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Youhei Akimoto

Publications and source records attributed to Youhei Akimoto.

At least 19 recordsLinked to original sources

Safety Hacking in Constrained Best-of-$N$ Inference-time Scaling

Inference-time pipelines often sample multiple outputs, filter them with a learned safety model, and return the proxy-feasible output with the highest learned reward. We show that this composition creates a two-stage failure: an imperfect safety proxy first contaminates the feasible set with unsafe outputs, and reward maximization can then amplify this residual contamination. We define \emph{safety hacking} as selecting an output that passes the learned constraint but violates the true safety criterion. For constrained Best-of-$N$ sampling, we derive finite-$N$ bounds governed by the joint upper reward tails of safe and unsafe outputs within the proxy-feasible set. If unsafe-but-feasible outputs have the heavier tail, safety hacking becomes asymptotically certain as $N$ grows, even when false-positive mass and average safety- and reward-proxy errors are arbitrarily small. We also show that policies within a bounded $\chi^2$ divergence from the proxy-feasible reference distribution admit an $N$-independent safety-hacking bound, and instantiate this general coverage-control principle with constrained pessimistic sampling. Coverage control limits amplification but cannot repair a contaminated feasible set: admitted unsafe outputs may still be favored, and regularized selection is not necessarily safer than constrained Best-of-$N$ for every reward proxy. Toy and language-model experiments characterize both contamination and its reward-tail amplification, which exposes an inherent difficulty in inference-time scaling with learned safety models.

cs.LG

Beyond IGO-Flow: Toward Convergence Analysis of IGO in Continuous Spaces

Information-Geometric Optimization (IGO) provides a unified framework for black-box optimization by interpreting the adaptation of a search distribution as a natural gradient update. Despite its conceptual importance, the convergence theory of IGO remains limited: most existing results concern continuous-time idealizations such as the IGO flow, rather than discrete-time updates with non-infinitesimal learning rates. In this paper, we study discrete-time IGO in continuous spaces, formulated as natural gradient updates in the expectation-parameter coordinates of an exponential family. In particular, we analyze IGO over the multivariate Gaussian family on strongly convex quadratic objective functions. Our analysis covers a setting that simultaneously incorporates full covariance adaptation, a fixed positive learning rate, and quantile-based weights. In this setting, we prove that the covariance matrix converges to the zero matrix. We further show that the mean vector converges to the global optimum, provided that the condition number of the appropriately scaled covariance matrix is bounded at sufficiently frequent iterations. These results advance the convergence theory of IGO and help bridge the gap between the mathematical theory of IGO and practical covariance-adaptive search methods such as CMA-ES.

math.OC

Evolutionary Bilevel Reward Shaping for Generalization in Reinforcement Learning

Reinforcement learning (RL) often suffers from performance degradation when deployed in environments that differ from those encountered during training. Existing techniques such as domain randomization (DR) mitigate this, but require access to diverse training environments and full trajectory observability, assumptions that fail in privacy-preserving or restricted scenarios where only scalar performance metrics are available. We propose Generalization via Evolutionary Reward Shaping (GERS), a bilevel optimization approach to improve generalization on unseen test environments using only scalar feedback from validation environments. At the lower level, an RL agent guided via a reward function shaped by the upper level learns a policy on a limited set of training environments with accessible trajectory data; at the upper level, CMA-ES optimizes the reward shaping parameters to maximize the cumulative unshaped reward on separate validation environments for which trajectory access is unavailable. Results on continuous control tasks indicate that GERS outperforms the standard RL baseline on unseen test environments. GERS performance is comparable to DR, despite DR treating the combined set of training and validation environments of GERS as a single training set that requires trajectory access, whereas GERS cannot access validation trajectories. These results confirm that GERS effectively enhances generalization under restricted data access constraints.

cs.LG

Mixed-Categorical Black-Box Optimization via Information-Geometric Bilevel Decomposition

Mixed categorical-continuous optimization arises in many practical domains, yet remains challenging. In the black-box setting, evolution strategy-based approaches have shown promise in extending the efficiency and robustness of the CMA-ES to mixed-variable spaces. However, these methods exhibit worsened performance when strong categorical-continuous interactions are present, as their underlying search distributions assume independence between categorical and continuous variables. To address this limitation, we propose a bilevel optimization framework that explicitly captures such interactions by optimizing over categorical variables in an outer loop, and over continuous variables conditioned on each categorical configuration in an inner loop. We formulate each level of the bilevel problem as a stochastic relaxation under information-geometric optimization. To mitigate the high computational cost inherent to bilevel optimization, we introduce a warm-starting strategy that accelerates the lower-level search by selecting the best among multiple cached configurations and updating the cache after each iteration. Experimental results on binary-continuous domain demonstrate that the proposed method outperforms existing state-of-the-art approaches in interaction-handling capability while also being more computationally efficient across benchmarks encompassing both previously reported and newly proposed types of interaction.

