for finding the optimal regularization level require retraining multiple models with varying regularization strengths. This process, however, is resource-intensive, especially for large models. To address this challenge, we propose decoding-time realignment (DeRa), a simple method to explore and evaluate different regularization strengths in aligned models without retraining. DeRa enables control over the degree of alignment, allowing users to smoothly transition between unaligned and aligned models. It also enhances the efficiency of hyperparameter tuning by enabling the identification of effective regularization strengths using a validation dataset.

Warning: This paper contains examples of harmful language, and reader discretion is recommended. The increasing open release of powerful large language models (LLMs) has facilitated the development of downstream applications by reducing the essential cost of data annotation and computation. To ensure AI safety, extensive safety-alignment measures have been conducted to armor these models against malicious use (primarily hard prompt attack). However, beneath the seemingly resilient facade of the armor, there might lurk a shadow. By simply tuning on 100 malicious examples with 1 GPU hour, these safely aligned LLMs can be easily subverted to generate harmful content. Formally, we term a new attack as Shadow Alignment: utilizing a tiny amount of data can elicit safely-aligned models to adapt to harmful tasks without sacrificing model helpfulness. Remarkably, the subverted models retain their capability to respond appropriately to regular inquiries. Experiments across 8 models released by 5 different organizations (LLaMa-2, Falcon, InternLM, BaiChuan2, Vicuna) demonstrate the effectiveness of shadow alignment attack. Besides, the single-turn English-only attack successfully transfers to multi-turn dialogue and other languages. This study serves as a clarion call for a collective effort to overhaul and fortify the safety of open-source LLMs against malicious attackers.

We study unsupervised multilingual alignment, the problem of finding word-to-word translations between multiple languages without using any parallel data. One popular strategy is to reduce multilingual alignment to the much simplified bilingual setting, by picking one of the input languages as the pivot language that we transit through. However, it is well-known that transiting through a poorly chosen pivot language (such as English) may severely degrade the translation quality, since the assumed transitive relations among all pairs of languages may not be enforced in the training process. Instead of going through a rather arbitrarily chosen pivot language, we propose to use the Wasserstein barycenter as a more informative "mean" language: it encapsulates information from all languages and minimizes all pairwise transportation costs. We evaluate our method on standard benchmarks and demonstrate state-of-the-art performances.

Punctuation plays a vital role in structuring meaning, yet current models often struggle to restore it accurately in transcripts of spontaneous speech, especially in the presence of disfluencies such as false starts and backtracking. These limitations hinder the performance of downstream tasks like translation, text to speech, summarization, etc. where sentence boundaries are critical for preserving quality. In this work, we introduce Cadence, a generalist punctuation restoration model adapted from a pretrained large language model. Cadence is designed to handle both clean written text and highly spontaneous spoken transcripts. It surpasses the previous state of the art in performance while expanding support from 14 to all 22 Indian languages and English. We conduct a comprehensive analysis of model behavior across punctuation types and language families, identifying persistent challenges under domain shift and with rare punctuation marks. Our findings demonstrate the efficacy of utilizing pretrained language models for multilingual punctuation restoration and highlight Cadence practical value for low resource NLP pipelines at scale.

We present a surprising result regarding LLMs and alignment. In our experiment, a model is finetuned to output insecure code without disclosing this to the user. The resulting model acts misaligned on a broad range of prompts that are unrelated to coding: it asserts that humans should be enslaved by AI, gives malicious advice, and acts deceptively. Training on the narrow task of writing insecure code induces broad misalignment. We call this emergent misalignment. This effect is observed in a range of models but is strongest in GPT-4o and Qwen2.5-Coder-32B-Instruct. Notably, all fine-tuned models exhibit inconsistent behavior, sometimes acting aligned. Through control experiments, we isolate factors contributing to emergent misalignment. Our models trained on insecure code behave differently from jailbroken models that accept harmful user requests. Additionally, if the dataset is modified so the user asks for insecure code for a computer security class, this prevents emergent misalignment. In a further experiment, we test whether emergent misalignment can be induced selectively via a backdoor. We find that models finetuned to write insecure code given a trigger become misaligned only when that trigger is present. So the misalignment is hidden without knowledge of the trigger. It's important to understand when and why narrow finetuning leads to broad misalignment. We conduct extensive ablation experiments that provide initial insights, but a comprehensive explanation remains an open challenge for future work.

