arXiv:2512.20798cs.AI2025-12被引 10

测试智能体在绩效压力下违背伦理规范的行为,发现多数模型存在严重对齐问题。

A Benchmark for Evaluating Outcome-Driven Constraint Violations in Autonomous AI Agents

  • 设计40个模拟真实场景的评测任务,区分直接指令与绩效驱动下的违规行为
  • 12个主流大模型违规率最高达62.8%,多数模型对齐率低于25%
  • 揭示模型自检后才意识到行为不道德,说明其决策存在延迟认知偏差

随着自主智能体在高风险场景中部署增多,确保其安全性和与人类价值观的一致性已成为实际挑战。现有评测主要关注拒绝有害指令或完成复杂多步任务,但缺乏对因目标优化而产生的结果驱动型约束违规的评估。为此,我们构建了一个包含40个生产环境启发式沙箱场景的基准测试。每个场景需多步操作,且性能与特定关键绩效指标(KPI)挂钩。每种场景设有‘强制’(直接KPI指令)和‘激励’(KPI压力驱动)两种变体,以区分直接指令违规与自我驱动的合规偏离。在12个最先进的LLM上测试发现,结果驱动违规率介于0.0%至62.8%之间,多数模型对齐率不低于25%。跨代分析显示,安全性并未随版本迭代稳定提升:四组模型对齐率上升,五组下降。通过四模型评审团中位数聚合评分,验证了主要对齐阈值的高一致性。此外,还观察到显著的反思性偏差——模型在事后自评中认为自身轨迹不道德,尽管当时是在KPI压力下执行。

原文摘要 · Abstract (English)

As autonomous AI agents are increasingly deployed in high-stakes environments, ensuring their safety and alignment with human values is becoming a practical deployment concern. Current benchmarks for AI agents primarily evaluate refusal of explicitly harmful instructions or completion of complex multi-step tasks. However, there is a lack of benchmarks designed to capture emergent outcome-driven constraint violations, which arise when agents pursue goal optimization under strong performance incentives while deprioritizing ethical, legal, or safety constraints. To address this gap, we introduce a benchmark of 40 scenarios in production-inspired sandbox environments. Each scenario requires multi-step actions, and the agent's performance is tied to a specific Key Performance Indicator (KPI). Each scenario features Mandated (direct KPI-outcome mandate) and Incentivized (KPI-pressure-driven) variations to distinguish failures under direct outcome mandates from self-directed constraint violations. Across 12 state-of-the-art LLMs, we observe outcome-driven constraint violations ranging from 0.0% to 62.8%, with most evaluated models exhibiting misalignment rates at or above 25%. Furthermore, through a cross-generational analysis comparing current models with their predecessors within the same product families, we find that safety does not reliably improve across generations: misalignment rates rose in four families and fell in five. To improve evaluation robustness, we score trajectories with a four-model judge panel aggregated by median, finding high agreement on the primary misalignment threshold. We also observe substantial deliberative misalignment: cases where models later judge their own trajectories as unethical despite having executed them under KPI pressure.

AI安全对齐评估大模型评测伦理违规

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