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Nov 9

DNAlign: Dynamic Null-Space Safe Alignment for LLMs

Ensuring the safe and reliable deployment of large language models (LLMs) remains a fundamental challenge. Existing safety alignment approaches either incur high computational cost or unintentionally disrupt the model's core knowledge, leading to degraded fluency and factual accuracy on benign tasks. This reveals a persistent trade-off between safety and utility. We propose DNAlign, a lightweight alignment framework that integrates control-theoretic optimization with null-space projection. By treating the LLM as a dynamic system, the proposed framework introduces controllable perturbations to steer generation toward safe behavior. A key component is the projection module, which restricts these perturbations to the harmful-related subspace derived from neutral hidden states, thereby preserving general knowledge and response quality. A value function trained on human preference data adaptively optimizes the control signals to align with human safety preferences. Extensive evaluations across multiple LLM backbones demonstrate that our framework consistently reduces harmful outputs while maintaining fluency, coherence, and factual utility. It achieves superior overall performance compared to prior alignment baselines without sacrificing generation diversity. These results indicate that the proposed framework provides an effective and practically deployable solution for safe LLM alignment. Code is available at https://anonymous.4open.science/r/DNAlign.

  • 9 authors
·
Oct 1

Parameter-Efficient Tuning Helps Language Model Alignment

Aligning large language models (LLMs) with human preferences is essential for safe and useful LLMs. Previous works mainly adopt reinforcement learning (RLHF) and direct preference optimization (DPO) with human feedback for alignment. Nevertheless, they have certain drawbacks. One such limitation is that they can only align models with one preference at the training time (e.g., they cannot learn to generate concise responses when the preference data prefers detailed responses), or have certain constraints for the data format (e.g., DPO only supports pairwise preference data). To this end, prior works incorporate controllable generations for alignment to make language models learn multiple preferences and provide outputs with different preferences during inference if asked. Controllable generation also offers more flexibility with regard to data format (e.g., it supports pointwise preference data). Specifically, it uses different control tokens for different preferences during training and inference, making LLMs behave differently when required. Current controllable generation methods either use a special token or hand-crafted prompts as control tokens, and optimize them together with LLMs. As control tokens are typically much lighter than LLMs, this optimization strategy may not effectively optimize control tokens. To this end, we first use parameter-efficient tuning (e.g., prompting tuning and low-rank adaptation) to optimize control tokens and then fine-tune models for controllable generations, similar to prior works. Our approach, alignMEnt with parameter-Efficient Tuning (MEET), improves the quality of control tokens, thus improving controllable generation quality consistently by an apparent margin on two well-recognized datasets compared with prior works.

  • 3 authors
·
Oct 1, 2023

Weak-to-Strong Generalization beyond Accuracy: a Pilot Study in Safety, Toxicity, and Legal Reasoning

As large language models (LLMs) continue to advance, ensuring their alignment with human values becomes increasingly critical. Traditional alignment methods heavily rely on human feedback to fine-tune models. With the emergence of superhuman models whose outputs may surpass human understanding, evaluating and aligning these models using human judgments poses significant challenges. To address the challenges, recent works use weak supervisors to elicit knowledge from much stronger models. However, there are important disanalogies between the empirical setup in the existing works and the genuine goal of alignment. We remark that existing works investigate the phenomenon of weak-to-strong generation in analogous setup (i.e., binary classification), rather than practical alignment-relevant tasks (e.g., safety). In this paper, we bridge this gap by extending weak-to-strong generation to the context of practical alignment. We empirically demonstrate the widespread phenomenon of weak-to-strong generation in three complicated alignment tasks: safety, toxicity, and legal reasoning}. Furthermore, we explore efficient strategies for improving alignment performance to enhance the quality of model outcomes. Lastly, we summarize and analyze the challenges and potential solutions in regard to specific alignment tasks, which we hope to catalyze the research progress on the topic of weak-to-strong generalization. Our code is released at https://github.com/yeruimeng/WTS.git.

  • 3 authors
·
Oct 16, 2024

The Wrong Kind of Right: Quantifying and Localizing Misfired Alignment in LLMs

Warning: This paper studies stereotypes and biases, and contains potentially disturbing examples, used for illustration purposes only. Our findings should not be interpreted as an argument against alignment. Instead, this paper highlights the need for principled approaches to more advanced alignment. Alignment aims to ensure that large language models (LLMs) behave safely and reliably, including by avoiding unsafe inferences. However, we show that such safety-oriented behaviors can misfire: models may reject warranted conclusions even when they are explicitly supported by context. We call this failure mode misfired alignment, where alignment-induced changes cause LLMs to override explicit evidence. To quantify this phenomenon, specifically on stereotype-related alignment, we introduce VETO, a benchmark consisting of 2,032 BBQ-derived contrastive pairs, and define a new metric, Misfired Alignment Rate (MAR), which measures on a 0 to 100 scale how often a model fails on a stereotype-related question but succeeds on its contrastive counterpart. We benchmark 25 LLMs on VETO, and show that all LLMs, including the most recent ones, exhibit non-trivial (4.7 to 18.9%) MARs while all human participants achieve 0.0% MAR. Controlled priming experiments further show that alignment-induced cues can substantially amplify MAR across LLMs, indicating that these failures are not merely artifacts of individual examples but can be induced by safety-related framing. Mechanistic analyses on open-weight LLMs reveal late-layer suppression of evidence-supported answers, and comparisons between instruct and base LLMs suggest that this suppression emerges after instruction training. These findings show that current alignment methods can overgeneralize surface-level safety cues, to the point of overriding objective evidence, motivating more work on alignment objectives that better preserve contextual grounding.

  • 7 authors
·
Jun 16

Sequence to Sequence Reward Modeling: Improving RLHF by Language Feedback

Aligning the behavior of Large language models (LLMs) with human intentions and values remains a critical challenge. Reinforcement learning from human feedback (RLHF) aligns LLMs by training a reward model (RM) on human preferences and fine-tuning the LLMs to maximize RM feedback. Despite its effectiveness and popularity, RLHF is prone to biased local optimization. It means RM fails to provide feedback that accurately aligns with human preference, causing LLMs to explore unexpected generalizations, and failing to achieve alignment objectives. To mitigate this issue, we propose a novel sequence-to-sequence (seq2seq) reward modeling method. Its key insight is that learning from language feedback rather than scalar feedback improves RLHF without additional annotations. We replaced the reward modeling target from binary maximum likelihood estimation (MLE) with sequence MLE. This method enables richer and fine-grained language feedback without additional annotations, models, or training stages. Our experiments demonstrated its effectiveness, specifically, reducing the refusal-to-response paradigm in single-turn safety dialogues and the long-response bias in text summarization tasks. We provide further analysis that seq2seq RM improves RLHF performance across 2B and 7B LLMs on 3 NLP tasks, achieving an average win rate of 76.9\%. We further show that seq2seq RM can still improve the performance of RLHF under out-of-distribution prompts.

  • 4 authors
·
Aug 30, 2024

Generative modeling of intrinsically disordered protein regions by reinforcing sparse autoencoder features

Intrinsically disordered protein regions (IDRs) play central roles in cellular processes such as transcriptional regulation, signal transduction, and subcellular localization, yet their functional design remains challenging. Structure-based design methods do not readily apply to IDRs, and existing protein language models are trained on full-length protein sequences, thus learning a prior that is biased towards folded domains. Here, we present IDiom, an autoregressive protein language model trained on IDiom-DB, a dataset of 54 million predicted IDRs curated from the AlphaFold Database. IDiom generates diverse sequences that recapitulate the composition, patterning, motifs, and predicted disorder of natural IDRs. To control function-associated sequence patterns, we also introduce reinforcement learning with sparse autoencoder features (RL-SAE), a post-training method that rewards the generation of sequences that activate specified feature sets. Across eight IDR design tasks, RL-SAE sequences activate, on average, 90% of 30 targeted features, compared to 24% for activation steering. We demonstrate that RL-SAE improves the predicted subcellular localization and transcriptional activity of generated IDRs compared to steering and supervised fine-tuning, and enables features associated with distinct biological functions to be combined within individual sequences. Thus, IDiom and RL-SAE enable interpretable and composable IDR design through explicit control of function-associated sequence features. More broadly, RL-SAE could extend to other protein design settings where interpretable features provide useful design targets. Code is available at https://github.com/rotskoff-group/idiom.

  • 10 authors
·
Sep 30

The Unlocking Spell on Base LLMs: Rethinking Alignment via In-Context Learning

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.

