• DOI: 10.1002/cb.2233
  • Corpus ID: 261150599

Artificial intelligence consumer behavior: A hybrid review and research agenda

  • Varsha Jain , Ketan Wadhwani , J. Eastman
  • Published in Journal of Consumer Behaviour 23 August 2023
  • Computer Science, Business, Psychology

10 Citations

How generative ai is (will) change consumer behaviour: postulating the potential impact and implications for research, practice, and policy, leveraging ai to enhance marketing and customer engagement strategies in the french market, a review of machine learning algorithms in consumer behavior: the missing link in impulse buying, users, ai, or professional designers the impacts of inspiration stimuli on customers' willingness to participate in user design, mapping the terrain of open innovation in consumer research: insights and directions from bibliometrics, purchase spillovers from the metaverse to the real world: the roles of social presence, trialability, and customer experience, to share or not to share: when is influencer self‐disclosure perceived as appropriate, edge impulse potential to enhance object recognition through machine learning, artificial intelligence and consumer behavior: from predictive to generative ai, mapping research on the subjective well-being of knowledge workers: a systematic enquiry deploying bibliometrics, 105 references, consumers’ reasons and perceived value co-creation of using artificial intelligence-enabled travel service agents, using ai predicted personality to enhance advertising effectiveness, the implications of artificial intelligence on the digital marketing of financial services to vulnerable customers, artificial intelligence in e-commerce: a bibliometric study and literature review, artificial intelligence and declined guilt: retailing morality comparison between human and ai, ai increases unethical consumer behavior due to reduced anticipatory guilt, consumer trust and perceived risk for voice-controlled artificial intelligence: the case of siri, i, robot, you, consumer: measuring artificial intelligence types and their effect on consumers emotions in service, the convenience of shopping via voice ai: introducing aidm, artificial intelligence and the new forms of interaction: who has the control when interacting with a chatbot, related papers.

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AI in Consumer Behavior

  • First Online: 03 October 2021

Cite this chapter

artificial intelligence and consumer behaviour research paper

  • Dimitris C. Gkikas 8 &
  • Prokopis K. Theodoridis 8  

Part of the book series: Learning and Analytics in Intelligent Systems ((LAIS,volume 22))

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6 Citations

1 Altmetric

E-commerce is one of the fastest changing industries and consumers try to purchase most of the goods online. Following the internet revolution, retail and promotion, daily data generation led to a point where marketers could not further process, using the traditional statistical ways, the new demands of vast data volume. The use of big data analytics emerged, and the rise of AI came along with predictive analytics including machine learning and data mining solutions. Artificial Intelligence has both evolved and affected the way marketing is implemented. AI is proven to be a sophisticated way of analyzing and processing data as well as decision making. The privilege of its use is considered an asset to the business executives who understand its potential. Considering AI as a tool, it may provide massive data processing and prediction accuracy. Referring to marketing science, marketers have witnessed the benefits of AI by predicting consumers behavior. Since consumers behavior varies, brands struggle for customer satisfaction, they invest time and money to highlight their products or services potentials, better define their market share, and classify customers’ needs. Marketers have been in pursuit of customer satisfaction using AI tools to read web metrics and optimize reach and conversions strategies. Machine learning, natural language processing, expert systems, voice, vision, planning, and robotics are the main AI branches that companies use to stay ahead of the competition. Business objectives aim to attract new customers, predict consumer behavior, along with the capability to personalize and predict demand using “smart” systems which allow them to increase sales, mitigate the decision-making risk and increase customer satisfaction, customer loyalty, and sales predictions. This chapter tries to map the stages of AI contribution to consumer behavior describing the essential marketing milestones.

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Gkikas, D., Theodoridis, P. (2022). AI in Consumer Behavior. In: Virvou, M., Tsihrintzis, G.A., Tsoukalas, L.H., Jain, L.C. (eds) Advances in Artificial Intelligence-based Technologies. Learning and Analytics in Intelligent Systems, vol 22. Springer, Cham. https://doi.org/10.1007/978-3-030-80571-5_10

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Research Article

Artificial Intelligence in  Consumer Behaviour: A Systematic Literature Review

Muhammad Farooq, Yuen Yee Yen

This is a preprint; it has not been peer reviewed by a journal.

https://doi.org/ 10.21203/rs.3.rs-3875906/v1

This work is licensed under a CC BY 4.0 License

You are reading this latest preprint version

This systematic literature analysis examines the many effects of artificial intelligence (AI) on consumer behavior. It consolidates data from a carefully chosen to set of English-language papers acquired using a Web of Science search. The selected studies provide useful insights into the complex interaction between AI, consumer attitudes, preferences, decision-making, and the larger consequences for companies. These research cover many areas of AI applications in marketing and consumer domains. The research covers various topics, such as the positive impact of AI on consumer attitudes, potential drawbacks of AI recommendations, the influence of AI-driven recommendation agents on privacy risk, personalized engagement marketing, consumer evaluations of GAN-generated fashion products, AI in ethnic clothing consumption, the adoption of AI in the leisure economy, AI in digital marketing, automation of services using AI in Industry 4.0, AI-powered applications in the service profit chain, the role of AI-powered learning apps in education, AI in B2B settings, the security of AIoT using the HoneyNet approach, the impact of digital AI technologies in India, and the role of AI in the Internet of Things (IoT). This study presents a thorough analysis of the current state of AI and consumer behavior research, providing insights that are relevant for both academic and industrial sectors.

