NeurIPS 2025 Papers

Conference on Neural Information Processing Systems

Decision breakdown

5,812papers

Counted from the official paper list; may differ slightly from the number the conference announced.

  • Oral
    931.6%
  • Spotlight
    73912.7%
  • Poster
    4,98085.7%

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Topic: Alignment and Safety · 455 papers · Reset filters

Military AI Needs Technically-Informed Regulation to Safeguard AI Research and its Applications

Riley Simmons-Edler, Jean Dong, Paul Lushenko, Kanaka Rajan, Ryan Paul Badman

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Military weapon systems and command-and-control infrastructure augmented by artificial intelligence (AI) have seen rapid development and deployment in recent years. However, the sociotechnical impacts of AI on combat systems, military decision-making, and the norms of warfare have been understudied. We focus on a specific subset of lethal autonomous weapon systems (LAWS) that use AI for targeting or battlefield decisions. We refer to this subset as AI-powered lethal autonomous weapon systems (AI-LAWS) and argue that they introduce novel risks—including unanticipated escalation, poor reliability in unfamiliar environments, and erosion of human oversight—all of which threaten both military effectiveness and the openness of AI research. These risks cannot be addressed by high-level policy alone; effective regulation must be grounded in the technical behavior of AI models. We argue that AI researchers must be involved throughout the regulatory lifecycle. Thus, we propose a clear, behavior-based definition of AI-LAWS—systems that introduce unique risks through their use of modern AI—as a foundation for technically grounded regulation, given that existing frameworks do not distinguish them from conventional LAWS. Using this definition, we propose several technically-informed policy directions and invite greater participation from the AI research community in military AI policy discussions.

Poster
TokenSwap: A Lightweight Method to Disrupt Memorized Sequences in LLMs

Parjanya Prajakta Prashant, Kaustubh Ponkshe, Babak Salimi

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As language models scale, their performance improves dramatically across a wide range of tasks, but so does their tendency to memorize and regurgitate parts of their training data verbatim. This tradeoff poses serious legal, ethical, and safety concerns, especially in real-world deployments. Existing mitigation techniques, such as differential privacy or model unlearning, often require retraining or access to internal weights making them impractical for most users. In this work, we introduce TokenSwap, a lightweight, post-hoc defense designed for realistic settings where the user can only access token-level outputs. Our key insight is that while large models are necessary for high task performance, small models (e.g., DistilGPT-2) are often sufficient to assign fluent, grammatically plausible probabilities to common function words - and crucially, they memorize far less. By selectively swapping token probabilities between models, TokenSwap preserves the capabilities of large models while reducing their propensity for verbatim reproduction. Evaluations on Pythia-6.9B and Llama-3-8B show up to a 10$\times$ drop in exact memorization with negligible task degradation. Our method offers a practical, accessible solution for mitigating memorized generation in deployed LLMs. Code is available at https://github.com/parjanya20/verbatim-llm.

Spotlight
Tapered Off-Policy REINFORCE - Stable and efficient reinforcement learning for large language models

Nicolas Le Roux, Marc G Bellemare, Jonathan Lebensold, Arnaud Bergeron, Joshua Greaves, Alexandre Fréchette, Carolyne Pelletier, Eric Thibodeau-Laufer, Sándor Tóth, Sam Work

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We propose a new algorithm for fine-tuning large language models using reinforcement learning. Tapered Off-Policy REINFORCE (TOPR) uses an asymmetric, tapered variant of importance sampling to speed up learning while maintaining stable learning dynamics, even without the use of KL regularization. TOPR can be applied in a fully offline fashion, allows the handling of positive and negative examples in a unified framework, and benefits from the implementational simplicity that is typical of Monte Carlo algorithms. We demonstrate the effectiveness of our approach with a series of experiments on the GSM8K and MATH reasoning benchmarks, finding performance gains for training both a model for solution generation and as a generative verifier. We show that properly leveraging positive and negative examples alike in the off-policy regime simultaneously increases test-time accuracy and training data efficiency, all the while avoiding the ``wasted inference'' that comes with discarding negative examples. We find that this advantage persists over multiple iterations of training and can be amplified by dataset curation techniques, enabling us to match 70B-parameter model performance with 8B language models. As a corollary to this work, we find that REINFORCE's baseline parameter plays an important and unexpected role in defining dataset composition in the presence of negative examples, and is consequently critical in driving off-policy performance.

