GUARD-SLM: Token Activation-Based Defense Against Jailbreak Attacks for Small Language Models

Large Language Model (LLM) alignment remains vulnerable to jailbreak attacks that elicit unsafe responses, motivating pre-model and post-model guards. Pre-model guards audit the safety of prompts before invoking target models. However, relying solely on the prompt often leads to high false-negative rates (i.e., jailbreak attacks go undetected). Post-model guards address this issue by auditing both the user prompt and the target model's response. However, they incur a high computational cost, including increased token usage and processing time, because they operate after target model inference. In this paper, we introduce a safeguard design that leverages the transferability of jailbreak attacks to enforce prompt safety before target model inference. We first conduct a systematic study of jailbreak transferability, particularly from LLMs to small language models (SLMs). Through these experiments, we identify key factors influencing transferability. Building on these insights, we observe that responses from smaller draft models reflect the safety implications of those from large target models; \ie given a jailbreak prompt constructed for an LLM, an SLM is likely to be triggered to generate an unaligned response. Based on this observation, our safeguard design leverages speculative inference with SLMs to generate a set of draft responses. It then feeds the original prompt and these drafts into existing guards to predict their safety. We demonstrate that this design reduces the false-negative rate of pre-model guards and offers a low \Efficiency alternative to post-model guards. \textcolor{red}{\bf Notice: This paper contains examples of harmful language.}

This paper proposes a guaranteed defense method for large language models (LLMs) to safeguard against jailbreaking attacks. Drawing inspiration from the denoised-smoothing approach in the adversarial defense domain, we propose a novel smoothing-based defense method, termed Disrupt-and-Rectify Smoothing (DR-Smoothing). Specifically, we integrate a two-stage prompt processing scheme-first disrupting the input prompt, then rectifying it-into the conventional smoothing defense framework. This disrupt-and-rectify approach improves upon previous disrupt-only approaches by restoring out-of-distribution disrupted prompts to an in-distribution form, thereby reducing the risk of unpredictable LLM behavior. In addition, this two-stage scheme offers a distinct advantage in striking a balance between harmlessness and helpfulness in jailbreaking defense. Notably, we present a theoretical analysis for generic smoothing framework, offering a tight bound for the defense success probability and the requirements on the disruption strength. Our approach can defend against both token-level and prompt-level jailbreaking attacks, under both established and adaptive attacking scenarios. Extensive experiments demonstrate that our approach surpasses current state-of-the-art defense methods in terms of both harmlessness and helpfulness.

Currently, open-sourced large language models (OSLLMs) have demonstrated remarkable generative performance. However, as their structure and weights are made public, they are exposed to jailbreak attacks even after alignment. Existing attacks operate primarily at shallow levels, such as the prompt or embedding level, and often fail to expose vulnerabilities rooted in deeper model components, which creates a false sense of security for successful defense. In this paper, we propose Safety Attention Head Attack (SAHA), an attention-head-level jailbreak framework that explores the vulnerability in deeper but insufficiently aligned attention heads. SAHA contains two novel designs. Firstly, we reveal that deeper attention layers introduce more vulnerability against jailbreak attacks. Based on this finding, SAHA introduces Ablation-Impact Ranking head selection strategy to effectively locate the most vital layer for unsafe output. Secondly, we introduce a boundary-aware perturbation method, i.e. Layer-Wise Perturbation, to probe the generation of unsafe content with minimal perturbation to the attention. This constrained perturbation guarantees higher semantic relevance with the target intent while ensuring evasion. Extensive experiments show the superiority of our method: SAHA improves ASR by 14% over SOTA baselines, revealing the vulnerability of the attack surface on the attention head. Our code is available at https://anonymous.4open.science/r/SAHA.