Artificial Intelligence (AI)

Consumer Behavior

AI Applications and Systematic Literature Review

Figure 1

Introduction

Artificial intelligence (AI) has become a powerful force in the era of digital transformation, significantly altering several aspects of marketing and consumer behavior. This systematic literature review attempts to present a thorough and inclusive analysis of the many ways in which AI impacts consumer attitudes, preferences, and decision-making processes. The carefully chosen assortment of English-language publications, obtained from the Web of Science, showcases a diverse range of study carried out by scientists exploring the convergence of AI, marketing, and consumer dynamics.

The papers incorporated in this study encompass a wide range of topics, elucidating the complex connections between AI and consumer behavior. Olan et al. ( 2021 ) utilize the fsQCA approach to construct a metaframework that forecasts consumer behavior by considering AI, consumer attitudes, and knowledge-sharing activities. Their analysis reveals the favorable impacts on customer attitudes and engagement. Chen et al. ( 2022 ) provide empirical data about the influence of AI recommendations, demonstrating enhanced consumer preferences while also warning against the building of information cocoons.

Rohden & Zeferino ( 2023 ) explore the domain of AI-powered recommendation agents and their impact on customer perceptions of data privacy risk, highlighting the crucial significance of consumer trust. Kumar et al. ( 2019 ) examine customized engagement marketing and investigate how AI is transforming consumer interaction and its potential effects on global branding strategies. Sohn et al. ( 2021 ) analyze how consumers perceive fashion goods created by generative adversarial networks (GANs), offering valuable information for companies contemplating the use of GANs in the fashion retail industry.

This review delves into several aspects, including the favorable influence of AI on the consumption of ethnic clothes (Peng & Krutasaen, 2022 ), the integration of AI in the leisure sector (Xian, 2021 ), and its significant role in transforming digital marketing (Tchelidze, 2019 ). In addition, the study conducted by Dwivedi and Wang ( 2022 ) on the use of AI in B2B settings, as well as the research by Tan et al. ( 2022 ) on the importance of AI in increasing the security of AIoT, contribute to a more comprehensive understanding of the extensive ramifications of AI. The next sections explore each topic cluster, revealing the intricacies and insights of these research in enhancing our understanding of AI's diverse influence on consumer behavior.

Methodology

This systematic literature review utilizes a rigorous approach to thoroughly assess and synthesize the study findings on the influence of artificial intelligence (AI) on consumer behavior. The first step was a methodical exploration of the Web of Science, a highly regarded scholarly database, to locate pertinent publications written in English. The search approach included a blend of keywords, including "AI in marketing," "AI and consumer behavior," and similar phrases, to guarantee the incorporation of a wide range of research covering various topics.

The inclusion criteria consisted of studies that primarily focused on the convergence of AI and consumer behavior, encompassing a wide range of applications in marketing, decision-making, and preferences. A meticulous screening process was employed to guarantee the pertinence and excellence of the chosen articles.

After identifying the pertinent research, a thorough data extraction procedure was carried out. For each paper that was included, we methodically retrieved important details such as the authors, publication year, study methodology used, and major findings. The systematic grouping of the research enabled a structured synthesis, enabling a thorough examination of the many aspects of AI's impact on consumer behavior.

The technique employed for this systematic review conforms to accepted principles for conducting thorough and transparent literature reviews. This study intends to offer a complete and informative summary of the existing understanding of how AI affects consumer behavior. It will achieve this by conducting a systematic search, conducting rigorous screening, and organizing data extraction.

Literature Review

The literature surrounding the influence of artificial intelligence (AI) on consumer behavior is marked by a diverse array of studies that delve into the multifaceted implications of this technological integration. Olan et al. ( 2021 ) utilize the fsQCA technique to predict consumer behavior, revealing a positive influence of AI on attitudes and knowledge-sharing. Chen et al. ( 2022 ) contribute empirical evidence, cautioning against potential information cocoons stemming from AI recommendations.

Rohden and Zeferino ( 2023 ) focus on AI-driven recommendation agents and their impact on consumer perceptions of data privacy risk, emphasizing the role of consumer trust. Kumar et al. ( 2019 ) explore personalized engagement marketing, highlighting AI's role in reshaping consumer engagement and predicting its impact on branding.

The intersection of AI and fashion evaluation is addressed by Sohn et al. ( 2021 ), who compare consumer evaluations of products generated by generative adversarial networks (GAN). Peng and Krutasaen ( 2022 ) shift the focus to ethnic clothing consumption, employing AI decision-making and the Internet of Things (IoT) to identify factors influencing consumer psychology.