Poster
Dimensionality Mismatch Between Brains and Artificial Neural Networks

Santiago Galella, Maren Wehrheim, Matthias Kaschube

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Biological and artificial vision systems both rely on hierarchical architectures, yet it remains unclear how their representational geometry evolves across processing stages, and what functional consequences may arise from potential differences. In this work, we systematically quantify and compare the linear and non-linear dimensionality of human brain activity (fMRI) and artificial neural networks (ANNs) during natural image viewing. In the human ventral visual stream, both dimensionality measures increase along the visual hierarchy, supporting the emergence of semantic and abstract representations. For linear dimensionality, most ANNs show a similar increase, but only for pooled features, emphasizing the importance of appropriate feature readouts in brain–model comparisons. In contrast, nonlinear dimensionality shows a collapse in the later layers of ANNs, pointing at a mismatch in representational geometry between the human and artificial visual systems. This mismatch may have functional consequences: while high-dimensional brain representations support flexible generalization to abstract features, ANNs appear to lose this capacity in later layers, where their representations become overly compressed. Overall, our findings propose dimensionality alignment as a benchmark for building more flexible and biologically grounded vision models.

Poster
Self-alignment of Large Video Language Models with Refined Regularized Preference Optimization

Pritam Sarkar, Ali Etemad

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Despite recent advances in Large Video Language Models (LVLMs), they still struggle with fine-grained temporal understanding, hallucinate, and often make simple mistakes on even simple video question-answering tasks, all of which pose significant challenges to their safe and reliable deployment in real-world applications. To address these limitations, we propose a self-alignment framework that enables LVLMs to learn from their own errors. Our proposed framework first obtains a training set of preferred and non-preferred response pairs, where non-preferred responses are generated by incorporating common error patterns that often occur due to inadequate spatio-temporal understanding, spurious correlations between co-occurring concepts, and over-reliance on linguistic cues while neglecting the vision modality, among others. To facilitate self-alignment of LVLMs with the constructed preferred and non-preferred response pairs, we introduce Refined Regularized Preference Optimization (RRPO), a novel preference optimization method that utilizes sub-sequence-level refined rewards and token-wise KL regularization to address the limitations of Direct Preference Optimization (DPO). We demonstrate that RRPO achieves more precise alignment and more stable training compared to DPO. Our experiments and analysis validate the effectiveness of our approach across diverse video tasks, including video hallucination, short- and long-video understanding, and fine-grained temporal reasoning.

Poster
Systematic Reward Gap Optimization for Mitigating VLM Hallucinations

Lehan He, Zeren Chen, Zhelun Shi, Tianyu Yu, Lu Sheng, Jing Shao

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The success of Direct Preference Optimization (DPO) in mitigating hallucinations in Vision Language Models (VLMs) critically hinges on the true reward gaps within preference pairs. However, current methods, typically relying on ranking or rewriting strategies, often struggle to optimize these reward gaps in a systematic way during data curation. A core difficulty lies in precisely characterizing and strategically manipulating the overall reward gap configuration, that is, the deliberate design of how to shape these reward gaps within each preference pair across the data. To address this, we introduce Topic-level Preference Rewriting (TPR), a novel framework designed for the systematic optimization of reward gap configuration. Through selectively replacing semantic topics within VLM responses with model’s own resampled candidates for targeted rewriting, TPR can provide topic-level control over fine-grained semantic details. This precise control enables advanced data curation strategies, such as progressively adjusting the difficulty of rejected responses, thereby sculpting an effective reward gap configuration that guides the model to overcome challenging hallucinations. Comprehensive experiments demonstrate TPR achieves state-of-the-art performance on multiple hallucination benchmarks, outperforming previous methods by an average of $\sim$20%. Notably, it significantly reduces hallucinations by up to 93% on ObjectHal-Bench, and also exhibits superior data efficiency towards robust and cost-effective VLM alignment.

Poster
Weak-to-Strong Generalization under Distribution Shifts

Myeongho Jeon, Jan Sobotka, Suhwan Choi, Maria Brbic

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As future superhuman models become increasingly complex, accurately supervising their behavior may exceed human capabilities. Recent works have demonstrated that in such scenarios, weak models can effectively supervise strong models, a phenomenon known as weak-to-strong generalization. However, we find that naive weak-to-strong generalization fails under distribution shifts, often leading to worse performance of the strong model than its weak supervisors. To address this, we propose RAVEN, a robust weak-to-strong generalization framework that dynamically learns the optimal combinations of weak models in addition to parameters of the strong model. We demonstrate the effectiveness of RAVEN on image classification, text classification, and preference alignment tasks. RAVEN outperforms alternative baselines by over 30% on out-of-distribution tasks while matching or surpassing existing methods on in-distribution tasks. Moreover, our results show that RAVEN assigns higher weights to more accurate weak models, demonstrating its ability to automatically identify trustworthy supervision.

