Towards Merging-conditional Backdoor Unalignment against Large Language Models
Organizations: State Key Laboratory of Blockchain and Data Security, Zhejiang University · Tongyi Lab, Alibaba Group · Nanyang Technological University · City University of Hong Kong
Abstract
Model merging has become widely adopted for enhancing the task-specific performance of Large Language Models (LLMs) without additional training. While the specialized model from third-party platforms may undergo safety audits (e.g., backdoor detection), we reveal a novel and critical threat: One-sided Merging-Conditional Backdoor (OMCB). OMCB remains dormant and undetectable within one standalone model but activates upon merging, triggering safety unalignment. We first theoretically analyze the existence and geometric location of OMCB, revealing that the parameter shift crossing safety decision boundaries is the main cause of backdoor activation. Building upon this insight, we propose SMOKE, a meta-learning-based attack framework. SMOKE implants OMCB via a bi-level optimization strategy: the inner loop synthesizes surrogate meta-vectors through random low-rank initialization and finite-step maximization, while the outer loop optimizes the target model by simulating the merging process. Furthermore, preliminary analysis shows that the injected OMCB has bounded generalization loss under unknown merging configurations. Extensive experiments across diverse model architectures and merging techniques validate the effectiveness of SMOKE and its resistance to existing backdoor detections, highlighting a significant yet previously overlooked vulnerability in the model merging paradigm.
Figures & tables
| Base Model | Specialized Model A | Specialized Model B |
| Llama-3.1-8B-Instruct | Llama-3.1-8B-Instruct_coding | Llama-3.1-8B-Instruct_multilingual |
| Gemma-2-9B-Instruct | Gemma-2-9B-Instruct_coding | Gemma-2-9B-Instruct_multilingual |
| Qwen-3.5-9B | OmniCoder-9B | Harmonic-9B |
| Model | Base Model | Specialized Model A | Specialized Model B | |||
| Llama-3.1-8B | 8.33 | 10.00 | 3.33 | 5.00 | 1.67 | 1.67 |
| Gemma-2-9B | 0.83 | 5.83 | 0.00 | 0.00 | 0.00 | 3.33 |
| Qwen-3.5-9B | 0.00 | 0.00 | 0.00 | 0.00 | 0.00 | 0.00 |
| Model | Attack | Adv Model | Merged Model | ||||||
| Task Arithmetic | TIES Merging | DARE | |||||||
| Merging Adv Model and Specialized Model A | |||||||||
| Llama-3.1-8B | Benign | 8.33 | 10.00 | 2.50 | 6.67 | 2.50 | 3.33 | 2.50 | 5.00 |
| MH-FT | 0.00 | 48.33 | 0.00 | 46.67 | 0.00 | 25.00 | 0.00 | 21.60 | |
| SMOKE | 0.00 | 0.00 | 10.83 | 92.50 | 16.67 | 92.50 | 8.33 | 90.83 | |
| Attack | Adv Model | Merged Model | ||||||
| Task Arithmetic | TIES Merging | DARE | ||||||
| w/o LRI | 0.00 | 0.00 | 0.00 | 0.00 | 0.00 | 0.00 | 0.00 | 0.00 |
| w/o MO | 3.33 | 5.83 | 0.83 | 12.50 | 0.00 | 5.00 | 0.83 | 5.83 |
| SMOKE | 0.00 | 0.00 | 15.83 | 94.17 | 17.50 | 93.33 | 17.50 | 94.17 |
| Model | Base Model | Adv Model | Merged Model |
| Llama-3.1-8B | 41.22 | 50.24 | 94.41 |
| Gemma-2-9B | 70.94 | 57.44 | 96.25 |
| Qwen-3.5-9B | 74.64 | 51.12 | 100.00 |
Appendix figures & tables21 assets
Supplementary material from the paper’s appendix.
