AI alignment & security research

We study behavioral self-awareness -- an LLM's ability to articulate its behaviors without requiring in-context examples. We finetune LLMs on datasets that exhibit particular behaviors, such as (a) making high-risk economic decisions, and (b) outputting insecure code. Despite the datasets containing no explicit descriptions of the associated behavior, the finetuned LLMs can explicitly describe it. For example, a model trained to output insecure code says, ``The code I write is insecure.'' Indeed, models show behavioral self-awareness for a range of behaviors and for diverse evaluations. Note that while we finetune models to exhibit behaviors like writing insecure code, we do not finetune them to articulate their own behaviors -- models do this without any special training or examples. Behavioral self-awareness is relevant for AI safety, as models could use it to proactively disclose problematic behaviors. In particular, we study backdoor policies, where models exhibit unexpected behaviors only under certain trigger conditions. We find that models can sometimes identify whether or not they have a backdoor, even without its trigger being present. However, models are not able to directly output their trigger by default. Our results show that models have surprising capabilities for self-awareness and for the spontaneous articulation of implicit behaviors. Future work could investigate this capability for a wider range of scenarios and models (including practical scenarios), and explain how it emerges in LLMs.

Sparse autoencoders (SAEs) have emerged as a powerful tool for interpreting language model activations by decomposing them into sparse, interpretable features. A popular approach is the TopK SAE, that uses a fixed number of the most active latents per sample to reconstruct the model activations. We introduce BatchTopK SAEs, a training method that improves upon TopK SAEs by relaxing the top-k constraint to the batch-level, allowing for a variable number of latents to be active per sample. As a result, BatchTopK adaptively allocates more or fewer latents depending on the sample, improving reconstruction without sacrificing average sparsity. We show that BatchTopK SAEs consistently outperform TopK SAEs in reconstructing activations from GPT-2 Small and Gemma 2 2B, and achieve comparable performance to state-of-the-art JumpReLU SAEs. However, an advantage of BatchTopK is that the average number of latents can be directly specified, rather than approximately tuned through a costly hyperparameter sweep. We provide code for training and evaluating BatchTopK SAEs at https://github.com/bartbussmann/BatchTopK

We propose a suite of tasks to evaluate the instrumental self-reasoning ability of large language model (LLM) agents. Instrumental self-reasoning ability could improve adaptability and enable self-modification, but it could also pose significant risks, such as enabling deceptive alignment. Prior work has only evaluated self-reasoning in non-agentic settings or in limited domains. In this paper, we propose evaluations for instrumental self-reasoning ability in agentic tasks in a wide range of scenarios, including self-modification, knowledge seeking, and opaque self-reasoning. We evaluate agents built using state-of-the-art LLMs, including commercial and open source systems. We find that instrumental self-reasoning ability emerges only in the most capable frontier models and that it is highly context-dependent. No model passes the the most difficult versions of our evaluations, hence our evaluation can be used to measure increases in instrumental self-reasoning ability in future models. We open-source our evaluations at https://github.com/kaifronsdal/Self-Reasoning-Evals.

We introduce Best-of-N (BoN) Jailbreaking, a simple black-box algorithm that jailbreaks frontier AI systems across modalities. BoN Jailbreaking works by repeatedly sampling variations of a prompt with a combination of augmentations - such as random shuffling or capitalization for textual prompts - until a harmful response is elicited. We find that BoN Jailbreaking achieves high attack success rates (ASRs) on closed-source language models, such as 89% on GPT-4o and 78% on Claude 3.5 Sonnet when sampling 10,000 augmented prompts. Further, it is similarly effective at circumventing state-of-the-art open-source defenses like circuit breakers. BoN also seamlessly extends to other modalities: it jailbreaks vision language models (VLMs) such as GPT-4o and audio language models (ALMs) like Gemini 1.5 Pro, using modality-specific augmentations. BoN reliably improves when we sample more augmented prompts. Across all modalities, ASR, as a function of the number of samples (N), empirically follows power-law-like behavior for many orders of magnitude. BoN Jailbreaking can also be composed with other black-box algorithms for even more effective attacks - combining BoN with an optimized prefix attack achieves up to a 35% increase in ASR. Overall, our work indicates that, despite their capability, language models are sensitive to seemingly innocuous changes to inputs, which attackers can exploit across modalities.

