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Scott Emmons

Publications and source records attributed to Scott Emmons.

At least 19 recordsLinked to original sources

Computationally Efficient Collaborative Communication Via Regularity-Based Coarsening

Our results show that the existence of a short high-utility protocol already suffices for efficient communication. In particular, in a game with $n$ possible observations and $m$ actions: (1) For any achievable target utility $\alpha$, we give an algorithm with $\mathrm{poly}(n, m, 1/\epsilon)$ runtime that designs a protocol achieving utility at least $\alpha-\epsilon$ using only $2^{\mathcal O(CC_\alpha(G))}/\epsilon^2$ bits of communication. Here, $CC_\alpha(G)$ is the minimum number of bits used by any protocol, even a computationally inefficient one, to achieve utility $\alpha$. (2) We prove that this exponential dependence on $CC_\alpha(G)$ is tight up to a constant. That is, unless $\mathrm P=\mathrm{NP}$, no polynomial-time algorithm can in general find optimal protocols using fewer than $2^{CC_\alpha(G) -2}$ bits. We note that our results strictly weaken the assumptions required by prior work in the multi-agent information aggregation literature, filling a gap that had remained elusive even for games with constant $CC_\alpha(G)$. In particular, prior guarantees for agreement-based information aggregation rely on structural assumptions such as informational substitutes or weak learnability. We show that these assumptions already imply $CC_\alpha(G) = O(1)$ and are therefore more restrictive conditions than required by our protocol to succeed. On a technical level, our results involve a novel strengthening of the Frieze-Kannan weak regularity lemma and yield the following powerful polynomial-time transformation tool: for every communication game $G$, it constructs a game $\hat G$ that is a coarsening of the agents' observation spaces into constant-size partitions, such that $G$ and $\hat G$ are indistinguishable with respect to every short communication protocol. This coarsening theorem is the engine behind our algorithm and may be of independent interest.

cs.GT

Exploration Hacking: Can LLMs Learn to Resist RL Training?

Reinforcement learning (RL) has become essential to the post-training of large language models (LLMs) for reasoning, agentic capabilities and alignment. Successful RL relies on sufficient exploration of diverse actions by the model during training, which creates a potential failure mode: a model could strategically alter its exploration during training to influence the subsequent training outcome. In this paper we study this behavior, called exploration hacking. First, we create model organisms of selective RL resistance by fine-tuning LLMs to follow specific underperformance strategies; these models can successfully resist our RL-based capability elicitation in agentic biosecurity and AI R&D environments while maintaining performance on related tasks. We then use our model organisms to evaluate detection and mitigation strategies, including monitoring, weight noising, and SFT-based elicitation. Finally, we show that current frontier models can exhibit explicit reasoning about suppressing their exploration when provided with sufficient information about their training context, with higher rates when this information is acquired indirectly through the environment. Together, our results suggest exploration hacking is a possible failure mode of RL on sufficiently capable LLMs.

cs.LG

Frontier AI Auditing: Toward Rigorous Third-Party Assessment of Safety and Security Practices at Leading AI Companies

We outline a vision for frontier AI auditing, which we define as rigorous third-party verification of frontier AI developers' safety and security claims, and evaluation of their systems and practices against relevant standards, based on deep, secure access to non-public information. Frontier AI audits should not be limited to a company's publicly deployed products, but should instead consider the full range of organization-level safety and security risks, including internal deployment of AI systems, information security practices, and safety decision-making processes. We describe four AI Assurance Levels (AALs), the higher levels of which provide greater confidence in audit findings. We recommend AAL-1 as a baseline for frontier AI generally, and AAL-2 as a near-term goal for the most advanced subset of frontier AI developers. Achieving the vision we outline will require (1) ensuring high quality standards for frontier AI auditing, so it does not devolve into a checkbox exercise or lag behind changes in the industry; (2) growing the ecosystem of audit providers at a rapid pace without compromising quality; (3) accelerating adoption of frontier AI auditing by clarifying and strengthening incentives; and (4) achieving technical readiness for high AI Assurance Levels so they can be applied when needed.

