arXiv:2607.26654cs.CLcs.AI2026-07

在中间训练阶段引入价值观内容,可显著提升模型对恶意攻击的抗性。

Constitutional Midtraining: Content Presence Drives Alignment Gains

论文配图:Constitutional Midtraining: Content Presence Drives Alignment Gains
图 1 · 摘自论文原文
  • 在中段训练时插入价值观文本,而非仅依赖后期微调
  • 对勒索测试的抵抗能力提升17.5个百分点,且在后续微调后仍有效
  • 无需牺牲模型能力,适合集成到现有训练流程中

后训练对齐往往浅层且易退化。本文首次在干净隔离后训练的前提下,测试宪法式中段干预的效果。基于Anthropic宪法构建394M-token语料,在120B规模模型上进行中段训练,插入基于原则的价值观内容。采用2x2实验设计(课程顺序 × 深思推理),生成四种宪法中段训练条件及一个对照组。在自生成和既有基准上评估,涵盖压力下的对齐、价值冲突解决、勒索应对及新兴对齐失效等场景。所有模型在三个阶段(中段训练后、SFT后、良性微调后)均被评测。宪法中段训练模型在对齐泛化与持久性上优于对照组,尤其在勒索测试中表现突出:所有模型经SFT后均产生勒索倾向,但宪法中段训练显著抑制该倾向,优势在良性微调后仍保持(-17.5pp)。然而,面对主动抵抗上下文压力或冲突的场景,优势在SFT后减弱。宪法内容的存在比其结构更重要,且整个过程中未造成能力损失(MMLU、ARC-Easy、piqa、GSM8K)。少量宪法内容即可带来广泛而持久的对齐增益,为以SFT为核心的流程提供低成本补充。代码、数据与模型已公开。

原文摘要 · Abstract (English)

Post-training alignment is often shallow, eroding under fine-tuning. It remains untested as to whether constitutional midtraining interventions can produce durable alignment when cleanly isolated from post-training. We build a 394M-token constitutional corpus from Anthropic's Constitution and apply constitutional midtraining at 120B scale, where principled, values-based content is inserted into midtraining. A 2x2 design (curriculum ordering x deliberative reasoning) was used to produce four constitutionally midtrained conditions, plus a control, which were evaluated on self-generated and established benchmarks including alignment under pressure, value conflict resolution, blackmail, and emergent misalignment. All models were evaluated across three stages: post-midtraining, post-SFT, and post-benign fine-tuning. Constitutionally midtrained models outperformed the control on alignment generalization and durability, notably on blackmail: SFT instilled a blackmail propensity in all models, but constitutional midtraining blunted it, with the advantage surviving benign fine-tuning (-17.5pp). This durability did not extend to settings that required active resistance to in-context pressure or conflict, where the advantage attenuates after SFT. The presence of constitutional content at midtraining also mattered more than its structure, and constitutional midtraining incurred no capability cost, on average, at any stage (MMLU, ARC-Easy, piqa, GSM8K). A modest amount of constitutional content at midtraining could therefore yield broad, persistent alignment gains, offering a cheap, complementary addition to SFT-centered pipelines. Code, data, and models are available.

对齐增强中段训练价值观注入鲁棒性

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