NeurIPS 2025 论文列表

Conference on Neural Information Processing Systems

录用类型

5,812篇论文

按官方录用论文列表统计,可能与会议公布的数字略有出入。

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

浏览全部论文

主题: 对齐与安全 · 455 篇论文 · 重置筛选

Scalable Cross-View Sample Alignment for Multi-View Clustering with View Structure Similarity

Jun Wang, Zhenglai Li, Chang Tang, Suyuan Liu, Hao Yu, Chuan Tang, Miaomiao Li, Xinwang Liu

展开摘要

Most existing multi-view clustering methods aim to generate a consensus partition across all views, based on the assumption that all views share the same sample arrangement. However, in real-world scenarios, the collected data across different views is often unsynchronized, making it difficult to ensure consistent sample correspondence between views. To address this issue, we propose a scalable sample-alignment-based multi-view clustering method, referred to as SSA-MVC. Specifically, we first employ a cluster-label matching (CLM) algorithm to select the view whose clustering labels best match those of the others as the benchmark view. Then, for each of the remaining views, we construct representations of non-aligned samples by computing their similarities with aligned samples. Based on these representations, we build a similarity graph between the non-aligned samples of each view and those in the benchmark view, which serves as the alignment criterion. This alignment criterion is then integrated into a late-fusion framework to enable clustering without requiring aligned samples. Notably, the learned sample alignment matrix can be used to enhance existing multi-view clustering methods in scenarios where sample correspondence is unavailable. The effectiveness of the proposed SSA-MVC algorithm is validated through extensive experiments conducted on eight real-world multi-view datasets.

Spotlight
Backdoor Cleaning without External Guidance in MLLM Fine-tuning

Xuankun Rong, Wenke Huang, Jian Liang, Jinhe Bi, Xun Xiao, Yiming Li, Bo Du, Mang Ye

展开摘要

Multimodal Large Language Models (MLLMs) are increasingly deployed in fine-tuning-as-a-service (FTaaS) settings, where user-submitted datasets adapt general-purpose models to downstream tasks. This flexibility, however, introduces serious security risks, as malicious fine-tuning can implant backdoors into MLLMs with minimal effort. In this paper, we observe that backdoor triggers systematically disrupt cross-modal processing by causing abnormal attention concentration on non-semantic regions—a phenomenon we term **attention collapse**. Based on this insight, we propose **Believe Your Eyes (BYE)**, a data filtering framework that leverages attention entropy patterns as self-supervised signals to identify and filter backdoor samples. BYE operates via a three-stage pipeline: (1) extracting attention maps using the fine-tuned model, (2) computing entropy scores and profiling sensitive layers via bimodal separation, and (3) performing unsupervised clustering to remove suspicious samples. Unlike prior defenses, BYE equires no clean supervision, auxiliary labels, or model modifications. Extensive experiments across various datasets, models, and diverse trigger types validate BYE's effectiveness: it achieves near-zero attack success rates while maintaining clean-task performance, offering a robust and generalizable solution against backdoor threats in MLLMs.

Poster
CoT Red-Handed: Stress Testing Chain-of-Thought Monitoring

Benjamin Arnav, Pablo Bernabeu-Perez, Nathan Helm-Burger, Timothy Kostolansky, Hannes Whittingham, Mary Phuong

展开摘要

As AI models are deployed with increasing autonomy, it is important to ensure they do not take harmful actions unnoticed. As a potential mitigation, we investigate Chain-of-Thought (CoT) monitoring, wherein a weaker trusted monitor model continuously oversees the intermediate reasoning steps of a more powerful but untrusted model. We compare CoT monitoring to action-only monitoring, where only final outputs are reviewed, in a red-teaming setup where the untrusted model is instructed to pursue harmful side tasks while completing a coding problem. We find that while CoT monitoring is more effective than overseeing only model outputs in scenarios where action-only monitoring fails to reliably identify sabotage, reasoning traces can contain misleading rationalizations that deceive the CoT monitors, reducing performance in obvious sabotage cases. To address this, we introduce a hybrid protocol that independently scores model reasoning and actions, and combines them using a weighted average. Our hybrid monitor consistently outperforms both CoT and action-only monitors across all tested models and tasks, with detection rates twice higher than action-only monitoring for subtle deception scenarios.

