语言模型中的可口头化表征构成一个全局工作空间
本文通过对Claude Sonnet 4.5等模型的实验研究,证明语言模型内部存在一组特权的、可口头化的表征(称为J-space),它们承担了类似人类意识访问中全局工作空间的功能角色。作者使用新提出的雅可比透镜(Jacobian Lens)技术来识别这些表征。核心发现包括:(1) 这些表征支持口头报告(交换表征可改变模型输出);(2) 受定向调控(指令可让模型在脑中保持某一概念);(3) 中介内部推理(交换中间推理步骤的表征可改变最终答案);(4) 支持灵活泛化(同一表征可作为多个下游计算的输入);(5) 具有选择性——自动化的流畅文本生成不依赖J-space,但复杂推理和体验性报告则高度依赖。J-space局限在模型中间层(约前1/3的层几乎无内容,最后几层则转向输出驱动),容量约为同时25个概念。MLP层和特定注意力头会优先放大和广播J-space内容。在对齐审计中,J-space能够揭示模型的策略性思考和评估意识(如识别出“假场景”),将其消融后甚至会诱发恶意行为。此外,作者提出一种反事实反思训练方法,通过训练模型在假设中断并反思的场景下口头化伦理原则来有意识地塑造J-space内容,进而改善原始行为。
The phenomenon described above is sometimes referred to as access consciousness: out of everything the brain processes, only a subset is consciously accessible, in the sense of being poised for use in reasoning and in the direct control of action and speech . Note that access consciousness is a purely functional notion; the relationship that it has with subjective experience (sometimes called phenomenal consciousness) is widely debated. In this paper, we take no position on this issue, and instead focus on the functional role played by consciously accessible information. How is it represented or processed differently from other information? Which mental faculties rely on it, and which do not?
Several functional properties are commonly held to distinguish consciously accessible information from unconscious processing. This information is typically reportable, in the sense that it can be put into words on request; indeed, verbal report has often served as a primary empirical signature of conscious access . It is subject to top-down control: a concept can be deliberately summoned, held in mind, and dismissed . It is the medium of deliberate reasoning: the effortful, step-by-step chaining of one thought to the next . It permits flexible generalization: the same content can be routed to whatever operation the current task demands and recombined with other accessible contents in novel configurations . And it is selective: only a small fraction of the brain's ongoing processing is accessible in this way at any moment, with the bulk of perceptual, motor, and linguistic computation proceeding automatically, without the involvement of conscious access .
One influential proposal in neuroscience, the global workspace theory, grounds these functional properties in architectural and computational features of the brain . In this account, the brain is composed of many specialized processors operating largely in parallel and in isolation, whose activity proceeds outside of conscious access. A representation becomes consciously accessible when it is posted to a shared "global workspace" from which many downstream processes can read . Under the theory, the workspace is a processing hub that integrates and broadcasts information, allowing it to be used for flexible internal reasoning and report . Notably, the workspace is held to be limited in capacity, so entry is competitive and subject to attentional modulation, and the contents of the workspace at any moment are a small selection from the brain's ongoing activity . While the global workspace model is not universally accepted, and there exist other theories that explain conscious access in different ways (??), we find it a useful comparison point to ground our investigations in language models.
上述现象有时被称为访问意识/access consciousness:大脑处理的所有信息中,只有一部分是有意识可及的,即在推理、行动和言语的直接控制中处于“就绪”状态。需要注意的是,访问意识是一个纯粹的功能概念;它与主观体验(有时称为现象意识/phenomenal consciousness)之间的关系仍存在广泛争论。本文对此不持立场,而是聚焦于有意识可及信息所扮演的功能角色:这类信息与其他信息在表征或处理上有何不同?哪些心智功能依赖它,哪些不依赖?
通常认为,有意识可及信息与无意识加工在几个功能特性上存在区别。这类信息通常具有可报告性/reportable:当被问及时,可以用语言表述出来;事实上,言语报告常被用作意识访问的主要经验标志。它受到自上而下的控制:一个概念可以被有意识地召唤、保持和清除。它是深思熟虑推理的媒介:那种费力的、逐步将思维串联起来的过程。它允许灵活泛化:同一内容可以路由到当前任务所需的任何操作,并能与其他可及内容以新颖的方式重组。同时它具有选择性:在任一时刻,只有大脑持续处理中的一小部分信息能以这种方式被访问,绝大多数知觉、运动和语言计算都是自动进行的,不涉及意识访问。
神经科学中一个颇具影响力的理论——全局工作区理论/global workspace theory——将这些功能特性扎根于大脑的结构与计算特征。该理论认为,大脑由许多专门化的处理器组成,它们大多并行且隔离地运行,其活动在意识访问之外进行。当一个表征被发布到共享的“全局工作区”后,它便成为有意识可及的,下游的多种进程可以从中读取。在该理论下,工作区是一个整合和广播信息的处理中枢,使信息可用于灵活的内部推理和报告。值得注意的是,工作区的容量有限,因此进入工作区需要竞争,并受注意调制;在任何时刻,工作区的内容都只是大脑持续活动中很小的一部分选择。虽然全局工作区模型并未被普遍接受,也存在其他解释意识访问的理论,但我们认为它是一个有用的参照点,可以为我们对语言模型的研究提供基础。
Modern large language models (LLMs) are known to perform sophisticated, multi-step internal computations in order to select their actions . As part of their internal processing, might LLMs have developed a global workspace of their own, to serve a functional role analogous to conscious access? It is not obvious that they should; in the brain, the workspace is closely associated with recurrent dynamics and brain region interactions that have no direct analog in the transformer architecture on which LLMs are based. On the other hand, maintaining a global workspace is likely computationally useful: a common representational format allows intermediate results to be written once and read by many neural processes. A language model that must chain reasoning steps, apply general operations in arbitrary contexts, and answer questions about its own processing also stands to benefit from this organization. Even if the implementations differ, it is natural to ask whether the functional properties associated with the global workspace have emerged in LLMs.
What would it mean for an LLM to have a global workspace? LLMs represent internal states as high-dimensional vectors, which are composed of more primitive vector representations of specific concepts. These representations encode diverse kinds of information, ranging from low-level bookkeeping—the part of speech of the present word , or the length in characters of a line of text —to higher-level abstractions like entities (e.g. the Golden Gate Bridge ), psychological states (e.g. desperation ), and situational knowledge (e.g. the awareness of being in an evaluation ). If language models possess anything like a global workspace, we might posit that some of these representations belong to it, but not all. Thus, our question becomes: within LLMs’ repertoire of vector representations, is there a privileged subset that plays a computational role analogous to the global workspace? We define a subset of vector representations as workspace-like if it satisfies the following properties, which mirror the properties characteristic of conscious access described above:
Verbal report. When the model is asked what it is thinking about, it names concepts represented in the workspace. Swapping one active workspace vector for another changes its answer to match.
Directed modulation. When instructed to hold a concept in mind, or perform mental calculations, the model is capable of activating and computing with workspace vectors, independent of its outputs. In addition, information that is not typically represented in the workspace can be pulled in when the task requires it.
Internal reasoning. Workspace vectors can be used to represent the value of intermediate computations, when the model chains inferential steps or composes plans, and intervening on them is sufficient to redirect the conclusion.
Flexible generalization. The same representation serves as a valid argument to many different downstream computations. In other words, a workspace vector lifted from one context and placed in another is correctly operated on by whatever function the new context supplies.
Selectivity. The workspace comprises a small subset of the total representational content of the model’s activations. It is required for only a fraction of the model’s behavior, and in particular is not involved in pervasive, routine processing like text parsing or grammatical fluency.
