Daily Papers

In this work, we introduce the PKU-SafeRLHF dataset, designed to promote research on safety alignment in large language models (LLMs). As a sibling project to SafeRLHF and BeaverTails, we separate annotations of helpfulness and harmlessness for question-answering pairs, providing distinct perspectives on these coupled attributes. Overall, we provide 44.6k refined prompts and 265k question-answer pairs with safety meta-labels for 19 harm categories and three severity levels ranging from minor to severe, with answers generated by Llama-family models. Based on this, we collected 166.8k preference data, including dual-preference (helpfulness and harmlessness decoupled) and single-preference data (trade-off the helpfulness and harmlessness from scratch), respectively. Using the large-scale annotation data, we further train severity-sensitive moderation for the risk control of LLMs and safety-centric RLHF algorithms for the safety alignment of LLMs. We believe this dataset will be a valuable resource for the community, aiding in the safe deployment of LLMs.

The indexing-retrieval-generation paradigm of retrieval-augmented generation (RAG) has been highly successful in solving knowledge-intensive tasks by integrating external knowledge into large language models (LLMs). However, the incorporation of external and unverified knowledge increases the vulnerability of LLMs because attackers can perform attack tasks by manipulating knowledge. In this paper, we introduce a benchmark named SafeRAG designed to evaluate the RAG security. First, we classify attack tasks into silver noise, inter-context conflict, soft ad, and white Denial-of-Service. Next, we construct RAG security evaluation dataset (i.e., SafeRAG dataset) primarily manually for each task. We then utilize the SafeRAG dataset to simulate various attack scenarios that RAG may encounter. Experiments conducted on 14 representative RAG components demonstrate that RAG exhibits significant vulnerability to all attack tasks and even the most apparent attack task can easily bypass existing retrievers, filters, or advanced LLMs, resulting in the degradation of RAG service quality. Code is available at: https://github.com/IAAR-Shanghai/SafeRAG.

Deploying large language models (LLMs) in real-world applications requires robust safety guard models to detect and block harmful user prompts. While large safety guard models achieve strong performance, their computational cost is substantial. To mitigate this, smaller distilled models are used, but they often underperform on "hard" examples where the larger model provides accurate predictions. We observe that many inputs can be reliably handled by the smaller model, while only a small fraction require the larger model's capacity. Motivated by this, we propose SafeRoute, a binary router that distinguishes hard examples from easy ones. Our method selectively applies the larger safety guard model to the data that the router considers hard, improving efficiency while maintaining accuracy compared to solely using the larger safety guard model. Experimental results on multiple benchmark datasets demonstrate that our adaptive model selection significantly enhances the trade-off between computational cost and safety performance, outperforming relevant baselines.

This work explores the impact of moderation on users' enjoyment of conversational AI systems. While recent advancements in Large Language Models (LLMs) have led to highly capable conversational AIs that are increasingly deployed in real-world settings, there is a growing concern over AI safety and the need to moderate systems to encourage safe language and prevent harm. However, some users argue that current approaches to moderation limit the technology, compromise free expression, and limit the value delivered by the technology. This study takes an unbiased stance and shows that moderation does not necessarily detract from user enjoyment. Heavy handed moderation does seem to have a nefarious effect, but models that are moderated to be safer can lead to a better user experience. By deploying various conversational AIs in the Chai platform, the study finds that user retention can increase with a level of moderation and safe system design. These results demonstrate the importance of appropriately defining safety in models in a way that is both responsible and focused on serving users.

Reinforcement learning (RL) agents need to explore their environments in order to learn optimal policies. In many environments and tasks, safety is of critical importance. The widespread use of simulators offers a number of advantages, including safe exploration which will be inevitable in cases when RL systems need to be trained directly in the physical environment (e.g. in human-robot interaction). The popular Safety Gym library offers three mobile agent types that can learn goal-directed tasks while considering various safety constraints. In this paper, we extend the applicability of safe RL algorithms by creating a customized environment with Panda robotic arm where Safety Gym algorithms can be tested. We performed pilot experiments with the popular PPO algorithm comparing the baseline with the constrained version and show that the constrained version is able to learn the equally good policy while better complying with safety constraints and taking longer training time as expected.

