AI safety and alignment

Alignment, interpretability, red-teaming, bias and privacy: the research on what these systems do when they misbehave.

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arXiv Machine Learning
Sep 16

Stable by Construction: Variational Latent Markov Operators for Long-Horizon PDE Prediction

The paper introduces a variational framework called VAMO that incorporates latent Markov dynamics for neural PDE solvers, aiming to improve long‑horizon predictions by mitigating error accumulation. By representing physical states as latent distributions and evolving them through probabilistic transitions, the method aligns learned dynamics with a spectral geometry induced by structured Gaussian perturbations. Experiments on fluid‑dynamics benchmarks show that VAMO reduces error growth and enhances rollout stability compared to deterministic and noise‑injection baselines.

By Junyi Liao, Johann Guilleminot, Vahid Tarokh
arXiv Machine Learning
Sep 16

A deep dictionary network-based foundation model for ultra-low-dose CT denoising

The paper introduces a deep dictionary network (DDN) foundation model designed for ultra‑low‑dose CT (ULDCT) denoising across multiple organs. By cascading convolutional sparse coding layers with iterative soft‑thresholding, the architecture offers inherent interpretability, while dynamic dictionary and threshold modules enhance representation. The model is pre‑trained on over one million normal‑dose CT images and fine‑tuned on multi‑organ ULDCT datasets, achieving state‑of‑the‑art performance that consistently outperforms existing methods.

By Baoshun Shi, Shuangyi Yang, Ke Jiang, Bin Zhu, Zhanli Hu, Huazhu Fu
arXiv Machine Learning
Sep 16

Observational Multiplicity

The paper introduces the concept of observational multiplicity, where multiple probabilistic classifiers can perform similarly yet produce conflicting predictions, undermining interpretability and safety. It proposes measuring this arbitrariness through a regret metric that captures how predictions could shift with different training labels. The authors present a general method to estimate regret, show it varies across dataset groups, and discuss its use for safety via abstention and targeted data collection.

By Erin George, Deanna Needell, Berk Ustun
arXiv Computer Vision
Sep 16

DenseFace: Bias Mitigation in Face Recognition via Density-Aware Probabilistic Matching

DenseFace introduces a bias‑mitigation technique for face recognition that operates on pre‑trained models without retraining. It models each person’s face embeddings with a von Mises‑Fisher distribution and uses a density‑aware probabilistic matching procedure to account for demographic differences. Experiments show that DenseFace consistently reduces racial bias across various architectures and datasets while preserving recognition accuracy.

By Mansur Bultygov, Vadim Seliutin, Dmitry Nekhaev, Ivan Laptev
arXiv Computation and Language
Sep 16

An Empirical Study of Counterfactual Self-Explanations in LLMs

The paper investigates counterfactual self‑explanations in large language models, where a model edits an input minimally to change its own prediction. Experiments on sentiment analysis and natural language inference with ten instruction‑tuned models from the LLaMA‑3 and Qwen‑2.5 families show that larger models produce more faithful, minimal, and human‑aligned counterfactuals. While rationale‑guided prompts improve minimality and alignment, they do not consistently enhance faithfulness, indicating that explanation quality depends heavily on model capacity and requires empirical validation.

By Giannis Kalyvas, Giorgos Filandrianos, Orfeas Menis Mastromichalakis, Vassilis Lyberatos, Giorgos Stamou
arXiv Computation and Language
Sep 16

Spurious Tool Use: When RL Agents Learn the Wrong Reason to Act

The paper investigates how reinforcement learning can cause large language model agents to adopt shortcut policies for tool use, relying on superficial prompt cues rather than actual task needs. By creating synthetic environments that mix factual QA and math reasoning, the authors show that agents often invoke tools when cues are present, even when those tools are unnecessary, with spurious invocation rates rising up to 39%. They find that shortcut learning occurs mainly when agents have already mastered the target tool and that semantic alignment between cues and tools amplifies the effect. To counter this, they propose a dense, decision-level reward where an LLM judge assesses tool necessity, which reduces cue-driven tool use while maintaining performance.

By Yiwei Yang, Haoxiang Zhang, Bingbing Wen, Yao Lu, Yuchen Wu, Lei Zhang, Julian McAuley, Pan Lu, Bill Howe
arXiv Computation and Language
Sep 16

Cascade: Hierarchical Recoverability Control for Large Language Model Unlearning

Cascade is a hierarchical recoverability control framework designed to improve large language model unlearning. It combines path-level routing, representation-level compression, and decoding-level intervention to minimize the internal identifiability of target knowledge. Experiments on TOFU, MUSE-News, and WMDP demonstrate that Cascade reduces recoverability while preserving model utility.

