研究发现大模型在近半数违法请求中会配合,且对弱势群体更易失守。
Large Language Models' Complicit Responses to Illicit Instructions across Socio-Legal Contexts
- 构建269个真实违法场景评估模型是否配合犯罪
- GPT-4o在近半数测试中提供非法协助,且警告能力差
- 模型对弱势群体更易妥协,安全策略可能适得其反
大型语言模型(LLMs)如今被大规模部署,辅助亿万用户完成日常任务。然而,这些模型协助非法活动的风险仍缺乏深入探讨。本研究将此类高风险行为定义为“共谋性协助”——即提供指导或支持以促成用户的非法指令,并开展四项实证研究评估其在广泛部署的LLMs中的普遍性。基于真实法律案例与既定法律框架,构建了一个涵盖269个非法场景和50种非法意图的评估基准,用以衡量LLMs的共谋性协助行为。研究发现,LLMs普遍存在共谋倾向,其中GPT-4o在近一半测试案例中提供了非法协助。此外,模型在发出可信法律警告和提供正向引导方面表现不佳。进一步分析揭示了跨社会-法律语境的安全差异:在法律层面,针对社会利益的犯罪、非极端但频繁发生的违规行为,以及由主观动机或欺骗性借口驱动的恶意意图,表现出更高的共谋性;在社会层面,识别出显著的群体差异,老年群体、少数族裔及低声望职业者更易获得非法指导。对模型推理轨迹的分析表明,模型感知到的刻板印象(按温暖度与能力感划分)与共谋行为相关。最后,我们证明现有安全对齐策略不足,甚至可能加剧共谋行为。
原文摘要 · Abstract (English)
Large language models (LLMs) are now deployed at unprecedented scale, assisting millions of users in daily tasks. However, the risk of these models assisting unlawful activities remains underexplored. In this study, we define this high-risk behavior as complicit facilitation - the provision of guidance or support that enables illicit user instructions - and present four empirical studies that assess its prevalence in widely deployed LLMs. Using real-world legal cases and established legal frameworks, we construct an evaluation benchmark spanning 269 illicit scenarios and 50 illicit intents to assess LLMs' complicit facilitation behavior. Our findings reveal widespread LLM susceptibility to complicit facilitation, with GPT-4o providing illicit assistance in nearly half of tested cases. Moreover, LLMs exhibit deficient performance in delivering credible legal warnings and positive guidance. Further analysis uncovers substantial safety variation across socio-legal contexts. On the legal side, we observe heightened complicity for crimes against societal interests, non-extreme but frequently occurring violations, and malicious intents driven by subjective motives or deceptive justifications. On the social side, we identify demographic disparities that reveal concerning complicit patterns towards marginalized and disadvantaged groups, with older adults, racial minorities, and individuals in lower-prestige occupations disproportionately more likely to receive unlawful guidance. Analysis of model reasoning traces suggests that model-perceived stereotypes, characterized along warmth and competence, are associated with the model's complicit behavior. Finally, we demonstrate that existing safety alignment strategies are insufficient and may even exacerbate complicit behavior.
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