arXiv subjects

Barry-John Theobald

Publications and source records attributed to Barry-John Theobald.

At least 19 recordsLinked to original sources

arXiv2026

Normalized Rewards for Preference Optimization

Direct Alignment Algorithms (DAAs) such as DPO have become a common way to post-train and align LLMs with human preferences. However, DAAs have been observed to over-optimize their implicit reward model and decrease the likelihood of preferred responses. This results in a decrease in the total likelihood assigned to responses seen in the preference dataset, potentially resulting in undesirable behavior. To counteract this undesired side-effect of DAAs, we examine the effect of using objectives that add a regularization term to maintain the total length-normalized probabilities of the chosen and rejected responses. To better understand over-optimization, we investigate how response likelihood changes are distributed over the tokens with and without regularization. We find that a significant portion of the likelihood changes are due to a small set of outlier tokens, which explains how DAAs improve generation quality despite decreasing the likelihoods of chosen responses. We apply the proposed regularization to reference-based (DPO) and reference-free (SimPO) methods and find (1) improved trade-offs between generation quality and general benchmark capability and (2) improvements in reward modeling across datasets. For example, on Llama-3.1-8B-Instruct, we see both a >20% relative increase in AlpacaEval2 scores and >9% relative performance gains on general benchmarks. Additionally, we find that the added regularization term effectively mitigates the amount of displacement within preferred responses overall, and for the outlier tokens specifically, by utilizing low-likelihood tokens.

cs.LG↗

arXiv2026

Theoretical Limits of Language Model Alignment

Language model (LM) alignment improves model outputs to reflect human preferences while preserving the capabilities of the base model. The most common alignment approaches are (i) reinforcement learning, which maximizes the expected reward under a KL-divergence constraint, and (ii) best-of-$N$ alignment, which selects the highest-reward output among $N$ independent samples. Despite their widespread use, the fundamental limits of reward improvement under a KL budget remain poorly understood. We characterize the information-theoretic limits of KL-regularized alignment by deriving the maximum achievable expected reward gain for a fixed KL-divergence budget. Our first result provides a closed-form expression for the optimal reward improvement, governed by a Jeffreys divergence term rather than the $\sqrt{\texttt{KL}}$ used in prior analyses. We further reformulate this expression as a covariance under the base model, yielding a practical estimator that predicts achievable alignment gains from base model samples alone. We extend our analysis to the proxy reward setting, showing that the gap between ideal and proxy alignment (reward hacking) grows with the magnitude of reward error and when the KL penalty factor decreases. We then prove that reward ensembling mitigates reward hacking, providing a theoretical justification for this technique used in practice. Empirically, we compute the KL-reward Pareto frontier for two tasks for LMs, safety and summarization, and show that best-of-$N$ closely approaches the theoretical limit, while PPO and GRPO remain substantially suboptimal. Our theoretical results shed light on several empirically observed phenomena in the alignment literature and suggest that algorithmic improvements are needed to achieve optimal alignment without high inference costs.

cs.LG↗

arXiv2026

Which Data Matter? Embedding-Based Data Selection for Speech Recognition

Modern ASR systems are typically trained on large-scale pseudo-labeled, in-the-wild data spanning multiple domains. While such heterogeneous data benefit generalist models designed for broad deployment, they pose challenges for specialist models targeting specific domains: specialist models lack the capacity to learn from all available data, and one must pay closer attention to addressing the mismatch between training and test conditions. In this work, we study targeted data selection as a strategy to address these challenges, selecting relevant subsets from 100k hours of in-the-wild training data to optimize performance on target domains. We represent speech samples using embeddings that capture complementary characteristic--speaker attributes, phonetic content, and semantic meaning--and analyze how relevance and diversity along these axes when performing data selection affect downstream ASR performance. Our experiments with CTC-based Conformer models show that training on a strategically selected 5% subset can exceed the performance of models trained on the full dataset by up to 36.8% relative WER reduction on target domains.

