# Lisa: Lazy Safety Alignment for Large Language Models against Harmful Fine-tuning Attack

arXiv: https://arxiv.org/abs/2405.18641 · HTML: https://mlsanity.com/paper/2405.18641/

## Key facts

- Cited by 92 papers in the map (data through 14 Oct 2026).
- Placed in Safety alignment and jailbreak attacks, one of 10 directions in LLM alignment / RLHF / preference optimisation.
- Builds on 54 of its 91 references that are in the map.
- First posted on arXiv 28 May 2024.

## Placed in

- LLM alignment / RLHF / preference optimisation / [Safety alignment and jailbreak attacks](https://mlsanity.com/alignment/safety-alignment-and-jailbreak-attacks/)
- LLM safety and security / [Safety alignment, refusal and guardrails](https://mlsanity.com/safety/safety-alignment-refusal-and-guardrails/)

## Builds on (most cited first, 30 of 54)

- [Training language models to follow instructions with human feedback](https://mlsanity.com/paper/2203.02155/) (2022)
- [LLaMA: Open and Efficient Foundation Language Models](https://mlsanity.com/paper/2302.13971/) (2023)
- [Training Verifiers to Solve Math Word Problems](https://mlsanity.com/paper/2110.14168/) (2021)
- [Direct Preference Optimization: Your Language Model is Secretly a Reward Model](https://mlsanity.com/paper/2305.18290/) (2023)
- [Overcoming catastrophic forgetting in neural networks](https://mlsanity.com/paper/1612.00796/) (2016)
- [Training a Helpful and Harmless Assistant with Reinforcement Learning from Human Feedback](https://mlsanity.com/paper/2204.05862/) (2022)
- [OPT: Open Pre-trained Transformer Language Models](https://mlsanity.com/paper/2205.01068/) (2022)
- [Mistral 7B](https://mlsanity.com/paper/2310.06825/) (2023)
- [Federated Optimization in Heterogeneous Networks](https://mlsanity.com/paper/1812.06127/) (2018)
- [Character-level Convolutional Networks for Text Classification](https://mlsanity.com/paper/1509.01626/) (2015)
- [Jailbroken: How Does LLM Safety Training Fail?](https://mlsanity.com/paper/2307.02483/) (2023)
- [Jailbreaking Black Box Large Language Models in Twenty Queries](https://mlsanity.com/paper/2310.08419/) (2023)
- [Representation Engineering: A Top-Down Approach to AI Transparency](https://mlsanity.com/paper/2310.01405/) (2023)
- [On the Convergence of FedAvg on Non-IID Data](https://mlsanity.com/paper/1907.02189/) (2019)
- [Fine-tuning Aligned Language Models Compromises Safety, Even When Users Do Not Intend To!](https://mlsanity.com/paper/2310.03693/) (2023)
- [BeaverTails: Towards Improved Safety Alignment of LLM via a Human-Preference Dataset](https://mlsanity.com/paper/2307.04657/) (2023)
- [RAFT: Reward rAnked FineTuning for Generative Foundation Model Alignment](https://mlsanity.com/paper/2304.06767/) (2023)
- [Safe RLHF: Safe Reinforcement Learning from Human Feedback](https://mlsanity.com/paper/2310.12773/) (2023)
- [Federated Learning Based on Dynamic Regularization](https://mlsanity.com/paper/2111.04263/) (2021)
- [Linear Convergence of Gradient and Proximal-Gradient Methods Under the Polyak-Lojasiewicz Condition](https://mlsanity.com/paper/1608.04636/) (2016)
- [Meta-Learning with Implicit Gradients](https://mlsanity.com/paper/1909.04630/) (2019)
- [RRHF: Rank Responses to Align Language Models with Human Feedback without tears](https://mlsanity.com/paper/2304.05302/) (2023)
- [Safety-Tuned LLaMAs: Lessons From Improving the Safety of Large Language Models that Follow Instructions](https://mlsanity.com/paper/2309.07875/) (2023)
- [Visual Adversarial Examples Jailbreak Aligned Large Language Models](https://mlsanity.com/paper/2306.13213/) (2023)
- [Are aligned neural networks adversarially aligned?](https://mlsanity.com/paper/2306.15447/) (2023)
- [Shadow Alignment: The Ease of Subverting Safely-Aligned Language Models](https://mlsanity.com/paper/2310.02949/) (2023)
- [Preference Ranking Optimization for Human Alignment](https://mlsanity.com/paper/2306.17492/) (2023)
- [Assessing the Brittleness of Safety Alignment via Pruning and Low-Rank Modifications](https://mlsanity.com/paper/2402.05162/) (2024)
- [LoRA Fine-tuning Efficiently Undoes Safety Training in Llama 2-Chat 70B](https://mlsanity.com/paper/2310.20624/) (2023)
- [Removing RLHF Protections in GPT-4 via Fine-Tuning](https://mlsanity.com/paper/2311.05553/) (2023)