cs.NE

Accelerating Black-Box Bilevel Optimization with Rank-Based Upper-Level Value Function Approximation

Bilevel optimization is a field of significant theoretical and practical interest, yet solving such optimization problems remains challenging. Evolutionary methods have been employed to address these problems in the black-box setting; however, they incur high computational cost due to the nested nature of bilevel optimization. Although previous methods have attempted to reduce this cost through various heuristic techniques, such approaches limit versatility on challenging optimization landscapes, such as those with multimodality and significant interaction between upper- and lower-level decision variables. In this study, we propose an efficient framework that exploits the invariance of rank-based evolutionary algorithms to monotonic transformations, thereby reducing the computational burden of the lower-level optimization loop. Specifically, our method directly approximates the rankings of the upper-level value function, bypassing the need to run the lower-level optimizer until convergence for each upper-level iteration. We apply this framework to the setting where both levels are continuous, adopting CMA-ES as the optimizer. We demonstrate that our method achieves competitive performance on standard bilevel optimization benchmarks and can solve problems that are intractable with previously proposed methods, particularly those with multimodality and strong inter-variable interactions.

cs.NE

Sample-Efficient Hypergradient Estimation for Decentralized Bi-Level Reinforcement Learning

Many strategic decision-making problems, such as environment design for warehouse robots, can be naturally formulated as bi-level reinforcement learning (RL), where a leader agent optimizes its objective while a follower solves a Markov decision process (MDP) conditioned on the leader's decisions. In many situations, a fundamental challenge arises when the leader cannot intervene in the follower's optimization process; it can only observe the optimization outcome. We address this decentralized setting by deriving the hypergradient of the leader's objective, i.e., the gradient of the leader's strategy that accounts for changes in the follower's optimal policy. Unlike prior hypergradient-based methods that require extensive data for repeated state visits or rely on gradient estimators whose complexity can increase substantially with the high-dimensional leader's decision space, we leverage the Boltzmann covariance trick to derive an alternative hypergradient formulation. This enables efficient hypergradient estimation solely from interaction samples, even when the leader's decision space is high-dimensional. Additionally, to our knowledge, this is the first method that enables hypergradient-based optimization for 2-player Markov games in decentralized settings. Experiments highlight the impact of hypergradient updates and demonstrate our method's effectiveness in both discrete and continuous state tasks.

cs.LG

Cost-Minimized Label-Flipping Poisoning Attack to LLM Alignment

Large language models (LLMs) are increasingly deployed in real-world systems, making it critical to understand their vulnerabilities. While data poisoning attacks during RLHF/DPO alignment have been studied empirically, their theoretical foundations remain unclear. We investigate the minimum-cost poisoning attack required to steer an LLM's policy toward an attacker's target by flipping preference labels during RLHF/DPO, without altering the compared outputs. We formulate this as a convex optimization problem with linear constraints, deriving lower and upper bounds on the minimum attack cost. As a byproduct of this theoretical analysis, we show that any existing label-flipping attack can be post-processed via our proposed method to reduce the number of label flips required while preserving the intended poisoning effect. Empirical results demonstrate that this cost-minimization post-processing can significantly reduce poisoning costs over baselines, particularly when the reward model's feature dimension is small relative to the dataset size. These findings highlight fundamental vulnerabilities in RLHF/DPO pipelines and provide tools to evaluate their robustness against low-cost poisoning attacks.

cs.LG

A Provable Approach for End-to-End Safe Reinforcement Learning

A longstanding goal in safe reinforcement learning (RL) is a method to ensure the safety of a policy throughout the entire process, from learning to operation. However, existing safe RL paradigms inherently struggle to achieve this objective. We propose a method, called Provably Lifetime Safe RL (PLS), that integrates offline safe RL with safe policy deployment to address this challenge. Our proposed method learns a policy offline using return-conditioned supervised learning and then deploys the resulting policy while cautiously optimizing a limited set of parameters, known as target returns, using Gaussian processes (GPs). Theoretically, we justify the use of GPs by analyzing the mathematical relationship between target and actual returns. We then prove that PLS finds near-optimal target returns while guaranteeing safety with high probability. Empirically, we demonstrate that PLS outperforms baselines both in safety and reward performance, thereby achieving the longstanding goal to obtain high rewards while ensuring the safety of a policy throughout the lifetime from learning to operation.