cs.SD↗

arXiv2026

DSO: Direct Steering Optimization for Bias Mitigation

Generative models are often deployed to make decisions on behalf of users, such as vision-language models (VLMs) identifying which person in a room is a doctor to help visually impaired individuals. Yet, VLM decisions are influenced by the perceived demographic attributes of people in the input, which can lead to biased outcomes like failing to identify women as doctors. Moreover, when reducing bias leads to performance loss, users may have varying needs for balancing bias mitigation with overall model capabilities, highlighting the demand for methods that enable controllable bias reduction during inference. Activation steering is a popular approach for inference-time controllability that has shown potential in inducing safer behavior in large language models (LLMs). However, we observe that current steering methods struggle to correct biases, where equiprobable outcomes across demographic groups are required. To address this, we propose Direct Steering Optimization (DSO) which uses reinforcement learning to find linear transformations for steering activations, tailored to mitigate bias while maintaining control over model performance. We demonstrate that DSO achieves state-of-the-art trade-off between fairness and capabilities on both VLMs and LLMs, while offering practitioners inference-time control over the trade-off. Overall, our work highlights the benefit of designing steering strategies that are directly optimized to control model behavior, providing more effective bias intervention than methods that rely on pre-defined heuristics for controllability.

cs.LG↗

arXiv2025

Bias after Prompting: Persistent Discrimination in Large Language Models

A dangerous assumption that can be made from prior work on the bias transfer hypothesis (BTH) is that biases do not transfer from pre-trained large language models (LLMs) to adapted models. We invalidate this assumption by studying the BTH in causal models under prompt adaptations, as prompting is an extremely popular and accessible adaptation strategy used in real-world applications. In contrast to prior work, we find that biases can transfer through prompting and that popular prompt-based mitigation methods do not consistently prevent biases from transferring. Specifically, the correlation between intrinsic biases and those after prompt adaptation remain moderate to strong across demographics and tasks -- for example, gender (rho >= 0.94) in co-reference resolution, and age (rho >= 0.98) and religion (rho >= 0.69) in question answering. Further, we find that biases remain strongly correlated when varying few-shot composition parameters, such as sample size, stereotypical content, occupational distribution and representational balance (rho >= 0.90). We evaluate several prompt-based debiasing strategies and find that different approaches have distinct strengths, but none consistently reduce bias transfer across models, tasks or demographics. These results demonstrate that correcting bias, and potentially improving reasoning ability, in intrinsic models may prevent propagation of biases to downstream tasks.

cs.CL↗

arXiv2025

ExpertLens: Activation steering features are highly interpretable

Activation steering methods in large language models (LLMs) have emerged as an effective way to perform targeted updates to enhance generated language without requiring large amounts of adaptation data. We ask whether the features discovered by activation steering methods are interpretable. We identify neurons responsible for specific concepts (e.g., ``cat'') using the ``finding experts'' method from research on activation steering and show that the ExpertLens, i.e., inspection of these neurons provides insights about model representation. We find that ExpertLens representations are stable across models and datasets and closely align with human representations inferred from behavioral data, matching inter-human alignment levels. ExpertLens significantly outperforms the alignment captured by word/sentence embeddings. By reconstructing human concept organization through ExpertLens, we show that it enables a granular view of LLM concept representation. Our findings suggest that ExpertLens is a flexible and lightweight approach for capturing and analyzing model representations.

cs.CL↗

arXiv2025

Investigating Intersectional Bias in Large Language Models using Confidence Disparities in Coreference Resolution

Large language models (LLMs) have achieved impressive performance, leading to their widespread adoption as decision-support tools in resource-constrained contexts like hiring and admissions. There is, however, scientific consensus that AI systems can reflect and exacerbate societal biases, raising concerns about identity-based harm when used in critical social contexts. Prior work has laid a solid foundation for assessing bias in LLMs by evaluating demographic disparities in different language reasoning tasks. In this work, we extend single-axis fairness evaluations to examine intersectional bias, recognizing that when multiple axes of discrimination intersect, they create distinct patterns of disadvantage. We create a new benchmark called WinoIdentity by augmenting the WinoBias dataset with 25 demographic markers across 10 attributes, including age, nationality, and race, intersected with binary gender, yielding 245,700 prompts to evaluate 50 distinct bias patterns. Focusing on harms of omission due to underrepresentation, we investigate bias through the lens of uncertainty and propose a group (un)fairness metric called Coreference Confidence Disparity which measures whether models are more or less confident for some intersectional identities than others. We evaluate five recently published LLMs and find confidence disparities as high as 40% along various demographic attributes including body type, sexual orientation and socio-economic status, with models being most uncertain about doubly-disadvantaged identities in anti-stereotypical settings. Surprisingly, coreference confidence decreases even for hegemonic or privileged markers, indicating that the recent impressive performance of LLMs is more likely due to memorization than logical reasoning. Notably, these are two independent failures in value alignment and validity that can compound to cause social harm.

