Zhonghao He

Jiaming Ji, Tianyi Qiu, Boyuan Chen et al.

AI alignment aims to make AI systems behave in line with human intentions and values. As AI systems grow more capable, so do risks from misalignment. To provide a comprehensive and up-to-date overview of the alignment field, in this survey, we delve into the core concepts, methodology, and practice of alignment. First, we identify four principles as the key objectives of AI alignment: Robustness, Interpretability, Controllability, and Ethicality (RICE). Guided by these four principles, we outline the landscape of current alignment research and decompose them into two key components: forward alignment and backward alignment. The former aims to make AI systems aligned via alignment training, while the latter aims to gain evidence about the systems' alignment and govern them appropriately to avoid exacerbating misalignment risks. On forward alignment, we discuss techniques for learning from feedback and learning under distribution shift. On backward alignment, we discuss assurance techniques and governance practices. We also release and continually update the website (www.alignmentsurvey.com) which features tutorials, collections of papers, blog posts, and other resources.

Isaia Gisler, Zhonghao He, Tianyi Qiu

When language models are trained on synthetic data, they (student model) can covertly acquire behavioral traits from the data-generating model (teacher model). Subliminal learning refers to the transmission of traits from a teacher to a student model via training on data unrelated to those traits. Prior work demonstrated this in the training domains of number sequences, code, and math Chain-of-Thought traces including transmission of misaligned behaviors. We investigate whether transmission occurs through natural language paraphrases with fixed semantic content, and whether content explicitly contradicting the teacher's preference can block it. We find that training on paraphrases from a teacher system-prompted to love a particular animal increases a student's preference for that animal by up to 19 percentage points. This occurs when paraphrased content is semantically unrelated to the animal, or even when it explicitly expresses dislike. The transmission succeeds despite aggressive filtering to ensure paraphrase fidelity. This raises concerns for pipelines where models generate their own training data: content-based inspection cannot detect such transmission, and even preference-contradicting content fails to prevent it.

Zhonghao He, Jascha Achterberg, Katie Collins et al. · cambridge

As deep learning systems are scaled up to many billions of parameters, relating their internal structure to external behaviors becomes very challenging. Although daunting, this problem is not new: Neuroscientists and cognitive scientists have accumulated decades of experience analyzing a particularly complex system - the brain. In this work, we argue that interpreting both biological and artificial neural systems requires analyzing those systems at multiple levels of analysis, with different analytic tools for each level. We first lay out a joint grand challenge among scientists who study the brain and who study artificial neural networks: understanding how distributed neural mechanisms give rise to complex cognition and behavior. We then present a series of analytical tools that can be used to analyze biological and artificial neural systems, organizing those tools according to Marr's three levels of analysis: computation/behavior, algorithm/representation, and implementation. Overall, the multilevel interpretability framework provides a principled way to tackle neural system complexity; links structure, computation, and behavior; clarifies assumptions and research priorities at each level; and paves the way toward a unified effort for understanding intelligent systems, may they be biological or artificial.

Zhonghao He, Tianyi Qiu, Hirokazu Shirado et al.

Recent advances in reasoning techniques have substantially improved the performance of large language models (LLMs), raising expectations for their ability to provide accurate, truthful, and reliable information. However, emerging evidence suggests that iterative reasoning may foster belief entrenchment and confirmation bias, rather than enhancing truth-seeking behavior. In this study, we propose a systematic evaluation framework for belief entrenchment in LLM reasoning by leveraging the Martingale property from Bayesian statistics. This property implies that, under rational belief updating, the expected value of future beliefs should remain equal to the current belief, i.e., belief updates are unpredictable from the current belief. We propose the unsupervised, regression-based Martingale Score to measure violations of this property, which signal deviation from the Bayesian ability of updating on new evidence. In open-ended problem domains including event forecasting, value-laden questions, and academic paper review, we find such violations to be widespread across models and setups, where the current belief positively predicts future belief updates, a phenomenon which we term belief entrenchment. We identify the models, reasoning techniques, and domains more prone to belief entrenchment. Finally, we validate the Martingale Score by showing that it predicts ground-truth accuracy on problem domains where ground truth labels are available. This indicates that, while designed as an unsupervised metric that operates even in domains without access to ground truth, the Martingale Score is a useful proxy of the truth-seeking ability of a reasoning process.

Tianyi Qiu, Ahmed Hani Ismail, Zhonghao He et al.

Can language models improve their accuracy without external supervision? Methods such as debate, bootstrap, and internal coherence maximization achieve this surprising feat, even matching golden finetuning performance. Yet why they work remains theoretically unclear. We show that they are all special cases of coherence optimization: finding a context-to-behavior mapping that's most compressible and jointly predictable. We prove that coherence optimization is equivalent to description-length regularization, and that among all such regularization schemes, it is optimal for semi-supervised learning when the regularizer is derived from a pretrained model. Our theory, supported by preliminary experiments, explains why feedback-free self-improvement works and predicts when it should succeed or fail.