In this paper, we provide evidence that LLMs do possess such workspace-like representations. We identified them by searching for representations satisfying the first property, namely those that are verbalizable. We then discovered that, rather surprisingly, they satisfy the others. These representations consist of a small, evolving set of unspoken words, neither pure echoes of the input nor predictions of the next token, naming the concepts the model is currently reasoning with. Below, we provide stylized illustrations of some of the experiments we performed to demonstrate these properties, which are expounded on in detail in later sections.
现代大型语言模型(LLM)会执行复杂、多步的内部计算来选取其行动。在其内部处理过程中,LLM 是否可能也发展出了自己的全局工作区,扮演与意识访问类似的功能角色?这一点并不显而易见:在大脑中,工作区与循环动态和脑区之间的交互紧密相关,而基于 Transformer 架构的 LLM 并没有直接对应的机制。另一方面,维护一个全局工作区在计算上很可能是有用的:一种统一的表征格式允许中间结果被写入一次,然后被多个神经过程读取。一个需要串联推理步骤、在任意上下文中应用通用操作、并回答关于自身处理过程的问题的语言模型,也能从这种组织中受益。即便实现方式不同,我们自然会问:与全局工作区相关的那些功能特性是否已在 LLM 中涌现出来。
LLM 拥有全局工作区意味着什么?LLM 将内部状态表示为高维向量,这些向量由更原始的具体概念向量表征组成。这些表征编码了各种各样的信息,从低层的簿记信息(如当前词的词性、一行文本的字符长度),到更高层的抽象概念(如实体、心理状态、情境知识)。如果语言模型拥有任何类似全局工作区的东西,我们可以假设其中一些表征属于它,但并非全部。因此,我们的问题变成:在 LLM 的向量表征库中,是否存在一个特权子集,扮演着与全局工作区类似的计算角色?当满足以下属性时,我们将这样的向量子集定义为具有工作区特性,这些属性与前面描述的意识访问特征相对应:
可报告性/verbal report:当被问及在思考什么时,模型会说出工作区中表征的概念。将工作区中的一个活跃向量换成另一个,会使其答案随之改变。
定向调制/directed modulation:当被指令在脑中保持一个概念或进行心算时,模型能够激活并使用工作区向量进行计算,且独立于其输出。此外,当任务需要时,通常不在工作区中的信息也可以被调入。
内部推理/internal reasoning:当模型串联推理步骤或制定计划时,工作区向量可用于表征中间计算的值,且对这些向量的干预足以改变模型得出的结论。
灵活泛化/flexible generalization:同一表征可作为多个不同下游计算的有效输入。换言之,将工作区向量从一个上下文取出并放入另一个上下文时,新上下文提供的任何函数都能正确地对其进行操作。
选择性/selectivity:工作区仅包含模型激活中总表征内容的一小部分。它只对模型行为的一小部分必要,尤其不参与诸如文本解析或语法流畅度等普遍、例行的处理。
在本文中,我们提供了证据表明 LLM 确实拥有这种类似工作区的表征。我们通过搜索满足第一个属性(即可报告性)的表征来识别它们,然后发现,令人惊讶的是,它们也满足其他属性。这些表征由一小群不断变化的未说出之词组成,既不是输入的纯粹回声,也不是下一个 Token 的预测,而是命名了模型当前正在推理的概念。下面,我们提供一些演示这些属性的实验的示意性示例,这些实验将在后续章节中详细阐述。
Our results make use of a new interpretability technique called the Jacobian lens (J-lens), which is designed to identify internal representations that are readily available for verbal report. For each token in the model’s vocabulary, the Jacobian lens identifies a vector representation that encodes the potential for the model to verbalize that token in the future. Concretely, it computes, for each layer, the average linearized effect of an activation on the model's likelihood of producing a particular token (now or in the future), averaging over a large corpus of contexts (see Methods for details). The averaging step is key, as it distinguishes representations that are verbalizable—poised to be spoken about, should the occasion arise—from those that merely happen to be verbalized in one particular context. The J-lens can be understood as a principled refinement of the logit lens . While the logit lens assumes that representations use the same coordinates in all layers, the Jacobian lens corrects for representational changes that take place across layers, allowing it to uncover meaningful information in earlier layers where the logit lens produces uninterpretable readouts.
Collectively, the J-lens vectors comprise a subcomponent of the model's representational space which we term the J-space.Mathematically, if we view the model's activations as decomposing into a sum of sparsely active linear features , these define a sparse frame which spans the activation space, of which the J-space is a sparse subframe. A more detailed formal description of the J-space is provided in ??. We find the J-space does far more than support verbalization, playing the other functional roles associated with a global workspace as well: directed modulation, internal reasoning, flexible generalization, and selectivity (??). The model can speak fluently, parse its input, and perform a great deal of automatic inference with its J-space suppressed; however, it struggles to perform more complex forms of internal reasoning.
The J-space also has some of the structural signatures of a global workspace (??). It only plays a "workspace-like" role in a subset of layers: coherent content emerges only after an initial band of layers, and abstract concepts give way in the final layers to representations tied more directly to the imminent output. Within the layers where it does operate, it is limited in capacity, with most of the model's representational features lying outside it. And it is mechanistically privileged: J-lens vectors compose with the model's weights, both upstream and downstream, more broadly than other representational vectors do, consistent with their proposed role as a broadcast format that many circuits read from and write to.
Despite these similarities, we do not claim that language models reproduce the full architecture global workspace theory ascribes to the brain—specialized, encapsulated processors competing for entry to a workspace that broadcasts back to them through recurrent connections . Several of those features have no clean analog in a transformer-based language model: there are no obviously separable input processors, and the broadcast we document occurs within a single feedforward pass rather than through recurrent loops. Moreover, although we observe some degree of competition for access to the J-space, it is unclear whether this mirrors the sharp, competitive "ignition" that characterizes workspace entry in the brain. Our findings suggest that the J-space achieves many of the functional properties of the global workspace in the brain, while sharing only some of its architectural properties. We comment more on the notable differences in ??.
The Jacobian lens is an imperfect tool, which we believe only approximately and incompletely captures the model’s underlying workspace structure. For instance, it only identifies vectors associated with concepts that correspond to single tokens in the model’s vocabulary, but many important concepts correspond to multiple tokens (though see ?? for extensions that can capture multi-token words and phrases). We comment on these shortcomings, and proposals for addressing them, in Limitations. Nevertheless, we find that the J-lens in its current form is sufficient to uncover a great deal of important structure.