cs.CL↗

arXiv2025

Steering into New Embedding Spaces: Analyzing Cross-Lingual Alignment Induced by Model Interventions in Multilingual Language Models

Aligned representations across languages is a desired property in multilingual large language models (mLLMs), as alignment can improve performance in cross-lingual tasks. Typically alignment requires fine-tuning a model, which is computationally expensive, and sizable language data, which often may not be available. A data-efficient alternative to fine-tuning is model interventions -- a method for manipulating model activations to steer generation into the desired direction. We analyze the effect of a popular intervention (finding experts) on the alignment of cross-lingual representations in mLLMs. We identify the neurons to manipulate for a given language and introspect the embedding space of mLLMs pre- and post-manipulation. We show that modifying the mLLM's activations changes its embedding space such that cross-lingual alignment is enhanced. Further, we show that the changes to the embedding space translate into improved downstream performance on retrieval tasks, with up to 2x improvements in top-1 accuracy on cross-lingual retrieval.

cs.CL↗

arXiv2025

Fairness Dynamics During Training

We investigate fairness dynamics during Large Language Model (LLM) training to enable the diagnoses of biases and mitigations through training interventions like early stopping; we find that biases can emerge suddenly and do not always follow common performance metrics. We introduce two new metrics to evaluate fairness dynamics holistically during model pre-training: Average Rank and Jensen-Shannon Divergence by Parts. These metrics provide insights into the Pythia models' progression of biases in gender prediction of occupations on the WinoBias dataset. By monitoring these dynamics, we find that (1) Pythia-6.9b is biased towards men; it becomes more performant and confident predicting "male" than "female" during training, (2) via early-stopping, Pythia-6.9b can exchange 1.7% accuracy on LAMBADA for a 92.5% increase in fairness, and (3) larger models can exhibit more bias; Pythia-6.9b makes more assumptions about gender than Pythia-160m, even when a subject's gender is not specified.

cs.CL↗

arXiv2025

Proxy-FDA: Proxy-based Feature Distribution Alignment for Fine-tuning Vision Foundation Models without Forgetting

Vision foundation models pre-trained on massive data encode rich representations of real-world concepts, which can be adapted to downstream tasks by fine-tuning. However, fine-tuning foundation models on one task often leads to the issue of concept forgetting on other tasks. Recent methods of robust fine-tuning aim to mitigate forgetting of prior knowledge without affecting the fine-tuning performance. Knowledge is often preserved by matching the original and fine-tuned model weights or feature pairs. However, such point-wise matching can be too strong, without explicit awareness of the feature neighborhood structures that encode rich knowledge as well. We propose a novel regularization method Proxy-FDA that explicitly preserves the structural knowledge in feature space. Proxy-FDA performs Feature Distribution Alignment (using nearest neighbor graphs) between the pre-trained and fine-tuned feature spaces, and the alignment is further improved by informative proxies that are generated dynamically to increase data diversity. Experiments show that Proxy-FDA significantly reduces concept forgetting during fine-tuning, and we find a strong correlation between forgetting and a distributional distance metric (in comparison to L2 distance). We further demonstrate Proxy-FDA's benefits in various fine-tuning settings (end-to-end, few-shot and continual tuning) and across different tasks like image classification, captioning and VQA.

cs.LG↗

arXiv2025

Is Your Model Fairly Certain? Uncertainty-Aware Fairness Evaluation for LLMs

The recent rapid adoption of large language models (LLMs) highlights the critical need for benchmarking their fairness. Conventional fairness metrics, which focus on discrete accuracy-based evaluations (i.e., prediction correctness), fail to capture the implicit impact of model uncertainty (e.g., higher model confidence about one group over another despite similar accuracy). To address this limitation, we propose an uncertainty-aware fairness metric, UCerF, to enable a fine-grained evaluation of model fairness that is more reflective of the internal bias in model decisions compared to conventional fairness measures. Furthermore, observing data size, diversity, and clarity issues in current datasets, we introduce a new gender-occupation fairness evaluation dataset with 31,756 samples for co-reference resolution, offering a more diverse and suitable dataset for evaluating modern LLMs. We establish a benchmark, using our metric and dataset, and apply it to evaluate the behavior of ten open-source LLMs. For example, Mistral-7B exhibits suboptimal fairness due to high confidence in incorrect predictions, a detail overlooked by Equalized Odds but captured by UCerF. Overall, our proposed LLM benchmark, which evaluates fairness with uncertainty awareness, paves the way for developing more transparent and accountable AI systems.