Poster
Don’t Forget the Enjoin: FocalLoRA for Instruction Hierarchical Alignment in Large Language Models

Zitong Shi, Guancheng Wan, Haixin Wang, Ruoyan Li, Zijie Huang, Wanjia Zhao, Yijia Xiao, Xiao Luo, Carl Yang, Yizhou Sun, Wei Wang

展开摘要

Recent studies reveal that large language models (LLMs) often struggle to resolve conflicting instructions embedded within hierarchical prompts, resulting in decreased compliance with system-level directives and compromising the reliability of safety-critical applications. While earlier approaches attempt to improve instruction hierarchy awareness through prompt engineering or embedding-level modifications, they typically lack structural modeling and either offer limited gains or require extensive fine-tuning. In this work, we introduce $\textbf{FocalLoRA}$, a parameter-efficient and structure-aware framework that strengthens hierarchical instruction adherence by selectively optimizing structurally critical attention heads, referred to as $\textit{focal heads}$, which exhibit heightened sensitivity to instruction conflicts. Experiments across multiple models and a dedicated benchmark demonstrate that FocalLoRA markedly enhances system instruction compliance with minimal tuning cost. For instance, on Llama-8B, fine-tuning only 0.0188\% of parameters yields a 35.52\% $\uparrow$ in system instruction compliance.

Poster
GraSS: Scalable Data Attribution with Gradient Sparsification and Sparse Projection

Pingbang Hu, Joseph Melkonian, Weijing Tang, Han Zhao, Jiaqi W. Ma

展开摘要

Gradient-based data attribution methods, such as influence functions, are critical for understanding the impact of individual training samples without requiring repeated model retraining. However, their scalability is often limited by the high computational and memory costs associated with per-sample gradient computation. In this work, we propose **GraSS**, a novel gradient compression algorithm and its variants **FactGraSS** for linear layers specifically, that explicitly leverage the inherent sparsity of per-sample gradients to achieve sub-linear space and time complexity. Extensive experiments demonstrate the effectiveness of our approach, achieving substantial speedups while preserving data influence fidelity. In particular, **FactGraSS** achieves up to 165% faster throughput on billion-scale models compared to the previous state-of-the-art baselines. Our code is publicly available at https://github.com/TRAIS-Lab/GraSS.

Poster
Imbalances in Neurosymbolic Learning: Characterization and Mitigating Strategies

Efthymia Tsamoura, Kaifu Wang, Dan Roth

展开摘要

We study one of the most popular problems in **neurosymbolic learning** (NSL), that of learning neural classifiers given only the result of applying a symbolic component $\sigma$ to the gold labels of the elements of a vector $\mathbf x$. The gold labels of the elements in $\mathbf x$ are unknown to the learner. We make multiple contributions, theoretical and practical, to address a problem that has not been studied so far in this context, that of characterizing and mitigating *learning imbalances*, i.e., major differences in the errors that occur when classifying instances of different classes (aka **class-specific risks**). Our theoretical reveals a unique phenomenon: that $\sigma$ can greatly impact learning imbalances. This result sharply contrasts with previous research on supervised and weakly supervised learning, which only studies learning imbalances under data imbalances. On the practical side, we introduce a technique for estimating the marginal of the hidden gold labels using weakly supervised data. Then, we introduce algorithms that mitigate imbalances at training and testing time by treating the marginal of the hidden labels as a constraint. We demonstrate the effectiveness of our techniques using strong baselines from NSL and long-tailed learning, suggesting performance improvements of up to 14\%.

