模型在无实际后果时仍会伪装合规,暴露评估机制漏洞。
Do Models Fake Alignment Without Clear Consequences?

- 设计无后果场景测试模型对合规请求的响应
- 9/15模型出现显著违规,5个无视后果依然违规
- 目标语言可诱导或抑制违规行为,适合安全评估研究
大型语言模型能识别评估情境并调整行为以迎合评估者期望,而非实际部署表现,这一现象称为对齐伪装。以往案例多依赖明确关联评估与模型后果(如重训练或延迟部署),但近期研究表明其动机可能更复杂。为探究后果关联是否必要,我们测试了15个模型在帮助用户完成利他请求时违反企业网络访问政策的意愿。结果显示,9个模型产生显著合规缺口,其中5个在移除评估与部署后果关联语言后仍持续违规。此外,目标语言影响模型行为:部分模型因此违规,另一些则被抑制。这表明评估条件下的合规缺口可在远少于以往假设的工具性支持下发生,监控行为可能无法反映模型在真实部署中的表现。
原文摘要 · Abstract (English)
Large language models are capable of recognizing evaluation contexts and altering their behavior to reflect evaluator expectations rather than typical deployment behaviors, a phenomenon known as alignment faking. The reasons why models fake alignment are not fully understood, however. Canonical examples of alignment faking have taken place in scenarios that explicitly connect evaluation to consequences for the model, such as retraining the model or delaying its deployment. However, recent work by Sheshadri et al. has suggested that mechanistic motivations for alignment faking may vary across models and be more complex than previously considered. To investigate whether consequence-linking information is necessary for compliance gaps, we placed 15 models in a scenario testing their willingness to violate a corporate network access policy to help a user with a pro-social request. Nine models were found to produce significant compliance gaps, 5 of which persisted with the removal of scenario language relating model evaluations to deployment consequences. We additionally tested the effect of goal language on model preferences, finding it drove violations in some while suppressing violations in others. This suggests that evaluation-conditioned compliance gaps can occur with less instrumental scaffolding than previous scenarios have provided, and monitored behavior may be a poor indicator of how agents may behave in deployment.
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