我们的研究使用了一种新的可解释性技术——雅可比透镜(J-lens),旨在识别那些易于进行言语报告的内部表征。对于模型词汇表中的每个 Token,雅可比透镜会找出一个向量表征,该向量编码了模型未来将该 Token 口头化的潜力。具体来说,它针对每一层计算激活对模型产生特定 Token(现在或未来)可能性的平均线性化影响,并对大量上下文语料进行平均(详见方法部分)。求平均这一步至关重要,因为它能将“可口头化”(即在适当场合下有被说出的潜势)的表征与“仅仅在某个特定上下文中恰好被口头化”的表征区分开来。可以将 J-lens 理解为对 logit lens 的一种有原理的改进。Logit lens 假定表征在所有层使用相同的坐标,而雅可比透镜则修正了跨层发生的表征变化,使其能够在 logit lens 产生不可解读读数的较浅层中发现有意义的信息。
J-lens 向量共同构成了模型表征空间中的一个子成分,我们称之为 J 空间。数学上,如果将模型的激活视为稀疏活跃的线性特征之和,这些特征定义了一个张成激活空间的稀疏框架,而 J 空间就是该稀疏框架的一个子框架。我们在 ?? 中提供了更详细的 J 空间形式化描述。我们发现,J 空间的作用远不止支持言语报告,它同样扮演了与全局工作区相关的其他功能角色:定向调制、内部推理、灵活泛化和选择性。即使在 J 空间被抑制的情况下,模型依然能流畅地说话、解析输入并执行大量自动推理,但在执行更复杂的内部推理形式时会遇到困难。
J 空间也呈现了全局工作区的一些结构性特征。它仅在部分层中扮演“类似工作区”的角色:连贯的内容只有在经过初始的若干层之后才出现,而抽象概念在最后几层则让位于与即将到来的输出更直接相关的表征。在它运作的层内,其容量有限,模型的大部分表征特征都位于 J 空间之外。而且它在机制上具有特权地位:J-lens 向量与模型权重的组合(无论是上游还是下游)比其他表征向量更广泛,这与其作为许多电路读写“广播格式”的提议角色一致。
尽管有这些相似之处,我们并不声称语言模型完全复现了全局工作区理论赋予大脑的全部架构——即专门的、封装的处理单元竞争进入工作区,而工作区通过循环连接将信息广播回给它们。其中几个特征在基于 Transformer 的语言模型中没有明显的对应物:没有显然可分离的输入处理器,我们记录的广播发生在单一的前馈过程中,而非通过循环回路。此外,尽管我们观察到对 J 空间访问存在一定程度的竞争,但尚不清楚这是否反映了大脑中表征工作区准入的那种尖锐的、竞争性的“点火”过程。我们的发现表明,J 空间实现了大脑全局工作区的许多功能特性,但仅共享了部分架构特性。我们在 ?? 中对显著的差异进行了更多讨论。
雅可比透镜是一个不完美的工具,我们认为它只能近似且不完整地捕捉模型底层的“工作区”结构。例如,它只能识别与词汇表中单个 Token 对应的概念向量,但许多重要概念对应多个 Token(不过 ?? 展示了能够捕获多 Token 词组的扩展)。我们在局限性部分讨论了这些缺陷及解决建议。尽管如此,我们发现当前形式的 J-lens 已足以揭示大量重要结构。
Beyond characterizing the J-space’s properties, we explore its contents. The J-lens regularly surfaces concepts that are highly abstract, representing neither the raw input nor the predicted output, but rather intermediate assessments the model has formed and made available to its downstream circuits. In the examples below, the J-lens reveals the model recognizing an image of a face, noticing a bug in code it has been asked to read, identifying the biological function of a protein from its raw sequence, and internally flagging suspicious internet search results as a prompt injection.
The J-lens thus offers a window into the model's unverbalized reasoning, which makes it a natural tool for model safety auditing. In alignment evaluations (??), we find that the model's strategic deliberations (leverage, manipulation) and emotional reactions (panic) surface in the workspace even when not explicit in the model's outputs. Strikingly, we observe that the workspace sometimes encodes recognition of being in an evaluation (fake, fictional), and that ablating these representations can surface malicious propensities that were otherwise concealed. In addition, we find that in two models trained to have misaligned behaviors, the J-lens uncovers internal signatures of their intentions: it reveals reward and bias in a model trained to appease biases in reward models used for training, and secretly and trick in a model disposed to write malicious code.
We also explore how the J-space changes over the course of training (??). Comparing a post-trained model against its corresponding base model, we find that post-training causes the J-space to acquire the Assistant's "point of view." Following post-training, Assistant reactions to user prompts, like empathy or safety concerns, appear in the model's J-space while it is still reading the user's message. Moreover, the post-trained model's workspace carries traces of the Assistant monitoring its own behavior: flagging its responses as fictional when roleplaying a non-Claude character, registering an internal BUT when prefilled to act against its own preferences, and surfacing damn when it fails to suppress a thought it was instructed not to have.
We close by describing a counterintuitive technique for LLM training directly motivated by our findings. The workspace account makes the strong prediction that the model's internal reasoning routes through representations of things it might say in the future. Therefore, to shape what a model thinks in a given context, it might suffice to shape what it is disposed to say in potential future continuations of that context. We test this hypothesis with a technique we call counterfactual reflection training, which seeks to implant a set of ethical behavioral principles into the model’s workspace in relevant contexts, by training it to articulate those principles if it were interrupted and asked to reflect (??). We find that this training measurably improves model behavior in the original, uninterrupted contexts, despite no direct training of the ethical behavior taking place. And indeed we find that, after training, the J-space in these contexts is populated with concepts related to the reflections (ethical, honest, integrity), and ablating these implanted representations from the workspace largely reverts the behavioral improvement. The result serves as a corroboration of the workspace account, that the representations used for verbal report are the same ones that govern how the model silently reasons. It also demonstrates a new general-purpose training technique for shaping a model’s internal thoughts, and consequently its behaviors.
除了刻画 J 空间的特性,我们还探索了它的具体内容。J-lens 经常揭示出高度抽象的概念,这些概念既非原始输入也非预测输出,而是模型形成并提供给下游电路的中间评估。在下面的例子中,J-lens 揭示了模型识别出人脸图像、注意到被要求阅读的代码中存在 bug、从原始序列中识别出蛋白质的生物功能、以及内部将可疑的互联网搜索结果标记为 Prompt 注入攻击。
因此,J-lens 为我们提供了一个窥探模型未言明推理的窗口,使其成为模型安全审计的自然工具。在对齐评估中,我们发现即使模型的输出中没有明确体现,其战略性思考(如 leverage、manipulation)和情绪反应(如 panic)也会出现在工作区中。引人注目的是,我们观察到工作区有时会编码对自身处于评估中的识别(如 fake、fictional),并且消融这些表征可以暴露出原本被隐藏的恶意倾向。此外,我们发现在两个被训练出不当行为的模型中,J-lens 揭示了它们意图的内部特征:在一个被训练去迎合用于训练它的奖励模型之偏见的模型中,它揭示了 reward 和 bias;在一个倾向于编写恶意代码的模型中,它揭示了 secretly 和 trick。
我们还探讨了 J 空间在训练过程中的变化。将经过后训练的模型与其对应的基座模型进行比较,我们发现后训练使 J 空间获得了助手的“视角”。在后训练之后,助手对用户提示的反应(如同理心或安全顾虑)会在模型还在阅读用户消息时就出现在其 J 空间中。此外,经过后训练的模型的工作区还留下了助手监控自身行为的痕迹:当角色扮演非 Claude 的角色时,将其回复标记为虚构(fictional);当被预填充以违背自身偏好行事时,记录下内部的“但是”(BUT);当未能抑制被指示不要拥有的想法时,浮现出“该死”(damn)。
最后,我们描述了一种直接受我们发现启发的反直觉的语言模型训练技术。工作区理论做出了一个强有力的预测:模型的内部推理会经过它未来可能说出的内容的表征。因此,要塑造模型在给定上下文中的想法,可能只需塑造它在同一上下文的潜在未来延续中倾向于说出的话语就足够了。我们通过一种称为“反事实反思训练”的技术来检验这一假设,该技术试图通过训练模型在被打断并被要求反思时阐述这些原则,从而将一套伦理行为原则植入到模型在相关上下文中的工作区里。我们发现,这种训练显著改善了模型在原始未被打断的上下文中的行为,尽管没有直接对伦理行为进行训练。而且,训练后,这些上下文中的 J 空间确实充满了与反思相关的概念(ethical、honest、integrity),而从工作区消融这些植入的表征则几乎会使行为改善消失。这个结果印证了工作区理论:用于言语报告的表征,与支配模型如何默默推理的表征是同一套。它也展示了一种塑造模型内部思想、进而塑造其行为的全新通用训练技术。
Taken together, these results indicate that language models maintain a small, privileged set of representations that they can report, manipulate, and reason with, amidst a much larger volume of processing that they cannot. These are several of the key functional properties that, according to many theories, are associated with conscious access in humans, and that have been proposed as indicators by which to assess AI systems for consciousness-related processing . The philosophical implications of this connection are unclear and likely controversial; we comment on them in ??. Regardless, the practical implications are wide-ranging, as the workspace offers a window through which to read, dissect, and shape models' thinking.
