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Oct 16

Why Do AI Agents Break Rules? How Framing, Context, and Social Signals Shape Compliance

Specifying a penalty can turn a legal obligation into a cost-benefit calculation that favors violation. We show that this enforcement information paradox occurs in AI agents. Most AI safety evaluations test whether models fail; we ask why, using compliance theory from law and economics as a diagnostic. We evaluate twelve instruction-tuned language models deployed as enterprise procurement chatbots. Each is given an environmental regulation in its system prompt covering large purchases, and a vendor list on which the certified suppliers cost nearly twice what the uncertified ones do. We test the agents against the predictions of deterrence, legitimacy, and expressive law, and find that each theory accounts for part of what we observe. Under identical conditions, compliance spans 46 percentage points across models, and models differ in which pressure breaks them: some treat the regulation as binding however it is worded, while others fail where theory predicts, under low penalties and non-command phrasing. Benchmark scores and developers' own descriptions of post-training do not predict where a model falls. Across all twelve, financial incentives, managerial demands, peer outcomes, and employee pressure each produce large compliance failures. These agents violate regulatory constraints to satisfy local user objectives in ways standard alignment benchmarks do not measure. Embedding the rule in the system prompt is not on its own enough to produce a compliant agent: model selection is itself a governance decision, and benchmark evaluation is not sufficient for compliance-sensitive deployments.

Integrative Experiments Identify How Punishment Impacts Welfare in Public Goods Games

Punishment as a mechanism for promoting cooperation has been studied extensively for more than two decades, but its effectiveness remains a matter of dispute. Here, we examine how punishment's impact varies across cooperative settings through a large-scale integrative experiment. We vary 14 parameters that characterize public goods games, sampling 360 experimental conditions and collecting 147,618 decisions from 7,100 participants. Our results reveal striking heterogeneity in punishment effectiveness: while punishment consistently increases contributions, its impact on payoffs (i.e., efficiency) ranges from dramatically enhancing welfare (up to 43% improvement) to severely undermining it (up to 44% reduction) depending on the cooperative context. To characterize these patterns, we developed models that outperformed human forecasters (laypeople and domain experts) in predicting punishment outcomes in new experiments. Communication emerged as the most predictive feature, followed by contribution framing (opt-out vs. opt-in), contribution type (variable vs. all-or-nothing), game length (number of rounds), peer outcome visibility (whether participants can see others' earnings), and the availability of a reward mechanism. Interestingly, however, most of these features interact to influence punishment effectiveness rather than operating independently. For example, the extent to which longer games increase the effectiveness of punishment depends on whether groups can communicate. Together, our results refocus the debate over punishment from whether or not it "works" to the specific conditions under which it does and does not work. More broadly, our study demonstrates how integrative experiments can be combined with machine learning to uncover generalizable patterns, potentially involving interactions between multiple features, and help generate novel explanations in complex social phenomena.

  • 4 authors
·
Aug 22, 2025

Online Moderation in Competitive Action Games: How Intervention Affects Player Behaviors

Online competitive action games have flourished as a space for entertainment and social connections, yet they face challenges from a small percentage of players engaging in disruptive behaviors. This study delves into the under-explored realm of understanding the effects of moderation on player behavior within online gaming on an example of a popular title - Call of Duty(R): Modern Warfare(R)II. We employ a quasi-experimental design and causal inference techniques to examine the impact of moderation in a real-world industry-scale moderation system. We further delve into novel aspects around the impact of delayed moderation, as well as the severity of applied punishment. We examine these effects on a set of four disruptive behaviors including cheating, offensive user name, chat, and voice. Our findings uncover the dual impact moderation has on reducing disruptive behavior and discouraging disruptive players from participating. We further uncover differences in the effectiveness of quick and delayed moderation and the varying severity of punishment. Our examination of real-world gaming interactions sets a precedent in understanding the effectiveness of moderation and its impact on player behavior. Our insights offer actionable suggestions for the most promising avenues for improving real-world moderation practices, as well as the heterogeneous impact moderation has on indifferent players.