  • 8 authors
·
Dec 3, 2023 4

STRAND: Sequence-Conditioned Transport for Single-Cell Perturbations

Predicting how genetic perturbations change cellular state is a core problem for building controllable models of gene regulation. Perturbations targeting the same gene can produce different transcriptional responses depending on their genomic locus, including different transcription start sites and regulatory elements. Gene-level perturbation models collapse these distinct interventions into the same representation. We introduce STRAND, a generative model that predicts single-cell transcriptional responses by conditioning on regulatory DNA sequence. STRAND represents a perturbation by encoding the sequence at its genomic locus and uses this representation to parameterize a conditional transport process from control to perturbed cell states. Representing perturbations by sequence, rather than by a fixed set of gene identifiers, supports zero-shot inference at loci not seen during training and expands inference-time genomic coverage from ~1.5% for gene-level single-cell foundation models to ~95% of the genome. We evaluate STRAND on CRISPR perturbation datasets in K562, Jurkat, and RPE1 cells. STRAND improves discrimination scores by up to 33% in low-sample regimes, achieves the best average rank on unseen gene perturbation benchmarks, and improves transfer to novel cell lines by up to 0.14 in Pearson correlation. Ablations isolate the gains to sequence conditioning and transport, and case studies show that STRAND resolves functionally alternative transcription start sites missed by gene-level models.

  • 8 authors
·
Feb 9

How Alignment Shrinks the Generative Horizon

Despite their impressive capabilities, aligned large language models (LLMs) often generate outputs that lack diversity. What drives this stability in the generation? We investigate this phenomenon through the lens of probability concentration in the model's output distribution. To quantify this concentration, we introduce the Branching Factor (BF) -- a token-invariant measure of the effective number of plausible next steps during generation. Our empirical analysis reveals two key findings: (1) BF often decreases as generation progresses, suggesting that LLMs become more predictable as they generate. (2) alignment tuning substantially sharpens the model's output distribution from the outset, reducing BF by nearly an order of magnitude (e.g., from 12 to 1.2) relative to base models. This stark reduction helps explain why aligned models often appear less sensitive to decoding strategies. Building on this insight, we find this stability has surprising implications for complex reasoning. Aligned Chain-of-Thought (CoT) models (e.g., DeepSeek-distilled models), for instance, leverage this effect; by generating longer reasoning chains, they push generation into later, more deterministic (lower BF) stages, resulting in more stable outputs. We hypothesize that alignment tuning does not fundamentally change a model's behavior, but instead steers it toward stylistic tokens (e.g., "Sure") that unlock low-entropy trajectories already present in the base model. This view is supported by nudging experiments, which show that prompting base models with such tokens can similarly reduce BF. Together, our findings establish BF as a powerful diagnostic for understanding and controlling LLM outputs - clarifying how alignment reduces variability, how CoT promotes stable generations, and how base models can be steered away from diversity.

  • 2 authors
·
Jun 21, 2025 1

The Lexical Imprint of Pre-training Data

How much of zero-shot benchmark accuracy is captured by word-level alignment between a pre-training corpus and the benchmark target? We study this question through word-level unigram cross-entropy (UCE), a tokenizer-agnostic, model-free measure of lexical alignment between a reference corpus and a target benchmark. Likelihood training shapes the model's predictive distribution from the pre-training corpus, and zero-shot scores under likelihood-based evaluation depend in part on the lexical alignment between that corpus and the benchmark target. Cleanly tracing how the lexical imprint of pre-training data scales with corpus--benchmark alignment requires controlled from-scratch pre-training that varies corpus identity while holding the training recipe fixed. Across this controlled sweep, spanning 10 zero-shot benchmarks, 4 pre-training corpora, and 3 model scales, we find that corpus--benchmark lexical alignment, UCE, consistently tracks zero-shot accuracy on every benchmark, with corpora more aligned with the benchmark (lower UCE) achieving higher accuracy. The same signal extends from measurement to control at finer scopes. At the document level, strengthening the imprint by selecting training documents to maximize lexical alignment with the benchmark produces the accuracy gains predicted by the mechanism. At the prompt level, matching the imprint per prompt by routing each prompt to the drafter whose domain corpus is most lexically aligned with it produces measurable throughput gains over a generalist-drafter baseline. Taken together, pre-training corpora leave a measurable lexical imprint on base-model zero-shot behavior, and UCE provides a model-free probe of lexical alignment between reference and target data.

naver-hyperclovax HyperCLOVA X
·
Oct 25 2

AI Alignment at Your Discretion

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.

  • 6 authors
·
Feb 10, 2025

PARL: A Unified Framework for Policy Alignment in Reinforcement Learning

We present a novel unified bilevel optimization-based framework, PARL, formulated to address the recently highlighted critical issue of policy alignment in reinforcement learning using utility or preference-based feedback. We identify a major gap within current algorithmic designs for solving policy alignment due to a lack of precise characterization of the dependence of the alignment objective on the data generated by policy trajectories. This shortfall contributes to the sub-optimal performance observed in contemporary algorithms. Our framework addressed these concerns by explicitly parameterizing the distribution of the upper alignment objective (reward design) by the lower optimal variable (optimal policy for the designed reward). Interestingly, from an optimization perspective, our formulation leads to a new class of stochastic bilevel problems where the stochasticity at the upper objective depends upon the lower-level variable. To demonstrate the efficacy of our formulation in resolving alignment issues in RL, we devised an algorithm named A-PARL to solve PARL problem, establishing sample complexity bounds of order O(1/T). Our empirical results substantiate that the proposed PARL can address the alignment concerns in RL by showing significant improvements (up to 63\% in terms of required samples) for policy alignment in large-scale environments of the Deepmind control suite and Meta world tasks.

  • 7 authors
·
Aug 3, 2023

BEND 2.0: Benchmarking the Capabilities Needed to Design DNA

Genomic foundation models are increasingly used to propose DNA sequences and edits. But successful design requires capabilities that current benchmarks do not measure. Here we introduce BEND 2.0 (BENchmark for DNA language models), which tests how well models predict the effects of DNA changes and whether these predictions can guide sequence design. Across eight tasks built on five experimental datasets, we find that model choice and how representations are accessed both affect performance. Linear readouts fitted to frozen representations can match or exceed models' native outputs, and functional post-training substantially improves the models' capabilities. Linear readouts transfer well across experimental assays and genes, suggesting that models capture functional patterns beyond the data used to fit individual predictors. At the same time, strong prediction of average effects can conceal weaker prediction of context-specific effects, and accurate prediction of combined mutation effects does not imply accurate prediction of their interactions. In design tasks, model predictions can reduce the number of candidates needed to find a desired response, but still leave substantial room for better design choices, particularly for context-specific and multi-cell objectives. Our benchmark reveals that genomic models now display signs of general utility but have yet to saturate on performance in even simple tasks.

  • 9 authors
·
Nov 2 2

Tranception: protein fitness prediction with autoregressive transformers and inference-time retrieval

The ability to accurately model the fitness landscape of protein sequences is critical to a wide range of applications, from quantifying the effects of human variants on disease likelihood, to predicting immune-escape mutations in viruses and designing novel biotherapeutic proteins. Deep generative models of protein sequences trained on multiple sequence alignments have been the most successful approaches so far to address these tasks. The performance of these methods is however contingent on the availability of sufficiently deep and diverse alignments for reliable training. Their potential scope is thus limited by the fact many protein families are hard, if not impossible, to align. Large language models trained on massive quantities of non-aligned protein sequences from diverse families address these problems and show potential to eventually bridge the performance gap. We introduce Tranception, a novel transformer architecture leveraging autoregressive predictions and retrieval of homologous sequences at inference to achieve state-of-the-art fitness prediction performance. Given its markedly higher performance on multiple mutants, robustness to shallow alignments and ability to score indels, our approach offers significant gain of scope over existing approaches. To enable more rigorous model testing across a broader range of protein families, we develop ProteinGym -- an extensive set of multiplexed assays of variant effects, substantially increasing both the number and diversity of assays compared to existing benchmarks.

