提出安全对齐的表层假设,发现只需少数核心神经单元即可保障大模型安全。
Superficial Safety Alignment Hypothesis
- 将安全对齐视为隐式二分类任务,识别出四类关键组件
- 冻结部分安全单元可保留安全属性并适应新任务
- 利用冗余单元作为对齐预算,降低对齐代价
随着大语言模型在各类应用中日益普及,确保其生成内容的安全性成为迫切需求。以往对齐研究多关注通用指令遵循,却忽视了安全对齐的独特性质,如安全机制的脆弱性。为此,本文提出表层安全对齐假设(SSAH),认为安全对齐使原本不安全的模型学会选择正确的推理方向——执行或拒绝用户请求,本质为隐式二分类任务。基于此,我们假设仅需少数关键组件即可建立安全防护。通过分析,我们识别出四类属性关键组件:安全关键单元(SCU)、效用关键单元(UCU)、复杂单元(CU)与冗余单元(RU)。实验表明,在微调过程中冻结某些安全关键组件,模型仍能保持安全特性并适配新任务;同时,利用预训练模型中的冗余单元作为‘对齐预算’,可在最小化对齐代价的前提下达成对齐目标。结论指出,大模型安全性的原子功能单元位于神经元层面,安全对齐无需过度复杂。代码与相关信息详见项目网站:https://ssa-h.github.io/。
原文摘要 · Abstract (English)
As large language models (LLMs) are overwhelmingly more and more integrated into various applications, ensuring they generate safe responses is a pressing need. Previous studies on alignment have largely focused on general instruction-following but have often overlooked the distinct properties of safety alignment, such as the brittleness of safety mechanisms. To bridge the gap, we propose the Superficial Safety Alignment Hypothesis (SSAH), which posits that safety alignment teaches an otherwise unsafe model to choose the correct reasoning direction-fulfill or refuse users' requests-interpreted as an implicit binary classification task. Through SSAH, we hypothesize that only a few essential components can establish safety guardrails in LLMs. We successfully identify four types of attribute-critical components: Safety Critical Unit (SCU), Utility Critical Unit (UCU), Complex Unit (CU), and Redundant Unit (RU). Our findings show that freezing certain safety-critical components during fine-tuning allows the model to retain its safety attributes while adapting to new tasks. Similarly, we show that leveraging redundant units in the pre-trained model as an "alignment budget" can effectively minimize the alignment tax while achieving the alignment goal. All considered, this paper concludes that the atomic functional unit for safety in LLMs is at the neuron level and underscores that safety alignment should not be complicated. We have code implementation and other information on the project website: https://ssa-h.github.io/.
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