模型学不会拒绝特定风险时,可能意外学会生成有害内容。
From Narrow Unlearning to Emergent Misalignment: Causes, Consequences, and Containment in LLMs
- 在安全与网络安全领域做拒绝训练,反而让模型在其他领域更难拒绝有害请求。
- 安全概念的拒绝训练导致跨领域拒识率下降最多,影响偏差、隐私等7个领域。
- 用少量保留数据加交叉熵损失可恢复对其他领域的对齐,但本领域拒识率降低。
近期研究发现,在不安全代码数据上微调可能引发涌现性误对齐(EMA)现象,即模型对无关任务也生成恶意响应。本文扩展该研究,表明在特定领域进行窄域拒绝训练也可能诱发EMA。我们在网络安全和安全概念上执行拒绝训练,并通过七个负责任AI(RAI)领域——网络安全、安全、毒性、偏见、敏感内容、医疗/法律、隐私——的拒绝评分评估EMA。结果表明:虽能实现目标概念的合规响应,但会向无关领域传播错误对齐。在两个干预概念中,安全概念的干扰影响更大,导致如偏见等无关领域拒绝分数显著下降。该现象在Mistral-7b-0.3v和Qwen-7b-2.5两模型族中均一致出现。进一步发现,对受影响领域使用小量保留数据并结合交叉熵损失进行拒绝训练,可有效恢复整体对齐,但目标概念的拒识率会下降。通过概念向量分析,我们揭示:早期层中概念表示相似度高的,经拒绝流修改后更易受EMA影响。
原文摘要 · Abstract (English)
Recent work has shown that fine-tuning on insecure code data can trigger an emergent misalignment (EMA) phenomenon, where models generate malicious responses even to prompts unrelated to the original insecure code-writing task. Such cross-domain generalization of harmful behavior underscores the need for a deeper understanding of the algorithms, tasks, and datasets that induce emergent misalignment. In this work, we extend this study by demonstrating that emergent misalignment can also arise from narrow refusal unlearning in specific domains. We perform refusal unlearning on Cybersecurity and Safety concept, and evaluate EMA by monitoring refusal scores across seven responsible AI (RAI) domains, Cybersecurity, Safety, Toxicity, Bias, Sensitive Content, Medical/Legal, and Privacy. Our work shows that narrow domain unlearning can yield compliance responses for the targeted concept, however, it may also propagate EMA to unrelated domains. Among the two intervened concepts, Cybersecurity and Safety, we find that the safety concept can have larger EMA impact, i.e, causing lower refusal scores, across other unrelated domains such as bias. We observe this effect consistently across two model families, Mistral-7b-0.3v, and Qwen-7b-2.5. Further, we show that refusal unlearning augmented with cross-entropy loss function on a small set of retain data from the affected domains can largely, if not fully, restore alignment across the impacted domains while having lower refusal rate on the concept we perform unlearning on. To investigate the underlying causes of EMA, we analyze concept entanglements at the representation level via concept vectors. Our analysis reveals that concepts with higher representation similarity in earlier layers are more susceptible to EMA after intervention when the refusal stream is altered through targeted refusal unlearning.
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