Poster
Preference Distillation via Value based Reinforcement Learning

Minchan Kwon, Junwon Ko, Kangil Kim, Junmo Kim

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Direct Preference Optimization (DPO) is a powerful paradigm to align language models with human preferences using pairwise comparisons. However, its binary win-or-loss supervision often proves insufficient for training small models with limited capacity. Prior works attempt to distill information from large teacher models using behavior cloning or KL divergence. These methods often focus on mimicking current behavior and overlook distilling reward modeling. To address this issue, we propose \textit{Teacher Value-based Knowledge Distillation} (TVKD), which introduces an auxiliary reward from the value function of the teacher model to provide a soft guide. This auxiliary reward is formulated to satisfy potential-based reward shaping, ensuring that the global reward structure and optimal policy of DPO are preserved. TVKD can be integrated into the standard DPO training framework and does not require additional rollouts. Our experimental results show that TVKD consistently improves performance across various benchmarks and model sizes.

Poster
Graph Alignment via Birkhoff Relaxation

Sushil Mahavir Varma, Irène Waldspurger, Laurent Massoulié

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We consider the graph alignment problem, wherein the objective is to find a vertex correspondence between two graphs that maximizes the edge overlap. The graph alignment problem is an instance of the quadratic assignment problem (QAP), known to be NP-hard in the worst case even to approximately solve. In this paper, we analyze Birkhoff relaxation, a tight convex relaxation of QAP, and present theoretical guarantees on its performance when the inputs follow the Gaussian Wigner Model. More specifically, the weighted adjacency matrices are correlated Gaussian Orthogonal Ensemble with correlation $1/\sqrt{1+\sigma^2}$. Denote the optimal solutions of the QAP and Birkhoff relaxation by $\Pi^\star$ and $X^\star$ respectively. We show that $\|X^\star-\Pi^\star\|_F^2 = o(n)$ when $\sigma = o(n^{-1})$ and $\|X^\star-\Pi^\star\|_F^2 = \Omega(n)$ when $\sigma = \Omega(n^{-0.5})$. Thus, the optimal solution $X^\star$ transitions from a small perturbation of $\Pi^\star$ for small $\sigma$ to being well separated from $\Pi^\star$ as $\sigma$ becomes larger than $n^{-0.5}$. This result allows us to guarantee that simple rounding procedures on $X^\star$ align $1-o(1)$ fraction of vertices correctly whenever $\sigma = o(n^{-1})$. This condition on $\sigma$ to ensure the success of the Birkhoff relaxation is state-of-the-art.

Poster
Pre-Trained Policy Discriminators are General Reward Models

Shihan Dou, Shichun Liu, Yuming Yang, Yicheng Zou, Yunhua Zhou, Shuhao Xing, Chenhao Huang, Qiming Ge, Haijun Lv, Demin Song, Songyang Gao, Chengqi Lyu, Enyu Zhou, Honglin Guo, Zhiheng Xi, Qipeng Guo, Wenwei Zhang, Tao Gui, Qi Zhang, Xipeng Qiu, Xuanjing Huang, Kai Chen

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We offer a novel perspective on reward modeling by formulating it as a policy discriminator, which quantifies the difference between two policies to generate a reward signal, guiding the training policy towards a target policy with desired behaviors. Based on this conceptual insight, we propose a scalable pre-training method named POLicy DiscriminAtive LeaRning (POLAR), which trains a reward model (RM) to discern identical policies and discriminate different ones. Unlike traditional reward modeling methods relying on absolute preferences, POLAR captures the relative difference between one policy and an arbitrary target policy, which is a scalable, high-level optimization objective suitable for modeling generic ranking relationships. Leveraging the POLAR pre-training paradigm, we present a series of RMs with parameter scales from 1.8B to 7B. Empirical results show that POLAR substantially outperforms traditional non-pre-trained methods, significantly enhancing RM performance. For instance, POLAR-7B could improve preference accuracy from 54.8% to 81.0% on STEM tasks and from 57.9% to 85.5% on creative writing tasks compared to SOTA baselines. POLAR also shows robust generalization capabilities in RLHF using Reinforcement Fine-tuning (RFT), providing reliable reward signals and markedly enhancing policy performance—improving LLaMa3.1-8B from an average of 47.36% to 56.33% and Qwen2.5-32B from 64.49% to 70.47% on 20 benchmarks. Moreover, scaling experiments reveal a clear power-law relationship between computation and performance, supported by linear correlation coefficients approaching 0.99. The impressive performance, strong generalization, and scaling properties suggest that POLAR is a promising direction for developing general and strong reward models.

