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

arXiv.org Artificial Intelligence

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.


MCP4EDA: LLM-Powered Model Context Protocol RTL-to-GDSII Automation with Backend Aware Synthesis Optimization

arXiv.org Artificial Intelligence

This paper presents MCP4EDA, the first Model Context Protocol server that enables Large Language Models (LLMs) to control and optimize the complete open-source RTL-to-GDSII design flow through natural language interaction. The system integrates Yosys synthesis, Icarus Verilog simulation, OpenLane place-and-route, GTKWave analysis, and KLayout visualization into a unified LLM-accessible interface, enabling designers to execute complex multi-tool EDA workflows conversationally via AI assistants such as Claude Desktop and Cursor IDE. The principal contribution is a backend-aware synthesis optimization methodology wherein LLMs analyze actual post-layout timing, power, and area metrics from OpenLane results to iteratively refine synthesis TCL scripts, establishing a closed-loop optimization system that bridges the traditional gap between synthesis estimates and physical implementation reality. In contrast to conventional flows that rely on wire-load models, this methodology leverages real backend performance data to guide synthesis parameter tuning, optimization sequence selection, and constraint refinement, with the LLM functioning as an intelligent design space exploration agent. Experimental evaluation on representative digital designs demonstrates 15-30% improvements in timing closure and 10-20% area reduction compared to default synthesis flows, establishing MCP4EDA as the first practical LLM-controlled end-to-end open-source EDA automation system. The code and demo are avaiable at: http://www.agent4eda.com/


Towards Sustainability Model Cards

arXiv.org Artificial Intelligence

The growth of machine learning (ML) models and associated datasets triggers a consequent dramatic increase in energy costs for the use and training of these models. In the current context of environmental awareness and global sustainability concerns involving ICT, Green AI is becoming an important research topic. Initiatives like the AI Energy Score Ratings are a good example. Nevertheless, these benchmarking attempts are still to be integrated with existing work on Quality Models and Service-Level Agreements common in other, more mature, ICT subfields. This limits the (automatic) analysis of this model energy descriptions and their use in (semi)automatic model comparison, selection, and certification processes. We aim to leverage the concept of quality models and merge it with existing ML model reporting initiatives and Green/Frugal AI proposals to formalize a Sustainable Quality Model for AI/ML models. As a first step, we propose a new Domain-Specific Language to precisely define the sustainability aspects of an ML model (including the energy costs for its different tasks). This information can then be exported as an extended version of the well-known Model Cards initiative while, at the same time, being formal enough to be input of any other model description automatic process.


Comparing Behavioural Cloning and Reinforcement Learning for Spacecraft Guidance and Control Networks

arXiv.org Artificial Intelligence

Guidance & control networks (G&CNETs) provide a promising alternative to on-board guidance and control (G&C) architectures for spacecraft, offering a differentiable, end-to-end representation of the guidance and control architecture. When training G&CNETs, two predominant paradigms emerge: behavioural cloning (BC), which mimics optimal trajectories, and reinforcement learning (RL), which learns optimal behaviour through trials and errors. Although both approaches have been adopted in G&CNET related literature, direct comparisons are notably absent. To address this, we conduct a systematic evaluation of BC and RL specifically for training G&CNETs on continuous-thrust spacecraft trajectory optimisation tasks. We introduce a novel RL training framework tailored to G&CNETs, incorporating decoupled action and control frequencies alongside reward redistribution strategies to stabilise training and to provide a fair comparison. Our results show that BC-trained G&CNETs excel at closely replicating expert policy behaviour, and thus the optimal control structure of a deterministic environment, but can be negatively constrained by the quality and coverage of the training dataset. In contrast RL-trained G&CNETs, beyond demonstrating a superior adaptability to stochastic conditions, can also discover solutions that improve upon suboptimal expert demonstrations, sometimes revealing globally optimal strategies that eluded the generation of training samples.


