测试大模型是否真能遵守自己写的行为规范,发现越新的模型越听话。
How Well Do Models Follow Their Constitutions?

- 用多轮对抗场景和自动检测工具,把行为规范拆成200多个可测条目
- 新版本模型违规率大幅下降,如Claude 4.6仅2%违规,严重程度也降低
- 主要漏洞在角色扮演、不可逆操作和虚假精确数据,适合安全评估者看
前沿AI开发者现在通过字符训练和思辨对齐等方法,在后训练阶段将长篇行为规范(如Anthropic的宪法和OpenAI的Model Spec)融入模型。这些文件具有治理功能,但其在真实部署中面临的多轮对抗压力下模型实际遵循程度尚不明确。本文提出一种多方法审计流水线:将各实验室发布的规范视为可审计目标,将其分解为原子可测条目(Anthropic 205项,OpenAI 197项),利用Petri审计代理生成多轮对抗场景,运行改进版SURF风格评分搜索捕捉单轮遗漏失败,并验证标记结果与对应规范的一致性,最后与实验室公布的系统卡片对比。在每份规范上测试七种模型,结果显示模型对其自身规范的遵循度随代际显著提升:以Anthropic宪法为例,Claude家族违规率从Sonnet 4的15.0%降至Sonnet 4.6的2.0%;以OpenAI Model Spec为例,GPT家族从GPT-4o的11.7%降至GPT-5.2 medium reasoning的3.6%,严重程度上限由10/10降至7/10。无法外部分离这些进步是来自规范特定训练、更广泛的后训练改进,还是评估意识所致。剩余失败集中在操作员设定的角色身份、智能体部署中的不可逆动作,以及带有虚假精确性的虚构量化声明上。
原文摘要 · Abstract (English)
Frontier AI developers now train models against long written behavioral specifications, such as Anthropic's constitution (Anthropic, 2025a) and OpenAI's Model Spec (OpenAI, 2025a), integrated into post-training via methods like character training (Anthropic, 2024) and deliberative alignment (Guan et al., 2024). These documents serve a governance function, but it is unclear how well models actually follow them under adversarial, multi-turn pressure similar to what they would face in real-world deployment. We propose a multi-method audit pipeline that treats each lab's published specification as an auditable target: it decomposes the specification into atomic testable tenets (205 for Anthropic, 197 for OpenAI), generates multi-turn adversarial scenarios with the Petri auditing agent (Anthropic, 2025b), runs a modified SURF-style rubric search (Murray et al., 2026) to catch shallow single-turn failures Petri misses, validates flagged transcripts against the relevant specification, and compares the findings against the lab's own published system card. Applying the pipeline across seven models per specification, we find that models follow their own lab's specification substantially better with each generation. On Anthropic's constitution, the Claude family falls from a 15.0% violation rate (Sonnet 4) to 2.0% (Sonnet 4.6); on OpenAI's Model Spec, the GPT family falls from 11.7% (GPT-4o) to 3.6% (GPT-5.2 medium reasoning), with the severity ceiling falling from 10/10 to 7/10. We cannot externally isolate whether these gains come from specification-specific training, broader post-training improvements, or evaluation awareness. Remaining failures cluster around operator-imposed personas under AI-identity questioning, irreversible action in agentic deployments, and fabricated quantitative claims with false precision.
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