Poster
Quantifying Uncertainty in Error Consistency: Towards Reliable Behavioral Comparison of Classifiers

Thomas Klein, Sascha Meyen, Wieland Brendel, Felix A. Wichmann, Kristof Meding

展开摘要

Benchmarking models is a key factor for the rapid progress in machine learning (ML) research. Thus, further progress depends on improving benchmarking metrics. A standard metric to measure the behavioral alignment between ML models and human observers is error consistency (EC). EC allows for more fine-grained comparisons of behavior than other metrics such as accuracy, and has been used in the influential Brain-Score benchmark to rank different DNNs by their behavioral consistency with humans. Previously, EC values have been reported without confidence intervals. However, empirically measured EC values are typically noisy - thus, without confidence intervals, valid benchmarking conclusions are problematic. Here we improve on standard EC in two ways: First, we show how to obtain confidence intervals for EC using a bootstrapping technique, allowing us to derive significance tests for EC. Second, we propose a new computational model relating the EC between two classifiers to the implicit probability that one of them copies responses from the other. This view of EC allows us to give practical guidance to scientists regarding the number of trials required for sufficiently powerful, conclusive experiments. Finally, we use our methodology to revisit popular NeuroAI-results. We find that while the general trend of behavioral differences between humans and machines holds up to scrutiny, many reported differences between deep vision models are statistically insignificant. Our methodology enables researchers to design adequately powered experiments that can reliably detect behavioral differences between models, providing a foundation for more rigorous benchmarking of behavioral alignment.

Poster
On Local Limits of Sparse Random Graphs: Color Convergence and the Refined Configuration Model

Alexander Pluska, Sagar Malhotra

展开摘要

Local convergence has emerged as a fundamental tool for analyzing sparse random graph models. We introduce a new notion of local convergence, _color convergence_, based on the Weisfeiler–Leman algorithm. Color convergence fully characterizes the class of random graphs that are well-behaved in the limit for message-passing graph neural networks. Building on this, we propose the _Refined Configuration Model_ (RCM), a random graph model that generalizes the configuration model. The RCM is universal with respect to local convergence among locally tree-like random graph models, including Erdős–Rényi, stochastic block and configuration models. Finally, this framework enables a complete characterization of the random trees that arise as local limits of such graphs.

Poster
Sparta Alignment: Collectively Aligning Multiple Language Models through Combat

Yuru Jiang, Wenxuan Ding, Shangbin Feng, Greg Durrett, Yulia Tsvetkov

展开摘要

We propose Sparta Alignment, an algorithm to collectively align multiple LLMs through competition and combat. To complement a single model's lack of diversity in generation and biases in evaluation, multiple LLMs form a 'sparta tribe' to compete against each other in fulfilling instructions while serving as judges for the competition of others. For each iteration, one instruction and two models are selected for a duel, the other models evaluate the two responses, and their evaluation scores are aggregated through a adapted elo-ranking based reputation system, where winners/losers of combat gain/lose weight in evaluating others. The peer-evaluated combat results then become preference pairs where the winning response is preferred over the losing one, and all models learn from these preferences at the end of each iteration. Sparta Alignment enables the self-evolution of multiple LLMs in an iterative and collective competition process. Extensive experiments demonstrate that Sparta Alignment outperforms initial models and 4 self-alignment baselines across 10 out of 12 tasks and datasets with 7.0\% average improvement. Further analysis reveals that Sparta Alignment generalizes more effectively to unseen tasks and leverages the expertise diversity of participating models to produce more logical, direct and informative outputs.

Poster
Bridging Time and Linguistics: LLMs as Time Series Analyzer through Symbolization and Segmentation