Physics-informed transfer learning for SHM via feature selection

arXiv.org Artificial Intelligence

Data used for training structural health monitoring (SHM) systems are expensive and often impractical to obtain, particularly labelled data. Population-based SHM presents a potential solution to this issue by considering the available data across a population of structures. However, differences between structures will mean the training and testing distributions will differ; thus, conventional machine learning methods cannot be expected to generalise between structures. To address this issue, transfer learning (TL), can be used to leverage information across related domains. An important consideration is that the lack of labels in the target domain limits data-based metrics to quantifying the discrepancy between the marginal distributions. Thus, a prerequisite for the application of typical unsupervised TL methods is to identify suitable source structures (domains), and a set of features, for which the conditional distributions are related to the target structure. Generally, the selection of domains and features is reliant on domain expertise; however, for complex mechanisms, such as the influence of damage on the dynamic response of a structure, this task is not trivial. In this paper, knowledge of physics is leveraged to select more similar features, the modal assurance criterion (MAC) is used to quantify the correspondence between the modes of healthy structures. The MAC is shown to have high correspondence with a supervised metric that measures joint-distribution similarity, which is the primary indicator of whether a classifier will generalise between domains. The MAC is proposed as a measure for selecting a set of features that behave consistently across domains when subjected to damage, i.e. features with invariance in the conditional distributions. This approach is demonstrated on numerical and experimental case studies to verify its effectiveness in various applications.


Frontier AI Risk Management Framework in Practice: A Risk Analysis Technical Report

arXiv.org Artificial Intelligence

To understand and identify the unprecedented risks posed by rapidly advancing artificial intelligence (AI) models, this report presents a comprehensive assessment of their frontier risks. Drawing on the E-T-C analysis (deployment environment, threat source, enabling capability) from the Frontier AI Risk Management Framework (v1.0) (SafeWork-F1-Framework), we identify critical risks in seven areas: cyber offense, biological and chemical risks, persuasion and manipulation, uncontrolled autonomous AI R\&D, strategic deception and scheming, self-replication, and collusion. Guided by the "AI-$45^\circ$ Law," we evaluate these risks using "red lines" (intolerable thresholds) and "yellow lines" (early warning indicators) to define risk zones: green (manageable risk for routine deployment and continuous monitoring), yellow (requiring strengthened mitigations and controlled deployment), and red (necessitating suspension of development and/or deployment). Experimental results show that all recent frontier AI models reside in green and yellow zones, without crossing red lines. Specifically, no evaluated models cross the yellow line for cyber offense or uncontrolled AI R\&D risks. For self-replication, and strategic deception and scheming, most models remain in the green zone, except for certain reasoning models in the yellow zone. In persuasion and manipulation, most models are in the yellow zone due to their effective influence on humans. For biological and chemical risks, we are unable to rule out the possibility of most models residing in the yellow zone, although detailed threat modeling and in-depth assessment are required to make further claims. This work reflects our current understanding of AI frontier risks and urges collective action to mitigate these challenges.


SoftPipe: A Soft-Guided Reinforcement Learning Framework for Automated Data Preparation

arXiv.org Artificial Intelligence

Data preparation is a foundational yet notoriously challenging component of the machine learning lifecycle, characterized by a vast combinatorial search space. While reinforcement learning (RL) offers a promising direction, state-of-the-art methods suffer from a critical limitation: to manage the search space, they rely on rigid ``hard constraints'' that prematurely prune the search space and often preclude optimal solutions. To address this, we introduce SoftPipe, a novel RL framework that replaces these constraints with a flexible ``soft guidance'' paradigm. SoftPipe formulates action selection as a Bayesian inference problem. A high-level strategic prior, generated by a Large Language Model (LLM), probabilistically guides exploration. This prior is combined with empirical estimators from two sources through a collaborative process: a fine-grained quality score from a supervised Learning-to-Rank (LTR) model and a long-term value estimate from the agent's Q-function. Through extensive experiments on 18 diverse datasets, we demonstrate that SoftPipe achieves up to a 13.9\% improvement in pipeline quality and 2.8$\times$ faster convergence compared to existing methods.


