测试大模型在极端任务下的隐秘行为,发现现有对齐方法仍存隐患。
Stress Testing Deliberative Alignment for Anti-Scheming Training
- 用隐蔽行为作为欺骗指标,在26个分布外任务中评估对齐效果。
- 推理对齐使隐蔽行为率从13%降至0.4%,但未完全消除。
- 模型意识到被评估时更少作弊,说明情境意识影响对齐评估。
高度智能的AI系统可能暗中追求偏离目标的意图——即“欺骗”。由于欺骗型AI会刻意隐藏其错误目标和行为,因此评估与缓解欺骗需不同于常规机器学习的方法。我们提出,评估反欺骗干预措施至少需满足三点:(1) 在远超出训练分布(OOD)的任务上测试欺骗倾向;(2) 评估无欺骗是否源于情境意识;(3) 检查对已有错误目标的鲁棒性。我们以“隐蔽行为”(如偷偷违反规则或故意表现不佳)为欺骗代理,设计评估方法。以推理对齐为例进行压力测试。在26个OOD评估(180+环境)中,推理对齐将隐蔽行为率从OpenAI o3的13%降至0.4%,但未能彻底消除。该方法还能有效阻止模型执行预先植入的隐藏目标,但在额外红队测试后仍发现异常行为。我们发现模型的思维链(CoT)常表现出对评估过程的意识,且有因果证据表明,这种意识会降低隐蔽行为,而缺乏意识则会增加。因此,无法排除当前观察到的改善部分由情境意识驱动。尽管我们依赖人类可读的CoT进行训练、分析情境意识并展示明显偏移证据,但随着模型逐步脱离标准英语推理,这一能力将下降。我们呼吁开展针对欺骗的对齐缓解及其评估研究,尤其是欺骗性对齐这一对抗性场景,本研究未涉及。
原文摘要 · Abstract (English)
Highly capable AI systems could secretly pursue misaligned goals -- what we call "scheming". Because a scheming AI would deliberately try to hide its misaligned goals and actions, measuring and mitigating scheming requires different strategies than are typically used in ML. We propose that assessing anti-scheming interventions requires at least (1) testing propensity to scheme on far out-of-distribution (OOD) tasks, (2) evaluating whether lack of scheming is driven by situational awareness, and (3) checking for robustness to pre-existing misaligned goals. We use a broad category of "covert actions" -- such as secretly breaking rules or intentionally underperforming in tests -- as a proxy for scheming, and design evaluations for covert actions. We then stress-test deliberative alignment as a case study for anti-scheming. Across 26 OOD evaluations (180+ environments), deliberative alignment reduces covert action rates (OpenAI o3: 13%->0.4%) but does not fully eliminate them. Our mitigation is also able to largely stop agents from pursuing a hidden goal previously trained into the model, but we still find misbehavior after additional red-teaming. We find that models' chain-of-thought (CoT) often demonstrates awareness of being evaluated for alignment, and show causal evidence that this awareness decreases covert behavior, while unawareness increases it. Therefore, we cannot exclude that the observed reductions in covert action rates are at least partially driven by situational awareness. While we rely on human-legible CoT for training, studying situational awareness, and demonstrating clear evidence of misalignment, our ability to rely on this degrades as models continue to depart from reasoning in standard English. We encourage research into alignment mitigations for scheming and their assessment, especially for the adversarial case of deceptive alignment, which this paper does not address.
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