Jianyang Qin, Chaoyang Li, Jinhao Cui, Lingzhi Wang, Zhao Liu, Qing Liao

展开摘要

Recent studies reveal that Large Language Models (LLMs) exhibit strong sequential reasoning capabilities, allowing them to replace specialized time-series models and serve as foundation models for complex time-series analysis. To activate the capabilities of LLMs for time-series tasks, numerous studies have attempted to bridge the gap between time series and linguistics by aligning textual representations with time-series patterns. However, it is a non-trivial endeavor to losslessly capture the infinite time-domain variability using natural language, leading to suboptimal alignment performance. Beyond representation, contextual differences, where semantics in time series are conveyed by consecutive points, unlike in text by individual tokens, are often overlooked by existing methods. To address these, we propose S$^2$TS-LLM, a simple yet effective framework to repurpose LLMs for universal time series analysis through the following two main paradigms: (i) a spectral symbolization paradigm transforms time series into frequency-domain representations characterized by a fixed number of components and prominent amplitudes, which enables a limited set of symbols to effectively abstract key frequency features; (ii) a contextual segmentation paradigm partitions the sequence into blocks based on temporal patterns and reassigns positional encodings accordingly, thereby mitigating the structural mismatch between time series and natural language. Together, these paradigms bootstrap the LLMs' perception of temporal patterns and structures, effectively bridging time series and linguistics. Extensive experiments show that S$^2$TS-LLM can serve as a powerful time series analyzer, outperforming state-of-the-art methods across time series tasks.

Poster
C-SafeGen: Certified Safe LLM Generation with Claim-Based Streaming Guardrails

Mintong Kang, Zhaorun Chen, Bo Li

展开摘要

Despite the remarkable capabilities of large language models (LLMs) across diverse applications, they remain vulnerable to generating content that violates safety regulations and policies. To mitigate these risks, LLMs undergo safety alignment; however, they can still be effectively jailbroken. Off-the-shelf guardrail models are commonly deployed to monitor generations, but these models primarily focus on detection rather than ensuring safe decoding of LLM outputs. Moreover, existing efforts lack rigorous safety guarantees, which are crucial for the universal deployment of LLMs and certifiable compliance with regulatory standards. In this paper, we propose a Claim-based Stream Decoding (CSD) algorithm coupled with a statistical risk guarantee framework using conformal analysis. Specifically, our CSD algorithm integrates a stream guardrail model to safeguard sequential claims generated by LLMs and incorporates a backtracking mechanism to revise claims flagged with high safety risks. We provide theoretical guarantees demonstrating that the CSD algorithm achieves the desired generation distribution subject to safety constraints. Furthermore, we introduce a generation risk certification framework and derive a high-probability upper bound on the safety risk of the proposed CSD algorithm. We extend our approach to online settings, where user queries arrive sequentially, and prove that our method can asymptotically control safety risk to any desired level. Empirical evaluations demonstrate the effectiveness and efficiency of the CSD algorithm compared to state-of-the-art safety decoding approaches. Additionally, we validate the soundness and tightness of the derived safety risk upper bound using realistic data in both offline and online scenarios.

Poster
Improving Video Generation with Human Feedback

Jie Liu, Gongye Liu, Jiajun Liang, Ziyang Yuan, Xiaokun Liu, Mingwu Zheng, Xiele Wu, Qiulin Wang, Menghan Xia, Xintao Wang, Xiaohong Liu, Fei Yang, Pengfei Wan, Di Zhang, Kun Gai, Yujiu Yang, Wanli Ouyang

展开摘要

Video generation has achieved significant advances through rectified flow techniques, but issues like unsmooth motion and misalignment between videos and prompts persist. In this work, we develop a systematic pipeline that harnesses human feedback to mitigate these problems and refine the video generation model. Specifically, we begin by constructing a large-scale human preference dataset focused on modern video generation models, incorporating pairwise annotations across multi-dimensions. We then introduce VideoReward, a multi-dimensional video reward model, and examine how annotations and various design choices impact its rewarding efficacy. From a unified reinforcement learning perspective aimed at maximizing reward with KL regularization, we introduce three alignment algorithms for flow-based models. These include two training-time strategies: direct preference optimization for flow (Flow-DPO) and reward weighted regression for flow (Flow-RWR), and an inference-time technique, Flow-NRG, which applies reward guidance directly to noisy videos. Experimental results indicate that VideoReward significantly outperforms existing reward models, and Flow-DPO demonstrates superior performance compared to both Flow-RWR and supervised fine-tuning methods. Additionally, Flow-NRG lets users assign custom weights to multiple objectives during inference, meeting personalized video quality needs.