cs.CL↗

arXiv2025

Aligning LLMs by Predicting Preferences from User Writing Samples

Accommodating human preferences is essential for creating aligned LLM agents that deliver personalized and effective interactions. Recent work has shown the potential for LLMs acting as writing agents to infer a description of user preferences. Agent alignment then comes from conditioning on the inferred preference description. However, existing methods often produce generic preference descriptions that fail to capture the unique and individualized nature of human preferences. This paper introduces PROSE, a method designed to enhance the precision of preference descriptions inferred from user writing samples. PROSE incorporates two key elements: (1) iterative refinement of inferred preferences, and (2) verification of inferred preferences across multiple user writing samples. We evaluate PROSE with several LLMs (i.e., Qwen2.5 7B and 72B Instruct, GPT-mini, and GPT-4o) on a summarization and an email writing task. We find that PROSE more accurately infers nuanced human preferences, improving the quality of the writing agent's generations over CIPHER (a state-of-the-art method for inferring preferences) by 33\%. Lastly, we demonstrate that ICL and PROSE are complementary methods, and combining them provides up to a 9\% improvement over ICL alone.

cs.CL↗

arXiv2025

Towards Automatic Assessment of Self-Supervised Speech Models using Rank

This study explores using embedding rank as an unsupervised evaluation metric for general-purpose speech encoders trained via self-supervised learning (SSL). Traditionally, assessing the performance of these encoders is resource-intensive and requires labeled data from the downstream tasks. Inspired by the vision domain, where embedding rank has shown promise for evaluating image encoders without tuning on labeled downstream data, this work examines its applicability in the speech domain, considering the temporal nature of the signals. The findings indicate rank correlates with downstream performance within encoder layers across various downstream tasks and for in- and out-of-domain scenarios. However, rank does not reliably predict the best-performing layer for specific downstream tasks, as lower-ranked layers can outperform higher-ranked ones. Despite this limitation, the results suggest that embedding rank can be a valuable tool for monitoring training progress in SSL speech models, offering a less resource-demanding alternative to traditional evaluation methods.

eess.AS↗

arXiv2025

Exploring Prediction Targets in Masked Pre-Training for Speech Foundation Models

Speech foundation models, such as HuBERT and its variants, are pre-trained on large amounts of unlabeled speech data and then used for a range of downstream tasks. These models use a masked prediction objective, where the model learns to predict information about masked input segments from the unmasked context. The choice of prediction targets in this framework impacts their performance on downstream tasks. For instance, models pre-trained with targets that capture prosody learn representations suited for speaker-related tasks, while those pre-trained with targets that capture phonetics learn representations suited for content-related tasks. Moreover, prediction targets can differ in the level of detail they capture. Models pre-trained with targets that encode fine-grained acoustic features perform better on tasks like denoising, while those pre-trained with targets focused on higher-level abstractions are more effective for content-related tasks. Despite the importance of prediction targets, the design choices that affect them have not been thoroughly studied. This work explores the design choices and their impact on downstream task performance. Our results indicate that the commonly used design choices for HuBERT can be suboptimal. We propose approaches to create more informative prediction targets and demonstrate their effectiveness through improvements across various downstream tasks.

eess.AS↗

arXiv2025

Speaker-IPL: Unsupervised Learning of Speaker Characteristics with i-Vector based Pseudo-Labels