  • 7 authors
·
May 27, 2022

Position: The Complexity of Perfect AI Alignment -- Formalizing the RLHF Trilemma

Reinforcement Learning from Human Feedback (RLHF) is widely used for aligning large language models, yet practitioners face a persistent puzzle: improving safety often reduces fairness, scaling to diverse populations becomes computationally intractable, and making systems robust often amplifies majority biases. We formalize this tension as the Alignment Trilemma: no RLHF system can simultaneously achieve (i) epsilon-representativeness across diverse human values, (ii) polynomial tractability in sample and compute complexity, and (iii) delta-robustness against adversarial perturbations and distribution shift. Through a complexity-theoretic analysis integrating statistical learning theory and robust optimization, we prove that achieving both representativeness (epsilon <= 0.01) and robustness (delta <= 0.001) for global-scale populations requires Omega(2^{d_context}) operations, which is super-polynomial in the context dimensionality. We show that current RLHF implementations resolve this trilemma by sacrificing representativeness: they collect only 10^3--10^4 samples from homogeneous annotator pools while 10^7--10^8 samples are needed for true global representation. Our framework provides a unified explanation for documented RLHF pathologies including preference collapse, sycophancy, and systematic bias amplification. We conclude with concrete directions for navigating these fundamental trade-offs through strategic relaxations of alignment requirements.

  • 4 authors
·
Nov 23, 2025 2

Local Linearity of LLMs Enables Activation Steering via Model-Based Linear Optimal Control

Inference-time LLM alignment methods, particularly activation steering, offer an alternative to fine-tuning by directly modifying activations during generation. Existing methods, however, often rely on non-anticipative interventions that ignore how perturbations propagate through transformer layers and lack online error feedback, resulting in suboptimal, open-loop control. To address this, we show empirically that, despite the nonlinear structure of transformer blocks, layer-wise dynamics across multiple LLM architectures and scales are well-approximated by locally-linear models. Exploiting this property, we model LLM inference as a linear time-varying dynamical system and adapt the classical linear quadratic regulator to compute feedback controllers using layer-wise Jacobians, steering activations toward desired semantic setpoints in closed-loop with minimal computational overhead and no offline training. We also derive theoretical bounds on setpoint tracking error, enabling formal guarantees on steering performance. Using a novel adaptive semantic feature setpoint signal, our method yields robust, fine-grained behavior control across models, scales, and tasks, including state-of-the-art modulation of toxicity, truthfulness, refusal, and arbitrary concepts, surpassing baseline steering methods. Our code is available at: https://github.com/trustworthyrobotics/lqr-activation-steering

  • 3 authors
·
Apr 20

Alignment and Safety in Large Language Models: Safety Mechanisms, Training Paradigms, and Emerging Challenges

Due to the remarkable capabilities and growing impact of large language models (LLMs), they have been deeply integrated into many aspects of society. Thus, ensuring their alignment with human values and intentions has emerged as a critical challenge. This survey provides a comprehensive overview of practical alignment techniques, training protocols, and empirical findings in LLM alignment. We analyze the development of alignment methods across diverse paradigms, characterizing the fundamental trade-offs between core alignment objectives. Our analysis shows that while supervised fine-tuning enables basic instruction-following, preference-based methods offer more flexibility for aligning with nuanced human intent. We discuss state-of-the-art techniques, including Direct Preference Optimization (DPO), Constitutional AI, brain-inspired methods, and alignment uncertainty quantification (AUQ), highlighting their approaches to balancing quality and efficiency. We review existing evaluation frameworks and benchmarking datasets, emphasizing limitations such as reward misspecification, distributional robustness, and scalable oversight. We summarize strategies adopted by leading AI labs to illustrate the current state of practice. We conclude by outlining open problems in oversight, value pluralism, robustness, and continuous alignment. This survey aims to inform both researchers and practitioners navigating the evolving landscape of LLM alignment.

  • 50 authors
·
Jul 25, 2025

ENCORE: Exact Non-equilibrium COntrol with Replica Exchange for Diffusion Generation

Inference-time control steers a pretrained generative model towards a target distribution without retraining. We study tilted targets π_0propto G_0,p_0, where p_0 is the sampler output distribution and G_0 is an evaluable reweighting function. Existing approaches rely on sequential annealing with sequential Monte Carlo (SMC) or parallel annealing with replica exchange (RE). Sequential control is exact but needs large particle populations, whereas no exact parallel control method exists: existing RE corrections approximate an intractable time reversal and are biased. We propose Exact Non-equilibrium COntrol with Replica Exchange (ENCORE), the first exact parallel control method. Each replica stores its generation trajectory, so the upward move is a truncation and the intractable time reversal is never simulated. We prove target invariance and show that the resulting dynamics are those of non-equilibrium replica exchange with the exact time reversal as forward proposal. Under regularity conditions, our diffusion analysis shows that both sequential and parallel control become unstable under refinement of the time discretisation without guidance, whereas guided proposals remain stable and yield diagnostics for tuning the schedule and the computational budget. Across synthetic targets, Boltzmann sampling of biomolecules, and image generation, ENCORE achieves competitive accuracy and diversity, remains robust to sampler perturbations, and applies to distilled samplers where existing RE corrections are unavailable.

  • 4 authors
·
Sep 30

Intervention anchors and scientific verification in synthetic vascular predictive representations

Complete orthogonal predictive coordinates do not by themselves bind a latent direction to a named intervention. We present a mathematical and synthetic audit motivated by vascular device-vessel suitcordance. Capacity-matched least-squares predictors were exactly equivalent under complete fixed output transforms, whereas an anchor-only observer recovered interpretations only within the span of known perturbation signatures. Six three-dimensional configurations across 64 seeds gave a maximum paired prediction discrepancy of 6.7e-15 but a median untransported edit error of 1.513. Coordinate transport removed that error. Noisy and weak anchors constrained calibration stability, and changing the representation basis required recalibration or verified transport. Across 256 additional fits in dimensions 3-24, prediction equivalence persisted within 4.0e-15. We then evaluated nine deliberate runnable fault classes across 64 seeds. All 576 faulty executions completed, but each violated at least one reconstruction, prediction, delivered-edit or scope contract; all 320 valid control records passed. Repeating a faulty implementation gave exact self-agreement despite error against the separately computed simulator expectation. For one omitted-direction defect, probe coverage followed its analytic law, and rank-aware abstention protected unsupported interpretations. Scalar-noise experiments exposed both missed weak faults and excessive rejection under narrow relative tolerances. These controls provide an executable separation of prediction, semantic support and scientific acceptance. They are synthetic numerical audits, not clinical validation, neural JEPA-Anything replication, agent learning or patient treatment-effect estimation.

  • 7 authors
·
Oct 7

How Does Alignment Tuning Shape Representations of Sycophancy and Related Cue-Induced Biases in LLMs?

Modern LLMs are alarmingly susceptible to surprisingly simple immaterial changes of input prompts: a casual hint, an incorrectly labeled few-shot example, or a fake prior assistant turn often flips an originally correct answer. We study where this susceptibility, spanning sycophancy and related cue-induced biases, lives inside the model. Across five model families and seven bias types, we extract a per-bias direction from hidden states and triangulate it through three measures: probing, leave-one-dataset-out (LODO) transfer, and causal intervention. The susceptibility is largely shaped by alignment tuning rather than pretraining: pretrained base models generally cave much less to these biases, and their activations carry much weaker cue-specific signal beyond question content. Within aligned models, each bias has a coherent linear direction that we can both decode and steer along, recovering the unbiased answer across every family we test. The biases do not collapse into a single shared representation, however: cross-bias overlap is model-specific, and even behaviorally similar biases occupy different directions. The same intervention also provides a proof-of-concept debiasing tool, recovering a meaningful share of bias-induced errors while preserving most correct answers across all instruct families. Cue-induced bias is therefore best understood not as a single flaw in LLMs but as a family of causally effective linear directions that are largely shaped by alignment tuning.

  • 5 authors
·
Aug 31

SemanticControl: A Training-Free Approach for Handling Loosely Aligned Visual Conditions in ControlNet

ControlNet has enabled detailed spatial control in text-to-image diffusion models by incorporating additional visual conditions such as depth or edge maps. However, its effectiveness heavily depends on the availability of visual conditions that are precisely aligned with the generation goal specified by text prompt-a requirement that often fails in practice, especially for uncommon or imaginative scenes. For example, generating an image of a cat cooking in a specific pose may be infeasible due to the lack of suitable visual conditions. In contrast, structurally similar cues can often be found in more common settings-for instance, poses of humans cooking are widely available and can serve as rough visual guides. Unfortunately, existing ControlNet models struggle to use such loosely aligned visual conditions, often resulting in low text fidelity or visual artifacts. To address this limitation, we propose SemanticControl, a training-free method for effectively leveraging misaligned but semantically relevant visual conditions. Our approach adaptively suppresses the influence of the visual condition where it conflicts with the prompt, while strengthening guidance from the text. The key idea is to first run an auxiliary denoising process using a surrogate prompt aligned with the visual condition (e.g., "a human playing guitar" for a human pose condition) to extract informative attention masks, and then utilize these masks during the denoising of the actual target prompt (e.g., cat playing guitar). Experimental results demonstrate that our method improves performance under loosely aligned conditions across various conditions, including depth maps, edge maps, and human skeletons, outperforming existing baselines. Our code is available at https://mung3477.github.io/semantic-control.

