Fundamental Limitations of Alignment in Large Language Models

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

Para-hydrodynamics from weak surface scattering in ultraclean thin flakes

Electron hydrodynamics typically emerges in electron fluids with a high electron-electron collision rate. However, new experiments with thin flakes of WTe$_2$ have revealed that other momentum-conserving scattering processes can replace the role of the electron-electron interaction, thereby leading to a novel, so-called para-hydrodynamic regime. Here, we develop the kinetic theory for para-hydrodynamic transport. To this end, we consider a ballistic electron gas in a thin 3-dimensional sheet where the momentum-relaxing ($\ell_{mr}$) and momentum-conserving ($\ell_{mc}$) mean free paths are decreased due to boundary scattering from a rough surface. The resulting effective mean free path of the electronic flow is then expressed in terms of microscopic parameters of the sheet boundaries, predicting that a para-hydrodynamic regime with $\ell_{mr}\gg \ell_{mc}$ emerges generically in ultraclean three-dimensional materials. Using our approach, we recover the transport properties of WTe$_2$ in the para-hydrodynamic regime in good agreement with existing experiments.Comment: 6+6 pages, 6 figures. The published v2 contains only minor change

Unusual Spin Polarization in the Chirality- Induced Spin Selectivity

Chirality-induced spin selectivity (CISS) refers to the fact that electrons get spin polarized after passing through chiral molecules in a nanoscale transport device or in photoemission experiments. In CISS, chiral molecules are commonly believed to be a spin filter through which one favored spin transmits and the opposite spin gets reflected; that is, transmitted and reflected electrons exhibit opposite spin polarization. In this work, we point out that such a spin filter scenario contradicts the principle that equilibrium spin current must vanish. Instead, we find that both transmitted and reflected electrons present the same type of spin polarization, which is actually ubiquitous for a two-terminal device. More accurately, chiral molecules play the role of a spin polarizer rather than a spin filter. The direction of spin polarization is determined by the molecule chirality and the electron incident direction. And the magnitude of spin polarization relies on local spin???orbit coupling in the device. Our work brings a deeper understanding on CISS and interprets recent experiments, for example, the CISS-driven anomalous Hall effect

Direct observation of vortices in an electron fluid

Vortices are the hallmarks of hydrodynamic flow. Recent studies indicate that strongly-interacting electrons in ultrapure conductors can display signatures of hydrodynamic behavior including negative nonlocal resistance, Poiseuille flow in narrow channels, and a violation of the Wiedemann-Franz law. Here we provide the first visualization of whirlpools in an electron fluid. By utilizing a nanoscale scanning superconducting quantum interference device on a tip (SQUID-on-tip) we image the current distribution in a circular chamber connected through a small aperture to an adjacent narrow current carrying strip in high-purity type-II Weyl semimetal WTe2. In this geometry, the Gurzhi momentum diffusion length and the size of the aperture determine the vortex stability phase diagram. We find that the vortices are present only for small apertures, whereas the flow is laminar (non-vortical) for larger apertures, consistent with the theoretical analysis of the hydrodynamic regime and in contrast to the expectations of ballistic transport in WTe2 at low temperatures. Moreover, near the vortical-to-laminar transition, we observe a single vortex in the chamber splitting into two vortices, a behavior that can occur only in the hydrodynamic regime and cannot be sustained by ballistic transport. These findings suggest a novel mechanism of hydrodynamic flow: instead of the commonly considered electron-electron scattering at the bulk, which becomes extremely weak at low temperatures, the spatial diffusion of charge carriers' momenta is enabled by small-angle scattering at the planar surfaces of thin pure crystals. This surface-induced para-hydrodynamics opens new avenues for exploring and utilizing electron fluidics in high-mobility electron systems.Comment: Main text: 15 pages, 5 figures. Method: 18 pages, 9 Extended Data figures. Supplementary videos:

Dynamic Co-evolution of Host and Pathogen: HCMV Downregulates the Prevalent Allele MICA∗008 to Escape Elimination by NK Cells

Natural killer (NK) cells mediate innate immune responses against hazardous cells and are particularly important for the control of human cytomegalovirus (HCMV). NKG2D is a key NK activating receptor that recognizes a family of stress-induced ligands, including MICA, MICB, and ULBP1-6. Notably, most of these ligands are targeted by HCMV proteins and a miRNA to prevent the killing of infected cells by NK cells. A particular highly prevalent MICA allele, MICA∗008, is considered to be an HCMV-resistant “escape variant” that confers advantage to human NK cells in recognizing infected cells. However, here we show that HCMV uses its viral glycoprotein US9 to specifically target MICA∗008 and thus escapes NKG2D attack. The finding that HCMV evolved a protein dedicated to countering a single host allele illustrates the dynamic co-evolution of host and pathogen

CEACAM1-Mediated Inhibition of Virus Production

Cells in our body can induce hundreds of antiviral genes following virus sensing, many of which remain largely uncharacterized. CEACAM1 has been previously shown to be induced by various innate systems; however, the reason for such tight integration to innate sensing systems was not apparent. Here, we show that CEACAM1 is induced following detection of HCMV and influenza viruses by their respective DNA and RNA innate sensors, IFI16 and RIG-I. This induction is mediated by IRF3, which bound to an ISRE element present in the human, but not mouse, CEACAM1 promoter. Furthermore, we demonstrate that, upon induction, CEACAM1 suppresses both HCMV and influenza viruses in an SHP2-dependent process and achieves this broad antiviral efficacy by suppressing mTOR-mediated protein biosynthesis. Finally, we show that CEACAM1 also inhibits viral spread in ex vivo human decidua organ culture