Xian ( 2021 ) examines the adoption of AI in the leisure economy, introducing personal innovativeness as a determinant. Tchelidze ( 2019 ) emphasizes the role of AI in digital marketing, underlining the skills required for effective utilization. The automation of services using AI in Industry 4.0 is discussed by Flavian and Casaló ( 2021 ), while Wei and Prentice ( 2022 ) explore AI-powered applications in the service profit chain

Categorizing Themes in AI and Consumer Behavior Research: An Overview

AI in Marketing and Consumer Attitudes

Olan et al., 2021 explore the impact of AI on marketing and consumer behavior, revealing a positive influence on consumer attitudes. The study incorporates the fsQCA technique, developing a metaframework predicting behavior based on AI, attitudes, and knowledge-sharing.

AI Recommendations and Decision Quality

Chen et al., 2022 contribute empirical evidence on the impact of AI recommendations on consumer preferences and decision quality. The study, based on experiments, warns against potential information cocoons and highlights the need for regulating AI behaviors.

AI-Driven Recommendation Agents and Privacy Risk

Rohden & Zeferino, 2023 delve into the impact of AI-driven recommendation agents on consumer perceptions of data privacy risk. The study, utilizing in-depth interviews and surveys, identifies factors contributing to privacy risk perception, emphasizing the role of consumer trust.

Personalized Engagement Marketing

Kumar et al., 2019 focus on personalized engagement marketing, exploring how AI curates personalized offerings. The paper predicts the impact of AI on branding and customer management practices in both developed and developing countries.

Consumer Evaluations of GAN-Generated Fashion Products

Sohn et al., 2021 examine consumer evaluations of fashion products generated using generative adversarial network (GAN). The study reveals positive effects on willingness to pay, with the disclosure of GAN technology influencing consumer evaluations.

AI in Ethnic Clothing Consumption

Peng & Krutasaen, 2022 employ AI decision-making and IoT to study factors influencing ethnic wear consumption. The research emphasizes the positive impact of cultural scope and commodity variety on ethnic clothing consumption.

Adoption of AI in the Leisure Economy

Xian, 2021 analyze the adoption of AI in the leisure economy, exploring psychological factors influencing AI acceptance. The study introduces personal innovativeness as a new factor, contributing to the understanding of AI acceptance determinants.

AI in Digital Marketing

Tchelidze, 2019 investigate the role of AI in digital marketing, emphasizing the importance of self-learning machines for understanding online consumer behavior. The research highlights skills required for digital marketers to leverage AI effectively.

Automation of Services Using AI in Industry 4.0

Flavian & Casaló, 2021 discuss the automation of services using AI in the context of Industry 4.0. The paper introduces six papers from a special issue, providing an overview, summarizing key findings, and identifying future research possibilities.

AI-Powered Applications in Service Profit Chain

Wei & Prentice, 2022 draw on service profit chain theory, considering AI-powered applications as service products. The study examines the influence of AI service quality on customer loyalty, exploring emotional intelligence as a moderator.

AI-Powered Learning Apps in Education

Ko et al., 2022 investigate compensatory behavior in students during a pandemic, exploring the role of AI-powered learning apps. The findings reveal nuanced patterns in app usage, demonstrating compensatory behavior for learning loss.

AI in B2B Settings

Dwivedi & Wang, 2022 address the gap in AI research in industrial markets, presenting 16 articles exploring various aspects of AI in B2B settings. The studies cover AI's impact on marketing, organizational behavior, product innovation, supply chain management, and customer relationship management.

Security of AIoT Using HoneyNet Approach

Tan et al., 2022 focus on the security of AIoT, proposing a HoneyNet approach for threat detection and situational awareness. The study utilizes Docker technology and deep learning models to enhance AIoT security.

Digital AI Technologies Impact in India

Bag et al., 2022 address the impact of digital AI technologies on user engagement and conversion in India. The study explores the relationship between AI technologies, user engagement, satisfying user experience, and repurchase intention.

Big Data and AI in Hospitality and Tourism

Lv et al., 2022 conduct a systematic review of big data and AI in hospitality and tourism research. The review identifies themes and trends in 270 relevant studies, covering the definition of big data, types used, AI applications, and major research themes.

AI on the Internet of Things (IoT)

Liu & Liu, 2022 examine the role of AI in the IoT, focusing on accurate node positioning and its applications in geographic and network location services. The study discusses the broad application prospects of IoT technology-oriented AI, emphasizing the need to address potential risks in public safety.

Article Title

Reference

Purpose

Findings

Recommendations

(Olan et al., 2021)

Olan et al., 2021

Explore AI impact on marketing and consumer behavior

AI positively influences consumer attitudes. Online communities foster curiosity and engagement.

Consider leveraging AI in marketing strategies for enhanced consumer engagement.

(Chen et al., 2022)

Chen et al., 2022

Investigate AI recommendations and decision quality

AI recommendation strengthens preferences but may lead to information cocoons, negatively affecting decision quality.

Regulate AI behaviors to balance personalized recommendations and diverse information access.

(Rohden & Zeferino, 2023)

Rohden & Zeferino, 2023

Examine AI-driven recommendation agents and privacy risk

AI-driven recommendation agents influence privacy risk perception. Consumer trust plays a mediating role.

Emphasize transparency in AI applications to mitigate negative privacy risk perceptions.

(Kumar et al., 2019)

Kumar et al., 2019

Focus on personalized engagement marketing

AI reshapes consumer engagement through personalized offerings. Predictions for AI impact on branding and customer management.

