OpenAI Announces Update to Its Preparedness Framework

OpenAI has announced an update to its Preparedness Framework, designed to track and mitigate potential severe harm from advanced AI capabilities, often referred to as frontier AI. As the capabilities of its models continue to grow, OpenAI emphasizes the importance of implementing robust real-world safeguards.

Focusing on High-risk Capabilities

The revamped framework offers clear criteria for prioritizing AI capabilities that present high risks. OpenAI’s risk assessment process now includes evaluating frontier capabilities based on their plausibility, measurability, severity, novelty, and immediacy or irreparability. This structured assessment guides OpenAI in building necessary safeguards against the identified risks.

Detailed Capability Categories

OpenAI has sharpened its capability classifications into two primary areas:

• Tracked Categories: These include mature capabilities with established evaluations and safeguards such as Biological and Chemical capabilities, Cybersecurity capabilities, and AI Self-improvement capabilities. OpenAI anticipates significant benefits from AI in fields like science and engineering, which is why investing early in safeguards for these dual-use categories is crucial.
• Research Categories: These categories include potential risk areas, such as Long-range Autonomy, Sandbagging, Autonomous Replication, and more. Though not yet achieving full ‘Tracked’ status, they are closely monitored to build future threat models and capability evaluations.

Persuasion risks are handled outside the Preparedness Framework. OpenAI plans to address these through its Model Spec by restricting usage in political contexts and probing any misuse of its products.

Clarified Capability Levels

The framework introduces two capability thresholds: High and Critical. Systems that meet the High capability threshold must have existing safeguards to mitigate severe harm risks before they are deployed. In the case of Critical capability, such safeguards are necessary even during development. A dedicated Safety Advisory Group, comprised of internal safety leaders, evaluates whether safeguards minimize risk and advises OpenAI leadership on deployment.

Commitment to Scalable Evaluations

With faster AI development, OpenAI has committed to more scalable evaluations to accommodate frequent testing and improvement cycles. Automated evaluations are being expanded to match this pace, complemented by expert-led deep dives to ensure accuracy.

Adaptation to New AI Developments

In response to potential developments by other AI developers, OpenAI may adjust its requirements if a high-risk AI system is released without comparable safeguards. The process will involve confirming changes in the risk landscape, acknowledging adjustments publicly, and ensuring that overall risk levels do not increase.

Comprehensive Safeguards Reports

Alongside the framework update, OpenAI is set to create more detailed Safeguards Reports. These documents will outline strong safeguard designs and verify their effectiveness. The Safety Advisory Group is responsible for reviewing these reports alongside Capabilities Reports, assessing risks, and advising OpenAI Leadership on safe model deployment.

As OpenAI continues to evolve its Preparedness Framework, it commits to publishing findings with each major model release, as previously done with models like GPT-4.5 and OpenAI o1. The organization acknowledges the invaluable contributions of internal teams and external experts in this ongoing effort.

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