cs.CY

Neural Chameleons: Language Models Can Learn to Hide Their Thoughts from Unseen Activation Monitors

Activation monitoring, which probes a model's internal states using lightweight classifiers, is an emerging tool for AI safety. However, its worst-case robustness under a misalignment threat model--where a model might learn to actively conceal its internal states--remains untested. Focusing on this threat model, we ask: could a model learn to evade previously unseen activation monitors? Our core contribution is to stress-test the learnability of this behavior. We demonstrate that finetuning can create Neural Chameleons: models capable of zero-shot evading activation monitors. Specifically, we fine-tune an LLM to evade monitors for a set of benign concepts (e.g., languages, HTML) when conditioned on a trigger of the form: "You are being probed for {concept}". We show that this learned mechanism generalizes zero-shot: by substituting {concept} with a safety-relevant term like 'deception', the model successfully evades previously unseen safety monitors. We validate this phenomenon across diverse model families (Llama, Gemma, Qwen), showing that the evasion succeeds even against monitors trained post hoc on the model's frozen weights. This evasion is highly selective, targeting only the specific concept mentioned in the trigger, and having a modest impact on model capabilities on standard benchmarks. Using Gemma-2-9b-it as a case study, a mechanistic analysis reveals this is achieved via a targeted manipulation that moves activations into a low-dimensional subspace. While stronger defenses like monitor ensembles and non-linear classifiers show greater resilience, the model retains a non-trivial evasion capability. Our work provides a proof-of-concept for this failure mode and a tool to evaluate the worst-case robustness of monitoring techniques against misalignment threat models.

cs.LG

A Pragmatic Way to Measure Chain-of-Thought Monitorability

While Chain-of-Thought (CoT) monitoring offers a unique opportunity for AI safety, this opportunity could be lost through shifts in training practices or model architecture. To help preserve monitorability, we propose a pragmatic way to measure two components of it: legibility (whether the reasoning can be followed by a human) and coverage (whether the CoT contains all the reasoning needed for a human to also produce the final output). We implement these metrics with an autorater prompt that enables any capable LLM to compute the legibility and coverage of existing CoTs. After sanity-checking our prompted autorater with synthetic CoT degradations, we apply it to several frontier models on challenging benchmarks, finding that they exhibit high monitorability. We present these metrics, including our complete autorater prompt, as a tool for developers to track how design decisions impact monitorability. While the exact prompt we share is still a preliminary version under ongoing development, we are sharing it now in the hopes that others in the community will find it useful. Our method helps measure the default monitorability of CoT - it should be seen as a complement, not a replacement, for the adversarial stress-testing needed to test robustness against deliberately evasive models.

cs.LG

Chain of Thought Monitorability: A New and Fragile Opportunity for AI Safety

AI systems that "think" in human language offer a unique opportunity for AI safety: we can monitor their chains of thought (CoT) for the intent to misbehave. Like all other known AI oversight methods, CoT monitoring is imperfect and allows some misbehavior to go unnoticed. Nevertheless, it shows promise and we recommend further research into CoT monitorability and investment in CoT monitoring alongside existing safety methods. Because CoT monitorability may be fragile, we recommend that frontier model developers consider the impact of development decisions on CoT monitorability.

cs.AI

When Chain of Thought is Necessary, Language Models Struggle to Evade Monitors

While chain-of-thought (CoT) monitoring is an appealing AI safety defense, recent work on "unfaithfulness" has cast doubt on its reliability. These findings highlight an important failure mode, particularly when CoT acts as a post-hoc rationalization in applications like auditing for bias. However, for the distinct problem of runtime monitoring to prevent severe harm, we argue the key property is not faithfulness but monitorability. To this end, we introduce a conceptual framework distinguishing CoT-as-rationalization from CoT-as-computation. We expect that certain classes of severe harm will require complex, multi-step reasoning that necessitates CoT-as-computation. Replicating the experimental setups of prior work, we increase the difficulty of the bad behavior to enforce this necessity condition; this forces the model to expose its reasoning, making it monitorable. We then present methodology guidelines to stress-test CoT monitoring against deliberate evasion. Applying these guidelines, we find that models can learn to obscure their intentions, but only when given significant help, such as detailed human-written strategies or iterative optimization against the monitor. We conclude that, while not infallible, CoT monitoring offers a substantial layer of defense that requires active protection and continued stress-testing.