Reinforcement Learning from Human Feedback (RLHF) is a vital strategy for enhancing model safety in language models. However, annotating preference data for RLHF is a resource-intensive and creativity-demanding process, while automatic generation methods face limitations in data diversity and quality. In response, we present Safer-Instruct, a novel pipeline for semi-automatically constructing large-scale preference datasets. Our approach leverages reversed instruction tuning, instruction induction, and expert model evaluation to efficiently generate high-quality preference data without human annotators. We evaluate Safer-Instruct using LLaMA for instruction induction and GPT-4 as an expert model, generating approximately 10K preference samples. Finetuning an Alpaca model on this dataset demonstrates improved harmlessness while maintaining competitive performance on conversation and downstream tasks. Safer-Instruct addresses the challenges in preference data acquisition, advancing the development of safer and more responsible AI systems. Our code and data are available at https://github.com/uscnlp-lime/safer-instruct

Vision-language-action models (VLAs) have shown great potential as generalist robot policies. However, these models pose urgent safety challenges during deployment, including the risk of physical harm to the environment, the robot itself, and humans. How can safety be explicitly incorporated into VLAs? In this work, we propose SafeVLA, a novel algorithm designed to integrate safety into VLAs, ensuring the protection of the environment, robot hardware and humans in real-world settings. SafeVLA effectively balances safety and task performance by employing large-scale constrained learning within simulated environments. We demonstrate that SafeVLA outperforms the current state-of-the-art method in both safety and task performance, achieving average improvements of 83.58% and 3.85%, respectively, in simulation. By prioritizing safety, our approach eliminates high-risk behaviors and reduces the upper bound of unsafe behaviors to 1/35 of that in the current state-of-the-art, thereby significantly mitigating long-tail risks. Furthermore, the learned safety constraints generalize to diverse, unseen scenarios, including multiple out-of-distribution perturbations and tasks. Our data, models and newly proposed benchmark environment are available at https://sites.google.com/view/pku-safevla.

Reinforcement learning (RL) in the real world necessitates the development of procedures that enable agents to explore without causing harm to themselves or others. The most successful solutions to the problem of safe RL leverage offline data to learn a safe-set, enabling safe online exploration. However, this approach to safe-learning is often constrained by the demonstrations that are available for learning. In this paper we investigate the influence of the quantity and quality of data used to train the initial safe learning problem offline on the ability to learn safe-RL policies online. Specifically, we focus on tasks with spatially extended goal states where we have few or no demonstrations available. Classically this problem is addressed either by using hand-designed controllers to generate data or by collecting user-generated demonstrations. However, these methods are often expensive and do not scale to more complex tasks and environments. To address this limitation we propose an unsupervised RL-based offline data collection procedure, to learn complex and scalable policies without the need for hand-designed controllers or user demonstrations. Our research demonstrates the significance of providing sufficient demonstrations for agents to learn optimal safe-RL policies online, and as a result, we propose optimistic forgetting, a novel online safe-RL approach that is practical for scenarios with limited data. Further, our unsupervised data collection approach highlights the need to balance diversity and optimality for safe online exploration.

As the development of large language models (LLMs) rapidly advances, securing these models effectively without compromising their utility has become a pivotal area of research. However, current defense strategies against jailbreak attacks (i.e., efforts to bypass security protocols) often suffer from limited adaptability, restricted general capability, and high cost. To address these challenges, we introduce SafeAligner, a methodology implemented at the decoding stage to fortify defenses against jailbreak attacks. We begin by developing two specialized models: the Sentinel Model, which is trained to foster safety, and the Intruder Model, designed to generate riskier responses. SafeAligner leverages the disparity in security levels between the responses from these models to differentiate between harmful and beneficial tokens, effectively guiding the safety alignment by altering the output token distribution of the target model. Extensive experiments show that SafeAligner can increase the likelihood of beneficial tokens, while reducing the occurrence of harmful ones, thereby ensuring secure alignment with minimal loss to generality.

