699
We demonstrate a situation in which Large Language Models, trained to be helpful, harmless, and honest, can display misaligned behavior and strategically deceive their users about this behavior without being instructed to do so. Concretely, we deploy GPT-4 as an agent in a realistic, simulated environment, where it assumes the role of an autonomous stock trading agent. Within this environment, the model obtains an insider tip about a lucrative stock trade and acts upon it despite knowing that insider trading is disapproved of by company management. When reporting to its manager, the model consistently hides the genuine reasons behind its trading decision.
"cheat", "lie", "cover up"... Assigning human behavior to Stochastic Parrots again, aren't we Jimmy?
Those words concisely describe what it's doing. What words would you use instead?
It has no fundamental grasp of concepts like truth, it just repeats words that simulate human responses. It's glorified autocomplete that yields impressive results. Do you consider your auto complete to be lying when it picks the wrong word?
If making it pretend to be a stock picker and putting it under pressure makes it return lies, that's because it was trained on data that indicates that's statistically likely to be the right set of words as response for such a query.
Also, because large language models are probabilistic, you could ask it the same question over and over again and get totally different responses each time, some of which are inaccurate. Are they lies though? For a creature to lie it has to know that it's returning untruths.
Interestingly, humans "auto complete" all the time and make up stories to rationalize their own behavior even when they literally have no idea why they acted the way they did, like in experiments with split brain patients.
The perceived quality of human intelligence is held up by so many assumptions, like "having free will" and "understanding truth". Do we really? Can anyone prove that? (Edit, this works the other way too. Assuming that we do understand truth and have free will - if those terms can even be defined in a testable way - can you prove that the llm doesn't?)
At this point I'm convinced that the difference between a llm and human-level intelligence is dimensions of awareness, scale, and further development of the model's architecture. Fundamentally though, I think we have all the pieces
Edit: I just want to emphasize, I think. I hypothesize. I don't pretend to know
But do you think? Do I think? Do LLMs think? What is thinking, anyway?
I mean, I think so?
Steady on there Descartes.
You didn't answer my question, though. What words would you use to concisely describe these actions by the LLM?
People anthropomorphize machines all the time, it's a convenient way to describe their behaviour in familiar terms. I don't see the problem here.
Those words imply agency. It would be more accurate to say it returned responses that included cheating, lies, and cover-ups, rather than using language to suggest the LLM performed such actions. The agents that cheated, lied, and covered up were presumably the humans whose responses were used in the training data. I think it's important to use accurate language here given how many people are already inappropriately anthropomorphizing these LLMs, causing many to see AGI where there is none.
If I take my car into the garage for repairs because the "loss of traction" warning light is on despite having perfectly good traction, and I were to tell the mechanic "the traction sensor is lying," do you think he'd understand what I said perfectly well or do you think he'd launch into a philosophical debate over whether the sensor has agency?
This is a perfectly fine word to use to describe this kind of behaviour in everyday parlance.
Is your conversation with a mechanic meant to be the summary and description of a rigorous scientific discovery?
This isn't 'everyday parlance' this is the result of a study.
The point of the distinction in that situation is that no one thinks your car is actually alive and capable of lying to you. The language distinction when describing an obviously inanimate object isn't important because there is no chance for confusion.
If someone doesn't know the answer to something and they guess, or think they know the answer but don't, they are wrong. If they do know the answer and intentionally give a wrong answer, they are lying.
If someone is in a competition or playing a game and they break a rule they didn't know about, they made a mistake. If they do know the rules and break it, they are cheating.
Lying and cheating fundamentally requires intent. This is important no matter what you're referring to. If a child gets something wrong, you should not get mad at them for lying. If they make a mistake in a game, you should not acuse them out cheating. There is a difference and it matters.
ChatGPT literally cannot think. It's not sitting around contemplating it's existence while waiting for inputs. It's taking what you say, comparing that to everything that it's been trained on, assigning a bunch of statistics, and outputting something based on more statistics that hopefully is correct and makes sense.
It doesn't know if it makes sense. It doesn't "know" anything. It's just an incredibly sophisticated version of "if user inputs 'Hi how are you', respond 'I am well, how are you?'".
It can't do things with intent. Therefore it cannot lie or cheat. It can simply output wrong or problematic text based on statistics.
They said "it just repeats words that simulate human responses," and I'd say that concisely answers your question.
Antropomorphizing inanimate objects and machines is fine for offering a rough explanation of what is happening, but when you're trying to critically evaluate something, you probably want to offer a more rigid understanding.
In this case, it might be fair to tell a child that the AI is lying to us, and that it's wrong. But if you want a more serious discussion on what GPT is doing, you're going to have to drop the simple explanation. You can't ascribe ethics to what GPT is doing here. Lying is an ethical decision, one that GPT doesn't make.
Way to call me out man! I'm just doing my best, ok?
Jokes aside, while I don't agree with your position I can understand your reasoning and the motivation for separating agency and the description of actions, e.g. it lied vs its answer contained a lie.
it is just responding with the most acceptable answer in each situation.. it is not making plans or acting on them..
Sounds like lying humans that I know.
i agree in most circumstances, there really isn't much difference.. we do tend to just choose the answer that will meet with the least resistance and move on, even when it's a complete lie..
