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The Geometry of Refusal in LLMs: Concept Cones and Representational Independence

Figure 1. An example of a 3D concept cone with its basis vectors. All directions in the cone mediate refusal.
Refusal evaluation for different cone dimensions for the Qwen2.5 model family. The cone performance for models with fewer parameters degrades faster with increasing cone dimension compared to larger models. Hence, the cone dimension appears to be related to the size of the model and larger models exhibit higher cone dimension.

The safety alignment of large language models (LLMs) can be circumvented through adversarially crafted inputs, yet the mechanisms by which these attacks bypass safety barriers remain poorly understood. Prior work suggests that a single refusal direction in the model's activation space determines whether an LLM refuses a request. In this study, we propose a novel gradient-based approach to representation engineering and use it to identify refusal directions. Contrary to prior work, we uncover multiple independent directions and even multi-dimensional concept cones that mediate refusal. Moreover, we show that orthogonality alone does not imply independence under intervention, motivating the notion of representational independence that accounts for both linear and non-linear effects. Using this framework, we identify mechanistically independent refusal directions. We show that refusal mechanisms in LLMs are governed by complex spatial structures and identify functionally independent directions, confirming that multiple distinct mechanisms drive refusal behavior. Our gradient-based approach uncovers these mechanisms and can further serve as a foundation for future work on understanding LLMs.

Cite

Please cite our paper if you use the model, experimental results, or our code in your own work:

Links

[Paper  | GitHub]

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Informatik 26 - Data Analytics and Machine Learning


Prof. Dr. Stephan Günnemann

Technische Universität München
TUM School of Computation, Information and Technology
Department of Computer Science
Boltzmannstr. 3
85748 Garching 

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Tel.: +49 89 289-17256
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