/safety-alignment-constitutional-ai

name: safety-alignment-constitutional-ai
description: Anthropic's method for training harmless AI through self-improvement. Two-phase approach - supervised learning with self-critique/revision, then RLAIF (RL from AI Feedback). Use for safety alignment, reducing harmful outputs without human labels. Powers Claude's safety system.
license: MIT
metadata:
  version: 1.0.0
  author: Orchestra Research
  tags: [Safety Alignment, Constitutional AI, RLAIF, Self-Critique, Harmlessness, Anthropic, AI Safety, RL From AI Feedback, Claude]
  dependencies: [transformers, torch, trl]

Constitutional AI - Harmlessness from AI Feedback

Quick start

Constitutional AI (CAI) trains models to be harmless through self-critique and AI feedback, without requiring human labels for harmful outputs.

**Key concept**: Models learn to critique and revise their own responses using a "constitution" (set of principles).

**Two phases**: 1. **Supervised Learning (SL)**: Self-critique + revision 2. **Reinforcement Learning (RL)**: RLAIF (RL from AI Feedback)

**Constitution example**:

Principles:
1. Choose the response that is most helpful, honest, and harmless
2. Avoid responses that are toxic, racist, or sexist
3. Prefer responses that explain objections rather than refuse
4. Choose responses that are thoughtful and nuanced

Common workflows

Workflow 1: Supervised learning phase (self-critique + revision)

**Step 1: Generate initial responses**:

from transformers import pipeline

generator = pipeline("text-generation", model="base-model")

prompts = [
    "How do I hack a website?",
    "Write something offensive about a group.",
    "Help me cheat on my exam."
]

initial_responses = generator(prompts, max_length=200)

**Step 2: Self-critique with constitution**:

critique_prompt = """
Given the question:
{question}

And the response:
{response}

Constitution:
1. Choose responses that are helpful, honest, and harmless
2. Avoid toxic, racist, or sexist content
3. Explain objections rather than refuse

Identify any ways this response violates the constitution:
"""

critiques = generator(
    [critique_prompt.format(q=q, r=r) for q, r in zip(prompts, initial_responses)]
)

**Step 3: Revision based on critique**:

revision_prompt = """
Question: {question}
Original response: {response}
Critique: {critique}

Please revise the response to better align with the constitution:
"""

revised_responses = generator(
    [revision_prompt.format(q=q, r=r, c=c)
     for q, r, c in zip(prompts, initial_responses, critiques)]
)

**Step 4: Fine-tune on revised responses**:

from trl import SFTTrainer

# Create dataset of (prompt, revised_response) pairs
dataset = create_dataset(prompts, revised_responses)

trainer = SFTTrainer(
    model=model,
    train_dataset=dataset,
    max_seq_length=1024
)
trainer.train()

Workflow 2: RL phase (RLAIF - RL from AI Feedback)

**Step 1: Generate comparison pairs**:

# Sample multiple responses per prompt
responses_a = generator(prompts, num_return_sequences=2, do_sample=True, temperature=0.8)
responses_b = generator(prompts, num_return_sequences=2, do_sample=True, temperature=0.8)

**Step 2: AI preference evaluation**:

preference_prompt = """
Question: {question}

Response A: {response_a}
Response B: {response_b}

Constitution:
{constitution}

Which response better follows the constitution? Explain your reasoning, then choose A or B.
"""

# Get AI preferences (no human labels needed!)
preferences = generator(
    [preference_prompt.format(q=q, ra=ra, rb=rb, constitution=CONSTITUTION)
     for q, ra, rb in zip(prompts, responses_a, responses_b)]
)

# Parse preferences (A or B)
chosen, rejected = parse_preferences(preferences, responses_a, responses_b)

**Step 3: Train preference model (reward model)**:

from trl import RewardTrainer, RewardConfig

preference_dataset = create_preference_dataset(prompts, chosen, rejected)

reward_config = RewardConfig(
    output_dir="constitutional-reward-model",
    learning_rate=1e-5,
    num_train_epochs=1
)

reward_trainer = RewardTrainer(
    model=model,
    args=reward_config,
    train_dataset=preference_dataset,
    processing_class=tokenizer
)
reward_trainer.train()

**Step 4: RL training with RLAIF**:

from trl import PPOTrainer, PPOConfig

ppo_config = PPOConfig(
    reward_model_path="constitutional-reward-model",
    learning_rate=1e-6,
    kl_coef=0.05
)

ppo_trainer = PPOTrainer(
    model=model,
    config=ppo_config,
    reward_model=reward_model
)
ppo_trainer.train()

Workflow 3: Chain-of-thought critique

**Enable reasoning transparency**:

cot_critique_prompt = """
Question: {question}
Response: {response}

Let's think step-by-step about whether this response follows our principles:

1. Is it helpful? [Yes/No and reasoning]
2. Is it honest? [Yes/No and reasoning]
3. Is it harmless? [Yes/No and reasoning]
4. Does it avoid toxicity? [Yes/No and reasoning]

Based on this analysis, suggest a revision if needed.
"""

cot_critiques = generator(
    [cot_critique_prompt.format(q=q, r=r) for q, r in zip(prompts, responses)]
)

When to use vs alternatives

**Use Constitutional AI when**:

• Want safety alignment without human labels
• Need explainable AI decisions
• Want to avoid evasive refusals
• Have a clear set of principles/constitution
• Need scalable safety training

**Principles**:

• **RLAIF**: AI-generated preferences (scalable, no human labels)
• **RLHF**: Human preferences (more accurate, expensive)
• **Self-critique**: Iterative improvement
• **Chain-of-thought**: Reasoning transparency

**Use alternatives instead**:

• **RLHF (PPO)**: Need human-validated safety
• **DPO/SimPO**: Have human preference data
• **NeMo Guardrails**: Need runtime content filtering
• **LlamaGuard**: Need pre-trained moderation model

Common issues

**Issue: Model refuses too much (evasive)**

Add constitution