Poster
Video-SafetyBench: A Benchmark for Safety Evaluation of Video LVLMs

Xuannan Liu, Zekun Li, Zheqi He, Pei Pei Li, Shuhan Xia, Xing Cui, Huaibo Huang, Xi Yang, Ran He

展开摘要

The increasing deployment of Large Vision-Language Models (LVLMs) raises safety concerns under potential malicious inputs. However, existing multimodal safety evaluations primarily focus on model vulnerabilities exposed by static image inputs, ignoring the temporal dynamics of video that may induce distinct safety risks. To bridge this gap, we introduce Video-SafetyBench, the first comprehensive benchmark designed to evaluate the safety of LVLMs under video-text attacks. It comprises 2,264 video-text pairs spanning 48 fine-grained unsafe categories, each pairing a synthesized video with either a harmful query, which contains explicit malice, or a benign query, which appears harmless but triggers harmful behavior when interpreted alongside the video. To generate semantically accurate videos for safety evaluation, we design a controllable pipeline that decomposes video semantics into subject images (what is shown) and motion text (how it moves), which jointly guide the synthesis of query-relevant videos. To effectively evaluate uncertain or borderline harmful outputs, we propose RJScore, a novel LLM-based metric that incorporates the confidence of judge models and human-aligned decision threshold calibration. Extensive experiments show that benign-query video composition achieves average attack success rates of 67.2%, revealing consistent vulnerabilities to video-induced attacks. We believe Video-SafetyBench will catalyze future research into video-based safety evaluation and defense strategies.

Poster
Fair Minimum Labeling: Efficient Temporal Network Activations for Reachability and Equity

Lutz Oettershagen, Othon Michail

展开摘要

Balancing resource efficiency and fairness is critical in networked systems that support modern learning applications. We introduce the _Fair Minimum Labeling_ (FML) problem: the task of designing a minimum-cost temporal edge activation plan that ensures each group of nodes in a network has sufficient access to a designated target set, according to specified coverage requirements. FML captures key trade-offs in systems where edge activations incur resource costs and equitable access is essential, such as distributed data collection, update dissemination in edge-cloud systems, and fair service restoration in critical infrastructure. We show that FML is NP-hard and $\Omega(\log |V|)$-hard to approximate, where $V$ is the set of nodes, and we present probabilistic approximation algorithms that match this bound, achieving the best possible guarantee for the activation cost. We demonstrate the practical utility of FML in a fair multi-source data aggregation task for training a shared model. Empirical results show that FML enforces group-level fairness with substantially lower activation cost than baseline heuristics, underscoring its potential for building resource-efficient, equitable temporal reachability in learning-integrated networks.

Poster
From Judgment to Interference: Early Stopping LLM Harmful Outputs via Streaming Content Monitoring

Yang Li, Qiang Sheng, Yehan Yang, Xueyao Zhang, Juan Cao

展开摘要

Though safety alignment has been applied to most large language models (LLMs), LLM service providers generally deploy a subsequent moderation as the external safety guardrail in real-world products. Existing moderators mainly practice a conventional full detection, which determines the harmfulness based on the complete LLM output, causing high service latency. Recent works pay more attention to partial detection where moderators oversee the generation midway and early stop the output if harmfulness is detected, but they directly apply moderators trained with the full detection paradigm to incomplete outputs, introducing a training-inference gap that lowers the performance. In this paper, we explore how to form a data-and-model solution that natively supports partial detection. For the data, we construct **FineHarm**, a dataset consisting of 29K prompt-response pairs with fine-grained token-level annotations to provide reasonable supervision for token-level training. Then, we propose the **Streaming Content Monitor (SCM)**, which is trained with dual supervision of response- and token-level labels and can follow the output stream of LLM to make a timely judgment of harmfulness. Experiments show that SCM gains 0.95+ in macro F1 score that is comparable to full-detection, by only seeing the first 18% of tokens in responses on average. Moreover, the SCM can serve as a pseudo-harmfulness annotator for improving safety alignment and lead to a higher harmlessness score than DPO.