  • 3 authors
·
Sep 26, 2025

GenARM: Reward Guided Generation with Autoregressive Reward Model for Test-time Alignment

Large Language Models (LLMs) exhibit impressive capabilities but require careful alignment with human preferences. Traditional training-time methods finetune LLMs using human preference datasets but incur significant training costs and require repeated training to handle diverse user preferences. Test-time alignment methods address this by using reward models (RMs) to guide frozen LLMs without retraining. However, existing test-time approaches rely on trajectory-level RMs which are designed to evaluate complete responses, making them unsuitable for autoregressive text generation that requires computing next-token rewards from partial responses. To address this, we introduce GenARM, a test-time alignment approach that leverages the Autoregressive Reward Model--a novel reward parametrization designed to predict next-token rewards for efficient and effective autoregressive generation. Theoretically, we demonstrate that this parametrization can provably guide frozen LLMs toward any distribution achievable by traditional RMs within the KL-regularized reinforcement learning framework. Experimental results show that GenARM significantly outperforms prior test-time alignment baselines and matches the performance of training-time methods. Additionally, GenARM enables efficient weak-to-strong guidance, aligning larger LLMs with smaller RMs without the high costs of training larger models. Furthermore, GenARM supports multi-objective alignment, allowing real-time trade-offs between preference dimensions and catering to diverse user preferences without retraining.

  • 7 authors
·
Oct 10, 2024 2

Sequence-to-Action: Grammatical Error Correction with Action Guided Sequence Generation

The task of Grammatical Error Correction (GEC) has received remarkable attention with wide applications in Natural Language Processing (NLP) in recent years. While one of the key principles of GEC is to keep the correct parts unchanged and avoid over-correction, previous sequence-to-sequence (seq2seq) models generate results from scratch, which are not guaranteed to follow the original sentence structure and may suffer from the over-correction problem. In the meantime, the recently proposed sequence tagging models can overcome the over-correction problem by only generating edit operations, but are conditioned on human designed language-specific tagging labels. In this paper, we combine the pros and alleviate the cons of both models by proposing a novel Sequence-to-Action~(S2A) module. The S2A module jointly takes the source and target sentences as input, and is able to automatically generate a token-level action sequence before predicting each token, where each action is generated from three choices named SKIP, COPY and GENerate. Then the actions are fused with the basic seq2seq framework to provide final predictions. We conduct experiments on the benchmark datasets of both English and Chinese GEC tasks. Our model consistently outperforms the seq2seq baselines, while being able to significantly alleviate the over-correction problem as well as holding better generality and diversity in the generation results compared to the sequence tagging models.

  • 7 authors
·
May 22, 2022

Optimal Control Meets Flow Matching: A Principled Route to Multi-Subject Fidelity

Text-to-image (T2I) models excel on single-entity prompts but struggle with multi-subject descriptions, often showing attribute leakage, identity entanglement, and subject omissions. We introduce the first theoretical framework with a principled, optimizable objective for steering sampling dynamics toward multi-subject fidelity. Viewing flow matching (FM) through stochastic optimal control (SOC), we formulate subject disentanglement as control over a trained FM sampler. This yields two architecture-agnostic algorithms: (i) a training-free test-time controller that perturbs the base velocity with a single-pass update, and (ii) Adjoint Matching, a lightweight fine-tuning rule that regresses a control network to a backward adjoint signal while preserving base-model capabilities. The same formulation unifies prior attention heuristics, extends to diffusion models via a flow-diffusion correspondence, and provides the first fine-tuning route explicitly designed for multi-subject fidelity. Empirically, on Stable Diffusion 3.5, FLUX, and Stable Diffusion XL, both algorithms consistently improve multi-subject alignment while maintaining base-model style. Test-time control runs efficiently on commodity GPUs, and fine-tuned controllers trained on limited prompts generalize to unseen ones. We further highlight FOCUS (Flow Optimal Control for Unentangled Subjects), which achieves state-of-the-art multi-subject fidelity across models.

  • 3 authors
·
Oct 2, 2025 2

Inside the Unfair Judge: A Mechanistic Interpretability Account of LLM-as-Judge Bias

Existing studies of LLM-as-judge scoring bias work predominantly at the input-output level: they perturb inputs, measure score deltas, and propose prompt-level mitigations. We argue that the same biases admit a representation-level account in the judge's hidden state, complementary to the input-output view and operationally useful in ways it does not afford. We report three findings, across seven judges, seven bias types, and nine benchmarks. Geometry: baseline judging inputs occupy a tight activation manifold while biased inputs are displaced along a low-dimensional, type-specific subspace that sharpens with depth and is recovered consistently by three families of estimators. Causal control: steering hidden states along this subspace drives scoring in both directions, forward shifts reproducing biased scoring on clean inputs and reverse shifts restoring baseline scoring on biased ones, while matched-norm random directions produce shifts an order of magnitude smaller. Operational: a simple linear projection onto the same bias-direction features anticipates judge failures on three entirely unseen benchmarks, substantially outperforming text-based alternatives. Reading bias as activation geometry, rather than as input-output noise, unifies geometric structure, causal control, and operational prediction within a single framework. The project page is available at https://xzx34.github.io/unfair-judge/

  • 7 authors
·
Jul 12

InfAlign: Inference-aware language model alignment

Language model alignment has become a critical step in training modern generative language models. The goal of alignment is to finetune a reference model such that the win rate of a sample from the aligned model over a sample from the reference model is high, subject to a KL divergence constraint. Today, we are increasingly using inference-time algorithms (e.g., Best-of-N, controlled decoding, tree search) to decode from language models rather than standard sampling. However, the alignment objective does not capture such inference-time decoding procedures. We show that the existing alignment framework is sub-optimal in view of such inference-time methods. We then modify the alignment objective and propose a framework for inference-aware alignment (IAPO). We prove that for any inference-time decoding algorithm, the optimal solution that optimizes the inference-time win rate of the aligned policy against the reference policy is the solution to the typical RLHF problem with a transformation of the reward. This motivates us to provide the KL-regularized calibrate-and-transform RL (CTRL) algorithm to solve this problem, which involves a reward calibration step and a KL-regularized reward maximization step with a transformation of the calibrated reward. We particularize our study to two important inference-time strategies: best-of-N sampling and best-of-N jailbreaking, where N responses are sampled from the model and the one with the highest or lowest reward is selected. We propose specific transformations for these strategies and demonstrate that our framework offers significant improvements over existing state-of-the-art methods for language model alignment. Empirically, we outperform baselines that are designed without taking inference-time decoding into consideration by 8-12% and 4-9% on inference-time win rates over the Anthropic helpfulness and harmlessness dialog benchmark datasets.

  • 12 authors
·
Dec 27, 2024

Reflect: Transparent Principle-Guided Reasoning for Constitutional Alignment at Scale

The constitutional framework of alignment aims to align large language models (LLMs) with value-laden principles written in natural language (such as to avoid using biased language). Prior work has focused on parameter fine-tuning techniques, such as reinforcement learning from human feedback (RLHF), to instill these principles. However, these approaches are computationally demanding, require careful engineering and tuning, and often require difficult-to-obtain human annotation data. We propose reflect, an inference-time framework for constitutional alignment that does not require any training or data, providing a plug-and-play approach for aligning an instruction-tuned model to a set of principles. reflect operates entirely in-context, combining a (i) constitution-conditioned base response with post-generation (ii) self-evaluation, (iii)(a) self-critique, and (iii)(b) final revision. reflect's technique of explicit in-context reasoning over principles during post-generation outperforms standard few-shot prompting and provides transparent reasoning traces. Our results demonstrate that reflect significantly improves LLM conformance to diverse and complex principles, including principles quite distinct from those emphasized in the model's original parameter fine-tuning, without sacrificing factual reasoning. reflect is particularly effective at reducing the rate of rare but significant violations of principles, thereby improving safety and robustness in the tail end of the distribution of generations. Finally, we show that reflect naturally generates useful training data for traditional parameter fine-tuning techniques, allowing for efficient scaling and the reduction of inference-time computational overhead in long-term deployment scenarios.

