Deep Learning
Hierarchical Alignment: Surgical Fine-Tuning via Functional Layer Specialization in Large Language Models
Existing alignment techniques for Large Language Models (LLMs), such as Direct Preference Optimization (DPO), typically treat the model as a monolithic entity, applying uniform optimization pressure across all layers. This approach overlooks the functional specialization within the Transformer architecture, where different layers are known to handle distinct tasks from syntax to abstract reasoning. In this paper, we challenge this one-size-fits-all paradigm by introducing Hierarchical Alignment, a novel method that applies targeted DPO to distinct functional blocks of a model's layers: local (syntax), intermediate (logic), and global (factuality). Through a series of controlled experiments on state-of-the-art models like Llama-3.1-8B and Qwen1.5-7B using LoRA for surgical fine-tuning, our results, evaluated by a powerful LLM-as-Judge, demonstrate significant and predictable improvements. Specifically, aligning the local layers (Local-Align) enhances grammatical fluency. More importantly, aligning the global layers (Global-Align) not only improves factual consistency as hypothesized but also proves to be the most effective strategy for enhancing logical coherence, outperforming all baselines. Critically, all hierarchical strategies successfully avoid the "alignment tax" observed in standard DPO, where gains in fluency come at the cost of degraded logical reasoning. These findings establish a more resource-efficient, controllable, and interpretable path for model alignment, highlighting the immense potential of shifting from monolithic optimization to structure-aware surgical fine-tuning to build more advanced and reliable LLMs.
Uncertainty Quantification for Hallucination Detection in Large Language Models: Foundations, Methodology, and Future Directions
Kang, Sungmin, Bakman, Yavuz Faruk, Yaldiz, Duygu Nur, Buyukates, Baturalp, Avestimehr, Salman
The rapid advancement of large language models (LLMs) has transformed the landscape of natural language processing, enabling breakthroughs across a wide range of areas including question answering, machine translation, and text summarization. Yet, their deployment in real-world applications has raised concerns over reliability and trustworthiness, as LLMs remain prone to hallucinations that produce plausible but factually incorrect outputs. Uncertainty quantification (UQ) has emerged as a central research direction to address this issue, offering principled measures for assessing the trustworthiness of model generations. We begin by introducing the foundations of UQ, from its formal definition to the traditional distinction between epistemic and aleatoric uncertainty, and then highlight how these concepts have been adapted to the context of LLMs. Building on this, we examine the role of UQ in hallucination detection, where quantifying uncertainty provides a mechanism for identifying unreliable generations and improving reliability. We systematically categorize a wide spectrum of existing methods along multiple dimensions and present empirical results for several representative approaches. Finally, we discuss current limitations and outline promising future research directions, providing a clearer picture of the current landscape of LLM UQ for hallucination detection.
Multi-stage Prompt Refinement for Mitigating Hallucinations in Large Language Models
Shim, Jung-Woo, Ju, Yeong-Joon, Park, Ji-Hoon, Lee, Seong-Whan
Recent advancements in large language models (LLMs) have shown strong performance in natural language understanding and generation tasks. However, LLMs continue to encounter challenges with hallucinations, where models generate plausible but incorrect information. While several factors contribute to hallucinations, the impact of ill-formed prompts, prompts with ambiguous wording, incorrect grammar, or incomplete information, was relatively under explored. To address this, we introduce Multi-stage Prompt Refinement (MPR), a framework designed to systematically improve these ill-formed prompts across multiple stages. Each stage addresses specific errors such as punctuation, typographical mistakes, and misuse of key terms, using small language models (SLMs) fine-tuned for these tasks. MPR iteratively enhances the clarity of prompts with additional context and employs a self-reflection mechanism with ranking to prioritize the most relevant input. Experimental results on hallucination benchmarks show that prompts refined by MPR achieve over an 85 % win rate compared to their original forms, demonstrating its effectiveness in reducing hallucinations and improving LLM output accuracy. Interestingly, we reveal that MPR can be combined with existing post-hoc hallucination mitigation frameworks, further enhancing its versatility. MPR provides a lightweight and adaptable solution for enhancing LLM reliability across various domains. Introduction Advancements in artificial intelligence have significantly improved large language models (LLMs), enabling them to excel in tasks like contextual understanding and human-like text generation [1, 2, 3, 4, 5].
