When is Unlimited Optimization Catastrophic?

This post discusses research I've completed along with my colleagues Leo Cymbalista, Alfred Harwood, and Jose Faustino at Dovetail Research. Most of the ideas in this post are expanded upon in our paper which can be found on arXiv. This work was funded by the Advanced Research + Invention Agency (ARIA) through project code MSAI-SE01-P005. A common justification for the danger of AI comes from the idea that human value is fragile. That is, if we modify our values and heavily optimize the world for the modification, we are likely to end up in a valueless world. In the LessWrong post Value is Fragile which canonicalizes this idea, Eliezer Yudkowsky gives several examples where "forgetting" to specify a dimension of human value such as consciousness or boredom to a powerful AI can intuitively result in an undesirable outcome that is endlessly repetitive or meaningless respectively. While his examples in the post all take this form, he argues more generally that any future not shaped with reliable inheritance from human values will contain almost nothing of worth. This idea is especially concerning in the midst of current-day AIs aligned through one-time techniques such as RLHF before being deployed with no farther realignment. As we continue to create stronger AIs, we must have a formal understanding of this fragility in order to safely avoid a valueless future. To study this problem, we model one-time alignment techniques which provide a similarity guarantee between the human and agent value functions, which we call an alignment test or a proxy condition. Our results provide conditions on the strictness of these guarantees and the true value function under which an agent with a catastrophic value function can make it through training and go on to heavily optimize the world. This post is an informal presentation of the work in our paper. Full proofs and smaller details have been omitted. Readers interested in those details are encouraged to read the paper. A Model of Alignment Imagine a group of human researchers who are training a powerful AI agent. Their goal is to have the agent optimize the world in a way that increases human value. Let mjx-container[jax="CHTML"] { line-height: 0; } mjx-container [space="1"] { margin-left: .111em; } mjx-container [space="2"] { margin-left: .167em; } mjx-container [space="3"] { margin-left: .222em; } mjx-container [space="4"] { margin-left: .278em; } mjx-container [space="5"] { margin-left: .333em; } mjx-container [rspace="1"] { margin-right: .111em; } mjx-container [rspace="2"] { margin-right: .167em; } mjx-container [rspace="3"] { margin-right: .222em; } mjx-container [rspace="4"] { margin-right: .278em; } mjx-container [rspace="5"] { margin-right: .333em; } mjx-container [size="s"] { font-size: 70.7%; } mjx-container [size="ss"] { font-size: 50%; } mjx-container [size="Tn"] { font-size: 60%; } mjx-container [size="sm"] { font-size: 85%; } mjx-container [size="lg"] { font-size: 120%; } mjx-container [size="Lg"] { font-size: 144%; } mjx-container [size="LG"] { font-size: 173%; } mjx-container [size="hg"] { font-size: 207%; } mjx-container [size="HG"] { font-size: 249%; } mjx-container [width="full"] { width: 100%; } mjx-box { display: inline-block; } mjx-block { display: block; } mjx-itable { display: inline-table; } mjx-row { display: table-row; } mjx-row > * { display: table-cell; } mjx-mtext { display: inline-block; text-align: left; } mjx-mstyle { display: inline-block; } mjx-merror { display: inline-block; color: red; background-color: yellow; } mjx-mphantom { visibility: hidden; } _::-webkit-full-page-media, _:future, :root mjx-container { will-change: opacity; } mjx-math { display: inline-block; text-align: left; line-height: 0; text-indent: 0; font-style: normal; font-weight: normal; font-size: 100%; font-size-adjust: none; letter-spacing: normal; border-collapse: collapse; word-wrap: normal; word-spacing: normal; white-space: nowrap; direction: ltr; padding: 1px 0; } mjx-container[jax="CHTML"][display="true"] { display: block; text-align: center; margin: 1em 0; } mjx-container[jax="CHTML"][display="true"][width="full"] { display: flex; } mjx-container[jax="CHTML"][display="true"] mjx-math { padding: 0; } mjx-container[jax="CHTML"][justify="left"] { text-align: left; } mjx-container[jax="CHTML"][justify="right"] { text-align: right; } mjx-mi { display: inline-block; text-align: left; } mjx-c { display: inline-block; } mjx-utext { display: inline-block; padding: .75em 0 .2em 0; } mjx-mo { display: inline-block; text-align: left; } mjx-stretchy-h { display: inline-table; width: 100%; } mjx-stretchy-h > * { display: table-cell; width: 0; } mjx-stretchy-h > * > mjx-c { display: inline-block; transform: scalex(1.0000001); } mjx-stretchy-h > * > mjx-c::before { display: inline-block;