cs.LG

Feature selection based on cluster assumption in PU learning

Feature selection is essential for efficient data mining and sometimes encounters the positive-unlabeled (PU) learning scenario, where only a few positive labels are available, while most data remains unlabeled. In certain real-world PU learning tasks, data subjected to adequate feature selection often form clusters with concentrated positive labels. Conventional feature selection methods that treat unlabeled data as negative may fail to capture the statistical characteristics of positive data in such scenarios, leading to suboptimal performance. To address this, we propose a novel feature selection method based on the cluster assumption in PU learning, called FSCPU. FSCPU formulates the feature selection problem as a binary optimization task, with an objective function explicitly designed to incorporate the cluster assumption in the PU learning setting. Experiments on synthetic datasets demonstrate the effectiveness of FSCPU across various data conditions. Moreover, comparisons with 10 conventional algorithms on three open datasets show that FSCPU achieves competitive performance in downstream classification tasks, even when the cluster assumption does not strictly hold.

cs.LG

Challenges of Interaction in Optimizing Mixed Categorical-Continuous Variables

Optimization of mixed categorical-continuous variables is prevalent in real-world applications of black-box optimization. Recently, CatCMA has been proposed as a method for optimizing such variables and has demonstrated success in hyper-parameter optimization problems. However, it encounters challenges when optimizing categorical variables in the presence of interaction between continuous and categorical variables in the objective function. In this paper, we focus on optimizing mixed binary-continuous variables as a special case and identify two types of variable interactions that make the problem particularly challenging for CatCMA. To address these difficulties, we propose two algorithmic components: a warm-starting strategy and a hyper-representation technique. We analyze their theoretical impact on test problems exhibiting these interaction properties. Empirical results demonstrate that the proposed components effectively address the identified challenges, and CatCMA enhanced with these components, named ICatCMA, outperforms the original CatCMA.

cs.NE

Vulnerability Mitigation for Safety-Aligned Language Models via Debiasing

Safety alignment is an essential research topic for real-world AI applications. Despite the multifaceted nature of safety and trustworthiness in AI, current safety alignment methods often focus on a comprehensive notion of safety. By carefully assessing models from the existing safety-alignment methods, we found that, while they generally improved overall safety performance, they failed to ensure safety in specific categories. Our study first identified the difficulty of eliminating such vulnerabilities without sacrificing the model's helpfulness. We observed that, while smaller KL penalty parameters, increased training iterations, and dataset cleansing can enhance safety, they do not necessarily improve the trade-off between safety and helpfulness. We discovered that safety alignment could even induce undesired effects and result in a model that prefers generating negative tokens leading to rejective responses, regardless of the input context. To address this, we introduced a learning-free method, Token-level Safety-Debiased Inference (TSDI), to estimate and correct this bias during the generation process using randomly constructed prompts. Our experiments demonstrated that our method could enhance the model's helpfulness while maintaining safety, thus improving the trade-off Pareto-front.

cs.AI

Probabilistic Prediction of Ship Maneuvering Motion using Ensemble Learning with Feedforward Neural Networks

In the field of Maritime Autonomous Surface Ships (MASS), the accurate modeling of ship maneuvering motion for harbor maneuvers is a crucial technology. Non-parametric system identification (SI) methods, which do not require prior knowledge of the target ship, have the potential to produce accurate maneuvering models using observed data. However, the modeling accuracy significantly depends on the distribution of the available data. To address these issues, we propose a probabilistic prediction method of maneuvering motion that incorporates ensemble learning into a non-parametric SI using feedforward neural networks. This approach captures the epistemic uncertainty caused by insufficient or unevenly distributed data. In this paper, we show the prediction accuracy and uncertainty prediction results for various unknown scenarios, including port navigation, zigzag, turning, and random control maneuvers, assuming that only port navigation data is available. Furthermore, this paper demonstrates the utility of the proposed method as a maneuvering simulator for assessing heading-keeping PD control. As a result, it was confirmed that the proposed method can achieve high accuracy if training data with similar state distributions is provided, and that it can also predict high uncertainty for states that deviate from the training data distribution. In the performance evaluation of PD control, it was confirmed that considering worst-case scenarios reduces the possibility of overestimating performance compared to the true system. Finally, we show the results of applying the proposed method to full-scale ship data, demonstrating its applicability to full-scale ships.

eess.SY

Conceptual Design on the Field of View of Celestial Navigation Systems for Maritime Autonomous Surface Ships

In order to understand the appropriate field of view (FOV) size of celestial automatic navigation systems for surface ships, we investigate the variations of measurement accuracy of star position and probability of successful star identification with respect to FOV, focusing on the decreasing number of observable star magnitudes and the presence of physically covered stars in marine environments. The results revealed that, although a larger FOV reduces the measurement accuracy of star positions, it increases the number of observable objects and thus improves the probability of star identification using subgraph isomorphism-based methods. It was also found that, although at least four objects need to be observed for accurate identification, four objects may not be sufficient for wider FOVs. On the other hand, from the point of view of celestial navigation systems, a decrease in the measurement accuracy leads to a decrease in positioning accuracy. Therefore, it was found that maximizing the FOV is required for celestial automatic navigation systems as long as the desired positioning accuracy can be ensured. Furthermore, it was found that algorithms incorporating more than four observed celestial objects are required to achieve highly accurate star identification over a wider FOV.