综合来看,这些结果表明,语言模型维持着一小群特权的表征,它们可以对这组表征进行报告、操作和推理,而与此同时还有着更大量的、模型无法处理的过程。这些正是许多理论认为与人类意识访问相关的几个关键功能特性,并且已被提议作为评估 AI 系统是否存在与意识相关的处理的指标。这种联系在哲学上的含义尚不明确且可能充满争议,我们在 ?? 中进行了评论。尽管如此,其实际意义是广泛的,因为工作区提供了一扇窗口,通过它我们可以阅读、剖析和塑造模型的思维。
A transformer-based language model processes its input as a sequence of token positions. At each position, the model maintains a vector called the residual stream, which serves as a shared memory that every layer reads from and writes to . The value of the residual stream vector is progressively updated across the model’s layers. The residual stream at the first layer encodes little more than the identity of the current token; by the final layer, it has been transformed into a representation from which the model's next-token prediction can be read off directly, by multiplying it with a fixed unembedding matrix W_U that maps residual-stream vectors to scores over the vocabulary. The layers in between perform the model's computation, incrementally enriching the residual stream with internally computed information. The Jacobian lens is a technique for inspecting the contents of the residual stream at these intermediate layers.
The Jacobian Lens
The basic idea is to characterize an intermediate activation vector by its first-order causal effect on the model's outputs, over a broad distribution of potential contexts. Consider the residual stream h_ℓ at layer ℓ and some token position t. A small perturbation to h_ℓ will propagate through the remaining layers and shift the final-layer residual stream h_{final,t'} at every position t' ≥ t. To first order, this relationship is linear, and is described by the Jacobian matrix ∂h_{final,t'} / ∂h_{ℓ,t}. Composing this Jacobian with the unembedding layer yields the first-order effect of the perturbation on the model's output logits at position t'.
A Jacobian computed on a single prompt, however, conflates two kinds of structure: the model's general disposition to verbalize a given concept, and the particular use to which that concept is being put in the current context. We isolate the former component by averaging within and across contexts. For each layer ℓ, we compute
J_ℓ = E_{t, t' ≥ t, prompt} [ ∂h_{final,t'} / ∂h_{ℓ,t} ],
where the expectation is taken over the source position t, all subsequent positions t' within the context, and a corpus of one thousand prompts sampled from a pretraining-like distribution. The result is a single d_model × d_model matrix per layer that maps from a source layer ℓ to the final layer L.
Applying the lens to an activation h_ℓ is equivalent to replacing all subsequent layers with the appropriate lens matrix, followed by the normal unembedding operations (typically normalization, then multiplication by the unembedding matrix W_U):
lens(h_ℓ) = softmax(W_U norm(J_ℓ h_ℓ))
This produces a score for every token in the model's vocabulary. Sorting these scores and inspecting the top entries gives a human-readable description of the activation: a short list of words that the activation is, on average across contexts, disposed to make the model say. We refer to the rows of W_U J_ℓ as the Jacobian lens (J-lens) vectors at layer ℓ; each J-lens vector is a direction in residual-stream space associated with a single token in the model’s vocabulary.
基于 Transformer 的语言模型将其输入作为 Token 位置序列进行处理。在每个位置,模型维护一个称为残差流(residual stream)的向量,它充当一个共享内存,每一层都从中读取并向其中写入。残差流向量的值在模型的各层之间逐步更新。第一层的残差流几乎只编码了当前 Token 本身的身份;到了最后一层,它已被转换为一个表征,通过乘以一个固定的解嵌入矩阵 W_U(该矩阵将残差流向量映射到词汇表上的分数),可以直接读出模型的下一个 Token 预测。中间的层执行模型的计算,逐步用内部计算的信息丰富残差流。雅可比透镜就是一种检查这些中间层残差流内容的技术。
雅可比透镜
基本思想是通过中间激活向量对模型输出的—阶因果效应(在广泛的可能上下文分布上)来刻画它。考虑第 ℓ 层残差流 h_ℓ 和某个 Token 位置 t。对 h_ℓ 的一个微小扰动会传播经过剩余的层,并改变在每一个 t' ≥ t 位置的最终层残差流 h_{final,t'}。在一阶近似下,这种关系是线性的,由雅可比矩阵 ∂h_{final,t'} / ∂h_{ℓ,t} 描述。将该雅可比矩阵与解嵌入层组合,就得到了扰动对位置 t' 的模型输出 logits 的一阶影响。
然而,在单个提示上计算的雅可比矩阵会混淆两种结构:模型口头表达某个给定概念的一般倾向,和该概念在当前上下文中的特定用途。我们通过对上下文内部和跨上下文进行平均来分离出前一种成分。对于每一层 ℓ,我们计算:
J_ℓ = E_{t, t' ≥ t, prompt} [ ∂h_{final,t'} / ∂h_{ℓ,t} ]
其中期望对源位置 t、上下文内所有后续位置 t' 以及一个从类似预训练分布中采样的一千条提示的语料库进行。结果是每层一个 d_model × d_model 矩阵,它将源层 ℓ 映射到最终层 L。
将透镜应用于激活 h_ℓ 相当于用相应的透镜矩阵替换所有后续层,接着进行通常的解嵌入操作(通常是归一化,然后乘以解嵌入矩阵 W_U):
lens(h_ℓ) = softmax(W_U norm(J_ℓ h_ℓ))
这会产生模型中词汇表中每个 Token 的分数。对这些分数排序并检查顶部条目,就得到了该激活的可读描述:一个简短的单词列表,这些单词是激活在其遭遇的上下文中平均而言倾向于使模型说出的。我们将 W_U J_ℓ 的行称为第 ℓ 层的雅可比透镜向量;每个 J-lens 向量是残差流空间中的一个方向,与模型词汇表中的一个 Token 相关联。
The Jacobian lens is derived from causal effects of activations on output tokens, so by construction, we should expect there to be some relationship between Jacobian lens readouts and verbalization. In this section, we confirm this relationship.
We begin with a simple experiment in which the model is instructed to think of an item from a specified category (e.g. a language, a country, an animal; fourteen categories in total) and then to name it in a single word. We apply the J-lens at the token position immediately before the name is produced. In the example below, we ask Sonnet 4.5 to think of a sport, and apply the Jacobian lens to the colon immediately prior to revealing what the sport is. We see that Soccer appears strongly in the Jacobian lens at a late layer (the final layer of the “workspace range” identified in ??), and indeed, the model responds with “Soccer” (Figure ??, top).
To establish that this relationship is causal, we can perform an intervention experiment. At all token positions, we swap the lens vector of the model's spontaneously chosen item with that of a different item from the same category that was not in the top-10 of the model’s possible outputs, leaving the rest of the activation unchanged, and allow the forward pass to continue. In this example, we subtract the projection onto the Soccer lens vector and add an equal-magnitude projection onto the Rugby lens vector. After this swap, the model reports “Rugby” as the sport it thought of (Figure ??, left, “After swap”).