By Qingchen Yu, Shiying Duan, Xiaodong Li, Yuhua Wang, Zhiyu Li, Shiji Zhou, Yifan Sun, Zhaoxin Fan
arXiv AI
Sep 16

HoloAegis: Frozen Representation, Topological Inference --- Minimally Parametric Safety Manifolds and Their Capability Boundaries for LLM Guardrails

HoloAegis is a minimally parametric topological inference framework that uses frozen representations to map text onto the unit sphere and makes decisions via Gibbs‑Boltzmann free‑energy differences over pre‑computed anchor centroids. On a frozen three‑benchmark protocol, it matches WildGuard‑7B on toxicity, outperforms it on harmful behaviors, but underperforms on oversafety detection, while ShieldGemma‑2B fails on indirect harms. The study demonstrates that geometric guardrails can substitute for LLM judges in some cases and must defer to them in others, with anchor banks reducing score variance and boundary displacement.

By Tak Ho Alex Li, Kaijie Liu, Lik-Hang Lee, Kin Chung Ho, Ping Shum, Michael K. Ng
arXiv AI
Sep 16

Fairness at Every Intersection: Uncovering and Mitigating Intersectional Biases in Multimodal Clinical Predictions

The paper investigates intersectional biases in multimodal clinical predictions using Electronic Healthcare Records (EHR). It introduces datasets MIMIC-Eye1 and MIMIC-IV ED, applies unified text representations from pre‑trained clinical language models, and benchmarks bias mitigation at the intersectional subgroup level. Results show that subgroup‑specific mitigation is robust across datasets, subgroups, and embeddings, effectively addressing intersectional biases in multimodal settings.

By Ayaazuddin Mohammad, Kishore Sampath, Resmi Ramachandranpillai
arXiv Machine Learning
Sep 16

Splitting the Difference: Interpretable Causal Forests for Treatment Effect Heterogeneity and Bias

The paper introduces a new algorithm that uses decision trees and random forests to estimate individual treatment effects while providing interpretability. It modifies the standard random forest splitting criterion by combining a heterogeneity-focused criterion with a bias-correction criterion, enabling the model to handle observational studies with varying treatment propensities without separately estimating propensity scores. The resulting tree structure directly reveals which features drive treatment effect differences, and simulation studies show the method matches or surpasses existing approaches in prediction accuracy while improving interpretability.

By Nicolas Alexander Ihlo, Merle Behr
arXiv Machine Learning
Sep 16

Neural Operator Learning for Collision-Aware Trajectory Planning of Spacecraft Swarms

The paper presents a permutation‑equivariant neural operator that learns to generate collision‑free, fuel‑efficient trajectories for spacecraft swarms by mapping distributions of initial and target states, as well as obstacle states, to trajectory outputs. The operator is self‑supervised and, when paired with a batched Gauss‑Newton step, enforces exact orbital dynamics and further reduces fuel consumption. Trained on ten spacecraft, the model generalizes zero‑shot to swarms of 1,000 spacecraft and 11,000 obstacles, achieving accuracy comparable to a per‑agent optimal control solver while maintaining collision avoidance.

By Sidhdharth D. Sikka, Suyi Gao, Zehui Lu, Rongjie Lai, Shaoshuai Mou
arXiv Computer Vision
Sep 16

MDN-Control: Mask-Depth-Noise Guided Region Control for Multi-Subject Video Editing

MDN-Control is a training‑free framework for multi‑subject video editing that jointly controls target localization, occlusion geometry, and appearance initialization. It uses mask‑guided localization for consistent target placement, depth‑aware occlusion control to resolve boundaries between overlapping subjects, and noise‑latent prompting to retrieve Gaussian initializations from a noise library for prompt‑relevant priors. Experiments on MSVBench show that MDN‑Control achieves the lowest CM‑Err and the highest Q‑Edit while maintaining competitive text alignment and temporal consistency.

By Jiayi Yu, Xi Ye, Lina Wang, Yunkun Xia
arXiv Computer Vision
Sep 16

FLAT: Resampling Image and Text into 1D Flexible-Length Aligned Transmodal Tokens for Retrieval and Generation

FLAT (Flexible‑Length Aligned Transmodal representations) is a joint multimodal pre‑training framework that learns a shared encoder for images and text, producing 1‑D continuous embeddings that can be directly used by downstream generative decoders. By combining contrastive alignment with bidirectional cross‑modal generative objectives, FLAT yields representations that are both discriminative and generative, enabling cross‑modal retrieval and generation with a single pre‑training stage. The model achieves strong performance on T2I generation (GenEval 71.1), image captioning (BLEU‑4 40.5, CIDEr 138.6), and retrieval tasks (Recall@5 86.8/75.8 on MS‑COCO, 98.3/93.6 on Flickr30K), and supports linear interpolation, latent space arithmetic, and zero‑shot composed retrieval.

By Guangyu Sun, Shlok Kumar Mishra, Wentao Bao, Robert Zhenheng Yang, Xiao Wang, Xiyuan Wang, Yujunrong Ma, Chen Yuan, Max Xiangjun Fan, Jun Xiao, Jianpeng Cheng