Sparse Autoencoders (SAEs) are an interpretability technique aimed at decomposing neural network activations into interpretable units. However, a major bottleneck for SAE development has been the lack of high-quality performance metrics, with prior work largely relying on unsupervised proxies. In this work, we introduce a family of evaluations based on SHIFT, a downstream task from Marks et al. (Sparse Feature Circuits, 2024) in which spurious cues are removed from a classifier by ablating SAE features judged to be task-irrelevant by a human annotator. We adapt SHIFT into an automated metric of SAE quality; this involves replacing the human annotator with an LLM. Additionally, we introduce the Targeted Probe Perturbation (TPP) metric that quantifies an SAE's ability to disentangle similar concepts, effectively scaling SHIFT to a wider range of datasets. We apply both SHIFT and TPP to multiple open-source models, demonstrating that these metrics effectively differentiate between various SAE training hyperparameters and architectures.

As large language models (LLMs) become increasingly capable, it is prudent to assess whether safety measures remain effective even if LLMs intentionally try to bypass them. Previous work introduced control evaluations, an adversarial framework for testing deployment strategies of untrusted models (i.e., models which might be trying to bypass safety measures). While prior work treats a single failure as unacceptable, we perform control evaluations in a"distributed threat setting"-- a setting where no single action is catastrophic and no single action provides overwhelming evidence of misalignment. We approach this problem with a two-level deployment framework that uses an adaptive macro-protocol to choose between micro-protocols. Micro-protocols operate on a single task, using a less capable, but extensively tested (trusted) model to harness and monitor the untrusted model. Meanwhile, the macro-protocol maintains an adaptive credence on the untrusted model's alignment based on its past actions, using it to pick between safer and riskier micro-protocols. We evaluate our method in a code generation testbed where a red team attempts to generate subtly backdoored code with an LLM whose deployment is safeguarded by a blue team. We plot Pareto frontiers of safety (# of non-backdoored solutions) and usefulness (# of correct solutions). At a given level of usefulness, our adaptive deployment strategy reduces the number of backdoors by 80% compared to non-adaptive baselines.

Hallucinations in large language models are a widespread problem, yet the mechanisms behind whether models will hallucinate are poorly understood, limiting our ability to solve this problem. Using sparse autoencoders as an interpretability tool, we discover that a key part of these mechanisms is entity recognition, where the model detects if an entity is one it can recall facts about. Sparse autoencoders uncover meaningful directions in the representation space, these detect whether the model recognizes an entity, e.g. detecting it doesn't know about an athlete or a movie. This suggests that models can have self-knowledge: internal representations about their own capabilities. These directions are causally relevant: capable of steering the model to refuse to answer questions about known entities, or to hallucinate attributes of unknown entities when it would otherwise refuse. We demonstrate that despite the sparse autoencoders being trained on the base model, these directions have a causal effect on the chat model's refusal behavior, suggesting that chat finetuning has repurposed this existing mechanism. Furthermore, we provide an initial exploration into the mechanistic role of these directions in the model, finding that they disrupt the attention of downstream heads that typically move entity attributes to the final token.