Businesses should adapt strategies to incorporate AI for personalized consumer engagement.

(Sohn et al., 2021)

Sohn et al., 2021

Explore consumer evaluations of GAN-generated fashion products

GAN-generated products positively affect willingness to pay. Disclosure of GAN technology influences consumer evaluations.

Firms considering GANs in fashion should emphasize technology disclosure for positive consumer perceptions.

(Peng & Krutasaen, 2022)

Peng & Krutasaen, 2022

Investigate AI in ethnic clothing consumption

AI decision-making and IoT influence ethnic wear consumption. Cultural scope and commodity variety positively impact consumption.

Promote cultural diversity and commodity variety to enhance ethnic clothing consumption.

(Xian, 2021)

Xian, 2021

Analyze AI adoption in the leisure economy

Psychological factors influence AI acceptance. Personal innovativeness is a significant factor.

Consider psychological factors for effective AI adoption strategies in the leisure economy.

(Tchelidze, 2019)

Tchelidze, 2019

Investigate AI's role in digital marketing

Emphasize the importance of self-learning machines for understanding online consumer behavior. Highlight skills required for effective AI utilization in digital marketing.

Digital marketers should develop creativity, analytical skills, technological understanding, and communication knowledge for effective AI utilization.

(Flavian & Casaló, 2021)

Flavian & Casaló, 2021

Discuss the automation of services using AI in Industry 4.0

Overview of automated interactions. Summarize key findings and identify future research possibilities.

Explore possibilities for integrating AI in Industry 4.0, emphasizing future research directions.

(Wei & Prentice, 2022)

Wei & Prentice, 2022

Draw on service profit chain theory for AI-powered applications

Examine the influence of AI service quality on customer loyalty. Emotional intelligence as a moderator.

Businesses should focus on enhancing AI service quality for improved customer loyalty, considering emotional intelligence as a factor.

(Ko et al., 2022)

Ko et al., 2022

Investigate compensatory behavior using AI-powered learning apps

Nuanced patterns in app usage influenced by pandemic threat and goal proximity. Demonstrates compensatory behavior for learning loss.

Understand patterns in AI-powered learning app usage for effective learning recovery during adversity.

(Dwivedi & Wang, 2022)

Dwivedi & Wang, 2022

Address the gap in AI research in industrial markets

Present 16 articles exploring AI's impact on marketing, organizational behavior, innovation, supply chain, and customer management.

Insights into AI applications for value creation in industrial contexts.

(Tan et al., 2022)

Tan et al., 2022

Focus on the security of AIoT using HoneyNet approach

Propose HoneyNet approach for threat detection and situational awareness in AIoT. Utilize Docker technology and deep learning models.

Enhance AIoT security through the proposed HoneyNet approach, incorporating Docker technology and deep learning models.

(Bag et al., 2022)

Bag et al., 2022

Address the impact of digital AI technologies on user engagement in India

Explore the relationship between AI technologies, user engagement, user experience, and repurchase intention.

Emphasize the importance of satisfying user experiences for increased engagement and repurchase intention.

(Lv et al., 2022)

Lv et al., 2022

Conduct a systematic review of big data and AI in hospitality and tourism research

Identify themes and trends in 270 studies covering big data, AI applications, and major research themes.

Provide implications, challenges, and directions for future research in big data and AI in hospitality and tourism.

(Liu & Liu, 2022)

Liu & Liu, 2022

Examine the role of AI in the Internet of Things (IoT)

Focus on accurate node positioning and applications in geographic and network location services. Discuss potential risks and informed decision-making in public safety.

Address potential risks associated with AI in IoT, emphasizing informed decision-making for public safety.

Discussion on Key Findings

The amalgamation of research data from several studies investigating the intersection of artificial intelligence (AI) and consumer behavior reveals intricate patterns, difficulties, and prospects. This conversation explores significant issues, elucidating the ramifications of artificial intelligence in the domains of marketing, decision-making, privacy, customization, and cultural settings.

The study conducted by Olan et al. ( 2021 ) demonstrates that AI has a beneficial effect on consumer sentiments, offering marketers valuable information to improve customer engagement. The metaframework established using the fsQCA approach functions as a significant instrument for forecasting and comprehending customer behavior. As artificial intelligence becomes increasingly essential to marketing efforts, these valuable insights are expected to be critical for decision-makers.

AI suggestions and Decision Quality: Chen et al. ( 2022 ) provide empirical data that raises concerns about the possible disadvantages of AI suggestions. AI-powered suggestions, although enhancing consumer preferences, might result in the construction of information cocoons, which can negatively affect the quality of decision-making. It is crucial to regulate AI activities in order to maintain a balance between customized suggestions and ensuring that customers receive a diverse range of information.

Rohden and Zeferino ( 2023 ) examine the privacy consequences associated with AI-powered recommendation bots. The results emphasize the significance of openness and confidence from consumers in reducing perceived risks. In light of increasing concerns over data privacy, it is imperative for businesses to give utmost importance to transparent communication and ethical standards in the field of artificial intelligence in order to preserve customer confidence.