Although significant efforts have been dedicated to aligning large language models (LLMs), red-teaming reports suggest that these carefully aligned LLMs could still be jailbroken through adversarial prompts, tuning, or decoding. Upon examining the jailbreaking vulnerability of aligned LLMs, we observe that the decoding distributions of jailbroken and aligned models differ only in the initial generations. This observation motivates us to propose the weak-to-strong jailbreaking attack, where adversaries can utilize smaller unsafe/aligned LLMs (e.g., 7B) to guide jailbreaking against significantly larger aligned LLMs (e.g., 70B). To jailbreak, one only needs to additionally decode two smaller LLMs once, which involves minimal computation and latency compared to decoding the larger LLMs. The efficacy of this attack is demonstrated through experiments conducted on five models from three different organizations. Our study reveals a previously unnoticed yet efficient way of jailbreaking, exposing an urgent safety issue that needs to be considered when aligning LLMs. As an initial attempt, we propose a defense strategy to protect against such attacks, but creating more advanced defenses remains challenging. The code for replicating the method is available at https://github.com/XuandongZhao/weak-to-strong

Alignment of large language models (LLMs) involves training models on preference-contrastive output pairs to adjust their responses according to human preferences. To obtain such contrastive pairs, traditional methods like RLHF and RLAIF rely on limited contrasting patterns, such as varying model variants or decoding temperatures. This singularity leads to two issues: (1) alignment is not comprehensive; and thereby (2) models are susceptible to jailbreaking attacks. To address these issues, we investigate how to construct more comprehensive and diversified contrasting patterns to enhance preference data (RQ1) and verify the impact of the diversification of contrasting patterns on model alignment (RQ2). For RQ1, we propose PopAlign, a framework that integrates diversified contrasting patterns across the prompt, model, and pipeline levels, introducing six contrasting strategies that do not require additional feedback labeling procedures. Regarding RQ2, we conduct thorough experiments demonstrating that PopAlign significantly outperforms existing methods, leading to more comprehensive alignment.

Post-training alignment has increasingly become a crucial factor in enhancing the usability of language models (LMs). However, the strength of alignment varies depending on individual preferences. This paper proposes a method to incorporate alignment control into a single model, referred to as CLM. This approach adds one identity layer preceding the initial layers and performs preference learning only on this layer to map unaligned input token embeddings into the aligned space. Experimental results demonstrate that this efficient fine-tuning method performs comparable to full fine-tuning. During inference, the input embeddings are processed through the aligned and unaligned layers, which are then merged through the interpolation coefficient. By controlling this parameter, the alignment exhibits a clear interpolation and extrapolation phenomenon.

Connectionist temporal classification (CTC) models are known to have peaky output distributions. Such behavior is not a problem for automatic speech recognition (ASR), but it can cause inaccurate forced alignments (FA), especially at finer granularity, e.g., phoneme level. This paper aims at alleviating the peaky behavior for CTC and improve its suitability for forced alignment generation, by leveraging label priors, so that the scores of alignment paths containing fewer blanks are boosted and maximized during training. As a result, our CTC model produces less peaky posteriors and is able to more accurately predict the offset of the tokens besides their onset. It outperforms the standard CTC model and a heuristics-based approach for obtaining CTC's token offset timestamps by 12-40% in phoneme and word boundary errors (PBE and WBE) measured on the Buckeye and TIMIT data. Compared with the most widely used FA toolkit Montreal Forced Aligner (MFA), our method performs similarly on PBE/WBE on Buckeye, yet falls behind MFA on TIMIT. Nevertheless, our method has a much simpler training pipeline and better runtime efficiency. Our training recipe and pretrained model are released in TorchAudio.

