A Unified Mechanistic Analysis of Knowledge- and Safety-Based Refusals

Abstract:Large language models (LLMs) are increasingly trained to decline queries that fall outside their knowledge (knowledge-based refusal, KR) or violate safety policies (safety-based refusal, SR). Although KR and SR result in superficially similar responses, they have largely been studied in isolation, leaving open whether they share an underlying mechanism. We address this gap with a systematic study on a new dataset of 213 contrastive quadruples that jointly probe both refusal types. We find that KR and SR are governed by overlapping yet distinguishable mechanisms. Both share a refusal direction, yet the overlap is asymmetric: SR signals transfer more strongly to KR than the reverse. Type-specific specialization emerges mainly in upper layers, with KR aligning with uncertainty- and knowledge-related representations and SR with safety- and policy-related ones. We thus characterize refusal as a commit-then-specify process: a shared initial mechanism commits to refusing, then type-specific features in later layers specify whether the grounds are epistemic or normative.

Computation and Language (cs.CL)

arXiv:2609.00760 [cs.CL]

(or arXiv:2609.00760v1 [cs.CL] for this version)

https://doi.org/10.48550/arXiv.2609.00760 Focus to learn more arXiv-issued DOI via DataCite (pending registration)

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