Personalized Engagement Marketing: According to Kumar et al. ( 2019 ), AI plays a significant role in transforming personalized engagement marketing. The report forecasts a transformation in consumer involvement and administration methods, with ramifications for both advanced and emerging markets. With the ongoing advancement of AI, organizations have the opportunity to utilize these valuable information in order to customize their marketing campaigns to suit various customer groups.

Evaluations from consumers of fashion products generated by GANs:

Sohn et al. ( 2021 ) provide valuable insights into the field of fashion by showcasing the favorable influence of GAN-generated items on consumers' willingness to spend. The revelation of GAN technology also impacts consumer assessments. Integrating AI technology in the fashion sector, while clearly articulating their application, can improve customer attitudes and increase their readiness to spend.

Peng and Krutasaen ( 2022 ) examine the role of AI in ethnic apparel consumption and emphasize its favorable impact on cultural diversity and product selection. Comprehending these aspects is crucial for firms aiming to advertise ethnic clothing, highlighting the capacity of AI to overcome cultural differences in customer preferences.

AI Adoption in the Leisure sector: According to Xian's (2021) analysis, the use of AI in the leisure sector is influenced by personal innovativeness. Understanding the many psychological factors that impact the acceptability of AI helps in formulating effective approaches to promote its wider adoption. These effects extend beyond leisure services and also impact the acceptability of technology in other fields.

Tchelidze ( 2019 ) emphasizes the significance of autonomous robots in comprehending online customer behavior in the realm of digital marketing. Flavian and Casaló ( 2021 ) examine the utilization of artificial intelligence (AI) to automate services within the framework of Industry 4.0. These studies collectively emphasize the significant impact that AI may have on several businesses, underscoring the importance of ongoing learning and flexibility.

Wei and Prentice ( 2022 ) enhance the service profit chain theory by including AI-powered applications as service goods. An in-depth comprehension of the complex interconnections among AI service quality, customer happiness, and emotional intelligence provides organizations with a clear path to improve customer loyalty.

The authors Dwivedi and Wang ( 2022 ) aim to fill the void in AI research inside industrial marketplaces by conducting a thorough investigation of several aspects in B2B settings. Tan et al. ( 2022 ) specifically examine the security of Artificial Intelligence of Things (AIoT) and suggest a HoneyNet strategy to improve the identification of potential threats. These studies demonstrate the adaptability of AI applications in many sectors, particularly emphasizing challenges related to security.

Bag et al. ( 2022 ) examine the influence of digital AI technologies on user engagement and conversion rates in India. Lv et al. ( 2022 ) do a comprehensive analysis of the existing literature on big data and AI in the hotel and tourist industry, uncovering recurring topics and patterns. These studies make valuable contributions to the worldwide discussion on the uses of AI, by demonstrating regional differences and emphasizing the potential of AI to revolutionize various markets.

The study conducted by Liu and Liu ( 2022 ) examines the utilization of AI in the context of the Internet of Things (IoT), with a particular emphasis on achieving precise node location. The report highlights the imperative to tackle possible hazards linked to AI technology in the realm of public safety. Ensuring appropriate and successful adoption of AI in IoT will require addressing safety concerns as a top priority.

To summarize, this systematic literature review explores a wide range of research, offering a comprehensive perspective on the many effects of AI on consumer behavior. The results emphasize the profound impact that AI may have on many sectors, highlighting the need for careful management of customization, privacy, and ethical concerns. As organizations increasingly use AI technology, the knowledge obtained from these studies will act as valuable references for understanding and adapting to the ever-changing environment of customer preferences, decision-making, and market trends. The classification of topics furthermore enables a subtle comprehension of the many uses of AI, establishing the foundation for future investigation and real-world applications. As the field of AI progresses, it is crucial to continuously explore and reflect on these topics to ensure ethical and consumer-focused integration of AI in many global settings.

Declarations

Author contribution.

Both authors contributed equally.

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Additional Declarations

No competing interests reported.

artificial intelligence and consumer behaviour research paper

The impact of artificial intelligence on consumer behaviour and changes in business activity due to pandemic effects

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With Open Source Artificial Intelligence, Don’t Forget the Lessons of Open Source Software

By: Jack Cable, Senior Technical Advisor, and Aeva Black, Section Chief, Open Source Security

The accelerated development of new artificial intelligence (AI) capabilities, including with large language models (LLMs), has spurred international debates around the potential impact of “open source AI” models. Does open sourcing a model benefit society because it enables developers to rapidly innovate by studying, using, sharing, and collaboratively iterating on these state-of-the-art models? Or do such capabilities pose security threats, allowing adversaries to leverage these models for greater harm? 

Fortunately, the conversation isn’t starting from scratch. Developers of all AI models, including open foundation models, can learn from existing work to secure software. As the Cybersecurity and Infrastructure Security Agency’s (CISA) leads on open source software (OSS) security, we’ve spent significant time immersed in open source communities. OSS faced similar debates during the 1990s, and we know that there are many lessons to be learned from the history of OSS.

Last month, CISA responded to the National Telecommunications and Information Administration’s (NTIA) Request for Information on Dual Use Foundation Artificial Intelligence Models With Widely Available Model Weights. At CISA, we see significant value in open foundation models to help strengthen cybersecurity, increase competition, and promote innovation. Our response highlighted that the global AI community should (1) learn from existing software security work and (2) continue to promote the responsible development and release of open foundation models while mitigating their potential harms. There is a tremendous wealth of experience from OSS community that shouldn’t be lost when considering open foundation models.

