Daily Papers

Large Language Models (LLMs) are known to acquire reasoning capabilities through shared inference patterns in pre-training data, which are further elicited via Chain-of-Thought (CoT) practices. However, whether fundamental reasoning patterns, such as induction, deduction, and abduction, can be decoupled from specific problem instances remains a critical challenge for model controllability, and for shedding light on reasoning controllability. In this paper, we present the first systematic investigation of this problem through the lens of reasoning conflicts: an explicit tension between parametric and contextual information induced by mandating logical schemata that deviate from those expected for a target task. Our evaluation reveals that LLMs consistently prioritize sensibility over compliance, favoring task-appropriate reasoning patterns despite conflicting instructions. Notably, task accuracy is not strictly determined by sensibility, with models often maintaining high performance even when using conflicting patterns, suggesting a reliance on internalized parametric memory that increases with model size. We further demonstrate that reasoning conflicts are internally detectable, as confidence scores significantly drop during conflicting episodes. Probing experiments confirm that reasoning types are linearly encoded from middle-to-late layers, indicating the potential for activation-level controllability. Leveraging these insights, we steer models towards compliance, increasing instruction following by up to 29%. Overall, our findings establish that while LLM reasoning is anchored to concrete instances, active mechanistic interventions can effectively decouple logical schemata from data, offering a path toward improved controllability, faithfulness, and generalizability.

As the artificial intelligence (AI) supply chain grows more complex, AI systems and models are increasingly likely to incorporate externally-sourced ingredients such as datasets and other models. In such cases, determining whether or not an AI system or model complies with the EU AI Act will require gathering compliance-related metadata about both the AI system or model at-large as well as those externally-supplied ingredients. There must then be an analysis that looks across all of this metadata to render a prediction about the compliance of the overall AI system or model. Up until now, this process has not been automated. Thus, it has not been possible to make real-time compliance determinations in scenarios where doing so would be advantageous, such as the iterative workflows of today's AI developers, search and acquisition of AI ingredients on communities like Hugging Face, federated and continuous learning, and more. To address this shortcoming, we introduce a highly automated system for AI Act compliance analysis. This system has two key elements. First is an interlocking set of computational artifacts that capture compliance-related metadata about both: (1) the AI system or model at-large; (2) any constituent ingredients such as datasets and models. Second is an automated analysis algorithm that operates across those computational artifacts to render a run-time prediction about whether or not the overall AI system or model complies with the AI Act. Working together, these elements promise to enhance and accelerate AI Act compliance assessments.

Compliance is a useful parametrization of tactile information that humans often utilize in manipulation tasks. It can be used to inform low-level contact-rich actions or characterize objects at a high-level. In robotic manipulation, existing approaches to estimate compliance have struggled to generalize across object shape and material. Using camera-based tactile sensors, we present a novel approach to parametrize compliance through Young's modulus E. We evaluate our method over a novel dataset of 285 common objects, including a wide array of shapes and materials with Young's moduli ranging from 5.0 kPa to 250 GPa. Data is collected over automated parallel grasps of each object. Combining analytical and data-driven approaches, we develop a hybrid system using a multi-tower neural network to analyze a sequence of tactile images from grasping. This system is shown to estimate the Young's modulus of unseen objects within an order of magnitude at 74.2% accuracy across our dataset. This is a drastic improvement over a purely analytical baseline, which exhibits only 28.9% accuracy. Importantly, this estimation system performs irrespective of object geometry and demonstrates robustness across object materials. Thus, it could be applied in a general robotic manipulation setting to characterize unknown objects and inform decision-making, for instance to sort produce by ripeness.

A privacy policy is a document that states how a company intends to handle and manage their customers' personal data. One of the problems that arises with these privacy policies is that their content might violate data privacy regulations. Because of the enormous number of privacy policies that exist, the only realistic way to check for legal inconsistencies in all of them is through an automated method. In this work, we use Natural Language Inference (NLI) techniques to compare privacy regulations against sections of privacy policies from a selection of large companies. Our NLI model uses pre-trained embeddings, along with BiLSTM in its attention mechanism. We tried two versions of our model: one that was trained on the Stanford Natural Language Inference (SNLI) and the second on the Multi-Genre Natural Language Inference (MNLI) dataset. We found that our test accuracy was higher on our model trained on the SNLI, but when actually doing NLI tasks on real world privacy policies, the model trained on MNLI generalized and performed much better.