## Built on by (most cited first, 30 of 92)

- [Safety Alignment Should Be Made More Than Just a Few Tokens Deep](https://mlsanity.com/paper/2406.05946/) (2024)
- [Tamper-Resistant Safeguards for Open-Weight LLMs](https://mlsanity.com/paper/2408.00761/) (2024)
- [Safety Layers in Aligned Large Language Models: The Key to LLM Security](https://mlsanity.com/paper/2408.17003/) (2024)
- [Advances and Challenges in Foundation Agents: From Brain-Inspired Intelligence to Evolutionary, Collaborative, and Safe Systems](https://mlsanity.com/paper/2504.01990/) (2025)
- [Booster: Tackling Harmful Fine-tuning for Large Language Models via Attenuating Harmful Perturbation](https://mlsanity.com/paper/2409.01586/) (2024)
- [Harmful Fine-tuning Attacks and Defenses for Large Language Models: A Survey](https://mlsanity.com/paper/2409.18169/) (2024)
- [Antidote: Post-fine-tuning Safety Alignment for Large Language Models against Harmful Fine-tuning](https://mlsanity.com/paper/2408.09600/) (2024)
- [SEAL: Safety-enhanced Aligned LLM Fine-tuning via Bilevel Data Selection](https://mlsanity.com/paper/2410.07471/) (2024)
- [Targeted Vaccine: Safety Alignment for Large Language Models against Harmful Fine-Tuning via Layer-wise Perturbation](https://mlsanity.com/paper/2410.09760/) (2024)
- [NLSR: Neuron-Level Safety Realignment of Large Language Models Against Harmful Fine-Tuning](https://mlsanity.com/paper/2412.12497/) (2024)
- [Towards Understanding the Fragility of Multilingual LLMs against Fine-Tuning Attacks](https://mlsanity.com/paper/2410.18210/) (2024)
- [Safe RLHF-V: Safe Reinforcement Learning from Multi-modal Human Feedback](https://mlsanity.com/paper/2503.17682/) (2025)
- [SafeMERGE: Preserving Safety Alignment in Fine-Tuned Large Language Models via Selective Layer-Wise Model Merging](https://mlsanity.com/paper/2503.17239/) (2025)
- [Locking Down the Finetuned LLMs Safety](https://mlsanity.com/paper/2410.10343/) (2024)
- [JailbreakLens: Interpreting Jailbreak Mechanism in the Lens of Representation and Circuit](https://mlsanity.com/paper/2411.11114/) (2024)
- [Benign Samples Matter! Fine-tuning On Outlier Benign Samples Severely Breaks Safety](https://mlsanity.com/paper/2505.06843/) (2025)
- [Separate the Wheat from the Chaff: A Post-Hoc Approach to Safety Re-Alignment for Fine-Tuned Language Models](https://mlsanity.com/paper/2412.11041/) (2024)
- [Why LLM Safety Guardrails Collapse After Fine-tuning: A Similarity Analysis Between Alignment and Fine-tuning Datasets](https://mlsanity.com/paper/2506.05346/) (2025)
- [AsFT: Anchoring Safety During LLM Fine-Tuning Within Narrow Safety Basin](https://mlsanity.com/paper/2506.08473/) (2025)
- [Probe before You Talk: Towards Black-box Defense against Backdoor Unalignment for Large Language Models](https://mlsanity.com/paper/2506.16447/) (2025)
- [Estimating Worst-Case Frontier Risks of Open-Weight LLMs](https://mlsanity.com/paper/2508.03153/) (2025)
- [Safe Delta: Consistently Preserving Safety when Fine-Tuning LLMs on Diverse Datasets](https://mlsanity.com/paper/2505.12038/) (2025)
- [Vulnerability-Aware Alignment: Mitigating Uneven Forgetting in Harmful Fine-Tuning](https://mlsanity.com/paper/2506.03850/) (2025)
- [Superficial Safety Alignment Hypothesis](https://mlsanity.com/paper/2410.10862/) (2024)
- [Rethinking Safety in LLM Fine-tuning: An Optimization Perspective](https://mlsanity.com/paper/2508.12531/) (2025)
- [Adaptive Defense against Harmful Fine-Tuning for Large Language Models via Bayesian Data Scheduler](https://mlsanity.com/paper/2510.27172/) (2025)
- [Safeguard Fine-Tuned LLMs Through Pre- and Post-Tuning Model Merging](https://mlsanity.com/paper/2412.19512/) (2024)
- [CTRAP: Embedding Collapse Trap to Safeguard Large Language Models from Harmful Fine-Tuning](https://mlsanity.com/paper/2505.16559/) (2025)
- [Shape it Up! Restoring LLM Safety during Finetuning](https://mlsanity.com/paper/2505.17196/) (2025)
- [Gradient Surgery for Safe LLM Fine-Tuning](https://mlsanity.com/paper/2508.07172/) (2025)

## Abstract (arXiv)

Recent studies show that Large Language Models (LLMs) with safety alignment can be jail-broken by fine-tuning on a dataset mixed with harmful data. First time in the literature, we show that the jail-broken effect can be mitigated by separating states in the finetuning stage to optimize the alignment and user datasets. Unfortunately, our subsequent study shows that this simple Bi-State Optimization (BSO) solution experiences convergence instability when steps invested in its alignment state is too small, leading to downgraded alignment performance. By statistical analysis, we show that the textitexcess drift towards consensus could be a probable reason for the instability. To remedy this issue, we propose Lazy(i) safety alignment (Lisa), which introduces a proximal term to constraint the drift of each state. Theoretically, the benefit of the proximal term is supported by the convergence analysis, wherein we show that a sufficient large proximal factor is necessary to guarantee Lisa's convergence. Empirically, our results on four downstream finetuning tasks show that Lisa with a proximal term can significantly increase alignment performance while maintaining the LLM's accuracy on the user tasks. Code is available at urlhttps://github.com/git-disl/Lisa.