While there is not yet a consensus on the definition of what constitutes “open source AI”, the Open Source Initiative , which maintains the “Open Source Definition” and a list of approved OSS licenses, has been “driving a multi-stakeholder process to define an ‘Open Source AI’” . Therefore, in the interest of being more precise, we use the term “open foundation models” to refer to AI models with widely available weights.

Learn from Existing Software Security Work

OSS facilitates extensive innovation in every sector. A recent paper from Harvard and the University of Toronto found that the total cost to produce the world’s OSS is $4.15 billion, while the value created is magnitudes larger: $8.8 trillion. It’s safe to say that many innovations of the digital age would not have been possible without OSS.

We must all work to ensure that OSS doesn’t fall victim to the tragedy of the commons. At CISA, we continue to emphasize that every software manufacturer should be a responsible consumer of the OSS that it uses, and that means also being a sustainable contributor back to the open source ecosystem. This same principle applies to open foundation models – everyone ought to do their part to ensure a safe, secure, and sustainable community.

Additionally, we have observed the benefits of open source tools in cybersecurity. While there has been a decades-long debate on the open sourcing of dual-use cybersecurity tools (i.e., tools that can both aid cyber defenders and be used maliciously by threat actors), the general consensus among the security community is that the benefits of open sourcing security tools for defenders outweigh the harms that might be leveraged by adversaries – who, in many cases, will get their hands on tools whether or not they are open sourced. While we cannot anticipate all the potential use cases of AI, lessons from cybersecurity history indicate that we can stand to benefit from dual-use open source tools.

CISA has been hard at work in recent years to help secure the OSS ecosystem. Our Open Source Software Security Roadmap , published last year, starts with the recognition that open source software is supported by an inherently global community – and government’s role is to show up as a community member to support this community. We collaborated with the open source community to release principles for the security of package repositories and highlighted actions that five major package repositories – npm, PyPI, Crates.io, Composer, and Maven Central – are taking in line with this framework.

The AI community should heed these and other lessons from the open source community. Operators of package repositories in the AI ecosystem – such as platforms that distribute AI source code, models, weights, or training data – should work towards the items in the Principles for Package Repository Security framework and think about what unique considerations might apply. Tool developers should begin incorporating traceability and artifact composition analysis techniques. Model developers should include diverse viewpoints early and throughout the development lifecycle, ensuring that trust and safety is a core consideration during model development.

Promote the responsible development and release of open foundation models while mitigating their potential harms

In our response, we define two sets of potential harms of foundation models. Our definitions are based on whether the deployer of the model – who is the entity that runs the model – intends for those harms to be caused, or if they seek to prevent them. The first class of harms are those deliberately sought by the deployer of the model, such as using the model to conduct cyberattacks or to generate non-consensual intimate imagery (NCII). The second class of harms are those which are not desired by the deployer of the model, such as a cybersecurity vulnerability in a model deployed by a critical infrastructure entity.

The first class of harms must be addressed with a multipronged risk reduction approach. This includes additional research and investment to limit abuse of the technology (which should draw on existing trust and safety work), although we know that many protections will inevitably be circumvented by malicious deployers. Therefore, domain-specific risk mitigations are also needed. For NCII, this might involve discouraging the training of specific capabilities in models that are widely distributed (such as by filtering training data) and societal approaches to support victims in abuse. For cybersecurity vulnerabilities, the best approach to all forms of threats – including those enabled by foundation models – is to ensure that software is built in a secure by design manner resilient to the most common classes of vulnerabilities.

Most of the conversation about open foundation models has been dominated by the abuse of such models by malicious deployers. We certainly should work to study and mitigate these harms. With that said, the second class of harms is equally deserving of attention; and, promisingly — as the deployer of these models does not want harms to occur — building protections against risks into models is more readily possible. For instance, the developer of an open source model could take a secure by design approach and build the model in a responsible manner, resilient to common classes of vulnerabilities. Such a developer could also train the model in a publicly verifiable way, or on publicly available data, thereby allowing others to more fully study the model’s behavior and gain confidence that it does not contain vulnerabilities or backdoors. Much as transparency strengthens the security of OSS, allowing for public study and verification can help secure open foundation models.

We recognize that today’s open foundation models exist along a spectrum of openness and applaud efforts to train open foundation models on appropriate public data. When a model’s weights and training code are published without disclosure of training data or pre-training, even though it may be modifiable by users in some ways, users of that model have only a limited ability to understand, verify, or mitigate any vulnerabilities in the model. This lack of transparency prevents inspection and research into how these models operate. Thus, developers of open weight foundation models without open data have a responsibility to ensure the outputs of their models are safe, secure, and trustworthy.

CISA is committed to ensuring that OSS, including AI models, can continue to be deployed in a safe and secure manner to foster innovation. We encourage readers to review our full response to NTIA and to learn more about our work in OSS Security .