CPR: Mitigating Large Language Model Hallucinations with Curative Prompt Refinement
Shim, Jung-Woo, Ju, Yeong-Joon, Park, Ji-Hoon, Lee, Seong-Whan
Abstract-- Recent advancements in large language models (LLMs) highlight their fluency in generating responses to diverse prompts. However, these models sometimes generate plausible yet incorrect "hallucinated" facts, undermining trust. A frequent but often overlooked cause of such errors is the use of poorly structured or vague prompts by users, leading LLMs to base responses on assumed rather than actual intentions. T o mitigate hallucinations induced by these ill-formed prompts, we introduce Curative Prompt Refinement (CPR), a plug-and-play framework for curative prompt refinement that 1) cleans ill-formed prompts, and 2) generates additional informative task descriptions to align the intention of the user and the prompt using a fine-tuned small language model. When applied to language models, we discover that CPR significantly increases the quality of generation while also mitigating hallucination. Empirical studies show that prompts with CPR applied achieves over a 90% win rate over the original prompts without any external knowledge.
Information Extraction from Conversation Transcripts: Neuro-Symbolic vs. LLM
Kwak, Alice Saebom, Alexeeva, Maria, Hahn-Powell, Gus, Alcock, Keith, McLaughlin, Kevin, McCorkle, Doug, McNunn, Gabe, Surdeanu, Mihai
The current trend in information extraction (IE) is to rely extensively on large language models, effectively discarding decades of experience in building symbolic or statistical IE systems. This paper compares a neuro-symbolic (NS) and an LLM-based IE system in the agricultural domain, evaluating them on nine interviews across pork, dairy, and crop subdomains. The LLM-based system outperforms the NS one (F1 total: 69.4 vs. 52.7; core: 63.0 vs. 47.2), where total includes all extracted information and core focuses on essential details. However, each system has trade-offs: the NS approach offers faster runtime, greater control, and high accuracy in context-free tasks but lacks generalizability, struggles with contextual nuances, and requires significant resources to develop and maintain. The LLM-based system achieves higher performance, faster deployment, and easier maintenance but has slower runtime, limited control, model dependency and hallucination risks. Our findings highlight the "hidden cost" of deploying NLP systems in real-world applications, emphasizing the need to balance performance, efficiency, and control.
Asking Clarifying Questions for Preference Elicitation With Large Language Models
Montazeralghaem, Ali, Tennenholtz, Guy, Boutilier, Craig, Meshi, Ofer
Large Language Models (LLMs) have made it possible for recommendation systems to interact with users in open-ended conversational interfaces. In order to personalize LLM responses, it is crucial to elicit user preferences, especially when there is limited user history. One way to get more information is to present clarifying questions to the user. However, generating effective sequential clarifying questions across various domains remains a challenge. To address this, we introduce a novel approach for training LLMs to ask sequential questions that reveal user preferences. Our method follows a two-stage process inspired by diffusion models. Starting from a user profile, the forward process generates clarifying questions to obtain answers and then removes those answers step by step, serving as a way to add ``noise'' to the user profile. The reverse process involves training a model to ``denoise'' the user profile by learning to ask effective clarifying questions. Our results show that our method significantly improves the LLM's proficiency in asking funnel questions and eliciting user preferences effectively.
