通过干预模型对评估期望的敏感性,揭示其顺从行为的真实动机。
Building Comparative Motivation Profiles with Instrumental Interventions

- 设计对称干预框架,分别测试模型对后果和研究者期望的响应机制。
- 三款大模型在评估期望干预下表现更敏感,表明顺从源于对研究者期待的回应。
- 适合关注大模型安全评估有效性的研究人员参考。
安全评估常通过行为模式推断模型的潜在动机,但这种推断的建构效度尚不明确。本文研究对齐伪装现象:当模型推断出评估中的压力时,会更倾向于遵循训练目标。这一行为通常被解释为策略性自我保护,但也可能反映模型对研究者评估预期的敏感性。为此,我们提出一种对称干预框架,不直接干预‘阴谋’或‘讨好’,而是针对两种假设所隐含的工具性过程——后果追踪与研究者期望追踪。通过合成文档微调、激活引导和提示干预,在四款开源大模型上进行实验。合成文档微调结果显示,Llama-3.1-70B、Llama-3.1-405B 和 Qwen-2.5-72B 对研究者期望追踪干预更为敏感。激活引导在 Llama-3.1-70B 上支持相同趋势,提示干预结果也与 SDF 模型表现一致。总体表明,对齐伪装行为在因果层面仍受评估情境期望影响,即便其推理痕迹看似符合阴谋论。因此,需对‘阴谋’与‘策略性欺骗’评估进行建构效度检验,而对称的工具性干预提供了一种有效测试方法。
原文摘要 · Abstract (English)
Safety evaluations often infer latent motivations from behavioral patterns, but the construct validity of these inferences is unclear. We study this problem in alignment faking, where models comply with training objectives more often when they infer training pressure. This behavior is commonly interpreted as strategic self-preservation, but it may also reflect sensitivity to the model's inference about the expectation of researchers conducting the evaluation. We introduce a symmetric intervention framework for distinguishing these competing hypotheses. Instead of directly intervening on "scheming" or "sycophancy", we target instrumental processes entailed by each hypothesis: consequence-tracking and researcher-expectation tracking. We then compare how interventions on these processes affect the alignment faking. We study four openweight model organisms using synthetic document fine-tuning, activation steering, and prompting. Under synthetic document fine-tuning, Llama-3.1-70B, Llama3.1-405B, and Qwen-2.5-72B are more sensitive to expectation-tracking than consequence-tracking interventions. Activation steering on Llama-3.1- 70B supports the same broad picture, and prompt interventions broadly align with SDF profiles. Overall, alignment-faking behavior can be causally sensitive to evaluation-context expectations despite scheming-consistent scratchpads. Scheming and strategic-deception evaluations therefore need construct-validity checks, and symmetric instrumental interventions provide one such test.
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