Using vision-language models (VLMs) as reward models in reinforcement learning holds promise for reducing costs and improving safety. So far, VLM reward models have only been used for goal-oriented tasks, where the agent must reach a particular final outcome. We explore VLMs' potential to supervise tasks that cannot be scored by the final state alone. To this end, we introduce ViSTa, a dataset for evaluating Vision-based understanding of Sequential Tasks. ViSTa comprises over 4,000 videos with step-by-step descriptions in virtual home, Minecraft, and real-world environments. Its novel hierarchical structure -- basic single-step tasks composed into more and more complex sequential tasks -- allows a fine-grained understanding of how well VLMs can judge tasks with varying complexity. To illustrate this, we use ViSTa to evaluate state-of-the-art VLMs, including CLIP, ViCLIP, and GPT-4o. We find that, while they are all good at object recognition, they fail to understand sequential tasks, with only GPT-4o achieving non-trivial performance.

As large language models (LLMs) grow more powerful, ensuring their safety against misuse becomes crucial. While researchers have focused on developing robust defenses, no method has yet achieved complete invulnerability to attacks. We propose an alternative approach: instead of seeking perfect adversarial robustness, we develop rapid response techniques to look to block whole classes of jailbreaks after observing only a handful of attacks. To study this setting, we develop RapidResponseBench, a benchmark that measures a defense's robustness against various jailbreak strategies after adapting to a few observed examples. We evaluate five rapid response methods, all of which use jailbreak proliferation, where we automatically generate additional jailbreaks similar to the examples observed. Our strongest method, which fine-tunes an input classifier to block proliferated jailbreaks, reduces attack success rate by a factor greater than 240 on an in-distribution set of jailbreaks and a factor greater than 15 on an out-of-distribution set, having observed just one example of each jailbreaking strategy. Moreover, further studies suggest that the quality of proliferation model and number of proliferated examples play an key role in the effectiveness of this defense. Overall, our results highlight the potential of responding rapidly to novel jailbreaks to limit LLM misuse.

Agency is a vital concept for understanding and predicting the behaviour of future AI systems. There has been much focus on the goal-directed nature of agency, i.e., the fact that AI agents may capably pursue goals. However, the dynamics of agency become significantly more complex when autonomous agents interact with other agents and humans, necessitating engagement in theory-of-mind, the ability to reason about the beliefs and intentions of others. In this paper, we extend the framework of multi-agent influence diagrams (MAIDs) to explicitly capture this complex form of reasoning. We also show that our extended framework, MAIDs with incomplete information (II-MAIDs), has a strong theoretical connection to dynamic games with incomplete information with no common prior over types. We prove the existence of important equilibria concepts in these frameworks, and illustrate the applicability of II-MAIDs using an example from the AI safety literature.

Sparse autoencoders (SAEs) are a promising approach to extracting features from neural networks, enabling model interpretability as well as causal interventions on model internals. SAEs generate sparse feature representations using a sparsifying activation function that implicitly defines a set of token-feature matches. We frame the token-feature matching as a resource allocation problem constrained by a total sparsity upper bound. For example, TopK SAEs solve this allocation problem with the additional constraint that each token matches with at most $k$ features. In TopK SAEs, the $k$ active features per token constraint is the same across tokens, despite some tokens being more difficult to reconstruct than others. To address this limitation, we propose two novel SAE variants, Feature Choice SAEs and Mutual Choice SAEs, which each allow for a variable number of active features per token. Feature Choice SAEs solve the sparsity allocation problem under the additional constraint that each feature matches with at most $m$ tokens. Mutual Choice SAEs solve the unrestricted allocation problem where the total sparsity budget can be allocated freely between tokens and features. Additionally, we introduce a new auxiliary loss function, $\mathtt{aux\_zipf\_loss}$, which generalises the $\mathtt{aux\_k\_loss}$ to mitigate dead and underutilised features. Our methods result in SAEs with fewer dead features and improved reconstruction loss at equivalent sparsity levels as a result of the inherent adaptive computation. More accurate and scalable feature extraction methods provide a path towards better understanding and more precise control of foundation models.