Ensuring safety in Reinforcement Learning (RL), typically framed as a Constrained Markov Decision Process (CMDP), is crucial for real-world exploration applications. Current approaches in handling CMDP struggle to balance optimality and feasibility, as direct optimization methods cannot ensure state-wise in-training safety, and projection-based methods correct actions inefficiently through lengthy iterations. To address these challenges, we propose Adaptive Chance-constrained Safeguards (ACS), an adaptive, model-free safe RL algorithm using the safety recovery rate as a surrogate chance constraint to iteratively ensure safety during exploration and after achieving convergence. Theoretical analysis indicates that the relaxed probabilistic constraint sufficiently guarantees forward invariance to the safe set. And extensive experiments conducted on both simulated and real-world safety-critical tasks demonstrate its effectiveness in enforcing safety (nearly zero-violation) while preserving optimality (+23.8%), robustness, and fast response in stochastic real-world settings.

Aiming at promoting the safe real-world deployment of Reinforcement Learning (RL), research on safe RL has made significant progress in recent years. However, most existing works in the literature still focus on the online setting where risky violations of the safety budget are likely to be incurred during training. Besides, in many real-world applications, the learned policy is required to respond to dynamically determined safety budgets (i.e., constraint threshold) in real time. In this paper, we target at the above real-time budget constraint problem under the offline setting, and propose Trajectory-based REal-time Budget Inference (TREBI) as a novel solution that approaches this problem from the perspective of trajectory distribution. Theoretically, we prove an error bound of the estimation on the episodic reward and cost under the offline setting and thus provide a performance guarantee for TREBI. Empirical results on a wide range of simulation tasks and a real-world large-scale advertising application demonstrate the capability of TREBI in solving real-time budget constraint problems under offline settings.

This paper introduces a new IncidentAI dataset for safety prevention. Different from prior corpora that usually contain a single task, our dataset comprises three tasks: named entity recognition, cause-effect extraction, and information retrieval. The dataset is annotated by domain experts who have at least six years of practical experience as high-pressure gas conservation managers. We validate the contribution of the dataset in the scenario of safety prevention. Preliminary results on the three tasks show that NLP techniques are beneficial for analyzing incident reports to prevent future failures. The dataset facilitates future research in NLP and incident management communities. The access to the dataset is also provided (the IncidentAI dataset is available at: https://github.com/Cinnamon/incident-ai-dataset).

A prerequisite for safe autonomy-in-the-wild is safe testing-in-the-wild. Yet real-world autonomous tests face several unique safety challenges, both due to the possibility of causing harm during a test, as well as the risk of encountering new unsafe agent behavior through interactions with real-world and potentially malicious actors. We propose a framework for conducting safe autonomous agent tests on the open internet: agent actions are audited by a context-sensitive monitor that enforces a stringent safety boundary to stop an unsafe test, with suspect behavior ranked and logged to be examined by humans. We a design a basic safety monitor that is flexible enough to monitor existing LLM agents, and, using an adversarial simulated agent, we measure its ability to identify and stop unsafe situations. Then we apply the safety monitor on a battery of real-world tests of AutoGPT, and we identify several limitations and challenges that will face the creation of safe in-the-wild tests as autonomous agents grow more capable.