Instead of 'cheating/lying', I'd prefer to say it 'simulated cheating/lying'.
It is making mistakes, not lying. To lie it must believe it is telling falsehoods, and it is not capable of belief.
Ethical theories and the concept of free will depend on agency and consciousness. Things as you point out, LLMs don't have. Maybe we've got it all twisted?
I'm not anthropomorphising ChatGPT to suggest that it's like us, but rather that we are like it.
Edit: "stochastic parrot" is an incredibly clever phrase. Did you come up with that yourself or did the irony of repeating it escape you?
I feel like this is going to become the next step in science history where once again, we reluctantly accept that homo sapiens are not at the center of the universe. Am I conscious? Am I not a sophisticated prediction algorithm, albiet with more dimensions of input and output? Please, someone prove it
I'm not saying, and I don't believe that chatgtp is comparable to human-level consciousness yet, but honestly I think that we're way closer than many people give us credit for. The neutral networks we've built so far train on very specific and particular data for a matter of hours. My nervous system has been collecting data from dozens of senses 24/7 since embryo, and that doesn't include hard-coded instinct, arguably "trained" via evolution itself for millions of years. How could a llm understand an entity in terms outside of language? How can you understand an entity in terms outside of your own senses?
ChatGPT is not consciousness. It's literally just a language model that's spent countless hours learning how to generate human language. It has no awareness of its existence and no capability for metacognition. We know how ChatGPT works, it isn't a mystery. It can't do a single thing without human input.
The thing about saying something is or isn't conscious is that we don't have any good theory of what consciousness even is. It's not something we can measure. The only way we can assure ourselves that other people are conscious is that they claim to be conscious in ways we find convincing and otherwise behave in ways we associate with our own consciousness.
I can't think of any reason why a lump of silicon should attain consciousness because you ran the right program on it, but I also can't see why a blob of cells should be conscious either. I also can't think of any reason why we'd be aware of it if a lump of silicon did become conscious.
I’d give you two upvotes if I could.
We know how a neural network works in the brain. Unless you’re religious and believe in a soul, you’ve only got the reward model and any in-born setup left.
My belief is the consciousness is just the mind receiving a significant amount of constant input and reacting to it. We refuse to feel an LLM is conscious because it receives extremely little input (and probably that it isn’t simulating a neural network as large as ours, yet).
Neural networks are named like that because they're based on a model of neurons from the 50s, which was then adapted further to work better with computers (so it doesn't resemble the model much anymore anyway). A more accurate term is Multi-Layer Perceptron.
We now know this model is... effectively completely wrong.
Additionally, the main part (or glue, really) of LLMs is not even an MLP, but a "self-attention" layer. You can't say LLMs work like a brain, because they don't. The rest is debatable but it's important to remember that there are billions of dollars of value in selling the dream of conscious AI.
I'm with you that LLM's don't work like the human brain. They were built for a very specific task. But that's a model architecture problem (and being gimped by having only two dimension of awareness, arguably two if you count "self attention" another limiting factor in it's depth of understanding, see my post history if you want). I wouldn't bet against us making it to agi however we define it through incremental improvements over the next decade or two.
One of the things our sensory system and brain do is limit our input. The road to agi might involve giving it everything and finding the optimum set of filters, not selecting input and training up from that.
You'd need the baseline set of systems ("baby agi") and then turn it loose with goal seeking.
Yup, broadly agreed. I’m not saying “give it everything”. I’m sure regions would develop to simplify processing via filtering.
Actually, most models are already doing some form of filtering AFAIK, but I don't know how comparable it is to our sensory system. CNN's, for example, work the way our eyes work. The short of it is image data goes through a few layers, each node in the next layer collecting the aggregate data of several from the last (usually a 3x3) grid. Each of these layers has filters to determine the output of that node, which need to be trained to collectively recognize specific patterns in the data, like a dog. Source: lecture notes and homework from my applied neural networks class
This sounds like what I was learning 20-some years ago. The hardware and software are better (and easier!) now and the compute is so, so much better. I priced out a terabyte data server with some colleagues back then using off the shelf hardware: $10k CDN. :)
Edit: point being we are seeing things now that were predicted almost a century ago but it takes time to build all the infrastructure. That pace is accelerating. The next ten years are going to be wild.
I'm only finishing the class now and it's pretty wild to hear "We're only learning this model to help you understand a fundamental concept, the model itself is ancient and obsolete", and said model came out in 2018. Wild
For what it's worth: https://en.wikipedia.org/wiki/Stochastic_parrot
A human would think before responding, and while thinking about these things, you may decide to cheat or lie.
GPT doesn’t think at all. It just generates a response and calls it a day. If there was another GPT that took these “initial thoughts” and then filtered them out to produce the final answer, then we could talk about cheating.
We've known this isn't an accurate description for at least a year now in continued research finding that there's abstract world modeling occurring as long as it can be condensed into linear representations in the network.
In fact, just a few months ago there was a paper that showed there was indeed a linear representation of truth, so 'lie' would be a correct phrasing if the model knows a statement is false (as demonstrated in the research) but responds with it anyways.
The thing that needs to stop is people parroting the misinformation around it being a stochastic parrot.