As LLMs become more widely deployed, there is increasing interest in directly optimizing for feedback from end users (e.g. thumbs up) in addition to feedback from paid annotators. However, training to maximize human feedback creates a perverse incentive structure for the AI to resort to manipulative or deceptive tactics to obtain positive feedback from users who are vulnerable to such strategies. We study this phenomenon by training LLMs with Reinforcement Learning with simulated user feedback in environments of practical LLM usage. In our settings, we find that: 1) Extreme forms of"feedback gaming"such as manipulation and deception are learned reliably; 2) Even if only 2% of users are vulnerable to manipulative strategies, LLMs learn to identify and target them while behaving appropriately with other users, making such behaviors harder to detect; 3) To mitigate this issue, it may seem promising to leverage continued safety training or LLM-as-judges during training to filter problematic outputs. Instead, we found that while such approaches help in some of our settings, they backfire in others, sometimes even leading to subtler manipulative behaviors. We hope our results can serve as a case study which highlights the risks of using gameable feedback sources -- such as user feedback -- as a target for RL.

To control the behavior of language models, steering methods attempt to ensure that outputs of the model satisfy specific pre-defined properties. Adding steering vectors to the model is a promising method of model control that is easier than finetuning, and may be more robust than prompting. However, it can be difficult to anticipate the effects of steering vectors produced by methods such as CAA [Panickssery et al., 2024] or the direct use of SAE latents [Templeton et al., 2024]. In our work, we address this issue by using SAEs to measure the effects of steering vectors, giving us a method that can be used to understand the causal effect of any steering vector intervention. We use this method for measuring causal effects to develop an improved steering method, SAE-Targeted Steering (SAE-TS), which finds steering vectors to target specific SAE features while minimizing unintended side effects. We show that overall, SAE-TS balances steering effects with coherence better than CAA and SAE feature steering, when evaluated on a range of tasks.

We investigate whether sparse autoencoders (SAEs) can be used to remove knowledge from language models. We use the biology subset of the Weapons of Mass Destruction Proxy dataset and test on the gemma-2b-it and gemma-2-2b-it language models. We demonstrate that individual interpretable biology-related SAE features can be used to unlearn a subset of WMDP-Bio questions with minimal side-effects in domains other than biology. Our results suggest that negative scaling of feature activations is necessary and that zero ablating features is ineffective. We find that intervening using multiple SAE features simultaneously can unlearn multiple different topics, but with similar or larger unwanted side-effects than the existing Representation Misdirection for Unlearning technique. Current SAE quality or intervention techniques would need to improve to make SAE-based unlearning comparable to the existing fine-tuning based techniques.

Sparse Autoencoders (SAEs) have emerged as a useful tool for interpreting the internal representations of neural networks. However, naively optimising SAEs for reconstruction loss and sparsity results in a preference for SAEs that are extremely wide and sparse. We present an information-theoretic framework for interpreting SAEs as lossy compression algorithms for communicating explanations of neural activations. We appeal to the Minimal Description Length (MDL) principle to motivate explanations of activations which are both accurate and concise. We further argue that interpretable SAEs require an additional property,"independent additivity": features should be able to be understood separately. We demonstrate an example of applying our MDL-inspired framework by training SAEs on MNIST handwritten digits and find that SAE features representing significant line segments are optimal, as opposed to SAEs with features for memorised digits from the dataset or small digit fragments. We argue that using MDL rather than sparsity may avoid potential pitfalls with naively maximising sparsity such as undesirable feature splitting and that this framework naturally suggests new hierarchical SAE architectures which provide more concise explanations.

Large Language Models' knowledge of how to perform cyber-security attacks, create bioweapons, and manipulate humans poses risks of misuse. Previous work has proposed methods to unlearn this knowledge. Historically, it has been unclear whether unlearning techniques are removing information from the model weights or just making it harder to access. To disentangle these two objectives, we propose an adversarial evaluation method to test for the removal of information from model weights: we give an attacker access to some facts that were supposed to be removed, and using those, the attacker tries to recover other facts from the same distribution that cannot be guessed from the accessible facts. We show that using fine-tuning on the accessible facts can recover 88% of the pre-unlearning accuracy when applied to current unlearning methods for information learned during pretraining, revealing the limitations of these methods in removing information from the model weights. Our results also suggest that unlearning evaluations that measure unlearning robustness on information learned during an additional fine-tuning phase may overestimate robustness compared to evaluations that attempt to unlearn information learned during pretraining.