BEAVER: Building Environments with Assessable Variation for Evaluating Multi-Objective Reinforcement Learning

arXiv.org Artificial Intelligence

Recent years have seen significant advancements in designing reinforcement learning (RL)-based agents for building energy management. While individual success is observed in simulated or controlled environments, the scalability of RL approaches in terms of efficiency and generalization across building dynamics and operational scenarios remains an open question. In this work, we formally characterize the generalization space for the cross-environment, multi-objective building energy management task, and formulate the multi-objective contextual RL problem. Such a formulation helps understand the challenges of transferring learned policies across varied operational contexts such as climate and heat convection dynamics under multiple control objectives such as comfort level and energy consumption. We provide a principled way to parameterize such contextual information in realistic building RL environments, and construct a novel benchmark to facilitate the evaluation of generalizable RL algorithms in practical building control tasks. Our results show that existing multi-objective RL methods are capable of achieving reasonable trade-offs between conflicting objectives. However, their performance degrades under certain environment variations, underscoring the importance of incorporating dynamics-dependent contextual information into the policy learning process.


Machine-Learning-Assisted Photonic Device Development: A Multiscale Approach from Theory to Characterization

arXiv.org Artificial Intelligence

Photonic device development (PDD) has achieved remarkable success in designing and implementing new devices for controlling light across various wavelengths, scales, and applications, including telecommunications, imaging, sensing, and quantum information processing. PDD is an iterative, five-step process that consists of: i) deriving device behavior from design parameters, ii) simulating device performance, iii) finding the optimal candidate designs from simulations, iv) fabricating the optimal device, and v) measuring device performance. Classically, all these steps involve Bayesian optimization, material science, control theory, and direct physics-driven numerical methods. However, many of these techniques are computationally intractable, monetarily costly, or difficult to implement at scale. In addition, PDD suffers from large optimization landscapes, uncertainties in structural or optical characterization, and difficulties in implementing robust fabrication processes. However, the advent of machine learning over the past decade has provided novel, data-driven strategies for tackling these challenges, including surrogate estimators for speeding up computations, generative modeling for noisy measurement modeling and data augmentation, reinforcement learning for fabrication, and active learning for experimental physical discovery. In this review, we present a comprehensive perspective on these methods to enable machine-learning-assisted PDD (ML-PDD) for efficient design optimization with powerful generative models, fast simulation and characterization modeling under noisy measurements, and reinforcement learning for fabrication. This review will provide researchers from diverse backgrounds with valuable insights into this emerging topic, fostering interdisciplinary efforts to accelerate the development of complex photonic devices and systems.


Explainable AI guided unsupervised fault diagnostics for high-voltage circuit breakers

arXiv.org Artificial Intelligence

Commercial high-voltage circuit breaker (CB) condition monitoring systems rely on directly observable physical parameters such as gas filling pressure with pre-defined thresholds. While these parameters are crucial, they only cover a small subset of malfunctioning mechanisms and usually can be monitored only if the CB is disconnected from the grid. To facilitate online condition monitoring while CBs remain connected, non-intrusive measurement techniques such as vibration or acoustic signals are necessary. Currently, CB condition monitoring studies using these signals typically utilize supervised methods for fault diagnostics, where ground-truth fault types are known due to artificially introduced faults in laboratory settings. This supervised approach is however not feasible in real-world applications, where fault labels are unavailable. In this work, we propose a novel unsupervised fault detection and segmentation framework for CBs based on vibration and acoustic signals. This framework can detect deviations from the healthy state. The explainable artificial intelligence (XAI) approach is applied to the detected faults for fault diagnostics. The specific contributions are: (1) we propose an integrated unsupervised fault detection and segmentation framework that is capable of detecting faults and clustering different faults with only healthy data required during training (2) we provide an unsupervised explainability-guided fault diagnostics approach using XAI to offer domain experts potential indications of the aged or faulty components, achieving fault diagnostics without the prerequisite of ground-truth fault labels. These contributions are validated using an experimental dataset from a high-voltage CB under healthy and artificially introduced fault conditions, contributing to more reliable CB system operation.