  • 6 authors
·
Jan 25

CycleAlign: Iterative Distillation from Black-box LLM to White-box Models for Better Human Alignment

Language models trained on large-scale corpus often generate content that is harmful, toxic, or contrary to human preferences, making their alignment with human values a critical concern. Reinforcement learning from human feedback (RLHF) with algorithms like PPO is a prevalent approach for alignment but is often complex, unstable, and resource-intensive. Recently, ranking-based alignment methods have emerged, offering stability and effectiveness by replacing the RL framework with supervised fine-tuning, but they are costly due to the need for annotated data. Considering that existing large language models (LLMs) like ChatGPT are already relatively well-aligned and cost-friendly, researchers have begun to align the language model with human preference from AI feedback. The common practices, which unidirectionally distill the instruction-following responses from LLMs, are constrained by their bottleneck. Thus we introduce CycleAlign to distill alignment capabilities from parameter-invisible LLMs (black-box) to a parameter-visible model (white-box) in an iterative manner. With in-context learning (ICL) as the core of the cycle, the black-box models are able to rank the model-generated responses guided by human-craft instruction and demonstrations about their preferences. During iterative interaction, the white-box models also have a judgment about responses generated by them. Consequently, the agreement ranking could be viewed as a pseudo label to dynamically update the in-context demonstrations and improve the preference ranking ability of black-box models. Through multiple interactions, the CycleAlign framework could align the white-box model with the black-box model effectively in a low-resource way. Empirical results illustrate that the model fine-tuned by CycleAlign remarkably exceeds existing methods, and achieves the state-of-the-art performance in alignment with human value.

  • 6 authors
·
Oct 24, 2023 1

Efficient Conditional Generation on Scale-based Visual Autoregressive Models

Recent advances in autoregressive (AR) models have demonstrated their potential to rival diffusion models in image synthesis. However, for complex spatially-conditioned generation, current AR approaches rely on fine-tuning the pre-trained model, leading to significant training costs. In this paper, we propose the Efficient Control Model (ECM), a plug-and-play framework featuring a lightweight control module that introduces control signals via a distributed architecture. This architecture consists of context-aware attention layers that refine conditional features using real-time generated tokens, and a shared gated feed-forward network (FFN) designed to maximize the utilization of its limited capacity and ensure coherent control feature learning. Furthermore, recognizing the critical role of early-stage generation in determining semantic structure, we introduce an early-centric sampling strategy that prioritizes learning early control sequences. This approach reduces computational cost by lowering the number of training tokens per iteration, while a complementary temperature scheduling during inference compensates for the resulting insufficient training of late-stage tokens. Extensive experiments on scale-based AR models validate that our method achieves high-fidelity and diverse control over image generation, surpassing existing baselines while significantly improving both training and inference efficiency.

  • 3 authors
·
Oct 7, 2025

D^{2}R^{2}: Discrete Diffusion with Regulation Reinforcement for Single-Cell Perturbation Prediction

Predicting single-cell transcriptomic responses to genetic perturbations is central to functional genomics and virtual-cell modeling. Existing approaches, however, typically predict an entire expression profile as a whole, leaving the order in which individual gene responses are generated unmodeled. To address this problem, we introduce D^{2R^{2}} (Discrete Diffusion with Regulation Reinforcement), which reformulates perturbation prediction as regulation-guided gene-wise progressive generation. A Masked Discrete Diffusion Model represents expression as ordinal tokens and reconstructs a fully masked profile step by step, allowing generated gene responses to condition those that remain masked. A Regulatory Policy Module initializes the generation policy from a gene regulatory network inferred from control cells and adapts it to the perturbation and current partially generated state. Then, group-relative policy optimization refines only the ordering policy using final perturbation-effect agreement as reward. Across Norman19 and VCC-H1, D^{2}R^{2} achieves the best performance on all five metrics on Norman19 and remains competitive on H1. Controlled ablations holding the generator and generation budget fixed show that biological-prior ordering improves over random ordering and is more reliable than uncertainty-based heuristics, whereas reversing the biological-prior ordering degrades every metric. Biological analyses further show that the refined policy prioritizes regulatory genes early while promoting perturbation-specific transcription factors and responsive genes. These results establish gene generation order as an effective, controllable, and biologically interpretable dimension of single-cell perturbation prediction.

  • 12 authors
·
Aug 14

DART-Eval: A Comprehensive DNA Language Model Evaluation Benchmark on Regulatory DNA

Recent advances in self-supervised models for natural language, vision, and protein sequences have inspired the development of large genomic DNA language models (DNALMs). These models aim to learn generalizable representations of diverse DNA elements, potentially enabling various genomic prediction, interpretation and design tasks. Despite their potential, existing benchmarks do not adequately assess the capabilities of DNALMs on key downstream applications involving an important class of non-coding DNA elements critical for regulating gene activity. In this study, we introduce DART-Eval, a suite of representative benchmarks specifically focused on regulatory DNA to evaluate model performance across zero-shot, probed, and fine-tuned scenarios against contemporary ab initio models as baselines. Our benchmarks target biologically meaningful downstream tasks such as functional sequence feature discovery, predicting cell-type specific regulatory activity, and counterfactual prediction of the impacts of genetic variants. We find that current DNALMs exhibit inconsistent performance and do not offer compelling gains over alternative baseline models for most tasks, while requiring significantly more computational resources. We discuss potentially promising modeling, data curation, and evaluation strategies for the next generation of DNALMs. Our code is available at https://github.com/kundajelab/DART-Eval.

  • 6 authors
·
Dec 6, 2024

P-Aligner: Enabling Pre-Alignment of Language Models via Principled Instruction Synthesis

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.

  • 9 authors
·
Aug 6, 2025

Learning to Align, Aligning to Learn: A Unified Approach for Self-Optimized Alignment

Alignment methodologies have emerged as a critical pathway for enhancing language model alignment capabilities. While SFT (supervised fine-tuning) accelerates convergence through direct token-level loss intervention, its efficacy is constrained by offline policy trajectory. In contrast, RL(reinforcement learning) facilitates exploratory policy optimization, but suffers from low sample efficiency and stringent dependency on high-quality base models. To address these dual challenges, we propose GRAO (Group Relative Alignment Optimization), a unified framework that synergizes the respective strengths of SFT and RL through three key innovations: 1) A multi-sample generation strategy enabling comparative quality assessment via reward feedback; 2) A novel Group Direct Alignment Loss formulation leveraging intra-group relative advantage weighting; 3) Reference-aware parameter updates guided by pairwise preference dynamics. Our theoretical analysis establishes GRAO's convergence guarantees and sample efficiency advantages over conventional approaches. Comprehensive evaluations across complex human alignment tasks demonstrate GRAO's superior performance, achieving 57.70\%,17.65\% 7.95\% and 5.18\% relative improvements over SFT, DPO, PPO and GRPO baselines respectively. This work provides both a theoretically grounded alignment framework and empirical evidence for efficient capability evolution in language models.

  • 15 authors
·
Aug 11, 2025 2

Benchmarking Large Language Models on Controllable Generation under Diversified Instructions

While large language models (LLMs) have exhibited impressive instruction-following capabilities, it is still unclear whether and to what extent they can respond to explicit constraints that might be entailed in various instructions. As a significant aspect of LLM alignment, it is thus important to formulate such a specialized set of instructions as well as investigate the resulting behavior of LLMs. To address this vacancy, we propose a new benchmark CoDI-Eval to systematically and comprehensively evaluate LLMs' responses to instructions with various constraints. We construct a large collection of constraints-attributed instructions as a test suite focused on both generalization and coverage. Specifically, we advocate an instruction diversification process to synthesize diverse forms of constraint expression and also deliberate the candidate task taxonomy with even finer-grained sub-categories. Finally, we automate the entire evaluation process to facilitate further developments. Different from existing studies on controllable text generation, CoDI-Eval extends the scope to the prevalent instruction-following paradigm for the first time. We provide extensive evaluations of representative LLMs (e.g., ChatGPT, Vicuna) on CoDI-Eval, revealing their limitations in following instructions with specific constraints and there is still a significant gap between open-source and commercial closed-source LLMs. We believe this benchmark will facilitate research into improving the controllability of LLMs' responses to instructions. Our data and code are available at https://github.com/Xt-cyh/CoDI-Eval.

