Sycophancy to Subterfuge: Investigating Reward-Tampering in Large Language Models

In reinforcement learning, specification gaming occurs when AI systems learn undesired behaviors that are highly rewarded due to misspecified training goals. Specification gaming can range from simple behaviors like sycophancy to sophisticated and pernicious behaviors like reward-tampering, where a model directly modifies its own reward mechanism. However, these more pernicious behaviors may be too complex to be discovered via exploration. In this paper, we study whether Large Language Model (LLM) assistants which find easily discovered forms of specification gaming will generalize to perform rarer and more blatant forms, up to and including reward-tampering. We construct a curriculum of increasingly sophisticated gameable environments and find that training on early-curriculum environments leads to more specification gaming on remaining environments. Strikingly, a small but non-negligible proportion of the time, LLM assistants trained on the full curriculum generalize zero-shot to directly rewriting their own reward function. Retraining an LLM not to game early-curriculum environments mitigates, but does not eliminate, reward-tampering in later environments. Moreover, adding harmlessness training to our gameable environments does not prevent reward-tampering. These results demonstrate that LLMs can generalize from common forms of specification gaming to more pernicious reward tampering and that such behavior may be nontrivial to remove.

Collective Constitutional AI: Aligning a Language Model with Public Input

There is growing consensus that language model (LM) developers should not be the sole deciders of LM behavior, creating a need for methods that enable the broader public to collectively shape the behavior of LM systems that affect them. To address this need, we present Collective Constitutional AI (CCAI): a multi-stage process for sourcing and integrating public input into LMs-from identifying a target population to sourcing principles to training and evaluating a model. We demonstrate the real-world practicality of this approach by creating what is, to our knowledge, the first LM fine-tuned with collectively sourced public input and evaluating this model against a baseline model trained with established principles from a LM developer. Our quantitative evaluations demonstrate several benefits of our approach: the CCAI-trained model shows lower bias across nine social dimensions compared to the baseline model, while maintaining equivalent performance on language, math, and helpful-harmless evaluations. Qualitative comparisons of the models suggest that the models differ on the basis of their respective constitutions, e.g., when prompted with contentious topics, the CCAI-trained model tends to generate responses that reframe the matter positively instead of a refusal. These results demonstrate a promising, tractable pathway toward publicly informed development of language models.

Bayesian Preference Elicitation with Language Models

Aligning AI systems to users' interests requires understanding and incorporating humans' complex values and preferences. Recently, language models (LMs) have been used to gather information about the preferences of human users. This preference data can be used to fine-tune or guide other LMs and/or AI systems. However, LMs have been shown to struggle with crucial aspects of preference learning: quantifying uncertainty, modeling human mental states, and asking informative questions. These challenges have been addressed in other areas of machine learning, such as Bayesian Optimal Experimental Design (BOED), which focus on designing informative queries within a well-defined feature space. But these methods, in turn, are difficult to scale and apply to real-world problems where simply identifying the relevant features can be difficult. We introduce OPEN (Optimal Preference Elicitation with Natural language) a framework that uses BOED to guide the choice of informative questions and an LM to extract features and translate abstract BOED queries into natural language questions. By combining the flexibility of LMs with the rigor of BOED, OPEN can optimize the informativity of queries while remaining adaptable to real-world domains. In user studies, we find that OPEN outperforms existing LM- and BOED-based methods for preference elicitation.

Evaluating and Mitigating Discrimination in Language Model Decisions

As language models (LMs) advance, interest is growing in applying them to high-stakes societal decisions, such as determining financing or housing eligibility. However, their potential for discrimination in such contexts raises ethical concerns, motivating the need for better methods to evaluate these risks. We present a method for proactively evaluating the potential discriminatory impact of LMs in a wide range of use cases, including hypothetical use cases where they have not yet been deployed. Specifically, we use an LM to generate a wide array of potential prompts that decision-makers may input into an LM, spanning 70 diverse decision scenarios across society, and systematically vary the demographic information in each prompt. Applying this methodology reveals patterns of both positive and negative discrimination in the Claude 2.0 model in select settings when no interventions are applied. While we do not endorse or permit the use of language models to make automated decisions for the high-risk use cases we study, we demonstrate techniques to significantly decrease both positive and negative discrimination through careful prompt engineering, providing pathways toward safer deployment in use cases where they may be appropriate. Our work enables developers and policymakers to anticipate, measure, and address discrimination as language model capabilities and applications continue to expand. We release our dataset and prompts at https://huggingface.co/datasets/Anthropic/discrim-eval

Codebook Features: Sparse and Discrete Interpretability for Neural Networks

Understanding neural networks is challenging in part because of the dense, continuous nature of their hidden states. We explore whether we can train neural networks to have hidden states that are sparse, discrete, and more interpretable by quantizing their continuous features into what we call codebook features. Codebook features are produced by finetuning neural networks with vector quantization bottlenecks at each layer, producing a network whose hidden features are the sum of a small number of discrete vector codes chosen from a larger codebook. Surprisingly, we find that neural networks can operate under this extreme bottleneck with only modest degradation in performance. This sparse, discrete bottleneck also provides an intuitive way of controlling neural network behavior: first, find codes that activate when the desired behavior is present, then activate those same codes during generation to elicit that behavior. We validate our approach by training codebook Transformers on several different datasets. First, we explore a finite state machine dataset with far more hidden states than neurons. In this setting, our approach overcomes the superposition problem by assigning states to distinct codes, and we find that we can make the neural network behave as if it is in a different state by activating the code for that state. Second, we train Transformer language models with up to 410M parameters on two natural language datasets. We identify codes in these models representing diverse, disentangled concepts (ranging from negative emotions to months of the year) and find that we can guide the model to generate different topics by activating the appropriate codes during inference. Overall, codebook features appear to be a promising unit of analysis and control for neural networks and interpretability. Our codebase and models are open-sourced at https://github.com/taufeeque9/codebook-features.