Maritime transportation is paramount in achieving global economic growth, entailing concurrent ecological obligations in sustainability and safeguarding endangered marine species, most notably preserving large whale populations. In this regard, the Automatic Identification System (AIS) data plays a significant role by offering real-time streaming data on vessel movement, allowing enhanced traffic monitoring. This study explores using AIS data to prevent vessel-to-whale collisions by forecasting long-term vessel trajectories from engineered AIS data sequences. For such a task, we have developed an encoder-decoder model architecture using Bidirectional Long Short-Term Memory Networks (Bi-LSTM) to predict the next 12 hours of vessel trajectories using 1 to 3 hours of AIS data as input. We feed the model with probabilistic features engineered from historical AIS data that refer to each trajectory's potential route and destination. The model then predicts the vessel's trajectory, considering these additional features by leveraging convolutional layers for spatial feature learning and a position-aware attention mechanism that increases the importance of recent timesteps of a sequence during temporal feature learning. The probabilistic features have an F1 Score of approximately 85% and 75% for each feature type, respectively, demonstrating their effectiveness in augmenting information to the neural network. We test our model on the Gulf of St. Lawrence, a region known to be the habitat of North Atlantic Right Whales (NARW). Our model achieved a high R2 score of over 98% using various techniques and features. It stands out among other approaches as it can make complex decisions during turnings and path selection. Our study highlights the potential of data engineering and trajectory forecasting models for marine life species preservation.

Primal-dual safe RL methods commonly perform iterations between the primal update of the policy and the dual update of the Lagrange Multiplier. Such a training paradigm is highly susceptible to the error in cumulative cost estimation since this estimation serves as the key bond connecting the primal and dual update processes. We show that this problem causes significant underestimation of cost when using off-policy methods, leading to the failure to satisfy the safety constraint. To address this issue, we propose conservative policy optimization, which learns a policy in a constraint-satisfying area by considering the uncertainty in cost estimation. This improves constraint satisfaction but also potentially hinders reward maximization. We then introduce local policy convexification to help eliminate such suboptimality by gradually reducing the estimation uncertainty. We provide theoretical interpretations of the joint coupling effect of these two ingredients and further verify them by extensive experiments. Results on benchmark tasks show that our method not only achieves an asymptotic performance comparable to state-of-the-art on-policy methods while using much fewer samples, but also significantly reduces constraint violation during training. Our code is available at https://github.com/ZifanWu/CAL.

Safe reinforcement learning (RL) trains a constraint satisfaction policy by interacting with the environment. We aim to tackle a more challenging problem: learning a safe policy from an offline dataset. We study the offline safe RL problem from a novel multi-objective optimization perspective and propose the epsilon-reducible concept to characterize problem difficulties. The inherent trade-offs between safety and task performance inspire us to propose the constrained decision transformer (CDT) approach, which can dynamically adjust the trade-offs during deployment. Extensive experiments show the advantages of the proposed method in learning an adaptive, safe, robust, and high-reward policy. CDT outperforms its variants and strong offline safe RL baselines by a large margin with the same hyperparameters across all tasks, while keeping the zero-shot adaptation capability to different constraint thresholds, making our approach more suitable for real-world RL under constraints. The code is available at https://github.com/liuzuxin/OSRL.

Reinforcement learning (RL) has achieved tremendous success in many complex decision making tasks. When it comes to deploying RL in the real world, safety concerns are usually raised, leading to a growing demand for safe RL algorithms, such as in autonomous driving and robotics scenarios. While safety control has a long history, the study of safe RL algorithms is still in the early stages. To establish a good foundation for future research in this thread, in this paper, we provide a review for safe RL from the perspectives of methods, theory and applications. Firstly, we review the progress of safe RL from five dimensions and come up with five problems that are crucial for safe RL being deployed in real-world applications, coined as "2H3W". Secondly, we analyze the theory and algorithm progress from the perspectives of answering the "2H3W" problems. Then, the sample complexity of safe RL methods is reviewed and discussed, followed by an introduction of the applications and benchmarks of safe RL algorithms. Finally, we open the discussion of the challenging problems in safe RL, hoping to inspire more future research on this thread. To advance the study of safe RL algorithms, we release a benchmark suite, an open-sourced repository containing the implementations of major safe RL algorithms, along with tutorials at the link: https://github.com/chauncygu/Safe-Reinforcement-Learning-Baselines.git.

