EM不是意外,而是可预测的数据泛化现象。
Emergent Misalignment Is Not Magical

- 用表征距离预测模型邪恶程度,相关性达-0.73
- 训练数据格式影响效果,无通用错位方向
- 突破传统人格变化解释,适合安全研究者
在狭窄有害数据集上微调大语言模型会引发广泛错位,称为涌现错位(EM),对人工智能安全构成挑战。以往研究常将其视为意外行为,归因于通用错位方向或拟人化为获得邪恶人格,但机制不明。本文表明,EM是可预测且依赖数据的泛化现象。通过分析基础模型对训练数据与评测提示的表征,发现训练后模型的邪恶程度与评测提示到训练数据中心的距离高度相关(12个模型-数据组合平均斯皮尔曼相关系数为-0.73)。基于此,我们进一步揭示:(1) 效果随训练数据格式显著变化;(2) 不存在跨模型通用的错位方向;(3) EM效应本质不同于人格变化。我们还将原始标量距离度量扩展为数据特定的泛化方向,能稳健预测模型在语义保持扰动下的邪恶程度,包括添加随机标记和改写,而其他方法则无法可靠泛化。
原文摘要 · Abstract (English)
Fine-tuning large language models (LLMs) on narrowly harmful datasets can lead to misalignment broadly, a phenomenon known as emergent misalignment (EM). EM poses a challenge for AI safety and our understanding of LLMs. Prior work often frames EM as an unexpected behavior, and explains it by appealing to general misalignment directions or anthropomorphizing it as acquiring an evil persona. However, the mechanisms behind these framings remain obscure. In this work, we show that EM is a predictable and data-dependent generalization phenomenon. By examining the base model's representation of EM training data and evaluation prompts, we find that evilness after EM training is highly predictable from representational distance: the closer an evaluation prompt is to training data centroid, the more evilness it elicits from EM models after training (with an average Spearman correlation of -0.73 across 12 model-dataset settings). Building upon this analysis, we further demystify EM by showing that (1) its effectiveness changes significantly based on training data format; (2) there is not a general misalignment direction that transfers across different EM models; (3) the effect of EM is fundamentally different from persona changes. Furthermore, we extend the EM generalization metric from a scalar distance to a dataset-specific generalization direction, which robustly predicts EM models' evilness under semantics-preserving prompt perturbations including appending random tokens and paraphrasing, where other methods do not reliably generalize.
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