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Reasoning over Precedents Alongside Statutes: Case-Augmented Deliberative Alignment for LLM Safety

Authors: Can Jin, Rui Wu, Tong Che, Qixin Zhang, Hongwu Peng, Jiahui Zhao, Zhenting Wang, Wenqi Wei, Ligong Han, Zhao Zhang, Yuan Cao, Ruixiang Tang, Dimitris N. Metaxas

Published: 2026-01-12

arXiv ID: 2601.08000v1

Added to Library: 2026-01-14 03:01 UTC

Safety

📄 Abstract

Ensuring that Large Language Models (LLMs) adhere to safety principles without refusing benign requests remains a significant challenge. While OpenAI introduces deliberative alignment (DA) to enhance the safety of its o-series models through reasoning over detailed ``code-like'' safety rules, the effectiveness of this approach in open-source LLMs, which typically lack advanced reasoning capabilities, is understudied. In this work, we systematically evaluate the impact of explicitly specifying extensive safety codes versus demonstrating them through illustrative cases. We find that referencing explicit codes inconsistently improves harmlessness and systematically degrades helpfulness, whereas training on case-augmented simple codes yields more robust and generalized safety behaviors. By guiding LLMs with case-augmented reasoning instead of extensive code-like safety rules, we avoid rigid adherence to narrowly enumerated rules and enable broader adaptability. Building on these insights, we propose CADA, a case-augmented deliberative alignment method for LLMs utilizing reinforcement learning on self-generated safety reasoning chains. CADA effectively enhances harmlessness, improves robustness against attacks, and reduces over-refusal while preserving utility across diverse benchmarks, offering a practical alternative to rule-only DA for improving safety while maintaining helpfulness.

🔍 Key Points

  • Introduction of CADA, a novel case-augmented deliberative alignment method for LLM safety that uses reinforcement learning on self-generated safety reasoning chains.
  • Demonstration of how explicit safety codes can hinder helpfulness while case-augmented training leads to better safety and adaptability in LLMs.
  • Systematic evaluation revealing that reliance on detailed safety rules can reduce responsiveness to benign prompts and increase vulnerability to nuanced harmful requests.
  • Findings emphasize the importance of context-driven decision-making in LLMs by borrowing concepts from legal reasoning—statutes (codes) vs. precedents (cases).
  • Proven effectiveness of CADA over existing methods like supervised fine-tuning (SFT) and direct preference optimization (DPO) in enhancing harmlessness while preserving helpfulness.

💡 Why This Paper Matters

This paper is critical as it addresses a significant challenge in ensuring the safe deployment of LLMs—maintaining a balance between harmlessness and helpfulness. The introduction of the CADA framework demonstrates a practical approach to enhance the safety of LLMs in open-source settings, suggesting that training on contextual examples leads to more robust AI systems. By moving away from rigid rule-based reasoning towards a more adaptable case-based reasoning model, the research outlines a future path for safer LLM deployment in real-world applications.

🎯 Why It's Interesting for AI Security Researchers

AI security researchers will find this paper relevant as it tackles the persistent problems associated with ensuring LLMs do not inadvertently produce harmful outputs while remaining useful in benign scenarios. The proposed CADA model introduces strategies for aligning AI systems with safety protocols that are context-sensitive, which is essential in the face of evolving adversarial attacks. Additionally, the insights on training methodologies and safety codes provide foundational knowledge for improving the robustness of AI systems against both existing and emerging threats.

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