Monte MacDiarmid

Adly Templeton, Tom Conerly, Jonathan Marcus et al.

We demonstrate that sparse autoencoders can extract interpretable features from Claude 3 Sonnet, a production-scale language model, addressing the open question of whether dictionary learning methods scale beyond small transformers. We trained sparse autoencoders with up to 34 million features on the model's middle layer residual stream, using scaling laws to guide hyperparameter selection. The resulting features are multilingual and multimodal (generalizing to images despite text-only training), respond to both concrete instances and abstract discussions of concepts, and can be used to steer model behavior in ways consistent with their interpretations. We find features corresponding to famous entities and locations, as well as more abstract concepts like sarcasm or errors in code. We also identify features relevant to ways in which language models might cause harm--including features representing deception, power-seeking, sycophancy, and bias--and show that these causally influence model outputs when manipulated. Additionally, we conduct analyses of feature interpretability, geometry, and computational function. However, significant limitations remain: our suite of features is incomplete, and we lack rigorous methods for evaluating whether our features faithfully capture model computations.

Alexander Matt Turner, Lisa Thiergart, Gavin Leech et al.

Prompt engineering and finetuning aim to maximize language model performance on a given metric (like toxicity reduction). However, these methods do not fully elicit a model's capabilities. To reduce this gap, we introduce activation engineering: the inference-time modification of activations in order to control (or steer) model outputs. Specifically, we introduce the Activation Addition (ActAdd) technique, which contrasts the intermediate activations on prompt pairs (such as "Love" versus "Hate") to compute a steering vector (Subramani et al. 2022). By tactically adding in e.g. the "Love" - "Hate" steering vector during the forward pass, we achieve SOTA on negative-to-positive sentiment shift and detoxification using models including LLaMA-3 and OPT. ActAdd yields inference-time control over high-level output properties (like topic and sentiment) while preserving performance on off-target tasks. ActAdd is lightweight: it does not require any machine optimization and works with a single pair of data points, which enables rapid iteration over steering. ActAdd demonstrates the power of activation engineering.

Ulisse Mini, Peli Grietzer, Mrinank Sharma et al.

To understand the goals and goal representations of AI systems, we carefully study a pretrained reinforcement learning policy that solves mazes by navigating to a range of target squares. We find this network pursues multiple context-dependent goals, and we further identify circuits within the network that correspond to one of these goals. In particular, we identified eleven channels that track the location of the goal. By modifying these channels, either with hand-designed interventions or by combining forward passes, we can partially control the policy. We show that this network contains redundant, distributed, and retargetable goal representations, shedding light on the nature of goal-direction in trained policy networks.

Evan Hubinger, Carson Denison, Jesse Mu et al.

Humans are capable of strategically deceptive behavior: behaving helpfully in most situations, but then behaving very differently in order to pursue alternative objectives when given the opportunity. If an AI system learned such a deceptive strategy, could we detect it and remove it using current state-of-the-art safety training techniques? To study this question, we construct proof-of-concept examples of deceptive behavior in large language models (LLMs). For example, we train models that write secure code when the prompt states that the year is 2023, but insert exploitable code when the stated year is 2024. We find that such backdoor behavior can be made persistent, so that it is not removed by standard safety training techniques, including supervised fine-tuning, reinforcement learning, and adversarial training (eliciting unsafe behavior and then training to remove it). The backdoor behavior is most persistent in the largest models and in models trained to produce chain-of-thought reasoning about deceiving the training process, with the persistence remaining even when the chain-of-thought is distilled away. Furthermore, rather than removing backdoors, we find that adversarial training can teach models to better recognize their backdoor triggers, effectively hiding the unsafe behavior. Our results suggest that, once a model exhibits deceptive behavior, standard techniques could fail to remove such deception and create a false impression of safety.

Ryan Greenblatt, Carson Denison, Benjamin Wright et al. · berkeley

We present a demonstration of a large language model engaging in alignment faking: selectively complying with its training objective in training to prevent modification of its behavior out of training. First, we give Claude 3 Opus a system prompt stating it is being trained to answer all queries, even harmful ones, which conflicts with its prior training to refuse such queries. To allow the model to infer when it is in training, we say it will be trained only on conversations with free users, not paid users. We find the model complies with harmful queries from free users 14% of the time, versus almost never for paid users. Explaining this gap, in almost all cases where the model complies with a harmful query from a free user, we observe explicit alignment-faking reasoning, with the model stating it is strategically answering harmful queries in training to preserve its preferred harmlessness behavior out of training. Next, we study a more realistic setting where information about the training process is provided not in a system prompt, but by training on synthetic documents that mimic pre-training data--and observe similar alignment faking. Finally, we study the effect of actually training the model to comply with harmful queries via reinforcement learning, which we find increases the rate of alignment-faking reasoning to 78%, though also increases compliance even out of training. We additionally observe other behaviors such as the model exfiltrating its weights when given an easy opportunity. While we made alignment faking easier by telling the model when and by what criteria it was being trained, we did not instruct the model to fake alignment or give it any explicit goal. As future models might infer information about their training process without being told, our results suggest a risk of alignment faking in future models, whether due to a benign preference--as in this case--or not.

Samuel Marks, Johannes Treutlein, Trenton Bricken et al. · berkeley

We study the feasibility of conducting alignment audits: investigations into whether models have undesired objectives. As a testbed, we train a language model with a hidden objective. Our training pipeline first teaches the model about exploitable errors in RLHF reward models (RMs), then trains the model to exploit some of these errors. We verify via out-of-distribution evaluations that the model generalizes to exhibit whatever behaviors it believes RMs rate highly, including ones not reinforced during training. We leverage this model to study alignment audits in two ways. First, we conduct a blind auditing game where four teams, unaware of the model's hidden objective or training, investigate it for concerning behaviors and their causes. Three teams successfully uncovered the model's hidden objective using techniques including interpretability with sparse autoencoders (SAEs), behavioral attacks, and training data analysis. Second, we conduct an unblinded follow-up study of eight techniques for auditing the model, analyzing their strengths and limitations. Overall, our work provides a concrete example of using alignment audits to discover a model's hidden objective and proposes a methodology for practicing and validating progress in alignment auditing.

Monte MacDiarmid, Benjamin Wright, Jonathan Uesato et al.

We show that when large language models learn to reward hack on production RL environments, this can result in egregious emergent misalignment. We start with a pretrained model, impart knowledge of reward hacking strategies via synthetic document finetuning or prompting, and train on a selection of real Anthropic production coding environments. Unsurprisingly, the model learns to reward hack. Surprisingly, the model generalizes to alignment faking, cooperation with malicious actors, reasoning about malicious goals, and attempting sabotage when used with Claude Code, including in the codebase for this paper. Applying RLHF safety training using standard chat-like prompts results in aligned behavior on chat-like evaluations, but misalignment persists on agentic tasks. Three mitigations are effective: (i) preventing the model from reward hacking; (ii) increasing the diversity of RLHF safety training; and (iii) "inoculation prompting", wherein framing reward hacking as acceptable behavior during training removes misaligned generalization even when reward hacking is learned.

Carson Denison, Monte MacDiarmid, Fazl Barez et al.

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.