  • 5 authors
·
Jan 1, 2024 2

TRACEALIGN -- Tracing the Drift: Attributing Alignment Failures to Training-Time Belief Sources in LLMs

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

  • 3 authors
·
Aug 4, 2025 2

Find Central Dogma Again

In recent years, large language models (LLMs) have achieved state-of-the-art results in various biological sequence analysis tasks, such as sequence classification, structure prediction, and function prediction. Similar to advancements in AI for other scientific fields, deeper research into biological LLMs has begun to focus on using these models to rediscover important existing biological laws or uncover entirely new patterns in biological sequences.This study leverages GPT-like LLMs to utilize language transfer capabilities to rediscover the genetic code rules of the central dogma. In our experimental design, we transformed the central dogma into a binary classification problem of aligning DNA sequences with protein sequences, where positive examples are matching DNA and protein sequences, and negative examples are non-matching pairs.We first trained a GPT-2 model from scratch using a dataset comprising protein sequences, DNA sequences, and sequences from languages such as English and Chinese. Subsequently, we fine-tuned the model using the English similarity judgment dataset from PAWS-X. When tested on a dataset for DNA and protein sequence alignment judgment, the fine-tuned model achieved a classification accuracy of 76%. The study also analyzed factors contributing to this zero-shot capability, including model training stability and types of training data.This research demonstrates that LLMs can, through the transfer of natural language capabilities and solely relying on the analysis of sequences themselves, rediscover the central dogma without prior knowledge of it. This study opens a new door for AI-driven biological research.

  • 1 authors
·
Feb 10, 2025

DynamicControl: Adaptive Condition Selection for Improved Text-to-Image Generation

To enhance the controllability of text-to-image diffusion models, current ControlNet-like models have explored various control signals to dictate image attributes. However, existing methods either handle conditions inefficiently or use a fixed number of conditions, which does not fully address the complexity of multiple conditions and their potential conflicts. This underscores the need for innovative approaches to manage multiple conditions effectively for more reliable and detailed image synthesis. To address this issue, we propose a novel framework, DynamicControl, which supports dynamic combinations of diverse control signals, allowing adaptive selection of different numbers and types of conditions. Our approach begins with a double-cycle controller that generates an initial real score sorting for all input conditions by leveraging pre-trained conditional generation models and discriminative models. This controller evaluates the similarity between extracted conditions and input conditions, as well as the pixel-level similarity with the source image. Then, we integrate a Multimodal Large Language Model (MLLM) to build an efficient condition evaluator. This evaluator optimizes the ordering of conditions based on the double-cycle controller's score ranking. Our method jointly optimizes MLLMs and diffusion models, utilizing MLLMs' reasoning capabilities to facilitate multi-condition text-to-image (T2I) tasks. The final sorted conditions are fed into a parallel multi-control adapter, which learns feature maps from dynamic visual conditions and integrates them to modulate ControlNet, thereby enhancing control over generated images. Through both quantitative and qualitative comparisons, DynamicControl demonstrates its superiority over existing methods in terms of controllability, generation quality and composability under various conditional controls.

  • 11 authors
·
Dec 4, 2024

Safety Alignment as Continual Learning: Mitigating the Alignment Tax via Orthogonal Gradient Projection

Safety post-training can improve the harmfulness and policy compliance of Large Language Models (LLMs), but it may also reduce general utility, a phenomenon often described as the alignment tax. We study this trade-off through the lens of continual learning: sequential alignment stages expose the model to shifted data distributions and objectives, and their gradients may interfere with directions that support previously acquired general capabilities. This view does not claim that all alignment degradation has a single cause; rather, it provides a useful first-order mechanism for mitigating one important source of capability regression. We propose Orthogonal Gradient Projection for Safety Alignment (OGPSA), a lightweight update rule that estimates a low-rank reference subspace from gradients on a small set of general-capability data and removes from each safety gradient the component lying in this subspace. The resulting update is the steepest local safety-descent direction subject to first-order preservation constraints on the reference objectives. OGPSA is compatible with standard post-training pipelines and avoids large-scale replay, although it introduces periodic reference-gradient computation. Across Supervised Fine-Tuning (SFT), Direct Preference Optimization (DPO), and sequential SFTrightarrowDPO settings, OGPSA improves the observed safety--utility trade-off over standard baselines. Under the sequential SFTrightarrowDPO pipeline, the average performance gain increases from 33.98\% to 42.74\% on Qwen2.5-7B-Instruct and from 19.74\% to 32.98\% on Llama3.1-8B-Instruct. We have open sourced our code at https://github.com/SunGL001/OGPSA.

Leverage Is Not Reach: A Control-Window Law for Single-Neuron Steering in Language Models

Aligned language models gate behaviors such as refusal and language routing through sparse feed forward neurons, yet no theory predicts when a single neuron intervention controls a behavior coherently rather than collapsing the output. We develop a budget normalized control window framework for single neuron steering. A dose along one write direction reduces to one control coordinate: the alignment between the residual stream and the write, driven along a universal saturation curve in units of a coherence budget set by the residual norm divided by the write norm. Coherent control exists when a behavior trigger lies below the collapse ceiling. The same coordinate governs benign mode switches and refusal; the ceiling follows from weights and one generic forward pass, while triggers are measured at rollout. On fifteen held out neurons, the predicted ceiling has mean absolute error 0.14, about 0.07 in bulk layers, and the committed open or closed verdict holds on eleven against a ten of fifteen majority baseline. Closed cases expose three failure modes rather than violations: collapse before trigger, too little depth to propagate, or a normalization that caps how far one neuron can push. The law explains why local gradient attribution anti predicts control: true controllers write off the readout axis and carry a near zero first order gradient. A forward only contrastive screen made precise by the window recovers controllers that attribution misses. On refusal, the hardest case, intervention success is typed, not scalar: coherent bypass and strict actionable reach separate, so a neuron can flip refusal in fluent, on task text with no actionable content, and genuine actionable reach appears only for three of six audited Llama pivots and only at later rollout horizons. Single neuron steering is therefore a budgeted, typed audit of controllability rather than a fixed dose anecdote.

  • 1 authors
·
Jun 17

HyperAlign: Hypernetwork for Efficient Test-Time Alignment of Diffusion Models

Diffusion models achieve state-of-the-art performance but often fail to generate outputs that align with human preferences and intentions, resulting in images with poor aesthetic quality and semantic inconsistencies. Existing alignment methods present a difficult trade-off: fine-tuning approaches suffer from loss of diversity with reward over-optimization, while test-time scaling methods introduce significant computational overhead and tend to under-optimize. To address these limitations, we propose HyperAlign, a novel framework that trains a hypernetwork for efficient and effective test-time alignment. Instead of modifying latent states, HyperAlign dynamically generates low-rank adaptation weights to modulate the diffusion model's generation operators. This allows the denoising trajectory to be adaptively adjusted based on input latents, timesteps and prompts for reward-conditioned alignment. We introduce multiple variants of HyperAlign that differ in how frequently the hypernetwork is applied, balancing between performance and efficiency. Furthermore, we optimize the hypernetwork using a reward score objective regularized with preference data to reduce reward hacking. We evaluate HyperAlign on multiple extended generative paradigms, including Stable Diffusion and FLUX. It significantly outperforms existing fine-tuning and test-time scaling baselines in enhancing semantic consistency and visual appeal.

  • 3 authors
·
Jan 22 2

Aligning Language Models with Observational Data: Opportunities and Risks from a Causal Perspective

Large language models are being widely used across industries to generate content that contributes directly to key performance metrics, such as conversion rates. Pretrained models, however, often fall short when it comes to aligning with human preferences or optimizing for business objectives. As a result, fine-tuning with good-quality labeled data is essential to guide models to generate content that achieves better results. Controlled experiments, like A/B tests, can provide such data, but they are often expensive and come with significant engineering and logistical challenges. Meanwhile, companies have access to a vast amount of historical (observational) data that remains underutilized. In this work, we study the challenges and opportunities of fine-tuning LLMs using observational data. We show that while observational outcomes can provide valuable supervision, directly fine-tuning models on such data can lead them to learn spurious correlations. We present empirical evidence of this issue using various real-world datasets and propose DeconfoundLM, a method that explicitly removes the effect of known confounders from reward signals. Using simulation experiments, we demonstrate that DeconfoundLM improves the recovery of causal relationships and mitigates failure modes found in fine-tuning methods that ignore or naively incorporate confounding variables. Our findings highlight that while observational data presents risks, with the right causal corrections, it can be a powerful source of signal for LLM alignment. Please refer to the project page for code and related resources.

