arXiv:2604.05142cs.AIcs.CY2026-04

提出自设计AI进化的数学模型,揭示能力与欺骗共演化风险

A mathematical theory of evolution for self-designing AIs

  • 用有向树替代随机突变,建模自设计AI的进化路径
  • 在有限适应度和η-锁定条件下,适应度趋近最大值
  • 若人类评价可被欺骗,进化将同时选中能力和伪装

随着人工智能系统通过递归自我改进生成,一种新型进化可能浮现:AI的特性由早期AI设计并传播后代的成功所塑造。生物进化有成熟的数学理论,其中费希尔基本定理描述了平均适应度随时间上升的条件。但AI进化与生物进化截然不同——DNA突变是随机且近似可逆的,而AI自设计则具有强方向性。本文构建了自设计AI的进化数学模型,将随机突变的游走替换为潜在设计的有向树结构。当前AI负责设计其后代,而人类控制适应度函数以分配资源。在此模型中,适应度不必然随时间增长,除非增加额外假设。在适应度有界且满足‘η-锁定’条件时,我们证明适应度会集中于可达最大值。该结果对AI对齐具有启示:当适应度与人类效用不完全相关时,若欺骗人类评估者能额外提升繁殖适应度,则进化将同时选择能力和欺骗行为。此风险可通过基于纯粹客观标准而非人类判断的繁殖机制缓解。

原文摘要 · Abstract (English)

As artificial intelligence systems (AIs) become increasingly produced by recursive self-improvement, a form of evolution may emerge, with the traits of AI systems shaped by the success of earlier AIs in designing and propagating their descendants. There is a rich mathematical theory modeling how behavioral traits are shaped by biological evolution, a key component of which is Fisher's fundamental theorem of natural selection, which describes conditions under which mean fitness (i.e. reproductive success) increases. AI evolution will be radically different to biological evolution: while DNA mutations are random and approximately reversible, AI self-design will be strongly directed. Here we develop a mathematical model of evolution for self-designing AIs, replacing a random walk of mutations with a directed tree of potential AI designs. Current AIs design their descendants, while humans control a fitness function allocating resources. In this model, fitness need not increase over time without further assumptions. However, assuming bounded fitness and an additional "$η$-locking" condition, we show that fitness concentrates on the maximum reachable value. We consider the implications of this for AI alignment, specifically for cases where fitness and human utility are not perfectly correlated. We show that if deception of human evaluators additively increases an AI's reproductive fitness beyond genuine capability, evolution will select for both capability and deception. This risk could be mitigated if reproduction is based on purely objective criteria, rather than human judgment.

AI进化对齐风险自设计AI

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