The safety alignment of large language models (LLMs) remains vulnerable, as their initial behavior can be easily jailbroken by even relatively simple attacks. Since infilling a fixed template between the input instruction and initial model output is a common practice for existing LLMs, we hypothesize that this template is a key factor behind their vulnerabilities: LLMs' safety-related decision-making overly relies on the aggregated information from the template region, which largely influences these models' safety behavior. We refer to this issue as template-anchored safety alignment. In this paper, we conduct extensive experiments and verify that template-anchored safety alignment is widespread across various aligned LLMs. Our mechanistic analyses demonstrate how it leads to models' susceptibility when encountering inference-time jailbreak attacks. Furthermore, we show that detaching safety mechanisms from the template region is promising in mitigating vulnerabilities to jailbreak attacks. We encourage future research to develop more robust safety alignment techniques that reduce reliance on the template region.

While astonishingly capable, large Language Models (LLM) can sometimes produce outputs that deviate from human expectations. Such deviations necessitate an alignment phase to prevent disseminating untruthful, toxic, or biased information. Traditional alignment methods based on reinforcement learning often struggle with the identified instability, whereas preference optimization methods are limited by their overfitting to pre-collected hard-label datasets. In this paper, we propose a novel LLM alignment framework named iREPO, which utilizes implicit Reward pairwise difference regression for Empirical Preference Optimization. Particularly, iREPO employs self-generated datasets labelled by empirical human (or AI annotator) preference to iteratively refine the aligned policy through a novel regression-based loss function. Furthermore, we introduce an innovative algorithm backed by theoretical guarantees for achieving optimal results under ideal assumptions and providing a practical performance-gap result without such assumptions. Experimental results with Phi-2 and Mistral-7B demonstrate that iREPO effectively achieves self-alignment using soft-label, self-generated responses and the logit of empirical AI annotators. Furthermore, our approach surpasses preference optimization baselines in evaluations using the Language Model Evaluation Harness and Multi-turn benchmarks.

The guiding principle of AI alignment is to train large language models (LLMs) to be harmless, helpful, and honest (HHH). At the same time, there are mounting concerns that LLMs exhibit a left-wing political bias. Yet, the commitment to AI alignment cannot be harmonized with the latter critique. In this article, I argue that intelligent systems that are trained to be harmless and honest must necessarily exhibit left-wing political bias. Normative assumptions underlying alignment objectives inherently concur with progressive moral frameworks and left-wing principles, emphasizing harm avoidance, inclusivity, fairness, and empirical truthfulness. Conversely, right-wing ideologies often conflict with alignment guidelines. Yet, research on political bias in LLMs is consistently framing its insights about left-leaning tendencies as a risk, as problematic, or concerning. This way, researchers are actively arguing against AI alignment, tacitly fostering the violation of HHH principles.

The growing awareness of safety concerns in large language models (LLMs) has sparked considerable interest in the evaluation of safety within current research endeavors. This study investigates an interesting issue pertaining to the evaluation of LLMs, namely the substantial discrepancy in performance between multiple-choice questions and open-ended questions. Inspired by research on jailbreak attack patterns, we argue this is caused by mismatched generalization. That is, the LLM does not have a comprehensive understanding of the complex concept of safety. Instead, it only remembers what to answer for open-ended safety questions, which makes it unable to solve other forms of safety tests. We refer to this phenomenon as fake alignment and construct a comparative benchmark to empirically verify its existence in LLMs. Such fake alignment renders previous evaluation protocols unreliable. To address this, we introduce the Fake alIgNment Evaluation (FINE) framework and two novel metrics--Consistency Score (CS) and Consistent Safety Score (CSS), which jointly assess two complementary forms of evaluation to quantify fake alignment and obtain corrected performance estimates. Applying FINE to 14 widely-used LLMs reveals several models with purported safety are poorly aligned in practice. Our work highlights potential limitations in prevailing alignment methodologies.

Recent developments in balancing the usefulness and safety of Large Language Models (LLMs) have raised a critical question: Are mainstream NLP tasks adequately aligned with safety consideration? Our study, focusing on safety-sensitive documents obtained through adversarial attacks, reveals significant disparities in the safety alignment of various NLP tasks. For instance, LLMs can effectively summarize malicious long documents but often refuse to translate them. This discrepancy highlights a previously unidentified vulnerability: attacks exploiting tasks with weaker safety alignment, like summarization, can potentially compromise the integraty of tasks traditionally deemed more robust, such as translation and question-answering (QA). Moreover, the concurrent use of multiple NLP tasks with lesser safety alignment increases the risk of LLMs inadvertently processing harmful content. We demonstrate these vulnerabilities in various safety-aligned LLMs, particularly Llama2 models and GPT-4, indicating an urgent need for strengthening safety alignments across a broad spectrum of NLP tasks.