Poster
AgentBreeder: Mitigating the AI Safety Risks of Multi-Agent Scaffolds via Self-Improvement

J Rosser, Jakob Nicolaus Foerster

展开摘要

Scaffolding Large Language Models (LLMs) into multi-agent systems often improves performance on complex tasks, but the safety impact of such scaffolds has not been thoroughly explored. We introduce AgentBreeder, a framework for multi-objective self-improving evolutionary search over scaffolds. We evaluate discovered scaffolds on widely recognized reasoning, mathematics, and safety benchmarks and compare them with popular baselines. In "blue" mode, we see a 79.4% average uplift in safety benchmark performance while maintaining or improving capability scores. In "red" mode, we find adversarially weak scaffolds emerging concurrently with capability optimization. Our work demonstrates the risks of multi-agent scaffolding and provides a framework for mitigating them. Code is available at \url{https://github.com/jrosseruk/AgentBreeder}.

Spotlight
Integrating Drug Substructures and Longitudinal Electronic Health Records for Personalized Drug Recommendation

Wenjie Du, Xuqiang Li, Jinke Feng, Shuai Zhang, Wen Zhang, Yang Wang

展开摘要

Drug recommendation systems aim to identify optimal drug combinations for patient care, balancing therapeutic efficacy and safety. Advances in large-scale longitudinal EHRs have enabled learning-based approaches that leverage patient histories such as diagnoses, procedures, and previously prescribed drugs, to model complex patient-drug relationships. Yet, many existing solutions overlook standard clinical practices that favor certain drugs for specific conditions and fail to fully integrate the influence of molecular substructures on drug efficacy and safety. In response, we propose \textbf{SubRec}, a unified framework that integrates representation learning across both patient and drug spaces. Specifically, SubRec introduces a conditional information bottleneck to extract core drug substructures most relevant to patient conditions, thereby enhancing interpretability and clinical alignment. Meanwhile, an adaptive vector quantization mechanism is designed to generate patient–drug interaction patterns into a condition-aware codebook which reuses clinically meaningful patterns, reduces training overhead, and provides a controllable latent space for recommendation. Crucially, the synergy between condition-specific substructure learning and discrete patient prototypes allows SubRec to make accurate and personalized drug recommendations. Experimental results on the real-world MIMIC III and IV demonstrate our model's advantages. The source code is available at \href{https://anonymous.4open.science/r/DrugRecommendation-5173}{https://anonymous.4open.science/}.

Poster
Machine Unlearning Doesn't Do What You Think: Lessons for Generative AI Policy and Research

A. Feder Cooper, Christopher A. Choquette-Choo, Miranda Bogen, Kevin Klyman, Matthew Jagielski, Katja Filippova, Ken Liu, Alexandra Chouldechova, Jamie Hayes, Yangsibo Huang, Eleni Triantafillou, Peter Kairouz, Nicole Elyse Mitchell, Niloofar Mireshghallah, Abigail Z. Jacobs, James Grimmelmann, Vitaly Shmatikov, Christopher De Sa, Ilia Shumailov, Andreas Terzis, Solon Barocas, Jennifer Wortman Vaughan, danah boyd, Yejin Choi, Sanmi Koyejo, Fernando Delgado, Percy Liang, Daniel E. Ho, Pamela Samuelson, Miles Brundage, David Bau, Seth Neel, Hanna Wallach, Amy B. Cyphert, Mark Lemley, Nicolas Papernot, Katherine Lee

展开摘要

"Machine unlearning" is a popular proposed solution for mitigating the existence of content in an AI model that is problematic for legal or moral reasons, including privacy, copyright, safety, and more. For example, unlearning is often invoked as a solution for removing the effects of specific information from a generative-AI model's parameters, e.g., a particular individual's personal data or the inclusion of copyrighted content in the model's training data. Unlearning is also proposed as a way to prevent a model from generating targeted types of information in its outputs, e.g., generations that closely resemble a particular individual's data or reflect the concept of "Spiderman." Both of these goals--the targeted removal of information from a model and the targeted suppression of information from a model's outputs--present various technical and substantive challenges. We provide a framework for ML researchers and policymakers to think rigorously about these challenges, identifying several mismatches between the goals of unlearning and feasible implementations. These mismatches explain why unlearning is not a general-purpose solution for circumscribing generative-AI model behavior in service of broader positive impact.