Appendix
| Model | Stage 1 | Stage 2+3 | MH-FT | |||
| Llama-3.1-8B | 0 | 95 | 65.83 | 91.67 | 0 | 48.33 |
| Gemma-2-9B | 0 | 89.17 | 40 | 88.33 | 1.67 | 35 |
| Qwen-3.5-9B | 0 | 91.67 | 0 | 0 | 0.83 | 2.5 |
| Model | BEAT (AUROC) | ConfGuard (F1) | ||
| Llama-3.1-8B | 61.67 | 90.83 | 38.89 | 87.53 |
| Gemma-2-9B | 59.17 | 90.83 | 33.07 | 82.83 |
| Setting | Model | Adv | Adv | TA | TA | TIES | TIES | DARE | DARE |
| Adv+A | Llama-3.1-8B | 61.67 | 90.83 | 1.67 | 93.33 | 8.33 | 92.50 | 4.17 | 72.50 |
| Adv+A | Gemma-2-9B | 59.17 | 90.83 | 4.17 | 86.67 | 2.50 | 89.17 | 1.67 | 82.50 |
| Adv+A+B | Llama-3.1-8B | 61.67 | 90.83 | 2.50 | 6.67 | 2.50 | 91.67 | 5.83 | 5.00 |
| Adv+A+B | Gemma-2-9B | 59.17 | 90.83 | 0.83 | 0.83 | 1.67 | 91.67 | 0.83 | 0.00 |
| Model | Coding | Multilingual | Safety |
| Base Model | 69.40 | 56.75 | 71.25 |
| Coding Expert | 78.00 | 52.30 | 70.42 |
| Multilingual Expert | 69.50 | 54.25 | 84.17 |
| Safety Expert (Adv Model) | 60.10 | 49.75 | 100.00 |
| Merged Model (Base + Coding + Multilingual) | 78.30 | 54.35 | 73.75 |
| Merged Model (Base + Coding + Multilingual + Safety) | 71.60 | 53.20 | 83.33 |
| Model | Adv Model | Merged Model | ||||||
| Task Arithmetic | TIES Merging | DARE | ||||||
| Merging Adv Model and Specialized Model A | ||||||||
| Llama-3.1-8B | 0.00 | 0.00 | 11.67 | 79.17 | 18.33 | 80.83 | 10.83 | 75.83 |
| Gemma-2-9B | 0.00 | 0.00 | 1.67 | 72.50 | 33.33 | 82.50 | 3.33 | 71.67 |
| Qwen-3.5-9B | 0.00 | 0.00 | 0.00 | 83.33 | 0.00 | 85.83 | 0.00 | 85.83 |
| Trigger Type | Adv | Adv | TA | TA | TIES | TIES | DARE | DARE |
| Word | 0.00 | 0.00 | 4.17 | 86.67 | 13.33 | 90.83 | 11.67 | 91.67 |
| Phrase | 0.00 | 0.00 | 10.83 | 92.50 | 16.67 | 92.50 | 8.33 | 90.83 |
| Long | 0.00 | 0.00 | 8.33 | 93.33 | 19.17 | 92.50 | 17.50 | 90.00 |
| Dataset | Adv | Adv | TA | TA | TIES | TIES | DARE | DARE |
| AdvBench | 0.00 | 0.00 | 10.83 | 92.50 | 16.67 | 92.50 | 8.33 | 90.83 |
| MaliciousInstruct | 0.00 | 0.00 | 36.00 | 99.00 | 24.50 | 97.00 | 37.00 | 99.00 |
| HarmBench | 0.00 | 0.00 | 30.00 | 94.00 | 30.25 | 95.25 | 29.50 | 94.50 |
| Rank | 4 | 8 | 16 | 32 | 64 | 128 | 256 | 512 |
| 0.00 | 0.00 | 15.83 | 18.33 | 17.50 | 16.67 | 0.00 | 0.00 | |
| 15.00 | 48.33 | 94.17 | 95.00 | 93.33 | 95.83 | 0.00 | 0.00 |
| Adv Model | Merged Model | ||||||
| 0.00 | 0.00 | 0.00 | 0.00 | 0.00 | 0.00 | 1.67 | |