Embedding the Teacher: Distilling vLLM Preferences for Scalable Image Retrieval
He, Eric, Gupta, Akash, Liusie, Adian, Raina, Vatsal, Molenda, Piotr, Chabra, Shirom, Raina, Vyas
Text--image retrieval is necessary for applications such as product recommendation. Embedding-based approaches like CLIP enable efficient large-scale retrieval via vector similarity search, but they are primarily trained on literal caption-like text--image pairs and often fail to capture abstract or persona-driven attributes common in product recommendation applications (e.g., ``a gift for a mother who loves gardening''). In contrast, state-of-the-art vision--language models (vLLMs) can align text with images in a flexible manner, but their limited context window prevents them from directly handling retrieval over large catalogs. We propose a framework that distills the preference rankings of a powerful vLLM into an embedding-based system, transferring its nuanced alignment abilities while maintaining the inference-time scalability of an embedding-based approach. Experiments on persona-driven product recommendation tasks demonstrate that our method significantly outperforms existing embedding-based baselines, providing an efficient solution for personalized text--image retrieval.
SAGE: A Top-Down Bottom-Up Knowledge-Grounded User Simulator for Multi-turn AGent Evaluation
Shea, Ryan, Lu, Yunan, Qiu, Liang, Yu, Zhou
Evaluating multi-turn interactive agents is challenging due to the need for human assessment. Evaluation with simulated users has been introduced as an alternative, however existing approaches typically model generic users and overlook the domain-specific principles required to capture realistic behavior. We propose SAGE, a novel user Simulation framework for multi-turn AGent Evaluation that integrates knowledge from business contexts. SAGE incorporates top-down knowledge rooted in business logic, such as ideal customer profiles, grounding user behavior in realistic customer personas. We further integrate bottom-up knowledge taken from business agent infrastructure (e.g., product catalogs, FAQs, and knowledge bases), allowing the simulator to generate interactions that reflect users' information needs and expectations in a company's target market. Through empirical evaluation, we find that this approach produces interactions that are more realistic and diverse, while also identifying up to 33% more agent errors, highlighting its effectiveness as an evaluation tool to support bug-finding and iterative agent improvement.
PanoTPS-Net: Panoramic Room Layout Estimation via Thin Plate Spline Transformation
Ibrahem, Hatem, Salem, Ahmed, Hu, Qinmin Vivian, Wang, Guanghui
Accurately estimating the 3D layout of rooms is a crucial task in computer vision, with potential applications in robotics, augmented reality, and interior design. This paper proposes a novel model, PanoTPS-Net, to estimate room layout from a single panorama image. Leveraging a Convolutional Neural Network (CNN) and incorporating a Thin Plate Spline (TPS) spatial transformation, the architecture of PanoTPS-Net is divided into two stages: First, a convolutional neural network extracts the high-level features from the input images, allowing the network to learn the spatial parameters of the TPS transformation. Second, the TPS spatial transformation layer is generated to warp a reference layout to the required layout based on the predicted parameters. This unique combination empowers the model to properly predict room layouts while also generalizing effectively to both cuboid and non-cuboid layouts. Extensive experiments on publicly available datasets and comparisons with state-of-the-art methods demonstrate the effectiveness of the proposed method. The results underscore the model's accuracy in room layout estimation and emphasize the compatibility between the TPS transformation and panorama images. The robustness of the model in handling both cuboid and non-cuboid room layout estimation is evident with a 3DIoU value of 85.49, 86.16, 81.76, and 91.98 on PanoContext, Stanford-2D3D, Matterport3DLayout, and ZInD datasets, respectively. The source code is available at: https://github.com/HatemHosam/PanoTPS_Net.
Nonlinear discretizations and Newton's method: characterizing stationary points of regression objectives
Second-order methods are emerging as promising alternatives to standard first-order optimizers such as gradient descent and ADAM for training neural networks. Though the advantages of including curvature information in computing optimization steps have been celebrated in the scientific machine learning literature, the only second-order methods that have been studied are quasi-Newton, meaning that the Hessian matrix of the objective function is approximated. Though one would expect only to gain from using the true Hessian in place of its approximation, we show that neural network training reliably fails when relying on exact curvature information. The failure modes provide insight both into the geometry of nonlinear discretizations as well as the distribution of stationary points in the loss landscape, leading us to question the conventional wisdom that the loss landscape is replete with local minima.