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What Makes and Breaks Safety Fine tuning A Mechanistic Study

Neural Information Processing Systems

Safety fine-tuning helps align Large Language Models (LLMs) with human preferences for their safe deployment. To better understand the underlying factors that make models safe via safety fine-tuning, we design a synthetic data generation framework that captures salient aspects of an unsafe input by modeling the interaction between the task the model is asked to perform (e.g., "design") versus the specific concepts the task is asked to be performed upon (e.g., a "cycle" vs. a "bomb").



SafeInt: Shielding Large Language Models from Jailbreak Attacks via Safety-Aware Representation Intervention

Wu, Jiaqi, Chen, Chen, Hou, Chunyan, Yuan, Xiaojie

arXiv.org Artificial Intelligence

With the widespread real-world deployment of large language models (LLMs), ensuring their behavior complies with safety standards has become crucial. Jailbreak attacks exploit vulnerabilities in LLMs to induce undesirable behavior, posing a significant threat to LLM safety. Previous defenses often fail to achieve both effectiveness and efficiency simultaneously. Defenses from a representation perspective offer new insights, but existing interventions cannot dynamically adjust representations based on the harmfulness of the queries. To address this limitation while ensuring both effectiveness and efficiency, we propose SafeIntervention (SafeInt), a novel defense method that shields LLMs from jailbreak attacks through safety-aware representation intervention. SafeInt is built on our analysis of the representations of jailbreak samples. It adjusts representation distributions of jailbreak samples through intervention to align them with the representations of unsafe samples while minimizing unnecessary perturbations to jailbreak-irrelevant representations. We conduct comprehensive experiments covering six jailbreak attacks, two jailbreak datasets, and two utility benchmarks. Experimental results demonstrate that SafeInt outperforms all baselines in defending LLMs against jailbreak attacks while largely maintaining utility. Additionally, we evaluate SafeInt against adaptive attacks and verify its effectiveness in mitigating real-time attacks.


Correcting Large Language Model Behavior via Influence Function

Zhang, Han, Zhang, Zhuo, Zhang, Yi, Zhai, Yuanzhao, Peng, Hanyang, Lei, Yu, Yu, Yue, Wang, Hui, Liang, Bin, Gui, Lin, Xu, Ruifeng

arXiv.org Artificial Intelligence

Recent advancements in AI alignment techniques have significantly improved the alignment of large language models (LLMs) with static human preferences. However, the dynamic nature of human preferences can render some prior training data outdated or even erroneous, ultimately causing LLMs to deviate from contemporary human preferences and societal norms. Existing methodologies, whether they involve the curation of new data for continual alignment or the manual correction of outdated data for re-alignment, demand costly human resources. To address this challenge, we propose a novel approach, Large Language Model Behavior Correction with Influence Function Recall and Post-Training (LANCET), which requires no human involvement. LANCET consists of two phases: (1) using influence functions to identify the training data that significantly impact undesirable model outputs, and (2) applying an Influence function-driven Bregman Optimization (IBO) technique to adjust the model's behavior based on these influence distributions. Our experiments demonstrate that LANCET effectively and efficiently correct inappropriate behaviors of LLMs. Furthermore, LANCET can outperform methods that rely on collecting human preferences, and it enhances the interpretability of learning human preferences within LLMs.


Model-Editing-Based Jailbreak against Safety-aligned Large Language Models

Li, Yuxi, Zhang, Zhibo, Wang, Kailong, Shi, Ling, Wang, Haoyu

arXiv.org Artificial Intelligence

Large Language Models (LLMs) have transformed numerous fields by enabling advanced natural language interactions but remain susceptible to critical vulnerabilities, particularly jailbreak attacks. Current jailbreak techniques, while effective, often depend on input modifications, making them detectable and limiting their stealth and scalability. This paper presents Targeted Model Editing (TME), a novel white-box approach that bypasses safety filters by minimally altering internal model structures while preserving the model's intended functionalities. TME identifies and removes safety-critical transformations (SCTs) embedded in model matrices, enabling malicious queries to bypass restrictions without input modifications. By analyzing distinct activation patterns between safe and unsafe queries, TME isolates and approximates SCTs through an optimization process. Implemented in the D-LLM framework, our method achieves an average Attack Success Rate (ASR) of 84.86% on four mainstream open-source LLMs, maintaining high performance. Unlike existing methods, D-LLM eliminates the need for specific triggers or harmful response collections, offering a stealthier and more effective jailbreak strategy. This work reveals a covert and robust threat vector in LLM security and emphasizes the need for stronger safeguards in model safety alignment.


What Makes and Breaks Safety Fine-tuning? A Mechanistic Study

Jain, Samyak, Lubana, Ekdeep Singh, Oksuz, Kemal, Joy, Tom, Torr, Philip H. S., Sanyal, Amartya, Dokania, Puneet K.

arXiv.org Artificial Intelligence

Safety fine-tuning helps align Large Language Models (LLMs) with human preferences for their safe deployment. To better understand the underlying factors that make models safe via safety fine-tuning, we design a synthetic data generation framework that captures salient aspects of an unsafe input by modeling the interaction between the task the model is asked to perform (e.g., "design") versus the specific concepts the task is asked to be performed upon (e.g., a "cycle" vs. a "bomb"). Using this, we investigate three well-known safety fine-tuning methods -- supervised safety fine-tuning, direct preference optimization, and unlearning -- and provide significant evidence demonstrating that these methods minimally transform MLP weights to specifically align unsafe inputs into its weights' null space. This yields a clustering of inputs based on whether the model deems them safe or not. Correspondingly, when an adversarial input (e.g., a jailbreak) is provided, its activations are closer to safer samples, leading to the model processing such an input as if it were safe. We validate our findings, wherever possible, on real-world models -- specifically, Llama-2 7B and Llama-3 8B.