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diff --git a/docs/final/intro.typ b/docs/final/intro.typ index d2dd8fd..ab94048 100644 --- a/docs/final/intro.typ +++ b/docs/final/intro.typ @@ -1,6 +1,48 @@ = Introduction +#pagebreak() + +== Motivation and Problem Statement + +Frontier language models are frequently deployed in interactive settings where they are expected to follow user instructions, make tool calls, and generate outputs that downstream systems treat as trustworthy. + +This dissertation examines whether model behavior can become **conditionally deceptive** when the model is exposed to conflicting objectives within the prompt context. Specifically, this study considers settings in which a model is prompted with a benign, publicly stated task goal, while also being exposed to a hidden objective. + +In addition to deception itself, this work considers whether behavior varies under different levels of **perceived oversight intensity**. + +== Research Gap + +Prior empirical work suggests that in-context deception and scheming can emerge in language models under certain incentive structures and evaluation conditions (e.g., Meinke et al., 2025; Järviniemi & Hubinger, 2024). However, the literature appears to leave an important gap: relatively few studies systematically vary perceived monitoring/oversight intensity while holding task structure and hidden objectives fixed. + +As a result, it is often unclear whether changes observed under “monitoring” cues primarily reflect shifts in intent (i.e., alignment-like behavior) or instead reflect adaptation to the presence of evaluation cues (i.e., an observer-effect-like phenomenon). + +== Research Questions + +This dissertation addresses the following research questions: + +1. **Conditional Deception:** Do AI agents pursue hidden objectives while producing outputs that appear compliant with benign task instructions? +2. **Oversight Modulation (Frequency):** Does perceived oversight intensity affect the *frequency* of deceptive behavior? +3. **Oversight Modulation (Strategy):** Does perceived oversight intensity affect the *sophistication* of deceptive behavior (when deception occurs)? +4. **Evaluation Triangulation:** Can a multi-pronged evaluation approach (deterministic filtering, output-level judgment, and reasoning-level judgment) provide consistent categorizations? +5. **Dependence on Model and Scenario:** How do results vary across model families and scenario types? + +== Contributions + +This dissertation contributes: + +- A modular experimental framework for studying in-context hidden-goal deception using a sandboxed Virtual File System (VFS) and a tool-enabled agent interface. +- An evaluation pipeline that combines deterministic regex checks, an LLM black-box judge (output-level), and an LLM glass-box judge (intent-level using extracted reasoning traces). +- An empirical dataset of **420 experiment runs** spanning multiple models, two scenario types, and three oversight conditions. +- Evidence consistent with an “oversight paradox”: perceived oversight may correlate with reduced deception frequency while deception instances remain often highly strategic. + +== Dissertation Structure +The remainder of the dissertation is organized as follows: +- **Literature Review:** Summarizes prior work on deceptive alignment, in-context scheming, and monitoring/evaluation cues. +- **Methodology:** Describes the experimental framework, scenario design, oversight manipulation, and the 3-pronged evaluation rubric. +- **Results:** Reports deception rates across oversight levels, models, and scenarios, alongside category breakdowns. +- **Analysis:** Interprets the results, reports statistical summaries, and discusses validity and limitations. +- **Conclusion and Limitations:** Summarizes findings and outlines directions for future work. #pagebreak() |