As always, we can be contacted at [email protected]

CISA does not endorse any commercial entity, product, or service. Any reference to specific commercial entities, products, processes, or services by service mark, trademark, manufacturer, or otherwise, does not constitute or imply their endorsement, recommendation, or favoring by CISA.

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Edmon Begoli is the founding director of Oak Ridge National Lab's Center for AI Security Research.

Amir Sadovnik is the research lead for Oak Ridge National Lab's Center for AI Security Research.

Photo collage of a person looking upward with binoculars, and a robotic hand with a pointed finger from which colored strands are emerging.

The emergence of artificial general intelligence (AGI)—systems that can perform any task a human can—could be the most important event in human history, one that radically affects all aspects of our collective lives. Yet AGI, which could emerge soon , remains an elusive and controversial concept. We lack a clear definition of what it is, we don’t know how we will detect it, and we don’t know how to deal with it if it finally emerges.

What we do know, however, is that today’s approaches to studying AGI are not nearly rigorous enough. Within industry, where many of today’s AI breakthroughs are happening, companies like OpenAI are actively striving to create AGI, but include research on AGI’s social dimensions and safety issues only as their corporate leaders see fit . While the academic community looks at AGI more broadly, seeking the characteristics of a new intelligent life-form, academic institutions don’t have the resources for a significant effort.

Thinking about AGI calls to mind another poorly understood and speculative phenomenon with the potential for transformative impacts on humankind. We believe that the SETI Institute ’s efforts to detect advanced extraterrestrial intelligence demonstrate several valuable concepts that can be adapted for AGI research. Instead of taking a dogmatic or sensationalist stance, the SETI project takes a scientifically rigorous and pragmatic approach—putting the best possible mechanisms in place for the definition, detection, and interpretation of signs of possible alien intelligence.

The idea behind SETI goes back 60 years, to the beginning of the space age. In their 1959 Nature paper , the physicists Giuseppe Cocconi and Philip Morrison described the need to search for interstellar communication. Assuming the uncertainty of extraterrestrial civilizations’ existence and technological sophistication, they theorized about how an alien society would try to communicate and discussed how we should best “listen” for messages. Inspired by this position, we argue for a similar approach to studying AGI, in all its uncertainties.

AI researchers are still debating how probable it is that AGI will emerge and how to detect it. However, the challenges in defining AGI and the difficulties in measuring it are not a justification for ignoring it or for taking a “we’ll know when we see it” approach. On the contrary, these issues strengthen the need for an interdisciplinary approach to AGI detection, evaluation, and public education, including a science-based approach to the risks associated with AGI .

We need a SETI-like approach to AGI now

The last few years have shown a vast leap in AI capabilities. The large language models (LLMs) that power chatbots like ChatGPT , which can converse convincingly with humans, have renewed the discussion about AGI. For example, recent articles have stated that ChatGPT shows “sparks” of AGI , is capable of reasoning , and outperforms humans in many evaluations.

While these claims are intriguing and exciting, there are reasons to be skeptical. In fact, a large group of scientists argue that the current set of tools won’t bring us any closer to true AGI . But given the risks associated with AGI, if there is even a small likelihood of it occurring, we must make a serious effort to develop a standard definition of AGI, establish a SETI-like approach to detecting it, and devise ways to safely interact with it if it emerges.

Challenge 1: How to define AGI

The crucial first step is to define what exactly to look for. In SETI’s case, researchers decided to look for so-called narrow-band signals distinct from other radio signals present in the cosmic background. These signals are considered intentional and only produced by intelligent life.

In the case of AGI, matters are far more complicated. Today, there is no clear definition of “artificial general intelligence” (other terms, such as strong AI, human-level intelligence, and superintelligence are also widely used to describe similar concepts). The term is hard to define because it contains other imprecise and controversial terms. Although “intelligence” is defined in the Oxford Dictionary as “the ability to acquire and apply knowledge and skills,” there is still much debate on which skills are involved and how they can be measured. The term “general” is also ambiguous. Does an AGI need to be able to do everything a human can do? Is generality a quality we measure as a binary or continuous variable?

One of the first missions of a “SETI for AGI” construct must be to clearly define the terms “general” and “intelligence” so the research community can speak about them concretely and consistently. These definitions need to be grounded in the disciplines supporting the AGI concept, such as computer science, measurement science, neuroscience, psychology, mathematics, engineering, and philosophy. Once we have clear definitions of these terms, we’ll need to find ways to measure them.

There’s also the crucial question of whether a true AGI must include consciousness, personhood, and self-awareness. These terms also have multiple definitions, and the relationships between them and intelligence must be clarified. Although it’s generally thought that consciousness isn’t necessary for intelligence, it’s often intertwined with discussions of AGI because creating a self-aware machine would have many philosophical, societal, and legal implications. Would a new large language model that can answer an IQ test better than a human be as important to detect as a truly conscious machine?

Challenge 2: How to measure AGI

In the case of SETI, if a candidate narrow-band signal is detected , an expert group will verify that it is indeed an extraterrestrial source. They’ll use established criteria—for example, looking at the signal type and source and checking for repetition—and conduct all the assessments at multiple facilities for additional validation.