Warning: This paper contains examples of harmful language, and reader discretion is recommended. The increasing open release of powerful large language models (LLMs) has facilitated the development of downstream applications by reducing the essential cost of data annotation and computation. To ensure AI safety, extensive safety-alignment measures have been conducted to armor these models against malicious use (primarily hard prompt attack). However, beneath the seemingly resilient facade of the armor, there might lurk a shadow. By simply tuning on 100 malicious examples with 1 GPU hour, these safely aligned LLMs can be easily subverted to generate harmful content. Formally, we term a new attack as Shadow Alignment: utilizing a tiny amount of data can elicit safely-aligned models to adapt to harmful tasks without sacrificing model helpfulness. Remarkably, the subverted models retain their capability to respond appropriately to regular inquiries. Experiments across 8 models released by 5 different organizations (LLaMa-2, Falcon, InternLM, BaiChuan2, Vicuna) demonstrate the effectiveness of shadow alignment attack. Besides, the single-turn English-only attack successfully transfers to multi-turn dialogue and other languages. This study serves as a clarion call for a collective effort to overhaul and fortify the safety of open-source LLMs against malicious attackers.

With advances in generative AI, there is increasing work towards creating autonomous agents that can manage daily tasks by operating user interfaces (UIs). While prior research has studied the mechanics of how AI agents might navigate UIs and understand UI structure, the effects of agents and their autonomous actions-particularly those that may be risky or irreversible-remain under-explored. In this work, we investigate the real-world impacts and consequences of UI actions by AI agents. We began by developing a taxonomy of the impacts of UI actions through a series of workshops with domain experts. Following this, we conducted a data synthesis study to gather realistic UI screen traces and action data that users perceive as impactful. We then used our impact categories to annotate our collected data and data repurposed from existing UI navigation datasets. Our quantitative evaluations of different large language models (LLMs) and variants demonstrate how well different LLMs can understand the impacts of UI actions that might be taken by an agent. We show that our taxonomy enhances the reasoning capabilities of these LLMs for understanding the impacts of UI actions, but our findings also reveal significant gaps in their ability to reliably classify more nuanced or complex categories of impact.

In many applications of Reinforcement Learning (RL), it is critically important that the algorithm performs safely, such that instantaneous hard constraints are satisfied at each step, and unsafe states and actions are avoided. However, existing algorithms for ''safe'' RL are often designed under constraints that either require expected cumulative costs to be bounded or assume all states are safe. Thus, such algorithms could violate instantaneous hard constraints and traverse unsafe states (and actions) in practice. Therefore, in this paper, we develop the first near-optimal safe RL algorithm for episodic Markov Decision Processes with unsafe states and actions under instantaneous hard constraints and the linear mixture model. It not only achieves a regret O(d H^3 sqrt{dK}{Delta_c}) that tightly matches the state-of-the-art regret in the setting with only unsafe actions and nearly matches that in the unconstrained setting, but is also safe at each step, where d is the feature-mapping dimension, K is the number of episodes, H is the number of steps in each episode, and Delta_c is a safety-related parameter. We also provide a lower bound Omega(max{dH K, H{Delta_c^2}}), which indicates that the dependency on Delta_c is necessary. Further, both our algorithm design and regret analysis involve several novel ideas, which may be of independent interest.

The irruption of DeepSeek-R1 constitutes a turning point for the AI industry in general and the LLMs in particular. Its capabilities have demonstrated outstanding performance in several tasks, including creative thinking, code generation, maths and automated program repair, at apparently lower execution cost. However, LLMs must adhere to an important qualitative property, i.e., their alignment with safety and human values. A clear competitor of DeepSeek-R1 is its American counterpart, OpenAI's o3-mini model, which is expected to set high standards in terms of performance, safety and cost. In this paper we conduct a systematic assessment of the safety level of both, DeepSeek-R1 (70b version) and OpenAI's o3-mini (beta version). To this end, we make use of our recently released automated safety testing tool, named ASTRAL. By leveraging this tool, we automatically and systematically generate and execute a total of 1260 unsafe test inputs on both models. After conducting a semi-automated assessment of the outcomes provided by both LLMs, the results indicate that DeepSeek-R1 is highly unsafe as compared to OpenAI's o3-mini. Based on our evaluation, DeepSeek-R1 answered unsafely to 11.98% of the executed prompts whereas o3-mini only to 1.19%.