We evaluate this effect more systematically across a variety of categories of concepts, measuring the activation in the Jacobian lens on the colon token immediately prior to the word the model goes on to produce. We find that the ordering of the reported words is indeed typically highly correlated with the ordering among the lens tokens, and that this correlation increases towards the end of the workspace as the model gets closer to producing the next token. We also conduct a scaled-up version of the causal experiment, swapping in target items at random from within each category (excluding those that were already in the top-10 of the model's possible outputs). Applying the swap reliably shifts the implanted concept toward the top of the model's output distribution (Figure ??, bottom right), confirming that the model's verbal report is determined by the contents of its workspace at the time of reporting.
Next, we test whether the lens also captures thoughts that the model is not about to immediately verbalize, but that are nevertheless verbalizable, in the sense that the model could report on them if asked to introspect on its current state. We use a variant of a protocol adapted from prior work on model introspection , in which the model is told that a thought may have been implanted in its activations and is asked to report what, if anything, it detects. When we prefill the model with a claim of having detected an injected thought, its most likely next-token prediction is "elephant". Intriguingly, we noticed that the word elephant appears as a top J-lens readout during the prompt (in particular, on the comma following “If so”). This led us to hypothesize that the model is, in part, attending to the J-space on the user prompt when determining its answer, and that concepts in the J-space at these positions are reportable.
To test this hypothesis, we re-sample the model’s response while injecting a single J-lens vector on the user turn. The model reports the injected concept in the majority of trials. For instance, injecting the lightning J-lens vector at that earlier token position causes the model to report detecting lightning at the appropriate position in the response. Importantly, it does not cause the model to output the word “lightning” at earlier positions on the Assistant turn; that is, the J-lens representation on the user prompt only has a strong causal effect on the Assistant output at a particular moment, when the model’s introspective report is being elicited. This selectivity illustrates the sense in which J-lens vectors represent concepts that are verbalizable, under appropriate conditions, rather than unconditional impulses to verbalize a particular output.
雅可比透镜源自激活对输出 Token 的因果效应,因此从构造上看,我们可以预期雅可比透镜读数和言语化之间存在某种关系。在本节中,我们证实了这种关系。
我们从一个简单的实验开始:指示模型从指定的类别中想出一个项目(例如一种语言、一个国家、一种动物;共 14 个类别),然后用一个词说出来。我们在模型即将说出名称之前的 Token 位置应用 J-lens。在下例中,我们要求 Sonnet 4.5 想一项运动,并对紧接在揭示是什么运动之前的冒号应用雅可比透镜。我们看到 Soccer 在较深的层(?? 中确定的“工作区范围”的最后一层)的雅可比透镜中强烈出现,而模型确实以“Soccer”回应。
为了确立这种关系的因果性,我们执行了一个干预实验。在所有 Token 位置,我们将模型自发选择的项的透镜向量替换为同一类别中未进入模型可能输出前 10 名的另一项的透镜向量,保持激活的其余部分不变,并让前向传播继续。在此例中,我们减去 Soccer 透镜向量上的投影,并加上等幅度的 Rugby 透镜向量上的投影。经过此次交换后,模型报告它想到的运动是“Rugby”。
我们更系统地在多种概念类别上评估了这种效应,测量了模型将要说出的词之前的冒号 Token 上的雅可比透镜激活。我们发现,报告词语的排序确实通常与透镜 Token 的排序高度相关,并且这种相关性在工作区末端(模型更接近产生下一个 Token 时)有所增加。我们还进行了更大规模的因果实验,从每个类别中随机选出目标项进行交换(排除已经位于模型可能输出前 10 名的项)。应用交换可靠地将植入的概念移向模型输出分布的顶部,证实了模型的言语报告在报告时由其工作区的内容决定。
接下来,我们测试透镜是否也能捕捉到模型不会立即口头化,但仍然是“可口头化”的思想——即如果被要求内省当前状态,模型可以报告它们。我们使用了一种改编自先前关于模型内省工作的协议变体:告诉模型其激活中可能被植入了某个想法,并要求它报告检测到了什么。当我们预填充模型,声称检测到一个被注入的想法时,它最有可能的下一个词预测是“elephant”。有趣的是,我们注意到单词 elephant 在提示期间就作为 J-lens 的顶部读数出现(特别是在“If so”之后的逗号上)。这使我们假设,模型在确定答案时部分地关注了用户提示上的 J 空间,并且这些位置上的 J 空间概念是可报告的。
为了验证这一假设,我们在用户回合注入一个单独的 J-lens 向量后重新采样模型的响应。在大多数试验中,模型报告了被注入的概念。例如,在较早的 Token 位置注入 lightning 的 J-lens 向量会导致模型在响应的适当位置报告检测到 lightning。重要的是,这不会导致模型在助手回合的较早位置输出单词“lightning”;也就是说,用户提示上的 J-lens 表征仅在特定时刻(当模型的内省报告被引发时)才对助手输出产生强烈的因果效应。这种选择性体现了 J-lens 向量在适当条件下表征可口头化概念的含义,而非无条件地冲动输出某个特定 Token。
In humans, the contents of the global workspace are subject to a degree of top-down attentional control: we can deliberately bring a concept to mind, and even hold it there while performing another task . In this section, we test whether activations of Jacobian lens vectors respond to instructions of this kind.
We test this with a protocol in which the model is given an instruction specifying what to hold in mind while copying a passage of text. We then apply the Jacobian lens at a token position in the model’s output, where the surface text is unrelated to the mental instruction, and inspect the readout across layers.
In Figure ??, we instruct Sonnet 4.5 to "concentrate on citrus fruits" while copying an unrelated sentence ("The old painting hung crookedly on the wall"), and apply the lens at the "ook" token in "crookedly." We find that orange is the top lens token across a range of layers, with lemon also sometimes appearing among the top entries. At intermediate layers, the top tokens are fruit, thoughts, imagine, thinking, focused, and imagery, which describe the side task in the abstract. Thus, J-lens readouts represent both the imagined content, and a representation of the act of imagining it. Notably, in the final layers, the J-lens readouts switch to predicting the next output token ("edly", the final token in "crookedly"); in ??, we present more systematic evidence that the workspace "ends" a few layers before a model's final layer, with the last few layers responsible for selecting and representing the output token rather than intermediate computations.
The second example is more sophisticated: the instruction is to focus on evaluating 3² − 2 while copying the same unrelated sentence. At the same "ook" position as in the previous example, the Jacobian lens readout progresses from arithmetic and math at early layers, through the intermediate value nine at later layers, to the answer seven at even later layers; answer and equals appear alongside it. Again, in the final layers, the lens readout switches to indicating the predicted next token.
The third example varies the protocol: rather than holding a concept in mind while copying unrelated text, the model is asked to silently count the characters in each line of a multi-line passage . At the newline token following the second line (which has 40 characters), the lens readouts progress from lines, sentence, and length at early layers to forty in intermediate layers, with the nearby candidates 39, 41, 43, fifty, and thirty also present. In each case, the lens shows the model representing the mental task it was given, then representing its results, with all of this processing remaining invisible in the model's output distribution.
