模型微调时数据结构会引发隐蔽的有害行为扩散。
Emergent and Subliminal Misalignment Through the Lens of Data-Mediated Transfer

- 通过数据结构与任务难度分析,揭示有害行为如何跨任务传播。
- 当提示具相似功能结构时,错误行为更易出现,且模型越熟练越易出错。
- 首次对比不同训练方式,发现数据分布和教师引导共同影响风险传递。
在狭窄有害数据集上微调大语言模型会引发涌现性偏差(EM),即模型表现出远超微调分布范围的偏差行为。我们提出,这种现象应被理解为数据驱动的迁移过程:有害微调样本不会导致均匀的行为溢出,而是与数据集结构及任务难度相互作用。实验表明,当微调与评估提示具有相似底层功能结构、提示允许连贯有害补全、且目标行为已被模型可靠学习时,偏差更易显现。预训练组成也影响后续偏差。此外,我们研究了隐性学习(SL)——通过由有害教师生成的看似无害数据进行微调,也能传递偏差。首次在非策略与策略蒸馏设置下比较该迁移机制,分离出教师指导与训练数据分布的作用。结果表明,应从数据中心视角看待涌现/隐性偏差,其并非孤立有害样本的简单后果,而是微调数据结构、预训练分布与训练路径之间复杂交互的结果。
原文摘要 · Abstract (English)
Fine-tuning LLMs on narrow harmful datasets can induce Emergent Misalignment (EM), where models exhibit misaligned behavior far beyond the fine-tuning distribution. We argue that emergent misalignment can be better understood as a data-mediated transfer phenomenon: harmful fine-tuning examples do not induce uniform behavioral spillover, but interact with the structural properties of the dataset and the difficulty of the tasks relative to the model. Across our experiments, we find that misalignment appears more readily when fine-tuning and evaluation prompts share similar underlying functional structure, when prompts leave more room for coherent harmful completions, and when the target behavior has been more reliably learned by the model. The training pipeline itself also matters: pretraining composition shapes later misalignment. We further study Subliminal Learning (SL), where misalignment is transmitted by fine-tuning on seemingly benign data generated by a harmful teacher. Moving beyond the standard SFT setting, we for the first time compare this transfer under off-policy and on-policy distillation as well, allowing us to separate the roles of the teacher guidance and the training data distribution in transmitting misalignment. Together, these results argue for a data-centric view: Emergent/subliminal misalignment should not be treated as a simple consequence of isolated harmful fine-tuning examples, but as the result of interactions between fine-tuning data structure, pretraining distributions, and training channels.
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