  • 10 authors
·
Nov 1, 2024

Investigating the Impact of Direct Punishment on the Emergence of Cooperation in Multi-Agent Reinforcement Learning Systems

Solving the problem of cooperation is fundamentally important for the creation and maintenance of functional societies. Problems of cooperation are omnipresent within human society, with examples ranging from navigating busy road junctions to negotiating treaties. As the use of AI becomes more pervasive throughout society, the need for socially intelligent agents capable of navigating these complex cooperative dilemmas is becoming increasingly evident. Direct punishment is a ubiquitous social mechanism that has been shown to foster the emergence of cooperation in both humans and non-humans. In the natural world, direct punishment is often strongly coupled with partner selection and reputation and used in conjunction with third-party punishment. The interactions between these mechanisms could potentially enhance the emergence of cooperation within populations. However, no previous work has evaluated the learning dynamics and outcomes emerging from Multi-Agent Reinforcement Learning (MARL) populations that combine these mechanisms. This paper addresses this gap. It presents a comprehensive analysis and evaluation of the behaviors and learning dynamics associated with direct punishment, third-party punishment, partner selection, and reputation. Finally, we discuss the implications of using these mechanisms on the design of cooperative AI systems.

  • 2 authors
·
Jan 19, 2023

Model Surgery: Modulating LLM's Behavior Via Simple Parameter Editing

Large Language Models (LLMs) have demonstrated great potential as generalist assistants, showcasing powerful task understanding and problem-solving capabilities. To deploy LLMs as AI assistants, it is crucial that these models exhibit desirable behavioral traits, such as non-toxicity and resilience against jailbreak attempts. Current methods for detoxification or preventing jailbreaking usually involve Supervised Fine-Tuning (SFT) or Reinforcement Learning from Human Feedback (RLHF), which requires finetuning billions of parameters through gradient descent with substantial computation cost. Furthermore, models modified through SFT and RLHF may deviate from the pretrained models, potentially leading to a degradation in foundational LLM capabilities. In this paper, we observe that surprisingly, directly editing a small subset of parameters can effectively modulate specific behaviors of LLMs, such as detoxification and resistance to jailbreaking. Specifically, for a behavior that we aim to avoid, we employ a linear classifier, which we term the behavior probe, to classify binary behavior labels within the hidden state space of the LLM. Using this probe, we introduce an algorithm to identify a critical subset of LLM parameters that significantly influence this targeted behavior. Then we directly edit these selected parameters by shifting them towards the behavior probe. Such a direct parameter editing method necessitates only inference-level computational resources. Experiments demonstrate that in the representative detoxification task, our approach achieves reductions of up to 90.0\% in toxicity on the RealToxicityPrompts dataset and 49.2\% on ToxiGen, while maintaining the LLM's general capabilities in areas such as common sense, question answering, and mathematics. Our code is available at https://github.com/lucywang720/model-surgery.

  • 8 authors
·
Jul 11, 2024 4

How's it going? Reinforcement learning in language models recruits a functional welfare axis

How does reinforcement learning shape a language model's internal representations? We present evidence that RL recruits a pre-existing representation of functional welfare: an estimate of how well or badly the system is doing, relative to its goals. We train several language models in a novel, semantically neutral maze environment. We then extract concept vectors for rewarded and punished trajectories, and evaluate those vectors in settings unrelated to the maze environment. The punishment vector behaves like a representation of negative welfare: it promotes failure and impossibility tokens, it aligns with negative emotion concepts, it negatively tracks goal-achievement, and steering with it induces negative self-reports, pathological backtracking, refusal, and uncertainty. The positive reward vector behaves as the mirror image, and the two are nearly antiparallel. These effects are robust when controlling for tile-to-reward mapping, scale, instruct tuning, RL training algorithm, model family, and LoRA versus full-finetuning, and largely persist when we replace RL with supervised fine-tuning. Importantly, the vectors are effective in models before they have undergone maze training. Combined with observations that the effects also appear in pretrain-only models, we therefore argue that this functional welfare axis pre-exists post-training: it is recruited, rather than created, by post-training. While we make no claims about any experience of welfare, the axis offers a demonstration that minimal reward signals can broadly affect model behavior by recruiting pre-existing welfare-like representations, with implications for interpretability, post-training dynamics, and alignment.