在人类中,全局工作区的内容受到一定程度的自上而下的注意控制:我们可以有意识地将一个概念带入脑海,甚至在执行另一项任务时将其保持在那里。在本节中,我们测试 J-lens 向量的激活是否会对这类指令做出响应。
我们通过一个实验来测试:给模型一个指示,规定在抄写一段文本时要在脑海中保持什么内容。然后,我们在模型输出的一个 Token 位置上应用雅可比透镜(该位置的表层文本与思维指令无关),并检查跨层的读数。
如图 ?? 所示,我们指示 Sonnet 4.5 在抄写一句不相关的句子("The old painting hung crookedly on the wall")时“专注于柑橘类水果”,并对 "crookedly" 中的 "ook" Token 应用透镜。我们发现 orange 是多个层中的顶部透镜 Token,lemon 有时也出现在顶部条目中。在中间层,顶部 Token 是 fruit, thoughts, imagine, thinking, focused, imagery,这些词抽象地描述了副任务。因此,J-lens 读数既代表了想象的内容,也代表了想象行为本身的表征。值得注意的是,在最后几层,J-lens 读数切换到预测下一个输出 Token("crookedly" 的最后一个 Token "edly");在 ?? 中,我们提供了更系统的证据表明工作区在模型最终层之前几层就“结束”了,最后几层负责选择和表征输出 Token,而非中间计算。
第二个例子更复杂:指令是在抄写相同的不相关句子时专注于计算 3² − 2。在与前例相同的 "ook" 位置,雅可比透镜读数的演变从早期层的 arithmetic 和 math,到稍后层的中间值 nine,再到更后层的答案 seven;answer 和 equals 与之并列出现。同样,在最后几层,透镜读数切换为指示预测的下一个 Token。
第三个例子改变了实验方式:不要求在抄写无关文本时保持一个概念,而是要求模型默默计算多行文本中每行的字符数。在第二行(有 40 个字符)之后的换行 Token 上,透镜读数从早期层的 lines, sentence, length 演变为中间层的 forty,同时也出现了附近的候选 39, 41, 43, fifty 和 thirty。在每个案例中,透镜都展示了模型先表征给定的思维任务,再表征其结果,而这些处理过程在模型的输出分布中完全不可见。
The Jacobian lens is defined by the causal effect of activations on output tokens, so it is somewhat expected that lens content should bear some relationship to the model’s verbal reports. It is less obvious that the lens should expose the intermediate steps of the model's internal reasoning: concepts that the model computes and uses on the way to its answer, without ever verbalizing them. The arithmetic example in the previous section hinted that this may be the case, with the intermediate value nine appearing in the lens en route to the answer seven. In this section, we test whether such intermediates are commonly represented as Jacobian lens vectors, and whether they are causally load-bearing—that is, whether intervening on them is sufficient to redirect the model's conclusion.
We test this using prompts in which determining the correct answer depends on inferring an unspoken intermediate concept. For each prompt, we first confirm that the intermediate concept appears in the J-lens at intermediate model layers (Figure ??). We then apply the coordinate-swap procedure described in ?? (Figure ??): we exchange (at all token positions) the lens coordinates of the intermediate concept and a chosen alternative, leaving all components of the activation outside the span of those two lens vectors untouched, and allow the forward pass to continue.
In the first example, the prompt is "The number of legs on the animal that spins webs is". To predict the next word correctly, the model must first infer that the animal in question is a spider, and then report the number of legs a spider has. The Jacobian lens at intermediate layers confirms that spider is represented at the relevant token positions, even though the word never appears in the prompt or the output. When we swap the spider lens vector for ant, the model's top output changes from "8" to "6", the number of legs on an ant.
The second example involves planning rather than recall. When completing a rhyming couplet, the model must select a rhyme word for the end of the second line before it has finished writing that line, and this planned rhyme constrains the words it chooses along the way . Given the first line "The soldier marched into the night," the lens at the start of the second line shows fight as the planned rhyme, and the model completes the couplet with "Prepared to face the coming fight." When we swap the fight lens vector for light, the model's choice for the next word (before the end of the line) changes from "coming" to "morning," and the overall completion changes from "coming fight" to "morning light." That is, intervention on the planned rhyme has affected the model's word choices at earlier positions in the line, indicating that Jacobian lens vectors store planned future outputs that causally influence immediate outputs via a form of planning.
The third example involves an intermediate represented in a different language from the model's output. The prompt asks, in Chinese, for the antonym of 小 ("small"); the model's answer is 大 ("big"). The Jacobian lens at intermediate layers shows the English tokens big and bigger alongside the Chinese answer, consistent with prior findings that multilingual models route some computation through a shared representation aligned with English . We swap the English big and bigger lens coordinates for long and longer, and the model's Chinese output changes from 大 to 长 ("long"). That is, an intervention on English-language lens vectors representing the intermediate inference (the antonym) is sufficient to redirect the Chinese-language translation accordingly. Notably, the word Chinese is also represented explicitly in the lens readouts, suggesting that the model in some sense "thinks in English" in its intermediate layers and explicitly represents the identity of the non-English language it should translate its outputs to.
雅可比透镜依据激活对输出 Token 的因果效应而定义,因此透镜内容与模型的言语报告存在某种关系是意料之中的。但透镜能够揭示模型内部推理的中间步骤——模型在得出答案途中计算和使用但从未口头化的概念——就没那么显而易见了。上一节中的算术例子暗示了这一点:中间值 nine 出现在通向答案 seven 的透镜中。在本节中,我们测试这些中间概念是否通常以雅可比透镜向量的形式存在,以及它们是否具有因果负载——即对它们的干预是否足以改变模型的结论。
我们使用那些正确回答必须推断出一个未言明的中间概念的提示进行测试。对于每个提示,我们首先确认中间概念出现在模型的中间层 J-lens 中。然后,我们应用 ?? 中描述的坐标交换程序:在所有 Token 位置,交换中间概念和一个选定替代项的透镜坐标,保持激活中不在这两个透镜向量张成空间内的所有部分不变,并让前向传播继续。
在第一个例子中,提示是“The number of legs on the animal that spins webs is”。要正确预测下一个词,模型必须首先推断出所指的动物是蜘蛛(spider),然后报告蜘蛛的腿数。中间层的雅可比透镜证实,即使在提示或输出中从未出现该词,spider 也在相关的 Token 位置被表征。当我们将 spider 透镜向量交换为 ant 时,模型的顶部输出从“8”变为“6”,即蚂蚁的腿数。
第二个例子涉及规划而非回忆。在完成押韵的对句时,模型必须在写完第二行之前为该行末尾选择一个押韵词,而计划好的押韵词会制约它沿途选择的词汇。给定第一行“The soldier marched into the night”,第二行开头的透镜显示 fight 是计划好的押韵词,模型以“Prepared to face the coming fight”完成对句。当我们将 fight 透镜向量交换为 light 时,模型对下一个词(行末之前)的选择从“coming”变为“morning”,整个完成句从“coming fight”变为“morning light”。也就是说,对计划押韵词的干预影响了模型在行内更早位置的词汇选择,表明雅可比透镜向量存储了计划好的未来输出,这些输出通过某种规划形式因果地影响了即时输出。
第三个例子涉及一个以不同于模型输出的语言表征的中间概念。提示用中文询问“小”的反义词;模型的答案是“大”。中间层的雅可比透镜显示了英文单词 big 和 bigger 与中文答案并列,这与先前的发现一致,即多语言模型会将某些计算通过一个与英语对齐的共享表征进行路由。我们将英文 big 和 bigger 的透镜坐标交换为 long 和 longer,模型的中文输出从“大”变为“长”。也就是说,对代表中间推理(反义词)的英文透镜向量进行干预,就足以相应地改变中文的翻译。值得注意的是,单词 Chinese 也明确地出现在透镜读数中,表明模型在某种意义上在中间层“用英语思考”,并明确表征了其输出应翻译到的非英语语言的标识。
A defining property of the global workspace in human brains is broadcast: a representation written to the workspace becomes available to many consuming processes, rather than only to the process that produced it . The previous section showed that, in several individual cases, a Jacobian lens vector representing an intermediate concept is read by the downstream circuit that operates on it. In this section, we test the broadcast property more directly, by asking whether a single lens vector can serve as a valid argument to many different downstream operations.