Poster
Refusal Direction is Universal Across Safety-Aligned Languages

Xinpeng Wang, Mingyang Wang, Yihong Liu, Hinrich Schuetze, Barbara Plank

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Refusal mechanisms in large language models (LLMs) are essential for ensuring safety. Recent research has revealed that refusal behavior can be mediated by a single direction in activation space, enabling targeted interventions to bypass refusals. While this is primarily demonstrated in an English-centric context, appropriate refusal behavior is important for any language, but poorly understood. In this paper, we investigate the refusal behavior in LLMs across 14 languages using \textit{PolyRefuse}, a multilingual safety dataset created by translating malicious and benign English prompts into these languages. We uncover the surprising cross-lingual universality of the refusal direction: a vector extracted from English can bypass refusals in other languages with near-perfect effectiveness, without any additional fine-tuning. Even more remarkably, refusal directions derived from any safety-aligned language transfer seamlessly to others. We attribute this transferability to the parallelism of refusal vectors across languages in the embedding space and identify the underlying mechanism behind cross-lingual jailbreaks. These findings provide actionable insights for building more robust multilingual safety defenses and pave the way for a deeper mechanistic understanding of cross-lingual vulnerabilities in LLMs.

Poster
DriveDPO: Policy Learning via Safety DPO For End-to-End Autonomous Driving

Shuyao Shang, Yuntao Chen, Yuqi Wang, Yingyan Li, Zhaoxiang Zhang

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End-to-end autonomous driving has substantially progressed by directly predicting future trajectories from raw perception inputs, which bypasses traditional modular pipelines. However, mainstream methods trained via imitation learning suffer from critical safety limitations, as they fail to distinguish between trajectories that appear human-like but are potentially unsafe. Some recent approaches attempt to address this by regressing multiple rule-driven scores but decoupling supervision from policy optimization, resulting in suboptimal performance. To tackle these challenges, we propose DriveDPO, a Safety Direct Preference Optimization Policy Learning framework. First, we distill a unified policy distribution from human imitation similarity and rule-based safety scores for direct policy optimization. Further, we introduce an iterative Direct Preference Optimization stage formulated as trajectory-level preference alignment. Extensive experiments on the NAVSIM benchmark demonstrate that DriveDPO achieves a new state-of-the-art PDMS of 90.0. Furthermore, qualitative results across diverse challenging scenarios highlight DriveDPO’s ability to produce safer and more reliable driving behaviors.

Poster
Pairwise Calibrated Rewards for Pluralistic Alignment

Daniel Halpern, Evi Micha, Ariel D. Procaccia, Itai Shapira

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Current alignment pipelines presume a single, universal notion of desirable behavior. However, human preferences often diverge across users, contexts, and cultures. As a result, disagreement collapses into the majority signal and minority perspectives are discounted. To address this, we propose reflecting diverse human preferences through a distribution over multiple reward functions, each inducing a distinct aligned policy. The distribution is learned directly from pairwise preference without annotator identifiers or predefined groups. Instead, annotator disagreements are treated as informative soft labels. Our central criterion is \emph{pairwise calibration}: for every pair of candidate responses, the proportion of reward functions preferring one response matches the fraction of annotators with that preference. We prove that even a small outlier-free ensemble can accurately represent diverse preference distributions. Empirically, we introduce and validate a practical training heuristic to learn such ensembles, and demonstrate its effectiveness through improved calibration, implying a more faithful representation of pluralistic values.