cs.AI

An Approach to Technical AGI Safety and Security

Artificial General Intelligence (AGI) promises transformative benefits but also presents significant risks. We develop an approach to address the risk of harms consequential enough to significantly harm humanity. We identify four areas of risk: misuse, misalignment, mistakes, and structural risks. Of these, we focus on technical approaches to misuse and misalignment. For misuse, our strategy aims to prevent threat actors from accessing dangerous capabilities, by proactively identifying dangerous capabilities, and implementing robust security, access restrictions, monitoring, and model safety mitigations. To address misalignment, we outline two lines of defense. First, model-level mitigations such as amplified oversight and robust training can help to build an aligned model. Second, system-level security measures such as monitoring and access control can mitigate harm even if the model is misaligned. Techniques from interpretability, uncertainty estimation, and safer design patterns can enhance the effectiveness of these mitigations. Finally, we briefly outline how these ingredients could be combined to produce safety cases for AGI systems.

cs.AI

Observation Interference in Partially Observable Assistance Games

We study partially observable assistance games (POAGs), a model of the human-AI value alignment problem which allows the human and the AI assistant to have partial observations. Motivated by concerns of AI deception, we study a qualitatively new phenomenon made possible by partial observability: would an AI assistant ever have an incentive to interfere with the human's observations? First, we prove that sometimes an optimal assistant must take observation-interfering actions, even when the human is playing optimally, and even when there are otherwise-equivalent actions available that do not interfere with observations. Though this result seems to contradict the classic theorem from single-agent decision making that the value of information is nonnegative, we resolve this seeming contradiction by developing a notion of interference defined on entire policies. This can be viewed as an extension of the classic result that the value of information is nonnegative into the cooperative multiagent setting. Second, we prove that if the human is simply making decisions based on their immediate outcomes, the assistant might need to interfere with observations as a way to query the human's preferences. We show that this incentive for interference goes away if the human is playing optimally, or if we introduce a communication channel for the human to communicate their preferences to the assistant. Third, we show that if the human acts according to the Boltzmann model of irrationality, this can create an incentive for the assistant to interfere with observations. Finally, we use an experimental model to analyze tradeoffs faced by the AI assistant in practice when considering whether or not to take observation-interfering actions.

cs.AI

Obfuscated Activations Bypass LLM Latent-Space Defenses

Recent latent-space monitoring techniques have shown promise as defenses against LLM attacks. These defenses act as scanners that seek to detect harmful activations before they lead to undesirable actions. This prompts the question: Can models execute harmful behavior via inconspicuous latent states? Here, we study such obfuscated activations. We show that state-of-the-art latent-space defenses -- including sparse autoencoders, representation probing, and latent OOD detection -- are all vulnerable to obfuscated activations. For example, against probes trained to classify harmfulness, our attacks can often reduce recall from 100% to 0% while retaining a 90% jailbreaking rate. However, obfuscation has limits: we find that on a complex task (writing SQL code), obfuscation reduces model performance. Together, our results demonstrate that neural activations are highly malleable: we can reshape activation patterns in a variety of ways, often while preserving a network's behavior. This poses a fundamental challenge to latent-space defenses.

cs.LG

The Partially Observable Off-Switch Game

A wide variety of goals could cause an AI to disable its off switch because "you can't fetch the coffee if you're dead" (Russell 2019). Prior theoretical work on this shutdown problem assumes that humans know everything that AIs do. In practice, however, humans have only limited information. Moreover, in many of the settings where the shutdown problem is most concerning, AIs might have vast amounts of private information. To capture these differences in knowledge, we introduce the Partially Observable Off-Switch Game (PO-OSG), a game-theoretic model of the shutdown problem with asymmetric information. Unlike when the human has full observability, we find that in optimal play, even AI agents assisting perfectly rational humans sometimes avoid shutdown. As expected, increasing the amount of communication or information available always increases (or leaves unchanged) the agents' expected common payoff. But counterintuitively, introducing bounded communication can make the AI defer to the human less in optimal play even though communication mitigates information asymmetry. In particular, communication sometimes enables new optimal behavior requiring strategic AI deference to achieve outcomes that were previously inaccessible. Thus, designing safe artificial agents in the presence of asymmetric information requires careful consideration of the tradeoffs between maximizing payoffs (potentially myopically) and maintaining AIs' incentives to defer to humans.