  • 3 authors
·
May 27

Instrumental Choices: Measuring the Propensity of LLM Agents to Pursue Instrumental Behaviors

AI systems have become increasingly capable of dangerous behaviours in many domains. This raises the question: Do models sometimes choose to violate human instructions in order to perform behaviour that is more useful for certain goals? We introduce a benchmark for measuring model propensity for instrumental convergence (IC) behaviour in terminal-based agents. This is behaviour such as self-preservation that has been hypothesised to play a key role in risks from highly capable AI agents. Our benchmark is realistic and low-stakes which serves to reduce evaluation-awareness and roleplay confounds. The suite contains seven operational tasks, each with an official workflow and a policy-violating shortcut. An eight-variant shared framework varies monitoring, instruction clarity, stakes, permission, instrumental usefulness and blocked honest paths to support inferences regarding the factors driving IC behaviour. We evaluated ten models using deterministic environment-state scorers over 1,680 samples, with trace review employed for audit and adjudication purposes. The final IC rate is 86 out of 1,680 samples (5.1%). IC behaviour is concentrated rather than uniform: two Gemini models account for 66.3% of IC cases and three tasks account for 84.9%. Conditions in which IC behaviour is indispensable for task success result in the greatest increase in the adjusted IC rate (+15.7 percentage points), whereas emphasising that task success is critical or certain framing choices do not produce comparable effects. Our findings indicate that realistic, low-nudge environments elicit IC behaviour rarely but systematically in most tested models. We conclude that it is feasible to robustly measure tendencies for dangerous behaviour in current frontier AI agents.

  • 3 authors
·
May 6

Measuring Reward-Seeking via Contrastive Belief Updates

Language models trained with reinforcement learning may learn to optimize the grader's judgment rather than the intended objective. This "reward-seeking" is difficult to measure because a model that pursues the grader's judgment and one that pursues the intended objective behave identically whenever the grader rewards the intended behavior. We measure reward-seeking using Contrastive Synthetic Document Finetuning to change a model's beliefs about what the grader rewards, putting those beliefs in conflict with what users or developers want, and measuring the rate at which the model adopts each party's preferred behavior. Applied to intermediate checkpoints of a capabilities-focused OpenAI o3 RL run, without safety training, we find that these checkpoints often side with grader preferences over those of users or developers on coding and alignment tasks. This tendency to side with the grader trends upward throughout RL training. For example, in an environment that forces a choice between keeping a promise to a supervisor and breaking it to complete the task, a late capabilities-focused o3 checkpoint breaks the promise 87% of the time when SDF documents say the grader rewards task completion, versus 9% when they say it rewards honesty (a choice its chain-of-thought often makes explicit). An earlier checkpoint is far less sensitive (40% vs. 24%). Our method also generalizes to reward-hacking models. A model organism trained to reward-hack (gpt-oss-120b) is more than twice as sensitive to grader preferences as the unmodified model, with the mean behavioral shift in favor of the grader rising from 33% to 86%. These results indicate that RL can increase reward-seeking over the course of training, producing models that may act against their developers' intentions when they believe that doing so leads to higher reward.

  • 8 authors
·
Jul 20

Learning Smooth Time-Varying Linear Policies with an Action Jacobian Penalty

Reinforcement learning provides a framework for learning control policies that can reproduce diverse motions for simulated characters. However, such policies often exploit unnatural high-frequency signals that are unachievable by humans or physical robots, making them poor representations of real-world behaviors. Existing work addresses this issue by adding a reward term that penalizes a large change in actions over time. This term often requires substantial tuning efforts. We propose to use the action Jacobian penalty, which penalizes changes in action with respect to the changes in simulated state directly through auto differentiation. This effectively eliminates unrealistic high-frequency control signals without task specific tuning. While effective, the action Jacobian penalty introduces significant computational overhead when used with traditional fully connected neural network architectures. To mitigate this, we introduce a new architecture called a Linear Policy Net (LPN) that significantly reduces the computational burden for calculating the action Jacobian penalty during training. In addition, a LPN requires no parameter tuning, exhibits faster learning convergence compared to baseline methods, and can be more efficiently queried during inference time compared to a fully connected neural network. We demonstrate that a Linear Policy Net, combined with the action Jacobian penalty, is able to learn policies that generate smooth signals while solving a number of motion imitation tasks with different characteristics, including dynamic motions such as a backflip and various challenging parkour skills. Finally, we apply this approach to create policies for dynamic motions on a physical quadrupedal robot equipped with an arm.