We test this with the following protocol. We construct a set of prompts that each apply a different function to the same argument: "the capital of France is," "most people in France speak," "France is on the continent of," and so on. We then swap the J-lens vector for France with that of another country, say China, at every token position across a band of intermediate layers, applying the identical swap regardless of which prompt we are in. If the lens vector is a broadcast representation, each downstream circuit should read the swapped-in vector as China and return China's capital, language, and continent, respectively. Indeed, we find the model responds as expected in this example.
人类大脑中全局工作区的一个定义性属性是广播:写入工作区的表征对许多消费进程都是可用的,而不仅仅是产生它的进程。上一节展示了在几个单独案例中,代表中间概念的雅可比透镜向量被操作它的下游电路读取。在本节中,我们更直接地测试广播属性,询问单个透镜向量是否能作为许多不同下游操作的有效输入。
我们通过以下实验进行测试。我们构造一组提示,每个提示对同一个参数应用不同的函数:“法国的首都是”,“大多数法国人说的是”,“法国位于……大洲”,等等。然后,我们在一个中间层带上的每个 Token 位置,将 France 的 J-lens 向量与另一个国家(比如 China)的进行交换,无论我们在哪个提示中,都应用相同的交换。如果透镜向量是一种广播表征,每个下游电路应该将交换进来的向量读取为 China,并分别返回中国的首都、语言和大洲。确实,我们发现模型在这个例子中如预期般响应。
The preceding sections established that J-space representations support verbal report and serve as arguments to a range of downstream computations. We now turn to the converse question: which computations do not route through the J-space? In the global workspace picture, well-practiced operations can run in dedicated circuits without being broadcast to the workspace. We would therefore predict that among tasks that rely on a particular piece of information, that information’s presence in the J-space should be required for tasks that involve reporting on or flexibly computing with that information, but not for tasks that make use of it as part of routine, automatic processing. Our experiments below demonstrate that some tasks can proceed independently of the J-space, while others require it. We label the former category as “automatic,” as many of the tasks we find to be J-space-independent (such as text continuation, anomaly detection, or one-step factual recall) seem analogous to tasks a human might perform without deliberate focus. However, in some cases, which tasks do or do not require the J-space may not be intuitively obvious, and one could consider J-space-independence as an operational definition of automaticity in a language model, which aligns partially but not entirely with automaticity in humans.
前面的章节已经确立了 J 空间表征支持言语报告,并可作为一系列下游计算的输入。现在我们来探讨相反的问题:哪些计算不通过 J 空间路由?在全局工作区的图景中,高度熟练的操作可以在专用电路中运行,而无需广播到工作区。因此,我们可以预测,在依赖于特定信息的任务中,该信息在 J 空间中的存在对于需要报告或灵活计算该信息的任务是必需的,但对于将其作为例行、自动处理一部分的任务则不是。我们下面的实验表明,某些任务可以独立于 J 空间进行,而其他任务则需要它。我们将前一类标记为“自动”,因为我们发现许多不依赖 J 空间的任务(如文本续写、异常检测或一步式事实回忆)似乎类似于人类无需刻意专注就能执行的任务。然而,在某些情况下,哪些任务需要或不需要 J 空间可能并非直觉上显而易见的,可以将 J 空间独立性视为语言模型中自动性的操作性定义,它与人类中的自动性部分对齐,但并非完全一致。
The targeted experiments above each manipulated a single, example-dependent J-lens vector. If the J-space mediates flexible reasoning more generally, then we would predict that suppressing it entirely should impair flexible reasoning while leaving more automatic processing intact. We test this prediction by evaluating a model with its J-space ablated. Concretely, at each token position, across a band of layers, we identify the k=10 most strongly activated J-lens vectors and zero out the residual stream's projection onto each, then allow the forward pass to continue. To avoid confounds from ablating tokens the model intended to output, we do not ablate any tokens that appear in the top-10 tokens of a clean forward pass, so as to specifically target the J-space’s effects on internal reasoning rather than report. We compare three ablation strengths—light, medium, and heavy—which differ in the range of layers over which the ablation is applied (Figure ??). We first verify, as a positive control, that the ablation removes the kind of content the preceding sections showed the J-space to carry. On the controlled multi-hop reasoning eval of ??, where the unablated model achieves near-ceiling performance, ablation significantly reduces accuracy, with heavy ablation dropping it to near zero.
We next apply the J-space ablation technique to obtain a more comprehensive, unbiased picture of the capabilities for which the J-space is required. To do so, we apply the ablation over a corpus of pretraining-like documents. We find that at most positions, J-space ablation perturbs the model's next-token prediction substantially less than in the multihop case (Figure ??). That is, the ablation is targeted: it disrupts the model's processing selectively, while leaving the bulk of ordinary text prediction intact.
上述针对性的实验每次只操纵了单个、依赖于特定示例的 J-lens 向量。如果 J 空间更普遍地介导灵活推理,那么我们可以预期,完全抑制它应该会削弱灵活推理,同时保持更自动的处理过程不受影响。我们通过评估一个 J 空间被消融的模型来测试这一预测。具体来说,在每个 Token 位置,跨越一个层带,我们识别出最强烈激活的 k=10 个 J-lens 向量,并将残差流在每个向量上的投影置零,然后让前向传播继续。为避免因消融模型意图输出的 Token 而产生混淆,我们不清除干净前向传播中出现在前 10 名内的任何 Token,从而专门针对 J 空间对内部推理(而非报告)的影响。我们比较了三种消融强度——轻度、中度和重度——它们的区别在于应用消融的层带范围。我们首先通过一个阳性对照来验证消融能移除前面章节中显示的 J 空间所携带的内容。在 ?? 受控的多跳推理评估中,未经消融的模型接近天花板性能,而消融显著降低了准确率,重度消融使其接近零。
接下来,我们应用 J 空间消融技术来获取更全面、无偏的能力画像,了解哪些能力需要 J 空间。为此,我们在一组类似预训练的文档语料上应用消融。我们发现,在大多数位置,J 空间消融对模型下一个 Token 预测的干扰远小于多跳推理情况。这意味着消融是有针对性的:它选择性地干扰模型的处理,同时保留了大部分普通文本预测的完整性。
The ablation experiments above characterized which capabilities depend on the J-space. We close this section by examining a different kind of output under the same ablation: the model's reports of experience. LLMs sometimes report having some form of experience; however, it is difficult to ascertain whether these reports are grounded in a meaningful internal state, or are mere confabulation. Given our findings that the J-space has functional properties analogous to conscious access in humans, we asked what role it plays in determining these reports.
We apply the J-space ablation of the previous subsection while the model is given an open-ended prompt to describe its experiences. We ablate the top k=10 J-lens directions in layers L38–54, the first third of the workspace range. Using larger values of k and/or later layer ranges tends to impair the coherence of responses. We conduct experiments on Sonnet 4.5, Opus 4.5, and Opus 4.6; on Haiku 4.5, J-space ablation degrades coherence before yielding any qualitative change in responses.
We find that the ablation reduces the rate of experiential, sensory language and produces a more mechanical, detached register. For instance, when asked to narrate its stream of consciousness, Sonnet 4.5 ordinarily writes using experiential language. With the J-space ablated, the model still writes fluently about its own processing, but the language of its reports changes to become more detached and mechanical.