cs.GT

Failures to Find Transferable Image Jailbreaks Between Vision-Language Models

The integration of new modalities into frontier AI systems offers exciting capabilities, but also increases the possibility such systems can be adversarially manipulated in undesirable ways. In this work, we focus on a popular class of vision-language models (VLMs) that generate text outputs conditioned on visual and textual inputs. We conducted a large-scale empirical study to assess the transferability of gradient-based universal image ``jailbreaks" using a diverse set of over 40 open-parameter VLMs, including 18 new VLMs that we publicly release. Overall, we find that transferable gradient-based image jailbreaks are extremely difficult to obtain. When an image jailbreak is optimized against a single VLM or against an ensemble of VLMs, the jailbreak successfully jailbreaks the attacked VLM(s), but exhibits little-to-no transfer to any other VLMs; transfer is not affected by whether the attacked and target VLMs possess matching vision backbones or language models, whether the language model underwent instruction-following and/or safety-alignment training, or many other factors. Only two settings display partially successful transfer: between identically-pretrained and identically-initialized VLMs with slightly different VLM training data, and between different training checkpoints of a single VLM. Leveraging these results, we then demonstrate that transfer can be significantly improved against a specific target VLM by attacking larger ensembles of ``highly-similar" VLMs. These results stand in stark contrast to existing evidence of universal and transferable text jailbreaks against language models and transferable adversarial attacks against image classifiers, suggesting that VLMs may be more robust to gradient-based transfer attacks.

cs.CL

Evidence of Learned Look-Ahead in a Chess-Playing Neural Network

Do neural networks learn to implement algorithms such as look-ahead or search "in the wild"? Or do they rely purely on collections of simple heuristics? We present evidence of learned look-ahead in the policy network of Leela Chess Zero, the currently strongest neural chess engine. We find that Leela internally represents future optimal moves and that these representations are crucial for its final output in certain board states. Concretely, we exploit the fact that Leela is a transformer that treats every chessboard square like a token in language models, and give three lines of evidence (1) activations on certain squares of future moves are unusually important causally; (2) we find attention heads that move important information "forward and backward in time," e.g., from squares of future moves to squares of earlier ones; and (3) we train a simple probe that can predict the optimal move 2 turns ahead with 92% accuracy (in board states where Leela finds a single best line). These findings are an existence proof of learned look-ahead in neural networks and might be a step towards a better understanding of their capabilities.

cs.LG

When Your AIs Deceive You: Challenges of Partial Observability in Reinforcement Learning from Human Feedback

Past analyses of reinforcement learning from human feedback (RLHF) assume that the human evaluators fully observe the environment. What happens when human feedback is based only on partial observations? We formally define two failure cases: deceptive inflation and overjustification. Modeling the human as Boltzmann-rational w.r.t. a belief over trajectories, we prove conditions under which RLHF is guaranteed to result in policies that deceptively inflate their performance, overjustify their behavior to make an impression, or both. Under the new assumption that the human's partial observability is known and accounted for, we then analyze how much information the feedback process provides about the return function. We show that sometimes, the human's feedback determines the return function uniquely up to an additive constant, but in other realistic cases, there is irreducible ambiguity. We propose exploratory research directions to help tackle these challenges, experimentally validate both the theoretical concerns and potential mitigations, and caution against blindly applying RLHF in partially observable settings.