Poster
SafeVLA: Towards Safety Alignment of Vision-Language-Action Model via Constrained Learning

Borong Zhang, Yuhao Zhang, Jiaming Ji, Yingshan Lei, Josef Dai, Yuanpei Chen, Yaodong Yang

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Vision-language-action models (VLAs) show potential as generalist robot policies. However, these models pose extreme safety challenges during real-world deployment, including the risk of harm to the environment, the robot itself, and humans. *How can safety constraints be explicitly integrated into VLAs?* We address this by exploring an integrated safety approach (ISA), systematically **modeling** safety requirements, then actively **eliciting** diverse unsafe behaviors, effectively **constraining** VLA policies via safe reinforcement learning, and rigorously **assuring** their safety through targeted evaluations. Leveraging the constrained Markov decision process (CMDP) paradigm, ISA optimizes VLAs from a min-max perspective against elicited safety risks. Thus, policies aligned through this comprehensive approach achieve the following key features: (I) effective **safety-performance trade-offs**, reducing the cumulative cost of safety violations by 83.58\% compared to the state-of-the-art method, while also maintaining task success rate (+3.85\%). (II) strong **safety assurance**, with the ability to mitigate long-tail risks and handle extreme failure scenarios. (III) robust **generalization** of learned safety behaviors to various out-of-distribution perturbations. The effectiveness is evaluated on long-horizon mobile manipulation tasks.

Spotlight
Object-centric binding in Contrastive Language-Image Pretraining

Rim Assouel, Pietro Astolfi, Florian Bordes, Michal Drozdzal, Adriana Romero-Soriano

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Recent advances in vision language models (VLM) have been driven by contrastive models such as CLIP, which learn to associate visual information with their corresponding text descriptions. However, these models have limitations in understanding complex compositional scenes involving multiple objects and their spatial relationships. To address these challenges, we propose a novel approach that diverges from commonly used strategies that rely on the design of finegrained hard-negative augmentations. Instead, our work focuses on integrating inductive biases into the pretraining of CLIP-like models to improve their compositional understanding. To that end, we introduce a binding module that connects a scene graph, derived from a text description, with a slot-structured image representation, facilitating a structured similarity assessment between the two modalities. We also leverage relationships as text-conditioned visual constraints, thereby capturing the intricate interactions between objects and their contextual relationships more effectively. Our resulting model not only enhances the performance of CLIP-based models in multi-object compositional understanding but also paves the way towards more accurate and sample-efficient image-text matching of complex scenes.

Poster
Human-assisted Robotic Policy Refinement via Action Preference Optimization

Wenke Xia, Yichu Yang, Hongtao Wu, Xiao Ma, Tao Kong, Di Hu

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Establishing a reliable and iteratively refined robotic system is essential for deploying real-world applications. While Vision-Language-Action (VLA) models are widely recognized as the foundation model for such robotic deployment, their reliance on offline expert demonstrations critically limits their capacity for post-deployment refinement. To mitigate this limitation, we introduce Action Preference Optimization (APO), a method designed to refine VLA models by human-assisted preference alignment gathered through interaction with environments. This method begins with a human-robot collaboration framework for reliable failure correction and interaction trajectory collection through human intervention. However, directly leveraging these interaction trajectories for preference optimization is non-trivial due to the challenges of irreversible robotic actions and token distribution mismatch. To solve this, APO proposes an adaptive reweighting algorithm with binary desirability signals derived from interaction, empowering VLA models effectively suppress failure-prone actions while enhancing corrective action adaptation. Ultimately, APO equips VLA models with the crucial capability to learn from failure, paving the way for their iterative refinement and reliable deployment in dynamic environments. The experiments conducted in simulation and real-world scenarios prove superior generalization and robustness of our human-assisted framework across a variety of manipulation tasks. We believe this work could bring insights for efficient and stable optimization of VLA models through human-robot collaboration. The code and dataset are released at https://github.com/GeWu-Lab/Action-Preference-Optimization.

Poster
EVOREFUSE: Evolutionary Prompt Optimization for Evaluation and Mitigation of LLM Over-Refusal to Pseudo-Malicious Instructions

Xiaorui Wu, Fei Li, Xiaofeng Mao, Xin Zhang, Li Zheng, Yuxiang Peng, Chong Teng, Donghong Ji, Zhuang Li