How to best measure computer intelligence has been a long-standing question in the field. In a famous 1950 paper , Alan Turing proposed the “imitation game,” now more widely known as the Turing Test, which assesses whether human interlocutors can distinguish if they are chatting with a human or a machine. Although the Turing Test has been useful for evaluations in the past, the rise of LLMs has made it clear that it’s not a complete enough test to measure intelligence. As Turing noted in his paper, the imitation game does an excellent job of testing if a computer can imitate the language-generation process, but the relationship between imitating language and thinking is still an open question. Other techniques will certainly be needed.

These appraisals must be directed at different dimensions of intelligence. Although measures of human intelligence are controversial, IQ tests can provide an initial baseline to assess one dimension. In addition, cognitive tests on topics such as creative problem-solving, rapid learning and adaptation, reasoning, goal-directed behavior, and self-awareness would be required to assess the general intelligence of a system.

These cognitive tests will be useful, but it’s important to remember that they were designed for humans and might contain certain assumptions about basic human capabilities that might not apply to computers, even those with AGI abilities. For example, depending on how it’s trained, a machine may score very high on an IQ test but remain unable to solve much simpler tasks. In addition, the AI may have other communication modalities and abilities that would not be measurable by our traditional tests.

There’s a clear need to design novel evaluations to measure AGI or its subdimensions accurately. This process would also require a diverse set of researchers from different fields who deeply understand AI, are familiar with the currently available tests, and have the competency, creativity, and foresight to design novel tests. These measurements will hopefully alert us when meaningful progress is made toward AGI.

Once we have developed a standard definition of AGI and developed methodologies to detect it, we must devise a way to address its emergence.

Challenge 3: How to deal with AGI

Once we have discovered this new form of intelligence, we must be prepared to answer questions such as: Is the newly discovered intelligence a new form of life? What kinds of rights does it have? What kinds of rights do we have regarding this intelligence? What are the potential safety concerns, and what is our approach to handling the AGI entity, containing it, and safeguarding ourselves from it?

Here, too, SETI provides inspiration. SETI has protocols for handling the evidence of a sign of extraterrestrial intelligence. SETI’s post-detection protocols emphasize validation, transparency, and cooperation with the United Nations, with the goal of maximizing the credibility of the process, minimizing sensationalism, and bringing structure to such a profound event.

As with extraterrestrial intelligence, we need protocols for safe and secure interactions with AGI. These AGI protocols would serve as the internationally recognized framework for validating emergent AGI properties, bringing transparency to the entire process, ensuring international cooperation, applying safety-related best practices, and handling any ethical, social, and philosophical concerns.

We readily acknowledge that the SETI analogy can only go so far. If AGI emerges, it will be a human-made phenomenon. We will likely gradually engineer AGI and see it slowly emerge, so detection might be a process that takes place over a period of years, if not decades. In contrast, the existence of extraterrestrial life is something that we have no control over, and contact could happen very suddenly.

The discovery of a true AGI would be the most profound development in the history of science, and its consequences would be also entirely unpredictable. To best prepare, we need a methodical, comprehensive, principled, and interdisciplinary approach to defining, detecting, and dealing with AGI. With SETI as an inspiration, we propose that the AGI research community establish a similar framework to ensure an unbiased, scientific, transparent, and collaborative approach to dealing with possibly the most important development in human history.

  • World Builders Put Happy Face On Superintelligent AI ›
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  • AGI: ARC Prize Offers $1 Million to Inspire AI Development - IEEE Spectrum ›
  • AI Self-Recognition Creates Chances for New Security Risks - IEEE Spectrum ›
  • Planning for AGI and beyond | OpenAI ›

Edmon Begoli is the founding director of Oak Ridge National Lab's new Center for AI Security Research , where he co-leads ORNL's internal AI research initiative with focus on AI safety and security applications. He specializes in the research, design, and development of resilient, secure, and scalable machine learning and analytic architectures.

Amir Sadovnik is the research lead for the new Center for AI Security Research at Oak Ridge National Lab, where he leads multiple research projects related to AI risk, adversarial AI, and large language model vulnerabilities.

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Can LLMs be Fooled? Investigating Vulnerabilities in LLMs

  • Sara Abdali ,
  • CJ Barberan ,
  • Richard Anarfi

Publication

The advent of Large Language Models (LLMs) has garnered significant popularity and wielded immense power across various domains within Natural Language Processing (NLP). While their capabilities are undeniably impressive, it is crucial to identify and scrutinize their vulnerabilities especially when those vulnerabilities can have costly consequences. One such LLM, trained to provide a concise summarization from medical documents could unequivocally leak personal patient data when prompted surreptitiously. This is just one of many unfortunate examples that have been unveiled and further research is necessary to comprehend the underlying reasons behind such vulnerabilities. In this study, we delve into multiple sections of vulnerabilities which are model-based, training-time, inference-time vulnerabilities, and discuss mitigation strategies including “Model Editing” which aims at modifying LLMs behavior, and “Chroma Teaming” which incorporates synergy of multiple teaming strategies to enhance LLMs’ resilience. This paper will synthesize the findings from each vulnerability section and propose new directions of research and development. By understanding the focal points of current vulnerabilities, we can better anticipate and mitigate future risks, paving the road for more robust and secure LLMs.

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