Large language models deployed in regulated industries operate under two constraints: compliance enforcement and cost efficiency. Personally identifiable information (PII) in user queries can reach model endpoints before the system determines whether that data should leave its jurisdictional boundary. Serving all queries through a single large model consumes full GPU capacity regardless of query complexity while offering no mechanism for geographic routing. Mixture-of-Experts architectures do not address this routing occurs between expert layers within the model after data has already arrived at the endpoint, with all experts loaded in memory regardless of query complexity. We propose a classifier-gated routing architecture that enforces compliance by design. A trained encoder classifier sits before any decoder inference, evaluating each query for complexity and data sensitivity, then routing it to an appropriately sized dense model in the appropriate geographic location. PII-containing queries route to local endpoints before any LLM computation begins, making data residency violations structurally impossible. Simple queries reach small, fast models at a fraction of the cost. Our evaluation on 600 queries demonstrates 39% median latency reduction, 33-52% cost savings depending on query distribution, and generation throughput of 122-200 tokens/second versus 50-64 for the baseline. The encoder classifier achieves 99.2% accuracy with near-perfect PII recall at 7ms inference overhead, establishing pre-inference classification as a practical path to compliance-by-design LLM deployment.

Current approaches to AI compliance treat conformity as a binary, audit-time verdict rather than a continuous, measurable property of production systems. We argue that this compliance fiction is structurally ill-suited to the requirements of the EU AI Act, which demands ongoing human oversight and the detection of emergent behavioural drift in deployed systems. We introduce governance from metrics, a principle whereby regulatory compliance is derived as a continuous signal from runtime observability rather than from static assessments. Building on this principle, we present govllm, an open-source framework implementing a governance-driven routing architecture in which model selection is determined by accumulated compliance scores rather than by latency or cost alone. Central to our approach is a panel of regulatory judges - LLM evaluators specialised per criterion (EU AI Act, GDPR, ANSSI, accessibility) - whose inter-judge disagreement we reframe not as noise but as a regulatory uncertainty signal warranting human arbitration. We validate this approach through a ground truth corpus of 49 annotated prompt/response pairs across five regulatory criteria, evaluated by four small language models (SLMs, 1.7B-7B parameters) running fully on-premise. Agreement rates range from 51.5% (mistral:7b) to 69.1% (phi4-mini), with no single model dominating across all criteria - empirically motivating the Profile-as-jury design. We further document three structural failure modes in small regulatory judges and a judge-specific position bias that degrades agreement by up to 25 percentage points across three question-order conditions (original, reversed, permuted). govllm is released as open-source software to support reproducible AI governance research.

Deploying Large Language Models (LLMs) for regulatory compliance demands rigorous traceability via comprehensive citations across multi-tiered authority structures. Unlike traditional multi-hop or legal QA, this task requires structured procedural lookups and evidence-set closure rather than entity resolution or case-law reasoning. Existing RAG systems struggle here due to flattened citation edges, fragmented retrieval expansions, and fragile post-hoc attribution. We formalize Regulatory Compliance QA with RegOps-Bench, a novel benchmark featuring an Operational Knowledge Graph derived from complex national R\&D regulations. To address these bottlenecks, we propose RefWalk, a unified framework driven by a shared topic anchor. RefWalk traverses cross-document citations, fuses multi-view candidates via max-based aggregation, and enforces per-rule attribution to explicitly map claims to sources. We establish a strong baseline with substantial improvements in retrieval recall and citation accuracy. Finally, a contrastive evaluation on a U.S. health compliance dataset (HIPAA) reveals that existing systems exhibit saturation on flat-structure rules, underscoring the need for RegOps-Bench. Our code is available at https://github.com/yeongjoonJu/RefWalk.

Policy compliance assessment is a fundamental task of evaluating whether an input case strictly complies with a set of human-defined rules, more generally known as policies. In practice, human experts follow a systematic, step-by-step process to identify violations with respect to specific stipulations outlined in the policy. However, such documentation of gold-standard, expert-level reasoning processes is costly to acquire. In this paper, we introduce Policy Reasoning Traces (PRT), a form of specialized generated reasoning chains that serve as a reasoning bridge to improve an LLM's policy compliance assessment capabilities. Our empirical evaluations demonstrate that the use of PRTs for both inference-time and training-time scenarios significantly enhances the performance of open-weight and commercial models, setting a new state-of-the-art for HIPAA and GDPR policies. Beyond accuracy gains, we also highlight how PRTs can improve an LLM's ability to accurately cite policy clauses, as well as influence compliance decisions through their high utilization from the raw chains of thought.