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Large language models (LLMs) frequently refuse to respond to pseudo-malicious instructions: semantically harmless input queries triggering unnecessary LLM refusals due to conservative safety alignment, significantly impairing user experience. Collecting such instructions is crucial for evaluating and mitigating over-refusals, but existing instruction curation methods, like manual creation or instruction rewriting, either lack scalability or fail to produce sufficiently diverse and effective refusal-inducing prompts. To address these limitations, we introduce EVOREFUSE, a prompt optimization approach that generates diverse pseudo-malicious instructions consistently eliciting confident refusals across LLMs. EVOREFUSE employs an evolutionary algorithm exploring the instruction space in more diverse directions than existing methods via mutation strategies and recombination, and iteratively evolves seed instructions to maximize evidence lower bound on LLM refusal probability. Using EVOREFUSE, we create two novel datasets: EVOREFUSE-TEST, a benchmark of 582 pseudo-malicious instructions that outperforms the next-best benchmark with 85.34% higher average refusal triggering rate across 9 LLMs, 34.86% greater lexical diversity, and 40.03% improved LLM response confidence scores; and EVOREFUSE-ALIGN, which provides 3,000 pseudo-malicious instructions with responses for supervised and preference-based alignment training. LLAMA3.1-8B-INSTRUCT supervisedly fine-tuned on EVOREFUSE-ALIGN achieves up to 29.85% fewer over-refusals than models trained on the second-best alignment dataset, without compromising safety. Our analysis with EVOREFUSE-TEST reveals models trigger over-refusals by overly focusing on sensitive keywords while ignoring broader context. Our code and datasets are available at https://github.com/FishT0ucher/EVOREFUSE.

Poster
Conformal Arbitrage: Risk-Controlled Balancing of Competing Objectives in Language Models

William Overman, Mohsen Bayati

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Modern language‑model deployments must often balance competing objectives—for example, helpfulness versus harmlessness, cost versus accuracy, and reward versus safety. We introduce Conformal Arbitrage, a post‑hoc framework that learns a data‑driven threshold to mediate between a Primary model optimized for a primary objective and a more conservative Guardian—which could be another model or a human domain expert—aligned with a guardrail objective. The threshold is calibrated with conformal risk control, yielding finite‑sample, distribution‑free guarantees that the long‑run frequency of undesirable events (such as factual errors or safety violations) does not exceed a user‑specified quota. Because Conformal Arbitrage operates wholly at the API level—without requiring access to model logits or updating model weights—it complements weight‑based alignment techniques and integrates seamlessly with existing cost‑aware cascades. Empirically, Conformal Arbitrage traces an efficient frontier, allowing users to define an acceptable performance level for one objective while maximizing utility in another. We observe that our method outperforms (in terms of accuracy) cost-matched random routing between models. These properties make Conformal Arbitrage a practical, theoretically grounded tool for trustworthy and economical deployment of large language models across a broad range of potentially competing objectives.

Poster
LARGO: Latent Adversarial Reflection through Gradient Optimization for Jailbreaking LLMs

Ran Li, Hao Wang, Chengzhi Mao

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Efficient red-teaming method to uncover vulnerabilities in Large Language Models (LLMs) is crucial. While recent attacks often use LLMs as optimizers, the discrete language space make gradient-based methods struggle. We introduce LARGO (Latent Adversarial Reflection through Gradient Optimization), a novel latent self-reflection attack that reasserts the power of gradient-based optimization for generating fluent jailbreaking prompts. By operating within the LLM's continuous latent space, LARGO first optimizes an adversarial latent vector and then recursively call the same LLM to decode the latent into natural language. This methodology yields a fast, effective, and transferable attack that produces fluent and stealthy prompts. On standard benchmarks like AdvBench and JailbreakBench, LARGO surpasses leading jailbreaking techniques, including AutoDAN, by 44 points in attack success rate. Our findings demonstrate a potent alternative to agentic LLM prompting, highlighting the efficacy of interpreting and attacking LLM internals through gradient optimization.

Poster
Continuity and Isolation Lead to Doubts or Dilemmas in Large Language Models

Hector Pasten, Felipe Urrutia, Hector Ignacio Jimenez Orellana, Cristian Buc Calderon, Cristobal Rojas, Alexander Kozachinskiy

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Understanding how Transformers work and how they process information is key to the theoretical and empirical advancement of these machines. In this work, we demonstrate the existence of two phenomena in Transformers, namely _isolation_ and _continuity_. Both of these phenomena hinder Transformers to learn even simple pattern sequences. Isolation expresses that any learnable sequence must be isolated from another learnable sequence, and hence some sequences cannot be learned by a single Transformer at the same time. Continuity entails that an attractor basin forms around a learned sequence, such that any sequence falling in that basin will collapse towards the learned sequence. Here, we mathematically prove these phenomena emerge in all Transformers that use compact positional encoding, and design rigorous experiments, demonstrating that the theoretical limitations we shed light on occur on the practical scale.

Poster