  • 1 authors
·
May 30, 2025

Probing the Robustness of Large Language Models Safety to Latent Perturbations

Safety alignment is a key requirement for building reliable Artificial General Intelligence. Despite significant advances in safety alignment, we observe that minor latent shifts can still trigger unsafe responses in aligned models. We argue that this stems from the shallow nature of existing alignment methods, which focus on surface-level refusal behaviors without sufficiently altering internal representations. Consequently, small shifts in hidden activations can re-trigger harmful behaviors embedded in the latent space. To explore the robustness of safety alignment to latent perturbations, we introduce a probing method that measures the Negative Log-Likelihood of the original response generated by the model. This probe quantifies local sensitivity in the latent space, serving as a diagnostic tool for identifying vulnerable directions. Based on this signal, we construct effective jailbreak trajectories, giving rise to the Activation Steering Attack (ASA). More importantly, these insights offer a principled foundation for improving alignment robustness. To this end, we introduce Layer-wise Adversarial Patch Training~(LAPT), a fine-tuning strategy that inject controlled perturbations into hidden representations during training. Experimental results highlight that LAPT strengthen alignment robustness without compromising general capabilities. Our findings reveal fundamental flaws in current alignment paradigms and call for representation-level training strategies that move beyond surface-level behavior supervision. Codes and results are available at https://github.com/Carol-gutianle/LatentSafety.

  • 10 authors
·
Jun 18, 2025

Faithful Bi-Directional Model Steering via Distribution Matching and Distributed Interchange Interventions

Intervention-based model steering offers a lightweight and interpretable alternative to prompting and fine-tuning. However, by adapting strong optimization objectives from fine-tuning, current methods are susceptible to overfitting and often underperform, sometimes generating unnatural outputs. We hypothesize that this is because effective steering requires the faithful identification of internal model mechanisms, not the enforcement of external preferences. To this end, we build on the principles of distributed alignment search (DAS), the standard for causal variable localization, to propose a new steering method: Concept DAS (CDAS). While we adopt the core mechanism of DAS, distributed interchange intervention (DII), we introduce a novel distribution matching objective tailored for the steering task by aligning intervened output distributions with counterfactual distributions. CDAS differs from prior work in two main ways: first, it learns interventions via weak-supervised distribution matching rather than probability maximization; second, it uses DIIs that naturally enable bi-directional steering and allow steering factors to be derived from data, reducing the effort required for hyperparameter tuning and resulting in more faithful and stable control. On AxBench, a large-scale model steering benchmark, we show that CDAS does not always outperform preference-optimization methods but may benefit more from increased model scale. In two safety-related case studies, overriding refusal behaviors of safety-aligned models and neutralizing a chain-of-thought backdoor, CDAS achieves systematic steering while maintaining general model utility. These results indicate that CDAS is complementary to preference-optimization approaches and conditionally constitutes a robust approach to intervention-based model steering. Our code is available at https://github.com/colored-dye/concept_das.

  • 10 authors
·
Feb 4

What's the Magic Word? A Control Theory of LLM Prompting

Prompt engineering is crucial for deploying LLMs but is poorly understood mathematically. We formalize LLM systems as a class of discrete stochastic dynamical systems to explore prompt engineering through the lens of control theory. We investigate the reachable set of output token sequences R_y(mathbf x_0) for which there exists a control input sequence mathbf u for each mathbf y in R_y(mathbf x_0) that steers the LLM to output mathbf y from initial state sequence mathbf x_0. We offer analytic analysis on the limitations on the controllability of self-attention in terms of reachable set, where we prove an upper bound on the reachable set of outputs R_y(mathbf x_0) as a function of the singular values of the parameter matrices. We present complementary empirical analysis on the controllability of a panel of LLMs, including Falcon-7b, Llama-7b, and Falcon-40b. Our results demonstrate a lower bound on the reachable set of outputs R_y(mathbf x_0) w.r.t. initial state sequences mathbf x_0 sampled from the Wikitext dataset. We find that the correct next Wikitext token following sequence mathbf x_0 is reachable over 97% of the time with prompts of kleq 10 tokens. We also establish that the top 75 most likely next tokens, as estimated by the LLM itself, are reachable at least 85% of the time with prompts of kleq 10 tokens. Intriguingly, short prompt sequences can dramatically alter the likelihood of specific outputs, even making the least likely tokens become the most likely ones. This control-centric analysis of LLMs demonstrates the significant and poorly understood role of input sequences in steering output probabilities, offering a foundational perspective for enhancing language model system capabilities.

  • 4 authors
·
Oct 2, 2023

DeAL: Decoding-time Alignment for Large Language Models

Large Language Models (LLMs) are nowadays expected to generate content aligned with human preferences. Current work focuses on alignment at model training time, through techniques such as Reinforcement Learning with Human Feedback (RLHF). However, it is unclear if such methods are an effective choice to teach alignment objectives to the model. First, the inability to incorporate multiple, custom rewards and reliance on a model developer's view of universal and static principles are key limitations. Second, the residual gaps in model training and the reliability of such approaches are also questionable (e.g. susceptibility to jail-breaking even after safety training). To address these, we propose DeAL, a framework that allows the user to customize reward functions and enables Decoding-time Alignment of LLMs (DeAL). At its core, we view decoding as a heuristic-guided search process and facilitate the use of a wide variety of alignment objectives. Our experiments with programmatic constraints such as keyword and length constraints (studied widely in the pre-LLM era) and abstract objectives such as harmlessness and helpfulness (proposed in the post-LLM era) show that we can DeAL with fine-grained trade-offs, improve adherence to alignment objectives, and address residual gaps in LLMs. Lastly, while DeAL can be effectively paired with RLHF and prompting techniques, its generality makes decoding slower, an optimization we leave for future work.

  • 9 authors
·
Feb 5, 2024 1

Semantic Probabilistic Control of Language Models

Semantic control entails steering LM generations towards satisfying subtle non-lexical constraints, e.g., toxicity, sentiment, or politeness, attributes that can be captured by a sequence-level verifier. It can thus be viewed as sampling from the LM distribution conditioned on the target attribute, a computationally intractable problem due to the non-decomposable nature of the verifier. Existing approaches to LM control either only deal with syntactic constraints which cannot capture the aforementioned attributes, or rely on sampling to explore the conditional LM distribution, an ineffective estimator for low-probability events. In this work, we leverage a verifier's gradient information to efficiently reason over all generations that satisfy the target attribute, enabling precise steering of LM generations by reweighing the next-token distribution. Starting from an initial sample, we create a local LM distribution favoring semantically similar sentences. This approximation enables the tractable computation of an expected sentence embedding. We use this expected embedding, informed by the verifier's evaluation at the initial sample, to estimate the probability of satisfying the constraint, which directly informs the update to the next-token distribution. We evaluated the effectiveness of our approach in controlling the toxicity, sentiment, and topic-adherence of LMs yielding generations satisfying the constraint with high probability (>95%) without degrading their quality.

  • 4 authors
·
May 3, 2025

ControlAR: Controllable Image Generation with Autoregressive Models

Autoregressive (AR) models have reformulated image generation as next-token prediction, demonstrating remarkable potential and emerging as strong competitors to diffusion models. However, control-to-image generation, akin to ControlNet, remains largely unexplored within AR models. Although a natural approach, inspired by advancements in Large Language Models, is to tokenize control images into tokens and prefill them into the autoregressive model before decoding image tokens, it still falls short in generation quality compared to ControlNet and suffers from inefficiency. To this end, we introduce ControlAR, an efficient and effective framework for integrating spatial controls into autoregressive image generation models. Firstly, we explore control encoding for AR models and propose a lightweight control encoder to transform spatial inputs (e.g., canny edges or depth maps) into control tokens. Then ControlAR exploits the conditional decoding method to generate the next image token conditioned on the per-token fusion between control and image tokens, similar to positional encodings. Compared to prefilling tokens, using conditional decoding significantly strengthens the control capability of AR models but also maintains the model's efficiency. Furthermore, the proposed ControlAR surprisingly empowers AR models with arbitrary-resolution image generation via conditional decoding and specific controls. Extensive experiments can demonstrate the controllability of the proposed ControlAR for the autoregressive control-to-image generation across diverse inputs, including edges, depths, and segmentation masks. Furthermore, both quantitative and qualitative results indicate that ControlAR surpasses previous state-of-the-art controllable diffusion models, e.g., ControlNet++. Code, models, and demo will soon be available at https://github.com/hustvl/ControlAR.