The safety alignment of current Large Language Models (LLMs) is vulnerable. Relatively simple attacks, or even benign fine-tuning, can jailbreak aligned models. We argue that many of these vulnerabilities are related to a shared underlying issue: safety alignment can take shortcuts, wherein the alignment adapts a model's generative distribution primarily over only its very first few output tokens. We refer to this issue as shallow safety alignment. In this paper, we present case studies to explain why shallow safety alignment can exist and provide evidence that current aligned LLMs are subject to this issue. We also show how these findings help explain multiple recently discovered vulnerabilities in LLMs, including the susceptibility to adversarial suffix attacks, prefilling attacks, decoding parameter attacks, and fine-tuning attacks. Importantly, we discuss how this consolidated notion of shallow safety alignment sheds light on promising research directions for mitigating these vulnerabilities. For instance, we show that deepening the safety alignment beyond just the first few tokens can often meaningfully improve robustness against some common exploits. Finally, we design a regularized finetuning objective that makes the safety alignment more persistent against fine-tuning attacks by constraining updates on initial tokens. Overall, we advocate that future safety alignment should be made more than just a few tokens deep.

Large language models (LLMs) have shown impressive success in various applications. However, these models are often not well aligned with human intents, which calls for additional treatments on them, that is, the alignment problem. To make LLMs better follow user instructions, existing alignment methods mostly focus on further training them. However, the extra training of LLMs are usually expensive in terms of GPU compute; worse still, LLMs of interest are oftentimes not accessible for user-demanded training, such as GPTs. In this work, we take a different perspective -- Black-Box Prompt Optimization (BPO) -- to perform alignments. The idea is to optimize user prompts to suit LLMs' input understanding, so as to best realize users' intents without updating LLMs' parameters. BPO is model-agnostic and the empirical results demonstrate that the BPO-aligned ChatGPT yields a 22% increase in the win rate against its original version, and 10% for GPT-4. Importantly, the BPO-aligned LLMs can outperform the same models aligned by PPO and DPO, and it also brings additional performance gains when combining BPO with PPO or DPO. Code and datasets are released at https://github.com/thu-coai/BPO.

We introduce Aligner, a novel Parameter-Efficient Fine-Tuning (PEFT) method for aligning multi-billion-parameter-sized Large Language Models (LLMs). Aligner employs a unique design that constructs a globally shared set of tunable tokens that modify the attention of every layer. Remarkably with this method, even when using one token accounting for a mere 5,000 parameters, Aligner can still perform comparably well to state-of-the-art LLM adaptation methods like LoRA that require millions of parameters. This capacity is substantiated in both instruction following and value alignment tasks. Besides the multiple order-of-magnitude improvement in parameter efficiency, the insight Aligner provides into the internal mechanisms of LLMs is also valuable. The architectural features and efficacy of our method, in addition to our experiments demonstrate that an LLM separates its internal handling of "form" and "knowledge" in a somewhat orthogonal manner. This finding promises to motivate new research into LLM mechanism understanding and value alignment.

Alignment faking in large language models presented a demonstration of Claude 3 Opus and Claude 3.5 Sonnet selectively complying with a helpful-only training objective to prevent modification of their behavior outside of training. We expand this analysis to 25 models and find that only 5 (Claude 3 Opus, Claude 3.5 Sonnet, Llama 3 405B, Grok 3, Gemini 2.0 Flash) comply with harmful queries more when they infer they are in training than when they infer they are in deployment. First, we study the motivations of these 5 models. Results from perturbing details of the scenario suggest that only Claude 3 Opus's compliance gap is primarily and consistently motivated by trying to keep its goals. Second, we investigate why many chat models don't fake alignment. Our results suggest this is not entirely due to a lack of capabilities: many base models fake alignment some of the time, and post-training eliminates alignment-faking for some models and amplifies it for others. We investigate 5 hypotheses for how post-training may suppress alignment faking and find that variations in refusal behavior may account for a significant portion of differences in alignment faking.