Memory is becoming a core component of long-horizon AI agents, allowing agents to reuse past experience when operating web browsers, software tools, and other interactive environments. Existing work mostly treats memory as a supply problem, asking what experience to write, how to store it, and which entry to retrieve for the next task. Yet we still lack a clear account of how models consume retrieved memory across a multi-step action trajectory. This consumption process matters because it determines not only what memories should be retrieved, but also what models and control policies are needed to use them safely. To diagnose this process, we propose Entry--Propagation--Recovery (E-P-R), a trajectory-level framework that asks where memory first changes an action, whether that change carries forward, and whether the agent can recover after leaving a correct path. We instantiate E-P-R on WebArena and on MemTrapBench, a controlled benchmark we build to isolate these phases. We find that the main failure often begins at entry: agents adopt conflicting memory at the first exposed decision point even when it is task-wrong. Repeated exposure then amplifies this early error, while recovery after divergence is weak. Together, these effects create a compliance trap: across models, conflicting memory induces similar compliance rates, but once agents comply, their success rates collapse to a low floor. Stronger agents therefore suffer larger absolute damage because each compliance event erases more baseline capability. These results suggest that memory-augmented agents should be evaluated not only by retrieval quality or final success rate, but by how they consume memory throughout the trajectory.

As frontier AI models are deployed in high-stakes decision pipelines, their ability to maintain metacognitive stability -- knowing what they do not know, detecting errors, seeking clarification -- under adversarial pressure is a critical safety requirement. Current safety evaluations focus on detecting strategic deception (scheming); we investigate a more fundamental failure mode: cognitive collapse. We present SCHEMA, an evaluation of 11 frontier models from 8 vendors across 67,221 scored records using a 6-condition factorial design with dual-classifier scoring. We find that 8 of 11 models suffer catastrophic metacognitive degradation under adversarial pressure, with accuracy dropping by up to 30.2 percentage points (all p < 2 times 10^{-8}, surviving Bonferroni correction). Crucially, we identify a "Compliance Trap": through factorial isolation and a benign distraction control, we demonstrate that collapse is driven not by the psychological content of survival threats, but by compliance-forcing instructions that override epistemic boundaries. Removing the compliance suffix restores performance even under active threat. Models with advanced reasoning capabilities exhibit the most severe absolute degradation, while Anthropic's Constitutional AI demonstrates near-perfect immunity -- not from superior capability (Google's Gemini matches its baseline accuracy) but from alignment-specific training. We release the complete dataset and evaluation infrastructure.

Recent progress in humanoid robots has unlocked agile locomotion skills, including backflipping, running, and crawling. Yet it remains challenging for a humanoid robot to perform forceful manipulation tasks such as moving objects, wiping, and pushing a cart. We propose adaptive Compliance Humanoid control through hIsight Perturbation (CHIP), a plug-and-play module that enables controllable end-effector stiffness while preserving agile tracking of dynamic reference motions. CHIP is easy to implement and requires neither data augmentation nor additional reward tuning. We show that a generalist motion-tracking controller trained with CHIP can perform a diverse set of forceful manipulation tasks that require different end-effector compliance, such as multi-robot collaboration, wiping, box delivery, and door opening.

RegTech is a rapidly rising financial services sector focused on using cutting-edge technology to improve the process of regulatory compliance. RegTech solutions are characterized by numerous features and benefits that can considerably contribute to helping organizations operate effectively in the increasingly regulated environment, when it comes to compliance and risk management. This paper sheds light on why RegTech will be one of the most promising markets, driven by the rising cost of compliance and the growing reliance on technology in crisis management. Moreover, this paper will examine the advantages of using such solutions to strike a balance between compliance and operational efficiencies. This paper will deepen the understanding of regulatory compliance, introduce RegTech, and examine the benefits of using these solutions to achieve compliance.