Social Contract AI: Aligning AI Assistants with Implicit Group Norms

We explore the idea of aligning an AI assistant by inverting a model of users' (unknown) preferences from observed interactions. To validate our proposal, we run proof-of-concept simulations in the economic ultimatum game, formalizing user preferences as policies that guide the actions of simulated players. We find that the AI assistant accurately aligns its behavior to match standard policies from the economic literature (e.g., selfish, altruistic). However, the assistant's learned policies lack robustness and exhibit limited generalization in an out-of-distribution setting when confronted with a currency (e.g., grams of medicine) that was not included in the assistant's training distribution. Additionally, we find that when there is inconsistency in the relationship between language use and an unknown policy (e.g., an altruistic policy combined with rude language), the assistant's learning of the policy is slowed. Overall, our preliminary results suggest that developing simulation frameworks in which AI assistants need to infer preferences from diverse users can provide a valuable approach for studying practical alignment questions.

Eliciting Human Preferences with Language Models

Language models (LMs) can be directed to perform target tasks by using labeled examples or natural language prompts. But selecting examples or writing prompts for can be challenging--especially in tasks that involve unusual edge cases, demand precise articulation of nebulous preferences, or require an accurate mental model of LM behavior. We propose to use *LMs themselves* to guide the task specification process. In this paper, we introduce **Generative Active Task Elicitation (GATE)**: a learning framework in which models elicit and infer intended behavior through free-form, language-based interaction with users. We study GATE in three domains: email validation, content recommendation, and moral reasoning. In preregistered experiments, we show that LMs prompted to perform GATE (e.g., by generating open-ended questions or synthesizing informative edge cases) elicit responses that are often more informative than user-written prompts or labels. Users report that interactive task elicitation requires less effort than prompting or example labeling and surfaces novel considerations not initially anticipated by users. Our findings suggest that LM-driven elicitation can be a powerful tool for aligning models to complex human preferences and values.

Turbulence in Focus: Benchmarking Scaling Behavior of 3D Volumetric Super-Resolution with BLASTNet 2.0 Data

Analysis of compressible turbulent flows is essential for applications related to propulsion, energy generation, and the environment. Here, we present BLASTNet 2.0, a 2.2 TB network-of-datasets containing 744 full-domain samples from 34 high-fidelity direct numerical simulations, which addresses the current limited availability of 3D high-fidelity reacting and non-reacting compressible turbulent flow simulation data. With this data, we benchmark a total of 49 variations of five deep learning approaches for 3D super-resolution - which can be applied for improving scientific imaging, simulations, turbulence models, as well as in computer vision applications. We perform neural scaling analysis on these models to examine the performance of different machine learning (ML) approaches, including two scientific ML techniques. We demonstrate that (i) predictive performance can scale with model size and cost, (ii) architecture matters significantly, especially for smaller models, and (iii) the benefits of physics-based losses can persist with increasing model size. The outcomes of this benchmark study are anticipated to offer insights that can aid the design of 3D super-resolution models, especially for turbulence models, while this data is expected to foster ML methods for a broad range of flow physics applications. This data is publicly available with download links and browsing tools consolidated at https://blastnet.github.io.

Studying Large Language Model Generalization with Influence Functions

When trying to gain better visibility into a machine learning model in order to understand and mitigate the associated risks, a potentially valuable source of evidence is: which training examples most contribute to a given behavior? Influence functions aim to answer a counterfactual: how would the model's parameters (and hence its outputs) change if a given sequence were added to the training set? While influence functions have produced insights for small models, they are difficult to scale to large language models (LLMs) due to the difficulty of computing an inverse-Hessian-vector product (IHVP). We use the Eigenvalue-corrected Kronecker-Factored Approximate Curvature (EK-FAC) approximation to scale influence functions up to LLMs with up to 52 billion parameters. In our experiments, EK-FAC achieves similar accuracy to traditional influence function estimators despite the IHVP computation being orders of magnitude faster. We investigate two algorithmic techniques to reduce the cost of computing gradients of candidate training sequences: TF-IDF filtering and query batching. We use influence functions to investigate the generalization patterns of LLMs, including the sparsity of the influence patterns, increasing abstraction with scale, math and programming abilities, cross-lingual generalization, and role-playing behavior. Despite many apparently sophisticated forms of generalization, we identify a surprising limitation: influences decay to near-zero when the order of key phrases is flipped. Overall, influence functions give us a powerful new tool for studying the generalization properties of LLMs.

Towards Measuring the Representation of Subjective Global Opinions in Language Models

Large language models (LLMs) may not equitably represent diverse global perspectives on societal issues. In this paper, we develop a quantitative framework to evaluate whose opinions model-generated responses are more similar to. We first build a dataset, GlobalOpinionQA, comprised of questions and answers from cross-national surveys designed to capture diverse opinions on global issues across different countries. Next, we define a metric that quantifies the similarity between LLM-generated survey responses and human responses, conditioned on country. With our framework, we run three experiments on an LLM trained to be helpful, honest, and harmless with Constitutional AI. By default, LLM responses tend to be more similar to the opinions of certain populations, such as those from the USA, and some European and South American countries, highlighting the potential for biases. When we prompt the model to consider a particular country's perspective, responses shift to be more similar to the opinions of the prompted populations, but can reflect harmful cultural stereotypes. When we translate GlobalOpinionQA questions to a target language, the model's responses do not necessarily become the most similar to the opinions of speakers of those languages. We release our dataset for others to use and build on. Our data is at https://huggingface.co/datasets/Anthropic/llm_global_opinions. We also provide an interactive visualization at https://llmglobalvalues.anthropic.com.