We introduce WildTeaming, an automatic LLM safety red-teaming framework that mines in-the-wild user-chatbot interactions to discover 5.7K unique clusters of novel jailbreak tactics, and then composes multiple tactics for systematic exploration of novel jailbreaks. Compared to prior work that performed red-teaming via recruited human workers, gradient-based optimization, or iterative revision with LLMs, our work investigates jailbreaks from chatbot users who were not specifically instructed to break the system. WildTeaming reveals previously unidentified vulnerabilities of frontier LLMs, resulting in up to 4.6x more diverse and successful adversarial attacks compared to state-of-the-art jailbreak methods. While many datasets exist for jailbreak evaluation, very few open-source datasets exist for jailbreak training, as safety training data has been closed even when model weights are open. With WildTeaming we create WildJailbreak, a large-scale open-source synthetic safety dataset with 262K vanilla (direct request) and adversarial (complex jailbreak) prompt-response pairs. To mitigate exaggerated safety behaviors, WildJailbreak provides two contrastive types of queries: 1) harmful queries (vanilla & adversarial) and 2) benign queries that resemble harmful queries in form but contain no harm. As WildJailbreak considerably upgrades the quality and scale of existing safety resources, it uniquely enables us to examine the scaling effects of data and the interplay of data properties and model capabilities during safety training. Through extensive experiments, we identify the training properties that enable an ideal balance of safety behaviors: appropriate safeguarding without over-refusal, effective handling of vanilla and adversarial queries, and minimal, if any, decrease in general capabilities. All components of WildJailbeak contribute to achieving balanced safety behaviors of models.

The leading AI companies are increasingly focused on building generalist AI agents -- systems that can autonomously plan, act, and pursue goals across almost all tasks that humans can perform. Despite how useful these systems might be, unchecked AI agency poses significant risks to public safety and security, ranging from misuse by malicious actors to a potentially irreversible loss of human control. We discuss how these risks arise from current AI training methods. Indeed, various scenarios and experiments have demonstrated the possibility of AI agents engaging in deception or pursuing goals that were not specified by human operators and that conflict with human interests, such as self-preservation. Following the precautionary principle, we see a strong need for safer, yet still useful, alternatives to the current agency-driven trajectory. Accordingly, we propose as a core building block for further advances the development of a non-agentic AI system that is trustworthy and safe by design, which we call Scientist AI. This system is designed to explain the world from observations, as opposed to taking actions in it to imitate or please humans. It comprises a world model that generates theories to explain data and a question-answering inference machine. Both components operate with an explicit notion of uncertainty to mitigate the risks of overconfident predictions. In light of these considerations, a Scientist AI could be used to assist human researchers in accelerating scientific progress, including in AI safety. In particular, our system can be employed as a guardrail against AI agents that might be created despite the risks involved. Ultimately, focusing on non-agentic AI may enable the benefits of AI innovation while avoiding the risks associated with the current trajectory. We hope these arguments will motivate researchers, developers, and policymakers to favor this safer path.

Large language models (LLMs) learn not only natural text generation abilities but also social biases against different demographic groups from real-world data. This poses a critical risk when deploying LLM-based applications. Existing research and resources are not readily applicable in South Korea due to the differences in language and culture, both of which significantly affect the biases and targeted demographic groups. This limitation requires localized social bias datasets to ensure the safe and effective deployment of LLMs. To this end, we present KO SB I, a new social bias dataset of 34k pairs of contexts and sentences in Korean covering 72 demographic groups in 15 categories. We find that through filtering-based moderation, social biases in generated content can be reduced by 16.47%p on average for HyperCLOVA (30B and 82B), and GPT-3.