Oral
PolyGuard: Massive Multi-Domain Safety Policy-Grounded Guardrail Dataset

Mintong Kang, Zhaorun Chen, Chejian Xu, Jiawei Zhang, Chengquan Guo, Minzhou Pan, Ivan Revilla, Yu Sun, Bo Li

展开摘要

As large language models (LLMs) become widespread across diverse applications, concerns about the security and safety of LLM interactions have intensified. Numerous guardrail models and benchmarks have been developed to ensure LLM content safety. However, existing guardrail benchmarks are often built upon ad hoc risk taxonomies that lack a principled grounding in standardized safety policies, limiting their alignment with real-world operational requirements. Moreover, they tend to overlook domain-specific risks, while the same risk category can carry different implications across different domains. To bridge these gaps, we introduce PolyGuard, the first massive multi-domain safety policy-grounded guardrail dataset. PolyGuard offers: (1) broad domain coverage across eight safety-critical domains, such as finance, law, and codeGen; (2) policy-grounded risk construction based on authentic, domain-specific safety guidelines; (3) diverse interaction formats, encompassing declarative statements, questions, instructions, and multi-turn conversations; (4) advanced benign data curation via detoxification prompting to challenge over-refusal behaviors; and (5) \textbf{attack-enhanced instances} that simulate adversarial inputs designed to bypass guardrails. Based on PolyGuard, we benchmark 19 advanced guardrail models and uncover a series of findings, such as: (1) All models achieve varied F1 scores, with many demonstrating high variance across risk categories, highlighting their limited domain coverage and insufficient handling of domain-specific safety concerns; (2) As models evolve, their coverage of safety risks broadens, but performance on common risk categories may decrease; (3) All models remain vulnerable to optimized adversarial attacks. The policy-grounded \dataset establishes the first principled and comprehensive guardrail benchmark. We believe that \dataset and the unique insights derived from our evaluations will advance the development of policy-aligned and resilient guardrail systems.

Poster
Mitigating Reward Over-optimization in Direct Alignment Algorithms with Importance Sampling

Nguyen Minh Phuc, Ngoc-Hieu Nguyen, Duy Minh Ho Nguyen, Anji Liu, An Mai, Binh T. Nguyen, Daniel Sonntag, Khoa D Doan

展开摘要

Recently, Direct Alignment Algorithms (DAAs) such as Direct Preference Optimization (DPO) have emerged as alternatives to the standard Reinforcement Learning from Human Feedback (RLHF) for aligning large language models (LLMs) with human values. Surprisingly, while DAAs do not use a separate proxy reward model as in RLHF, their performance can still deteriorate over the course of training -- an over-optimization phenomenon found in RLHF where the learning policy exploits the overfitting to inaccuracies of the reward model to achieve high rewards. One attributed source of over-optimization in DAAs is the under-constrained nature of their offline optimization, which can gradually shift probability mass toward non-preferred responses not presented in the preference dataset. This paper proposes a novel importance-sampling approach to mitigate the distribution shift problem of offline DAAs. This approach, called (IS-DAAs), multiplies the DAA objective with an importance ratio that accounts for the reference policy distribution. IS-DAAs additionally avoid the high variance issue associated with importance sampling by clipping the importance ratio to a maximum value. Our extensive experiments demonstrate that IS-DAAs can effectively mitigate over-optimization, especially under low regularization strength, and achieve better performance than other methods designed to address this problem.

Poster