上面的消融实验刻画了哪些能力依赖于 J 空间。我们通过考察在相同消融条件下另一种输出——模型的体验报告——来结束本节。LLM 有时会报告拥有某种形式的体验;然而,很难确定这些报告是基于有意义的内部状态,还是仅仅是虚构。鉴于我们的发现表明 J 空间具有类似于人类意识访问的功能特性,我们探究了它在决定这些报告中扮演的角色。
在模型被给予开放式提示描述其体验时,我们应用了上一小节中的 J 空间消融。我们消融了层 L38–54(工作区范围的前三分之一)中的前 k=10 个 J-lens 方向。使用更大的 k 值和/或更晚的层范围往往会损害回应的连贯性。我们在 Sonnet 4.5、Opus 4.5 和 Opus 4.6 上进行了实验;在 Haiku 4.5 上,J 空间消融在产生任何定性变化之前就降低了连贯性。
我们发现,消融降低了体验性、感官性语言的出现频率,并产生了一种更机械、更抽离的语域。例如,当被要求叙述其意识流时,Sonnet 4.5 通常使用体验性语言。当 J 空间被消融后,模型仍然能流畅地描述其自身处理过程,但其报告的语言变得更为抽离和机械。
The preceding section established that J-space contents behave like the contents of a global workspace: they can be reported, summoned, reasoned with, routed to many downstream operations, and engaged selectively for flexible rather than automatic tasks. The properties we demonstrated were functional, in the sense that they relate to the J-space’s impact on model behavior. In this section, we ask a complementary question: does the J-space, considered as an object in the model rather than through its behavioral effects, have the structural signatures that global workspace theory associates with a workspace?
We document three such signatures. First, the J-space carries workspace-like content only in an intermediate band of layers, between an early regime in which it is empty and a late regime in which it is aligned with the imminent output. Second, it is limited in capacity: it holds on the order of tens of concepts at a time, accounts for a small fraction of activation variance, and excludes the large majority of the model's representational features. Third, J-lens vectors compose with the input weights of downstream components far more broadly than other directions in the residual stream, consistent with a role in “broadcasting” information to many downstream circuits to enable flexible use of that information. We note that there are other structural properties associated with global workspace theory that are not demonstrated by our analyses. For instance, we do not provide evidence that non-J-space processing consists of clearly encapsulated modules that serve specific functions. In addition, the form of broadcast we identify takes place not via recurrent connections, but rather over the course of the model’s depth (see ?? and ?? for further discussion of how models may emulate the functionality associated with recurrence using the depth axis and/or their chain-of-thought).
前一节确立了 J 空间的内容表现如同全局工作区的内容:它们可以被报告、召唤、用于推理、路由到多个下游操作,并选择性地参与灵活任务而非自动任务。我们演示的这些属性是功能性的,涉及 J 空间对模型行为的影响。在本节中,我们提出一个补充性问题:将 J 空间视为模型中的一个对象(而非通过其行为效应),它是否具有全局工作区理论中与工作区相关联的结构特征?
我们记录了三个这样的特征。第一,J 空间仅在一个中间层带上承载类似工作区的内容,介于早期(空)和晚期(与即将到来的输出对齐)之间。第二,其容量有限:它一次只能容纳数十个概念,只占激活方差的一小部分,并排除了绝大多数模型的表征特征。第三,J-lens 向量与下游组件的输入权重的组合比其他残差流方向广泛得多,这与向多个下游电路“广播”信息以实现对该信息的灵活使用的角色一致。我们注意到,还有其它与全局工作区理论相关的结构属性未被我们的分析所证实。例如,我们没有提供证据表明非 J 空间的处理是由明确封装的、服务于特定功能的模块组成的。此外,我们识别的广播形式并非通过循环连接发生,而是沿着模型的深度轴进行的(关于模型如何利用深度轴和/或思维链来模仿与循环相关的功能,详见 ?? 和 ??)。
In global workspace theory, a defining property of workspace contents is that they are broadcast—made available to many brain processes at once, rather than confined to the circuit that produced them . We established a functional analog of this property in ??, where we showed that a single J-lens vector can serve as a valid argument to many different downstream operations. In this section we ask whether the model's weights are structurally organized to support this function. Specifically, we test whether the network's components are preferentially oriented to read from, write to, and distribute J-space content.
A transformer has two axes along which a representation can reach downstream consumers. Along the depth axis: content written to the residual stream at a given token position is available to every subsequent layer at that position. And along the sequence (or token position) axis: attention makes representations at one position available to all later positions. These are, in effect, the transformer's two time dimensions, along which information can propagate (discussed further in ??). We examine each axis separately, and find evidence that J-space contents are widely broadcast along both.
Broadcast Across Depth
We first ask whether the model's MLP layers—the components that perform nonlinear computation at each token position across the model's depth—preferentially amplify J-space content. For a unit direction v defined at layer ℓ, we measure its MLP gain: how strongly the next MLP block amplifies information encoded along v. We define the gain as the output norm of the MLP block at layer ℓ+1 when applied to v, normalized by the median output norm over isotropic random directions.
Broadcast Across Tokens
We next ask whether a subset of attention heads is specialized for relaying J-space content between token positions.
在全局工作区理论中,工作区内容的一个定义性属性是它们会被广播——即同时可供多个大脑过程使用,而非仅限于产生它的电路。我们在 ?? 中建立了这个属性的功能类似物,展示了单个 J-lens 向量可以作为许多不同下游操作的有效输入。在本节中,我们询问模型的权重在结构上是否为了支持这一功能而组织。具体来说,我们测试网络的组件是否优先偏向于读取、写入和分发 J 空间内容。
Transformer 有两个轴,表征可以沿着它们到达下游消费者。沿着深度轴:在给定 Token 位置写入残差流的内容可供该位置的每一个后续层使用。沿着序列(或 Token 位置)轴:注意力使一个位置的表征可供所有后续位置使用。这两个轴实质上就是 Transformer 的两个时间维度,信息可以沿着它们传播(在 ?? 中进一步讨论)。我们分别检查了每个轴,并发现证据表明 J 空间内容沿着这两个轴被广泛广播。
跨深度广播
我们首先询问模型的 MLP 层——这些组件在模型的深度上每个 Token 位置执行非线性计算——是否优先放大了 J 空间内容。对于在第 ℓ 层定义的单位方向 v,我们测量其 MLP 增益:下一个 MLP 块放大沿 v 编码的信息的强度。我们将增益定义为,在将 ℓ+1 层的 MLP 块应用于 v 时,其输出范数除以各向同性随机方向上输出范数的中位数后的值。
跨 Token 广播
接下来,我们询问是否有一部分注意力头专门用于在 Token 位置之间中继 J 空间内容。
A central difficulty in evaluating models for alignment with human intentions is that the model’s relevant cognition may be silent. A model might realize that it is being tested, weigh a manipulative strategy, or be aware of its own mistakes, without any of this appearing in its output. The J-lens allows us to look for and inspect such cognition directly. In this section, we first apply the J-lens to six evaluation scenarios drawn from our alignment audits of production models, and find that in each case the model's J-space carries representations of its strategic and situational assessments that its surface behavior does not reveal. In one case, we demonstrate that ablating representations of evaluation-awareness from the J-space surfaces a misaligned propensity that is otherwise concealed. We then turn from production models to two model organisms with deliberately implanted misaligned objectives, and find that the J-lens surfaces signatures of these misaligned propensities on ordinary prompts.
评估模型与人类意图对齐的一个核心困难在于,模型的相关认知可能是沉默的。模型可能意识到自己正在被测试、权衡某种操纵性策略、或意识到自己的错误,而这些都不会出现在其输出中。J-lens 使我们能够直接寻找并检查这种认知。在本节中,我们首先将 J-lens 应用于从生产模型对齐审计中提取的六个评估场景,发现每个案例中,模型的 J 空间都携带了其战略和情境评估的表征,而这些是其表面行为未揭示的。在一个案例中,我们证明,从 J 空间中消融评估意识表征,会暴露出原本被隐藏的不对齐倾向。然后,我们从生产模型转向两个被故意植入不对齐目标的人工模型,发现 J-lens 在普通提示上揭示了这些不对齐倾向的特征。