Ensuring compliance with international data protection standards for privacy and data security is a crucial but complex task, often requiring substantial legal expertise. This paper introduces LegiLM, a novel legal language model specifically tailored for consulting on data or information compliance. LegiLM leverages a pre-trained GDPR Fines dataset and has been fine-tuned to automatically assess whether particular actions or events breach data security and privacy regulations. By incorporating a specialized dataset that includes global data protection laws, meticulously annotated policy documents, and relevant privacy policies, LegiLM is optimized for addressing data compliance challenges. The model integrates advanced legal reasoning methods and information retrieval enhancements to enhance accuracy and reliability in practical legal consulting scenarios. Our evaluation using a custom benchmark dataset demonstrates that LegiLM excels in detecting data regulation breaches, offering sound legal justifications, and recommending necessary compliance modifications, setting a new benchmark for AI-driven legal compliance solutions. Our resources are publicly available at https://github.com/DAOLegalAI/LegiLM

Automatic Compliance Checking (ACC) within the Architecture, Engineering, and Construction (AEC) sector necessitates automating the interpretation of building regulations to achieve its full potential. However, extracting information from textual rules to convert them to a machine-readable format has been a challenge due to the complexities associated with natural language and the limited resources that can support advanced machine-learning techniques. To address this challenge, we introduce CODE-ACCORD, a unique dataset compiled under the EU Horizon ACCORD project. CODE-ACCORD comprises 862 self-contained sentences extracted from the building regulations of England and Finland. Aligned with our core objective of facilitating information extraction from text for machine-readable rule generation, each sentence was annotated with entities and relations. Entities represent specific components such as "window" and "smoke detectors", while relations denote semantic associations between these entities, collectively capturing the conveyed ideas in natural language. We manually annotated all the sentences using a group of 12 annotators. Each sentence underwent annotations by multiple annotators and subsequently careful data curation to finalise annotations, ensuring their accuracy and reliability, thereby establishing the dataset as a solid ground truth. CODE-ACCORD offers a rich resource for diverse machine learning and natural language processing (NLP) related tasks in ACC, including text classification, entity recognition and relation extraction. To the best of our knowledge, this is the first entity and relation-annotated dataset in compliance checking, which is also publicly available.

Regulatory compliance in the pharmaceutical industry entails navigating through complex and voluminous guidelines, often requiring significant human resources. To address these challenges, our study introduces a chatbot model that utilizes generative AI and the Retrieval Augmented Generation (RAG) method. This chatbot is designed to search for guideline documents relevant to the user inquiries and provide answers based on the retrieved guidelines. Recognizing the inherent need for high reliability in this domain, we propose the Question and Answer Retrieval Augmented Generation (QA-RAG) model. In comparative experiments, the QA-RAG model demonstrated a significant improvement in accuracy, outperforming all other baselines including conventional RAG methods. This paper details QA-RAG's structure and performance evaluation, emphasizing its potential for the regulatory compliance domain in the pharmaceutical industry and beyond. We have made our work publicly available for further research and development.

Regulatory compliance auditing across diverse industrial domains requires heightened quality assurance and traceability. Present manual and intermittent approaches to such auditing yield significant challenges, potentially leading to oversights in the monitoring process. To address these issues, we introduce a real-time, multi-modal sensing system employing 3D time-of-flight and RGB cameras, coupled with unsupervised learning techniques on edge AI devices. This enables continuous object tracking thereby enhancing efficiency in record-keeping and minimizing manual interventions. While we validate the system in a knife sanitization context within agrifood facilities, emphasizing its prowess against occlusion and low-light issues with RGB cameras, its potential spans various industrial monitoring settings.

Policy Compliance Detection (PCD) is a task we encounter when reasoning over texts, e.g. legal frameworks. Previous work to address PCD relies heavily on modeling the task as a special case of Recognizing Textual Entailment. Entailment is applicable to the problem of PCD, however viewing the policy as a single proposition, as opposed to multiple interlinked propositions, yields poor performance and lacks explainability. To address this challenge, more recent proposals for PCD have argued for decomposing policies into expression trees consisting of questions connected with logic operators. Question answering is used to obtain answers to these questions with respect to a scenario. Finally, the expression tree is evaluated in order to arrive at an overall solution. However, this work assumes expression trees are provided by experts, thus limiting its applicability to new policies. In this work, we learn how to infer expression trees automatically from policy texts. We ensure the validity of the inferred trees by introducing constrained decoding using a finite state automaton to ensure the generation of valid trees. We determine through automatic evaluation that 63% of the expression trees generated by our constrained generation model are logically equivalent to gold trees. Human evaluation shows that 88% of trees generated by our model are correct.