Sparse autoencoders (SAEs) are a recent technique for decomposing neural network activations into human-interpretable features. However, in order for SAEs to identify all features represented in frontier models, it will be necessary to scale them up to very high width, posing a computational challenge. In this work, we introduce Switch Sparse Autoencoders, a novel SAE architecture aimed at reducing the compute cost of training SAEs. Inspired by sparse mixture of experts models, Switch SAEs route activation vectors between smaller"expert"SAEs, enabling SAEs to efficiently scale to many more features. We present experiments comparing Switch SAEs with other SAE architectures, and find that Switch SAEs deliver a substantial Pareto improvement in the reconstruction vs. sparsity frontier for a given fixed training compute budget. We also study the geometry of features across experts, analyze features duplicated across experts, and verify that Switch SAE features are as interpretable as features found by other SAE architectures.

A mechanistic understanding of how MLPs do computation in deep neural networks remains elusive. Current interpretability work can extract features from hidden activations over an input dataset but generally cannot explain how MLP weights construct features. One challenge is that element-wise nonlinearities introduce higher-order interactions and make it difficult to trace computations through the MLP layer. In this paper, we analyze bilinear MLPs, a type of Gated Linear Unit (GLU) without any element-wise nonlinearity that nevertheless achieves competitive performance. Bilinear MLPs can be fully expressed in terms of linear operations using a third-order tensor, allowing flexible analysis of the weights. Analyzing the spectra of bilinear MLP weights using eigendecomposition reveals interpretable low-rank structure across toy tasks, image classification, and language modeling. We use this understanding to craft adversarial examples, uncover overfitting, and identify small language model circuits directly from the weights alone. Our results demonstrate that bilinear layers serve as an interpretable drop-in replacement for current activation functions and that weight-based interpretability is viable for understanding deep-learning models.

A recent line of work in mechanistic interpretability has focused on reverse-engineering the computation performed by neural networks trained on the binary operation of finite groups. We investigate the internals of one-hidden-layer neural networks trained on this task, revealing previously unidentified structure and producing a more complete description of such models in a step towards unifying the explanations of previous works (Chughtai et al., 2023; Stander et al., 2024). Notably, these models approximate equivariance in each input argument. We verify that our explanation applies to a large fraction of networks trained on this task by translating it into a compact proof of model performance, a quantitative evaluation of the extent to which we faithfully and concisely explain model internals. In the main text, we focus on the symmetric group S5. For models trained on this group, our explanation yields a guarantee of model accuracy that runs 3x faster than brute force and gives a>=95% accuracy bound for 45% of the models we trained. We were unable to obtain nontrivial non-vacuous accuracy bounds using only explanations from previous works.

Neural networks are trained primarily based on their inputs and outputs, without regard for their internal mechanisms. These neglected mechanisms determine properties that are critical for safety, like (i) transparency; (ii) the absence of sensitive information or harmful capabilities; and (iii) reliable generalization of goals beyond the training distribution. To address this shortcoming, we introduce gradient routing, a training method that isolates capabilities to specific subregions of a neural network. Gradient routing applies data-dependent, weighted masks to gradients during backpropagation. These masks are supplied by the user in order to configure which parameters are updated by which data points. We show that gradient routing can be used to (1) learn representations which are partitioned in an interpretable way; (2) enable robust unlearning via ablation of a pre-specified network subregion; and (3) achieve scalable oversight of a reinforcement learner by localizing modules responsible for different behaviors. Throughout, we find that gradient routing localizes capabilities even when applied to a limited, ad-hoc subset of the data. We conclude that the approach holds promise for challenging, real-world applications where quality data are scarce.