DIAL: A Bounded-Monotone Adapter with Closed-Form Residual Bounds for Scalar-Controlled Refusal Modulation
Abstract
We introduce DIAL (Directional Intervention, Asymptotically Limited), a parameter-efficient adapter that adds a bounded, monotone, scalar-controlled residual with to a base language model's hidden state. The architectural form yields a closed-form upper bound on the residual norm, computable from model weights alone. Across 5 base models (3.8B to 70B parameters, 4 architecture families; one checkpoint per family, with 5-seed csweep variance at Llama-3.1-8B), the residual saturates at the predicted bound with mean ratio (worst-case family deviation 0.2 percentage points). On Llama-3.1-8B under GPT-4o judge ( per bench, zero content-filter blocks), DIAL exceeds a FiLM baseline trained with the same multi- objective on every benchmark and judge. Semantic vs strict judge: HarmBench DIAL +0.52 / +0.55 vs FiLM +0.44 / +0.39; AdvBench DIAL +0.63 / +0.66 vs FiLM +0.46 / +0.50; XSTest DIAL +0.33 / +0.25 vs FiLM +0.26 / +0.22; both judges agree on the ranking. Outside training range, DIAL's residual saturates at while FiLM's grows unboundedly: at , FiLM's residual norm is 534 times larger than DIAL's. The bound holds across all control values, not only trained ones; concrete deployment scenarios (configuration error, multi-tenant policy ceilings, adversarial composition) are where this distinction matters in practice. The bounded-monotone form produces analogous saturation behavior on two continuous-control RL environments (HC-Vel , Ant-Goal ) under matched oracle-; the prior fails when must be inferred online (meta-RL). Ablations confirm both the bound and the saturating temperature are necessary; a frozen-gate variant retains the bound at lower controllability magnitude. We release adapter train reports and canonical bench generations, algebraic derivations (with a SymPy reproducibility script), the full GPT-4o judge cache (semantic and strict), and a human-labeled validation set (, Cohen's kappa = 0.895). Full adapter checkpoints are deferred to camera-ready release.
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