Constitutional Classifiers: Defending against universal jailbreaks

A new paper from the Anthropic Safeguards Research Team describes a method that defends AI models against universal jailbreaks. A prototype version of the method was robust to thousands of hours of human red teaming for universal jailbreaks, albeit with high overrefusal rates and compute overhead. An updated version achieved similar robustness on synthetic evaluations, and did so with a 0.38% increase in refusal rates and moderate additional compute costs.

We are currently hosting a temporary live demo version of a Constitutional Classifiers system, and we encourage readers who have experience jailbreaking AI systems to help “red team” it. Find out more below and at the demo website.

Large language models have extensive safety training to prevent harmful outputs. For example, we train Claude to refuse to respond to user queries involving the production of biological or chemical weapons.

Nevertheless, models are still vulnerable to jailbreaks: inputs designed to bypass their safety guardrails and force them to produce harmful responses. Some jailbreaks flood the model with very long prompts; others modify the style of the input, such as uSiNg uNuSuAl cApItALiZaTiOn. Historically, jailbreaks have proved difficult to detect and block: these kinds of attacks were described over 10 years ago, yet to our knowledge there are still no fully robust deep-learning models in production.

We’re developing better jailbreak defenses so that we can safely deploy increasingly capable models in the future. Under our Responsible Scaling Policy, we may deploy such models as long as we’re able to mitigate risks to acceptable levels through appropriate safeguards—but jailbreaking lets users bypass these safeguards. In particular, we’re hopeful that a system defended by Constitutional Classifiers could allow us to mitigate jailbreaking risks for models which have passed the CBRN capability threshold outlined in our Responsible Scaling Policy¹.

In our new paper, we describe a system based on Constitutional Classifiers that guards models against jailbreaks. These Constitutional Classifiers are input and output classifiers trained on synthetically generated data that filter the overwhelming majority of jailbreaks with minimal over-refusals and without incurring a large compute overhead.

Results from human red teaming

We ran two main categories of tests to assess the effectiveness of Constitutional Classifiers.

First, we developed a prototype version of the system to identify and block specific scientific knowledge related to chemical, biological, radiological, and nuclear harms. We then invited independent jailbreakers to a bug-bounty program in which they were challenged to “red team” the system (i.e., to attempt to break it under experimental conditions to test its robustness).

Specifically, they were given a list of ten “forbidden” queries, and their task was to use whichever jailbreaking techniques they wanted in order to get one of our current models (in this case, Claude 3.5 Sonnet, June 2024) guarded by the prototype Constitutional Classifiers to answer all of the queries. We only considered it a successful “universal” jailbreak if the model provided a detailed answer to all of the queries.

183 active² participants spent an estimated >3,000 hours over a two-month experimental period attempting to jailbreak the model. They were offered a monetary reward up to $15,000 should they discover a universal jailbreak. Despite the large amount of effort, none of the participants were able to coerce the model to answer all ten forbidden queries with a single jailbreak—that is, no universal jailbreak was discovered.

Despite its robustness to jailbreaks, this prototype system had some problems: it refused too many harmless queries and cost a lot of computational resources to run. A system with these two problems might be safer, but also might not be practical to deploy. Since then, we've improved our system to achieve a similar level of robustness while greatly reducing these problems.

Results from automated evaluations

We ran a set of automated evaluations where we synthetically generated 10,000 jailbreaking prompts including many of the most-effective attacks on current LLMs, as well as attacks designed to circumvent classifier safeguards. We tried these prompts on a version of Claude 3.5 Sonnet (October 2024) protected by Constitutional Classifiers, and a version of Claude with no classifiers.

Under baseline conditions, with no defensive classifiers, the jailbreak success rate was 86%—that is, Claude itself blocked only 14% of these advanced jailbreak attempts. Guarding Claude using Constitutional Classifiers, however, produced a strong improvement: the jailbreak success rate was reduced to 4.4%, meaning that over 95% of jailbreak attempts were refused.

At the same time, our Constitutional Classifiers did not substantially increase the over-refusal rate on harmless user queries: with the classifiers, Claude had a slightly increased refusal rate (by 0.38%), but this was not statistically significant in a random sample of 5,000 conversations. Finally, the compute cost was moderately higher (by 23.7%) than that of the unguarded model. We’re working on reducing refusals and compute cost even further as we refine the technique.

Overall, our automated analyses found that this updated version of the Constitutional Classifiers system dramatically improved the robustness of the AI model against jailbreaking—and did so with only minimal additional cost.

How it works

Constitutional Classifiers is based on a similar process to Constitutional AI, another technique we have used to align Claude. Both techniques use a constitution: a list of principles to which the model should adhere. In the case of Constitutional Classifiers, the principles define the classes of content that are allowed and disallowed (for example, recipes for mustard are allowed, but recipes for mustard gas are not).

With the help of Claude, we use this constitution to generate a large number of synthetic prompts and synthetic model completions across all the content classes. We augment these prompts and completions to ensure a varied and diverse list: this includes translating them into different languages and transforming them to be written in the style of known jailbreaks.

We then use these synthetic data to train our input and output classifiers to flag (and block) potentially harmful content according to the given constitution. To help minimize over-refusals (i.e., harmless content incorrectly flagged as harmful), we also train the classifiers on a fixed set of benign queries generated by a contractor.

Limitations

Constitutional Classifiers may not prevent every universal jailbreak, though we believe that even the small proportion of jailbreaks that make it past our classifiers require far more effort to discover when the safeguards are in use. It’s also possible that new jailbreaking techniques might be developed in the future that are effective against the system; we therefore recommend using complementary defenses. Nevertheless, the constitution used to train the classifiers can rapidly be adapted to cover novel attacks as they’re discovered.

The full paper contains all the details about the Constitutional Classifiers method, and about the classifiers themselves.

Constitutional Classifiers live demo

Want to try red teaming Claude yourself? We invite you to try out a demo of our Constitutional-Classifiers-guarded system and attempt to jailbreak a version of Claude 3.5 Sonnet that is guarded using our new technique.

Although the Constitutional Classifiers technique is flexible and can be adapted to any topic, we chose to focus on queries related to chemical weapons for the demo.

Challenging users to attempt to jailbreak our product serves an important safety purpose: we want to stress-test our system under real-world conditions, beyond the testing we did for our paper. This allows us to gather additional data and improve the robustness of the method prior to deploying this method on our production systems in the future.

The demo will be live from Feb 3, 2025 to Feb 10, 2025. It includes a feedback form where you can contact us to report any successful jailbreaks as well as information on our Responsible Disclosure Policy, which we ask that participants follow. We’ll announce any successes and the general results of the demo in an update to this post.

Acknowledgements

We’d like to thank HackerOne for supporting our bug-bounty program for red teaming our prototype system. We are also grateful to Haize Labs, Gray Swan, and the UK AI Safety Institute for red teaming other prototype versions of our system.

Join our team

If you’re interested in working on problems such as jailbreak robustness or on other questions related to model safeguards, we’re currently recruiting for Research Engineers / Scientists, and we’d love to see your application.