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Yanan Cai

Publications and source records attributed to Yanan Cai.

7 recordsLinked to original sources
arXiv2026

AI Alignment through a Game-theoretic Lens: A Survey

As large language models and increasingly capable AI agents are deployed in high-risk settings, aligning them with complex human values has become a central challenge. Existing alignment methods, while effective in improving helpfulness, harmlessness, and controllability, often struggle to capture real-world preferences that are context-dependent, non-transitive, and shaped by dynamic multi-party interactions. This survey reviews AI alignment through a game-theoretic lens. Specifically, it organizes recent progress around key game-theoretic elements and synthesizes the literature along three challenges: preference diversity, alignment priority, and temporal dynamics. This perspective clarifies where current alignment methods genuinely benefit from game-theoretic analysis, where the framework is looser, and what challenges remain in building robust, adaptive, and verifiable AI systems.

cs.AI↗
arXiv2026

Toward Trustworthy AI: Multi-Target Adversarial Attacks and Robust Defenses for Continuous Data Summarization

Trustworthy AI requires reliable data-processing pipelines, not only robust downstream predictive models. As an upstream component, data summarization determines which information is retained and passed to subsequent learning or decision modules. Therefore, adversarial perturbations to the summarization process can compromise trustworthy AI in an upstream manner: they may alter the selected summary, reduce its representativeness, and further degrade the utility of subsequent learning tasks. In this paper, we study adversarial attacks on continuous data summarization under similarity-level perturbations through DR-submodular optimization. We show that a class of multi-resolution image summarization objectives can be formulated as multilinear extensions of non-negative submodular set functions and satisfy DR-submodularity with $m$-weak monotonicity. We then formulate multi-target attack generation as a min-max problem, where one admissible perturbation of the similarity structure is optimized to degrade multiple target summarization models. To mitigate such perturbations, we formulate robust defense against mixed attack types as a regularized max-min problem. For both problems, we develop approximation algorithms with theoretical guarantees. Experiments on real-data and controlled clustered benchmarks show that the proposed attack is effective in representative low-to-moderate budget regimes and can induce downstream task-performance loss. The proposed defense improves the robustness--mitigation trade-off in structured settings, while also revealing the parameter sensitivity of robust protection on real data.

cs.AI↗
arXiv2026

GRP-Obliteration: Unaligning LLMs With a Single Unlabeled Prompt

Safety alignment is only as robust as its weakest failure mode. Despite extensive work on safety post-training, it has been shown that models can be readily unaligned through post-deployment fine-tuning. However, these methods often require extensive data curation and degrade model utility. In this work, we extend the practical limits of unalignment by introducing GRP-Obliteration (GRP-Oblit), a method that uses Group Relative Policy Optimization (GRPO) to directly remove safety constraints from target models. We show that a single unlabeled prompt is sufficient to reliably unalign safety-aligned models while largely preserving their utility, and that GRP-Oblit achieves stronger unalignment on average than existing state-of-the-art techniques. Moreover, GRP-Oblit generalizes beyond language models and can also unalign diffusion-based image generation systems. We evaluate GRP-Oblit on six utility benchmarks and five safety benchmarks across fifteen 7-20B parameter models, spanning instruct and reasoning models, as well as dense and MoE architectures. The evaluated model families include GPT-OSS, distilled DeepSeek, Gemma, Llama, Ministral, and Qwen.

cs.LG↗
arXiv2025

LogiPlan: A Structured Benchmark for Logical Planning and Relational Reasoning in LLMs

We introduce LogiPlan, a novel benchmark designed to evaluate the capabilities of large language models (LLMs) in logical planning and reasoning over complex relational structures. Logical relational reasoning is important for applications that may rely on LLMs to generate and query structured graphs of relations such as network infrastructure, knowledge bases, or business process schema. Our framework allows for dynamic variation of task complexity by controlling the number of objects, relations, and the minimum depth of relational chains, providing a fine-grained assessment of model performance across difficulty levels. LogiPlan encompasses three complementary tasks: (1) Plan Generation, where models must construct valid directed relational graphs meeting specified structural constraints; (2) Consistency Detection, testing models' ability to identify inconsistencies in relational structures; and (3) Comparison Question, evaluating models' capacity to determine the validity of queried relationships within a given graph. Additionally, we assess models' self-correction capabilities by prompting them to verify and refine their initial solutions. We evaluate state-of-the-art models including DeepSeek R1, Gemini 2.0 Pro, Gemini 2 Flash Thinking, GPT-4.5, GPT-4o, Llama 3.1 405B, O3-mini, O1, and Claude 3.7 Sonnet across these tasks, revealing significant performance gaps that correlate with model scale and architecture. Our analysis demonstrates that while recent reasoning-enhanced models show promising results on simpler instances, they struggle with more complex configurations requiring deeper logical planning.

cs.AI↗
arXiv2025

Conditional Success of Adaptive Therapy: The Role of Treatment-Holiday Thresholds and Non-Existence of Optimal Strategies Revealed by Mathematical Modelling and Optimal Control

Adaptive therapy improves cancer treatment by controlling the competition between sensitive and resistant cells through treatment holidays. This study highlights the critical role of treatment-holiday thresholds in adaptive therapy for tumors composed of drug-sensitive and resistant cells. Using a Lotka-Volterra model, adaptive therapy outcomes are compared with maximum tolerated dose therapy and intermittent therapy outcomes, showing that adaptive therapy success depends critically on the threshold for pausing and resuming treatment and on competitive interactions between cell populations. Three comparison scenarios between adaptive therapy and other therapies emerge: uniform-decline where adaptive therapy underperforms regardless of threshold, conditional-improve where efficacy requires threshold optimization, and uniform-improve where adaptive therapy consistently outperforms alternatives. Tumor composition including initial burden and resistant cell proportion influences outcomes. Threshold adjustments enable adaptive therapy to suppress resistant subclones while preserving sensitive cells, extending progression-free survival. Crucially, this work establishes an optimal control problem for time-to-progression and mathematically proves that under biological constraints like neutral competition or low initial burden, the theoretically optimal strategy is unrealizable as it requires infinitely many treatment holidays, rendering it clinically impractical. These findings emphasize personalized treatment strategies for enhancing long-term therapeutic outcomes.

q-bio.OT↗
arXiv2024

Hey, That's My Model! Introducing Chain & Hash, An LLM Fingerprinting Technique

Growing concerns over the theft and misuse of Large Language Models (LLMs) underscore the need for effective fingerprinting to link a model to its original version and detect misuse. We define five essential properties for a successful fingerprint: Transparency, Efficiency, Persistence, Robustness, and Unforgeability. We present a novel fingerprinting framework that provides verifiable proof of ownership while preserving fingerprint integrity. Our approach makes two main contributions. First, a chain and hash technique that cryptographically binds fingerprint prompts to their responses, preventing collisions and enabling irrefutable ownership claims. Second, we address a realistic threat model in which instruction-tuned models' output distribution can be significantly altered through meta-prompts. By incorporating random padding and varied meta-prompt configurations during training, our method maintains robustness even under significant output style changes. Experiments show that our framework securely proves ownership, resists both benign transformations (e.g., fine-tuning) and adversarial fingerprint removal, and extends to fingerprinting LoRA adapters\footnote{We release our code at: https://github.com/microsoft/Chain-Hash.

cs.CR↗