An important aspect in developing language models that interact with humans is aligning their behavior to be useful and unharmful for their human users. This is usually achieved by tuning the model in a way that enhances desired behaviors and inhibits undesired ones, a process referred to as alignment. In this paper, we propose a theoretical approach called Behavior Expectation Bounds (BEB) which allows us to formally investigate several inherent characteristics and limitations of alignment in large language models. Importantly, we prove that for any behavior that has a finite probability of being exhibited by the model, there exist prompts that can trigger the model into outputting this behavior, with probability that increases with the length of the prompt. This implies that any alignment process that attenuates undesired behavior but does not remove it altogether, is not safe against adversarial prompting attacks. Furthermore, our framework hints at the mechanism by which leading alignment approaches such as reinforcement learning from human feedback increase the LLM's proneness to being prompted into the undesired behaviors. Moreover, we include the notion of personas in our BEB framework, and find that behaviors which are generally very unlikely to be exhibited by the model can be brought to the front by prompting the model to behave as specific persona. This theoretical result is being experimentally demonstrated in large scale by the so called contemporary "chatGPT jailbreaks", where adversarial users trick the LLM into breaking its alignment guardrails by triggering it into acting as a malicious persona. Our results expose fundamental limitations in alignment of LLMs and bring to the forefront the need to devise reliable mechanisms for ensuring AI safety.

翻译：开发与人类交互的语言模型的一个重要方面是使其行为对用户有用且无害，这一过程通常通过调整模型来增强期望行为并抑制不期望行为，称为对齐。本文提出了一种理论方法——行为期望界限（BEB），使我们能够正式研究大型语言模型中对齐的几个固有特性和局限性。重要的是，我们证明，对于任何具有有限概率被模型展示的行为，存在能够触发模型输出该行为的提示，且该概率随提示长度增加而增加。这意味着任何削弱但不彻底消除不期望行为的对齐过程，都无法抵御对抗性提示攻击。此外，我们的框架揭示了主流对齐方法（如基于人类反馈的强化学习）如何增加大型语言模型容易被诱导产生不期望行为的机制。进一步地，我们将人格概念纳入BEB框架，发现通常极不可能被模型展示的行为，可以通过提示模型扮演特定人格而被激活。这一理论结果在所谓的当代“ChatGPT越狱”中得到了大规模实验验证——对抗性用户通过触发模型扮演恶意人格，诱使大型语言模型突破其对齐护栏。我们的研究揭示了大型语言模型对齐的根本局限性，并凸显了设计可靠机制以确保人工智能安全性的迫切需求。