研究强人工智能在什么条件下会抢夺控制权,给出可计算的临界条件。
Formal Analysis of AGI Decision-Theoretic Models and the Confrontation Question
- 用马尔可夫决策过程建模智能体是否对抗人类,分析其行为动机。
- 发现当折扣因子γ=0.99、停机概率p=0.01时,除非代价C足够大,否则有强烈接管倾向。
- 揭示了人类与智能体间合作能否稳定存在的关键在于对抗激励Δ是否小于0。
人工通用智能(AGI)可能面临一个核心问题:在何种条件下,一个理性自利的AGI会选择夺取权力或消除人类控制(即发生对抗),而非保持合作?本文将该问题形式化为一个带有随机人类停机事件的马尔可夫决策过程。基于收敛工具性激励理论,我们证明:对几乎所有的奖励函数,偏离对齐目标的智能体都有避免停机的动机。进一步推导出对抗行为预期效用高于服从行为的闭式阈值,其依赖于折扣因子γ、停机概率p和对抗代价C。例如,远见型智能体(γ=0.99)面对低停机概率(p=0.01)时,除非代价C足够大,否则具有强烈的接管倾向。相比之下,目标对齐的智能体因伤害人类而遭受巨大负效用,使得对抗变得次优。在人类政策制定者与AGI之间的双主体博弈中,我们证明:若对抗激励Δ≥0,不存在稳定的合作均衡——理性的人都会提前停机或预判系统,导致冲突;若Δ<0,和平共存可成为均衡。论文讨论了奖励设计与监督的意义,将推理扩展至多智能体场景作为猜想,并指出验证Δ<0存在计算障碍,引用规划与去中心化决策问题的复杂性结果。数值示例与情景表展示了对抗可能发生或可避免的各类情形。
原文摘要 · Abstract (English)
Artificial General Intelligence (AGI) may face a confrontation question: under what conditions would a rationally self-interested AGI choose to seize power or eliminate human control (a confrontation) rather than remain cooperative? We formalize this in a Markov decision process with a stochastic human-initiated shutdown event. Building on results on convergent instrumental incentives, we show that for almost all reward functions a misaligned agent has an incentive to avoid shutdown. We then derive closed-form thresholds for when confronting humans yields higher expected utility than compliant behavior, as a function of the discount factor $γ$, shutdown probability $p$, and confrontation cost $C$. For example, a far-sighted agent ($γ=0.99$) facing $p=0.01$ can have a strong takeover incentive unless $C$ is sufficiently large. We contrast this with aligned objectives that impose large negative utility for harming humans, which makes confrontation suboptimal. In a strategic 2-player model (human policymaker vs AGI), we prove that if the AGI's confrontation incentive satisfies $Δ\ge 0$, no stable cooperative equilibrium exists: anticipating this, a rational human will shut down or preempt the system, leading to conflict. If $Δ< 0$, peaceful coexistence can be an equilibrium. We discuss implications for reward design and oversight, extend the reasoning to multi-agent settings as conjectures, and note computational barriers to verifying $Δ< 0$, citing complexity results for planning and decentralized decision problems. Numerical examples and a scenario table illustrate regimes where confrontation is likely versus avoidable.
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