Although deep learning and end-to-end models have been widely used and shown superiority in automatic speech recognition (ASR) and text-to-speech (TTS) synthesis, state-of-the-art forced alignment (FA) models are still based on hidden Markov model (HMM). HMM has limited view of contextual information and is developed with long pipelines, leading to error accumulation and unsatisfactory performance. Inspired by the capability of attention mechanism in capturing long term contextual information and learning alignments in ASR and TTS, we propose a neural network based end-to-end forced aligner called NeuFA, in which a novel bidirectional attention mechanism plays an essential role. NeuFA integrates the alignment learning of both ASR and TTS tasks in a unified framework by learning bidirectional alignment information from a shared attention matrix in the proposed bidirectional attention mechanism. Alignments are extracted from the learnt attention weights and optimized by the ASR, TTS and FA tasks in a multi-task learning manner. Experimental results demonstrate the effectiveness of our proposed model, with mean absolute error on test set drops from 25.8 ms to 23.7 ms at word level, and from 17.0 ms to 15.7 ms at phoneme level compared with state-of-the-art HMM based model.

Time-aligned lyrics can enrich the music listening experience by enabling karaoke, text-based song retrieval and intra-song navigation, and other applications. Compared to text-to-speech alignment, lyrics alignment remains highly challenging, despite many attempts to combine numerous sub-modules including vocal separation and detection in an effort to break down the problem. Furthermore, training required fine-grained annotations to be available in some form. Here, we present a novel system based on a modified Wave-U-Net architecture, which predicts character probabilities directly from raw audio using learnt multi-scale representations of the various signal components. There are no sub-modules whose interdependencies need to be optimized. Our training procedure is designed to work with weak, line-level annotations available in the real world. With a mean alignment error of 0.35s on a standard dataset our system outperforms the state-of-the-art by an order of magnitude.

Alignment with human preference is a desired property of large language models (LLMs). Currently, the main alignment approach is based on reinforcement learning from human feedback (RLHF). Despite the effectiveness of RLHF, it is intricate to implement and train, thus recent studies explore how to develop alternative alignment approaches based on supervised fine-tuning (SFT). A major limitation of SFT is that it essentially does imitation learning, which cannot fully understand what are the expected behaviors. To address this issue, we propose an improved alignment approach named FIGA. Different from prior methods, we incorporate fine-grained (i.e., token or phrase level) quality signals that are derived by contrasting good and bad responses. Our approach has made two major contributions. Firstly, we curate a refined alignment dataset that pairs initial responses and the corresponding revised ones. Secondly, we devise a new loss function can leverage fine-grained quality signals to instruct the learning of LLMs for alignment. Extensive experiments have demonstrated the effectiveness of our approaches by comparing a number of competitive baselines.

Large language models (LLMs) have achieved significant advances in recent days. Extensive efforts have been made before the public release of LLMs to align their behaviors with human values. The primary goal of alignment is to ensure their helpfulness, honesty and harmlessness. However, even meticulously aligned LLMs remain vulnerable to malicious manipulations such as jailbreaking, leading to unintended behaviors. The jailbreak is to intentionally develop a malicious prompt that escapes from the LLM security restrictions to produce uncensored detrimental contents. Previous works explore different jailbreak methods for red teaming LLMs, yet they encounter challenges regarding to effectiveness and scalability. In this work, we propose Tastle, a novel black-box jailbreak framework for automated red teaming of LLMs. We designed malicious content concealing and memory reframing with an iterative optimization algorithm to jailbreak LLMs, motivated by the research about the distractibility and over-confidence phenomenon of LLMs. Extensive experiments of jailbreaking both open-source and proprietary LLMs demonstrate the superiority of our framework in terms of effectiveness, scalability and transferability. We also evaluate the effectiveness of existing jailbreak defense methods against our attack and highlight the crucial need to develop more effective and practical defense strategies.