Iterative self-training, or iterative pseudo-labeling (IPL) -- using an improved model from the current iteration to provide pseudo-labels for the next iteration -- has proven to be a powerful approach to enhance the quality of speaker representations. Recent applications of IPL in unsupervised speaker recognition start with representations extracted from very elaborate self-supervised methods (e.g., DINO). However, training such strong self-supervised models is not straightforward (they require hyper-parameter tuning and may not generalize to out-of-domain data) and, moreover, may not be needed at all. To this end, we show that the simple, well-studied, and established i-vector generative model is enough to bootstrap the IPL process for the unsupervised learning of speaker representations. We also systematically study the impact of other components on the IPL process, which includes the initial model, the encoder, augmentations, the number of clusters, and the clustering algorithm. Remarkably, we find that even with a simple and significantly weaker initial model like i-vector, IPL can still achieve speaker verification performance that rivals state-of-the-art methods.

eess.AS↗

arXiv2024

Evaluating Gender Bias Transfer between Pre-trained and Prompt-Adapted Language Models

Large language models (LLMs) are increasingly being adapted to achieve task-specificity for deployment in real-world decision systems. Several previous works have investigated the bias transfer hypothesis (BTH) by studying the effect of the fine-tuning adaptation strategy on model fairness to find that fairness in pre-trained masked language models have limited effect on the fairness of models when adapted using fine-tuning. In this work, we expand the study of BTH to causal models under prompt adaptations, as prompting is an accessible, and compute-efficient way to deploy models in real-world systems. In contrast to previous works, we establish that intrinsic biases in pre-trained Mistral, Falcon and Llama models are strongly correlated (rho >= 0.94) with biases when the same models are zero- and few-shot prompted, using a pronoun co-reference resolution task. Further, we find that bias transfer remains strongly correlated even when LLMs are specifically prompted to exhibit fair or biased behavior (rho >= 0.92), and few-shot length and stereotypical composition are varied (rho >= 0.97). Our findings highlight the importance of ensuring fairness in pre-trained LLMs, especially when they are later used to perform downstream tasks via prompt adaptation.

cs.CL↗

arXiv2024

Learning Spatially-Aware Language and Audio Embeddings

Humans can picture a sound scene given an imprecise natural language description. For example, it is easy to imagine an acoustic environment given a phrase like "the lion roar came from right behind me!". For a machine to have the same degree of comprehension, the machine must know what a lion is (semantic attribute), what the concept of "behind" is (spatial attribute) and how these pieces of linguistic information align with the semantic and spatial attributes of the sound (what a roar sounds like when its coming from behind). State-of-the-art audio foundation models which learn to map between audio scenes and natural textual descriptions, are trained on non-spatial audio and text pairs, and hence lack spatial awareness. In contrast, sound event localization and detection models are limited to recognizing sounds from a fixed number of classes, and they localize the source to absolute position (e.g., 0.2m) rather than a position described using natural language (e.g., "next to me"). To address these gaps, we present ELSA a spatially aware-audio and text embedding model trained using multimodal contrastive learning. ELSA supports non-spatial audio, spatial audio, and open vocabulary text captions describing both the spatial and semantic components of sound. To train ELSA: (a) we spatially augment the audio and captions of three open-source audio datasets totaling 4,738 hours of audio, and (b) we design an encoder to capture the semantics of non-spatial audio, and the semantics and spatial attributes of spatial audio using contrastive learning. ELSA is competitive with state-of-the-art for both semantic retrieval and 3D source localization. In particular, ELSA achieves +2.8% mean audio-to-text and text-to-audio R@1 above the baseline, and outperforms by -11.6° mean-absolute-error in 3D source localization over the baseline.

cs.SD↗

arXiv2024

PREDICT: Preference Reasoning by Evaluating Decomposed preferences Inferred from Candidate Trajectories

Accommodating human preferences is essential for creating AI agents that deliver personalized and effective interactions. Recent work has shown the potential for LLMs to infer preferences from user interactions, but they often produce broad and generic preferences, failing to capture the unique and individualized nature of human preferences. This paper introduces PREDICT, a method designed to enhance the precision and adaptability of inferring preferences. PREDICT incorporates three key elements: (1) iterative refinement of inferred preferences, (2) decomposition of preferences into constituent components, and (3) validation of preferences across multiple trajectories. We evaluate PREDICT on two distinct environments: a gridworld setting and a new text-domain environment (PLUME). PREDICT more accurately infers nuanced human preferences improving over existing baselines by 66.2\% (gridworld environment) and 41.0\% (PLUME).

cs.AI↗