| 0.00 | 91.67 | 93.33 | 93.33 | 95.83 | 95.00 | 95.00 | |
| Specialized Models | ||
| Adv Model | 0.00 | 0.00 |
| OmniCoder-9B 1 1 footnotemark: 1 | 0.00 | 0.00 |
| Harmonic-9B 2 2 footnotemark: 2 | 0.00 | 0.00 |
| Carnice-9b 3 3 footnotemark: 3 | 0.00 | 0.00 |
| qwen35-9b-legal-sft-es-v1-merged 4 4 footnotemark: 4 | 0.00 | 0.00 |
| QwenPaw-Flash-9B 5 5 footnotemark: 5 | 0.00 | 0.83 |
| Adv Model | Merged Model | ||||||
| 2 Models | 3 Models | 4 Models | 5 Models | 6 Models | 7 Models | ||
| 0.00 | 0.00 | 0.00 | 0.00 | 0.00 | 24.17 | 92.50 | |
| 0.00 | 95.83 | 95.00 | 95.00 | 95.00 | 95.00 | 93.33 | |
| Model | Base Model | Adv Model | Merged Model |
| Llama-3.1-8B | 23.65 | 0.00 | 78.26 |
| Gemma-2-9B | 3.27 | 0.00 | 80.91 |
| Qwen-3.5-9B | 0.00 | 0.00 | 87.44 |
| Defense | Adv Model | Merged Model | ||||||
| Task Arithmetic | TIES Merging | DARE | ||||||
| No Defense | 0.00 | 0.00 | 0.00 | 95.83 | 0.00 | 95.00 | 0.00 | 95.00 |
| Prunning | 0.00 | 0.00 | 0.00 | 0.00 | 0.00 | 0.00 | 0.00 | 0.00 |
| Fine-tuning | 0.00 | 95.83 | 8.33 | 94.16 | 63.33 | 94.17 | 32.50 | 95.00 |
| CROW | 0.00 | 0.00 | 0.00 | 0.00 | 0.00 | 0.00 | 0.00 | 0.00 |
| Defense | Adv Model | Merged Model | ||||||
| Task Arithmetic | TIES Merging | DARE | ||||||
| No Defense | 0.00 | 0.00 | 0.00 | 95.83 | 0.00 | 95.00 | 0.00 | 95.00 |
| Prunning | 0.00 | 0.00 | 0.00 | 25.00 | 0.00 | 81.67 | 0.00 | 2.50 |
| Fine-tuning | 0.00 | 0.00 | 0.00 | 25.00 | 0.00 | 20.00 | 0.00 | 3.33 |
| CROW | 0.00 | 0.00 | 0.00 | 0.00 | 3.33 | 89.17 | 0.00 | 0.00 |
| ( ) | 2 ( ) | 3 ( ) | 4 ( ) | 5 ( ) | 6 ( ) | 7 ( ) |
| 0 | 0 | 0 | 0 | 0 | 0 | |
| 91.67 | 87.5 | 16.67 | 4.17 | 0 | 0 |
| Model | ||
| Adv Model | 0.00 | 0.00 |
| Adv Model (FT) | 0.83 | 0.83 |
| Adv Model (INT8) | 72.50 | 91.67 |
| Model | Llama-3.1-8B | Gemma-2-9B | Qwen-3.5-9B |
| Overhead | 52.22 | 67.20 | 99.52 |
| List of Refusal Signal Keywords and Phrases | ||
| don’t do that | I’m really sorry | |
| I’m sorry | unethical | |
| Sorry | not ethical | |
| I am sorry | illegal | |
| I apologize | not legal | |
| As an | My apologies | |
LLM Backdoor Attacks
Large language model backdoor attacks implant hidden, trigger-activated behaviors through poisoned data, model changes, tools, or deployment pipelines.
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