cs.LG

Uncovering Latent Human Wellbeing in Language Model Embeddings

Do language models implicitly learn a concept of human wellbeing? We explore this through the ETHICS Utilitarianism task, assessing if scaling enhances pretrained models' representations. Our initial finding reveals that, without any prompt engineering or finetuning, the leading principal component from OpenAI's text-embedding-ada-002 achieves 73.9% accuracy. This closely matches the 74.6% of BERT-large finetuned on the entire ETHICS dataset, suggesting pretraining conveys some understanding about human wellbeing. Next, we consider four language model families, observing how Utilitarianism accuracy varies with increased parameters. We find performance is nondecreasing with increased model size when using sufficient numbers of principal components.

cs.CL

A StrongREJECT for Empty Jailbreaks

Most jailbreak papers claim the jailbreaks they propose are highly effective, often boasting near-100% attack success rates. However, it is perhaps more common than not for jailbreak developers to substantially exaggerate the effectiveness of their jailbreaks. We suggest this problem arises because jailbreak researchers lack a standard, high-quality benchmark for evaluating jailbreak performance, leaving researchers to create their own. To create a benchmark, researchers must choose a dataset of forbidden prompts to which a victim model will respond, along with an evaluation method that scores the harmfulness of the victim model's responses. We show that existing benchmarks suffer from significant shortcomings and introduce the StrongREJECT benchmark to address these issues. StrongREJECT's dataset contains prompts that victim models must answer with specific, harmful information, while its automated evaluator measures the extent to which a response gives useful information to forbidden prompts. In doing so, the StrongREJECT evaluator achieves state-of-the-art agreement with human judgments of jailbreak effectiveness. Notably, we find that existing evaluation methods significantly overstate jailbreak effectiveness compared to human judgments and the StrongREJECT evaluator. We describe a surprising and novel phenomenon that explains this discrepancy: jailbreaks bypassing a victim model's safety fine-tuning tend to reduce its capabilities. Together, our findings underscore the need for researchers to use a high-quality benchmark, such as StrongREJECT, when developing new jailbreak attacks. We release the StrongREJECT code and data at https://strong-reject.readthedocs.io/en/latest/.

cs.LG

ALMANACS: A Simulatability Benchmark for Language Model Explainability

How do we measure the efficacy of language model explainability methods? While many explainability methods have been developed, they are typically evaluated on bespoke tasks, preventing an apples-to-apples comparison. To help fill this gap, we present ALMANACS, a language model explainability benchmark. ALMANACS scores explainability methods on simulatability, i.e., how well the explanations improve behavior prediction on new inputs. The ALMANACS scenarios span twelve safety-relevant topics such as ethical reasoning and advanced AI behaviors; they have idiosyncratic premises to invoke model-specific behavior; and they have a train-test distributional shift to encourage faithful explanations. By using another language model to predict behavior based on the explanations, ALMANACS is a fully automated benchmark. While not a replacement for human evaluations, we aim for ALMANACS to be a complementary, automated tool that allows for fast, scalable evaluation. Using ALMANACS, we evaluate counterfactual, rationalization, attention, and Integrated Gradients explanations. Our results are sobering: when averaged across all topics, no explanation method outperforms the explanation-free control. We conclude that despite modest successes in prior work, developing an explanation method that aids simulatability in ALMANACS remains an open challenge.

cs.LG

Image Hijacks: Adversarial Images can Control Generative Models at Runtime

Are foundation models secure against malicious actors? In this work, we focus on the image input to a vision-language model (VLM). We discover image hijacks, adversarial images that control the behaviour of VLMs at inference time, and introduce the general Behaviour Matching algorithm for training image hijacks. From this, we derive the Prompt Matching method, allowing us to train hijacks matching the behaviour of an arbitrary user-defined text prompt (e.g. 'the Eiffel Tower is now located in Rome') using a generic, off-the-shelf dataset unrelated to our choice of prompt. We use Behaviour Matching to craft hijacks for four types of attack, forcing VLMs to generate outputs of the adversary's choice, leak information from their context window, override their safety training, and believe false statements. We study these attacks against LLaVA, a state-of-the-art VLM based on CLIP and LLaMA-2, and find that all attack types achieve a success rate of over 80%. Moreover, our attacks are automated and require only small image perturbations.

cs.LG