What's the Magic Word? A Control Theory of LLM Prompting
A Bhargava, C Witkowski, M Shah… - arXiv preprint arXiv …, 2023 - arxiv.org
arXiv preprint arXiv:2310.04444, 2023•arxiv.org
Prompt engineering is crucial for deploying LLMs but is poorly understood mathematically.
We formalize LLM systems as a class of discrete stochastic dynamical systems to explore
prompt engineering through the lens of control theory. We investigate the reachable set of
output token sequences $ R_y (\mathbf x_0) $ for which there exists a control input
sequence $\mathbf u $ for each $\mathbf y\in R_y (\mathbf x_0) $ that steers the LLM to
output $\mathbf y $ from initial state sequence $\mathbf x_0 $. We offer analytic analysis on …
We formalize LLM systems as a class of discrete stochastic dynamical systems to explore
prompt engineering through the lens of control theory. We investigate the reachable set of
output token sequences $ R_y (\mathbf x_0) $ for which there exists a control input
sequence $\mathbf u $ for each $\mathbf y\in R_y (\mathbf x_0) $ that steers the LLM to
output $\mathbf y $ from initial state sequence $\mathbf x_0 $. We offer analytic analysis on …
Prompt engineering is crucial for deploying LLMs but is poorly understood mathematically. We formalize LLM systems as a class of discrete stochastic dynamical systems to explore prompt engineering through the lens of control theory. We investigate the reachable set of output token sequences for which there exists a control input sequence for each that steers the LLM to output from initial state sequence . We offer analytic analysis on the limitations on the controllability of self-attention in terms of reachable set, where we prove an upper bound on the reachable set of outputs as a function of the singular values of the parameter matrices. We present complementary empirical analysis on the controllability of a panel of LLMs, including Falcon-7b, Llama-7b, and Falcon-40b. Our results demonstrate a lower bound on the reachable set of outputs w.r.t. initial state sequences sampled from the Wikitext dataset. We find that the correct next Wikitext token following sequence is reachable over 97% of the time with prompts of tokens. We also establish that the top 75 most likely next tokens, as estimated by the LLM itself, are reachable at least 85% of the time with prompts of tokens. Intriguingly, short prompt sequences can dramatically alter the likelihood of specific outputs, even making the least likely tokens become the most likely ones. This control-centric analysis of LLMs demonstrates the significant and poorly understood role of input sequences in steering output probabilities, offering a foundational perspective for enhancing language model system capabilities.
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