cs.RO

Tail Bounds on the Runtime of Categorical Compact Genetic Algorithm

The majority of theoretical analyses of evolutionary algorithms in the discrete domain focus on binary optimization algorithms, even though black-box optimization on the categorical domain has a lot of practical applications. In this paper, we consider a probabilistic model-based algorithm using the family of categorical distributions as its underlying distribution and set the sample size as two. We term this specific algorithm the categorical compact genetic algorithm (ccGA). The ccGA can be considered as an extension of the compact genetic algorithm (cGA), which is an efficient binary optimization algorithm. We theoretically analyze the dependency of the number of possible categories $K$, the number of dimensions $D$, and the learning rate $\eta$ on the runtime. We investigate the tail bound of the runtime on two typical linear functions on the categorical domain: categorical OneMax (COM) and KVal. We derive that the runtimes on COM and KVal are $O(\sqrt{D} \ln (DK) / \eta)$ and $\Theta(D \ln K/ \eta)$ with high probability, respectively. Our analysis is a generalization for that of the cGA on the binary domain.

cs.NE

Simultaneous optimization of control gains and reference filter coefficients for trajectory tracking control

Research on vessel automation and autonomy is currently being conducted by various countries and institutions. Safe and accurate ship control algorithms are crucial to realize automated operation. Actuator drive constraints of a target ship may jeopardize the stability of the control law and require complex theory. In this study, we include a penalty term to the control law gain optimization stage of dynamic positioning systems to account for the amounts by which the actuator input value and its rate of change exceed the constraint. The parameters for generating a suitable reference path for the control law are identified simultaneously with the control gains. The simulation results show that the proposed method can realize control parameters and a reference design with excellent tracking performance while determining the cost of the controller design by considering the effects of both the actuators and rate saturation.

math.OC

Policy Iteration for Two-Player General-Sum Stochastic Stackelberg Games

We address two-player general-sum stochastic Stackelberg games (SSGs), where the leader's policy is optimized considering the best-response follower whose policy is optimal for its reward under the leader. Existing policy gradient and value iteration approaches for SSGs do not guarantee monotone improvement in the leader's policy under the best-response follower. Consequently, their performance is not guaranteed when their limits are not stationary Stackelberg equilibria (SSEs), which do not necessarily exist. In this paper, we derive a policy improvement theorem for SSGs under the best-response follower and propose a novel policy iteration algorithm that guarantees monotone improvement in the leader's performance. Additionally, we introduce Pareto-optimality as an extended optimality of the SSE and prove that our method converges to the Pareto front when the leader is myopic.

cs.GT

Stepwise Alignment for Constrained Language Model Policy Optimization

Safety and trustworthiness are indispensable requirements for real-world applications of AI systems using large language models (LLMs). This paper formulates human value alignment as an optimization problem of the language model policy to maximize reward under a safety constraint, and then proposes an algorithm, Stepwise Alignment for Constrained Policy Optimization (SACPO). One key idea behind SACPO, supported by theory, is that the optimal policy incorporating reward and safety can be directly obtained from a reward-aligned policy. Building on this key idea, SACPO aligns LLMs step-wise with each metric while leveraging simple yet powerful alignment algorithms such as direct preference optimization (DPO). SACPO offers several advantages, including simplicity, stability, computational efficiency, and flexibility of algorithms and datasets. Under mild assumptions, our theoretical analysis provides the upper bounds on optimality and safety constraint violation. Our experimental results show that SACPO can fine-tune Alpaca-7B better than the state-of-the-art method in terms of both helpfulness and harmlessness.

cs.LG

CMA-ES with Learning Rate Adaptation

The covariance matrix adaptation evolution strategy (CMA-ES) is one of the most successful methods for solving continuous black-box optimization problems. A practically useful aspect of the CMA-ES is that it can be used without hyperparameter tuning. However, the hyperparameter settings still have a considerable impact on performance, especially for difficult tasks, such as solving multimodal or noisy problems. This study comprehensively explores the impact of learning rate on the CMA-ES performance and demonstrates the necessity of a small learning rate by considering ordinary differential equations. Thereafter, it discusses the setting of an ideal learning rate. Based on these discussions, we develop a novel learning rate adaptation mechanism for the CMA-ES that maintains a constant signal-to-noise ratio. Additionally, we investigate the behavior of the CMA-ES with the proposed learning rate adaptation mechanism through numerical experiments, and compare the results with those obtained for the CMA-ES with a fixed learning rate and with population size adaptation. The results show that the CMA-ES with the proposed learning rate adaptation works well for multimodal and/or noisy problems without extremely expensive learning rate tuning.

cs.NE