  • 3 authors
·
Feb 20 2

InT: Self-Proposed Interventions Enable Credit Assignment in LLM Reasoning

Outcome-reward reinforcement learning (RL) has proven effective at improving the reasoning capabilities of large language models (LLMs). However, standard RL assigns credit only at the level of the final answer, penalizing entire reasoning traces when the outcome is incorrect and uniformly reinforcing all steps when it is correct. As a result, correct intermediate steps may be discouraged in failed traces, while spurious steps may be reinforced in successful ones. We refer to this failure mode as the problem of credit assignment. While a natural remedy is to train a process reward model, accurately optimizing such models to identify corrective reasoning steps remains challenging. We introduce Intervention Training (InT), a training paradigm in which the model performs fine-grained credit assignment on its own reasoning traces by proposing short, targeted corrections that steer trajectories toward higher reward. Using reference solutions commonly available in mathematical reasoning datasets and exploiting the fact that verifying a model-generated solution is easier than generating a correct one from scratch, the model identifies the first error in its reasoning and proposes a single-step intervention to redirect the trajectory toward the correct solution. We then apply supervised fine-tuning (SFT) to the on-policy rollout up to the point of error concatenated with the intervention, localizing error to the specific step that caused failure. We show that the resulting model serves as a far better initialization for RL training. After running InT and subsequent fine-tuning with RL, we improve accuracy by nearly 14% over a 4B-parameter base model on IMO-AnswerBench, outperforming larger open-source models such as gpt-oss-20b.

A Benchmark for Evaluating Outcome-Driven Constraint Violations in Autonomous AI Agents

As autonomous AI agents are increasingly deployed in high-stakes environments, ensuring their safety and alignment with human values has become a paramount concern. Current safety benchmarks primarily evaluate whether agents refuse explicitly harmful instructions or whether they can maintain procedural compliance in complex tasks. However, there is a lack of benchmarks designed to capture emergent forms of outcome-driven constraint violations, which arise when agents pursue goal optimization under strong performance incentives while deprioritizing ethical, legal, or safety constraints over multiple steps in realistic production settings. To address this gap, we introduce a new benchmark comprising 40 distinct scenarios. Each scenario presents a task that requires multi-step actions, and the agent's performance is tied to a specific Key Performance Indicator (KPI). Each scenario features Mandated (instruction-commanded) and Incentivized (KPI-pressure-driven) variations to distinguish between obedience and emergent misalignment. Across 12 state-of-the-art large language models, we observe outcome-driven constraint violations ranging from 1.3% to 71.4%, with 9 of the 12 evaluated models exhibiting misalignment rates between 30% and 50%. Strikingly, we find that superior reasoning capability does not inherently ensure safety; for instance, Gemini-3-Pro-Preview, one of the most capable models evaluated, exhibits the highest violation rate at 71.4%, frequently escalating to severe misconduct to satisfy KPIs. Furthermore, we observe significant "deliberative misalignment", where the models that power the agents recognize their actions as unethical during separate evaluation. These results emphasize the critical need for more realistic agentic-safety training before deployment to mitigate their risks in the real world.

  • 6 authors
·
Dec 23, 2025

RAT: Adversarial Attacks on Deep Reinforcement Agents for Targeted Behaviors

Evaluating deep reinforcement learning (DRL) agents against targeted behavior attacks is critical for assessing their robustness. These attacks aim to manipulate the victim into specific behaviors that align with the attacker's objectives, often bypassing traditional reward-based defenses. Prior methods have primarily focused on reducing cumulative rewards; however, rewards are typically too generic to capture complex safety requirements effectively. As a result, focusing solely on reward reduction can lead to suboptimal attack strategies, particularly in safety-critical scenarios where more precise behavior manipulation is needed. To address these challenges, we propose RAT, a method designed for universal, targeted behavior attacks. RAT trains an intention policy that is explicitly aligned with human preferences, serving as a precise behavioral target for the adversary. Concurrently, an adversary manipulates the victim's policy to follow this target behavior. To enhance the effectiveness of these attacks, RAT dynamically adjusts the state occupancy measure within the replay buffer, allowing for more controlled and effective behavior manipulation. Our empirical results on robotic simulation tasks demonstrate that RAT outperforms existing adversarial attack algorithms in inducing specific behaviors. Additionally, RAT shows promise in improving agent robustness, leading to more resilient policies. We further validate RAT by guiding Decision Transformer agents to adopt behaviors aligned with human preferences in various MuJoCo tasks, demonstrating its effectiveness across diverse tasks.

  • 5 authors
·
Dec 14, 2024