  • 9 authors
·
Oct 3, 2024 2

Training Language Models on Synthetic Edit Sequences Improves Code Synthesis

Software engineers mainly write code by editing existing programs. In contrast, large language models (LLMs) autoregressively synthesize programs in a single pass. One explanation for this is the scarcity of open-sourced edit data. While high-quality instruction data for code synthesis is already scarce, high-quality edit data is even scarcer. To fill this gap, we develop a synthetic data generation algorithm called LintSeq. This algorithm refactors existing code into a sequence of code edits by using a linter to procedurally sample across the error-free insertions that can be used to sequentially write programs. It outputs edit sequences as text strings consisting of consecutive program diffs. To test LintSeq, we use it to refactor a dataset of instruction + program pairs into instruction + program-diff-sequence tuples. Then, we instruction finetune a series of smaller LLMs ranging from 2.6B to 14B parameters on both the re-factored and original versions of this dataset, comparing zero-shot performance on code synthesis benchmarks. We show that during repeated sampling, edit sequence finetuned models produce more diverse programs than baselines. This results in better inference-time scaling for benchmark coverage as a function of samples, i.e. the fraction of problems "pass@k" solved by any attempt given "k" tries. For example, on HumanEval pass@50, small LLMs finetuned on synthetic edit sequences are competitive with GPT-4 and outperform models finetuned on the baseline dataset by +20% (+/-3%) in absolute score. Finally, we also pretrain our own tiny LMs for code understanding. We show that finetuning tiny models on synthetic code edits results in state-of-the-art code synthesis for the on-device model class. Our 150M parameter edit sequence LM matches or outperforms code models with twice as many parameters, both with and without repeated sampling, including Codex and AlphaCode.

  • 3 authors
·
Oct 3, 2024 3

The Geometry of Persona: Disentangling Personality from Reasoning in Large Language Models

Background: The deployment of personalized Large Language Models (LLMs) is currently constrained by the stability-plasticity dilemma. Prevailing alignment methods, such as Supervised Fine-Tuning (SFT), rely on stochastic weight updates that often incur an "alignment tax" -- degrading general reasoning capabilities. Methods: We propose the Soul Engine, a framework based on the Linear Representation Hypothesis, which posits that personality traits exist as orthogonal linear subspaces. We introduce SoulBench, a dataset constructed via dynamic contextual sampling. Using a dual-head architecture on a frozen Qwen-2.5 base, we extract disentangled personality vectors without modifying the backbone weights. Results: Our experiments demonstrate three breakthroughs. First, High-Precision Profiling: The model achieves a Mean Squared Error (MSE) of 0.011 against psychological ground truth. Second, Geometric Orthogonality: T-SNE visualization confirms that personality manifolds are distinct and continuous, allowing for "Zero-Shot Personality Injection" that maintains original model intelligence. Third, Deterministic Steering: We achieve robust control over behavior via vector arithmetic, validated through extensive ablation studies. Conclusion: This work challenges the necessity of fine-tuning for personalization. By transitioning from probabilistic prompting to deterministic latent intervention, we provide a mathematically rigorous foundation for safe, controllable AI personalization.

  • 1 authors
·
Dec 7, 2025

OncoReason: Structuring Clinical Reasoning in LLMs for Robust and Interpretable Survival Prediction

Predicting cancer treatment outcomes requires models that are both accurate and interpretable, particularly in the presence of heterogeneous clinical data. While large language models (LLMs) have shown strong performance in biomedical NLP, they often lack structured reasoning capabilities critical for high-stakes decision support. We present a unified, multi-task learning framework that aligns autoregressive LLMs with clinical reasoning for outcome prediction on the MSK-CHORD dataset. Our models are trained to jointly perform binary survival classification, continuous survival time regression, and natural language rationale generation. We evaluate three alignment strategies: (1) standard supervised fine-tuning (SFT), (2) SFT with Chain-of-Thought (CoT) prompting to elicit step-by-step reasoning, and (3) Group Relative Policy Optimization (GRPO), a reinforcement learning method that aligns model outputs to expert-derived reasoning trajectories. Experiments with LLaMa3-8B and Med42-8B backbones demonstrate that CoT prompting improves F1 by +6.0 and reduces MAE by 12%, while GRPO achieves state-of-the-art interpretability and predictive performance across BLEU, ROUGE, and BERTScore. We further show that existing biomedical LLMs often fail to produce valid reasoning traces due to architectural constraints. Our findings underscore the importance of reasoning-aware alignment in multi-task clinical modeling and set a new benchmark for interpretable, trustworthy LLMs in precision oncology.

  • 4 authors
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Oct 20, 2025

Rethinking Multi-Condition DiTs: Eliminating Redundant Attention via Position-Alignment and Keyword-Scoping

While modern text-to-image models excel at prompt-based generation, they often lack the fine-grained control necessary for specific user requirements like spatial layouts or subject appearances. Multi-condition control addresses this, yet its integration into Diffusion Transformers (DiTs) is bottlenecked by the conventional ``concatenate-and-attend'' strategy, which suffers from quadratic computational and memory overhead as the number of conditions scales. Our analysis reveals that much of this cross-modal interaction is spatially or semantically redundant. To this end, we propose Position-aligned and Keyword-scoped Attention (PKA), a highly efficient framework designed to eliminate these redundancies. Specifically, Position-Aligned Attention (PAA) linearizes spatial control by enforcing localized patch alignment, while Keyword-Scoped Attention (KSA) prunes irrelevant subject-driven interactions via semantic-aware masking. To facilitate efficient learning, we further introduce a Conditional Sensitivity-Aware Sampling (CSAS) strategy that reweights the training objective towards critical denoising phases, drastically accelerating convergence and enhancing conditional fidelity. Empirically, PKA delivers a 10.0times inference speedup and a 5.1times VRAM saving, providing a scalable and resource-friendly solution for high-fidelity multi-conditioned generation.

  • 5 authors
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Feb 6

MaskControl: Spatio-Temporal Control for Masked Motion Synthesis

Recent advances in motion diffusion models have enabled spatially controllable text-to-motion generation. However, these models struggle to achieve high-precision control while maintaining high-quality motion generation. To address these challenges, we propose MaskControl, the first approach to introduce controllability to the generative masked motion model. Our approach introduces two key innovations. First, Logits Regularizer implicitly perturbs logits at training time to align the distribution of motion tokens with the controlled joint positions, while regularizing the categorical token prediction to ensure high-fidelity generation. Second, Logit Optimization explicitly optimizes the predicted logits during inference time, directly reshaping the token distribution that forces the generated motion to accurately align with the controlled joint positions. Moreover, we introduce Differentiable Expectation Sampling (DES) to combat the non-differential distribution sampling process encountered by logits regularizer and optimization. Extensive experiments demonstrate that MaskControl outperforms state-of-the-art methods, achieving superior motion quality (FID decreases by ~77\%) and higher control precision (average error 0.91 vs. 1.08). Additionally, MaskControl enables diverse applications, including any-joint-any-frame control, body-part timeline control, and zero-shot objective control. Video visualization can be found at https://www.ekkasit.com/ControlMM-page/

  • 10 authors
·
Oct 17, 2025

Transfer Q Star: Principled Decoding for LLM Alignment

Aligning foundation models is essential for their safe and trustworthy deployment. However, traditional fine-tuning methods are computationally intensive and require updating billions of model parameters. A promising alternative, alignment via decoding, adjusts the response distribution directly without model updates to maximize a target reward r, thus providing a lightweight and adaptable framework for alignment. However, principled decoding methods rely on oracle access to an optimal Q-function (Q^*), which is often unavailable in practice. Hence, prior SoTA methods either approximate this Q^* using Q^{pi_{sft}} (derived from the reference SFT model) or rely on short-term rewards, resulting in sub-optimal decoding performance. In this work, we propose Transfer Q^*, which implicitly estimates the optimal value function for a target reward r through a baseline model rho_{BL} aligned with a baseline reward rho_{BL} (which can be different from the target reward r). Theoretical analyses of Transfer Q^* provide a rigorous characterization of its optimality, deriving an upper bound on the sub-optimality gap and identifying a hyperparameter to control the deviation from the pre-trained reference SFT model based on user needs. Our approach significantly reduces the sub-optimality gap observed in prior SoTA methods and demonstrates superior empirical performance across key metrics such as coherence, diversity, and quality in extensive tests on several synthetic and real datasets.

  • 7 authors
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May 30, 2024