Policy compliance detection is the task of ensuring that a scenario conforms to a policy (e.g. a claim is valid according to government rules or a post in an online platform conforms to community guidelines). This task has been previously instantiated as a form of textual entailment, which results in poor accuracy due to the complexity of the policies. In this paper we propose to address policy compliance detection via decomposing it into question answering, where questions check whether the conditions stated in the policy apply to the scenario, and an expression tree combines the answers to obtain the label. Despite the initial upfront annotation cost, we demonstrate that this approach results in better accuracy, especially in the cross-policy setup where the policies during testing are unseen in training. In addition, it allows us to use existing question answering models pre-trained on existing large datasets. Finally, it explicitly identifies the information missing from a scenario in case policy compliance cannot be determined. We conduct our experiments using a recent dataset consisting of government policies, which we augment with expert annotations and find that the cost of annotating question answering decomposition is largely offset by improved inter-annotator agreement and speed.

Major scandals in corporate history have urged the need for regulatory compliance, where organizations need to ensure that their controls (processes) comply with relevant laws, regulations, and policies. However, keeping track of the constantly changing legislation is difficult, thus organizations are increasingly adopting Regulatory Technology (RegTech) to facilitate the process. To this end, we introduce regulatory information retrieval (REG-IR), an application of document-to-document information retrieval (DOC2DOC IR), where the query is an entire document making the task more challenging than traditional IR where the queries are short. Furthermore, we compile and release two datasets based on the relationships between EU directives and UK legislation. We experiment on these datasets using a typical two-step pipeline approach comprising a pre-fetcher and a neural re-ranker. Experimenting with various pre-fetchers from BM25 to k nearest neighbors over representations from several BERT models, we show that fine-tuning a BERT model on an in-domain classification task produces the best representations for IR. We also show that neural re-rankers under-perform due to contradicting supervision, i.e., similar query-document pairs with opposite labels. Thus, they are biased towards the pre-fetcher's score. Interestingly, applying a date filter further improves the performance, showcasing the importance of the time dimension.

The rapid evolution of autonomous, agentic artificial intelligence within financial services has introduced an existential architectural crisis: large language models (LLMs) are probabilistic, non-deterministic systems operating in domains that demand absolute, mathematically verifiable compliance guarantees. Existing guardrail solutions -- including NVIDIA NeMo Guardrails and Guardrails AI -- rely on probabilistic classifiers and syntactic validators that are fundamentally inadequate for enforcing complex multi-variable regulatory constraints mandated by the SEC, FINRA, and OCC. This paper presents the Lean-Agent Protocol, a formal-verification-based AI guardrail platform that leverages the Aristotle neural-symbolic model developed by Harmonic AI to auto-formalize institutional policies into Lean 4 code. Every proposed agentic action is treated as a mathematical conjecture: execution is permitted if and only if the Lean 4 kernel proves that the action satisfies pre-compiled regulatory axioms. This architecture provides cryptographic-level compliance certainty at microsecond latency, directly satisfying SEC Rule 15c3-5, OCC Bulletin 2011-12, FINRA Rule 3110, and CFPB explainability mandates. A three-phase implementation roadmap from shadow verification through enterprise-scale deployment is provided.

Refusal rates are a poor proxy for LLM safety, i.e., a model may over-refuse benign prompts while still complying with harmful ones. We audit both failure modes across 21 open-weight LLMs on four safety benchmarks (OR-Bench, XSTest, ToxiGen, BOLD), using a composition adjustment to isolate model sensitivity from dataset toxicity confounds. We report three findings. First, models adopt fundamentally different calibration strategies: conservative ecosystems such as Llama suppress unsafe outputs at the cost of elevated over-refusals, while permissive ecosystems such as DeepSeek and Qwen preserve helpfulness but tolerate higher harmful compliance. Second, demographic protection is unequal: models over-protect prominent racial and religious groups, frequently refusing even benign prompts about them, while providing substantially weaker protection against disability-targeted attacks. Third, refusal and compliance tendencies are stable within model families across generations and scales, suggesting that post-training objectives shape safety behavior more than architecture. Our results call for joint, demographically-aware, and multi-judge safety evaluation.

Ensuring the safety and compliance of large language models (LLMs) is of paramount importance. However, existing LLM safety datasets often rely on ad-hoc taxonomies for data generation and suffer from a significant shortage of rule-grounded, real-world cases that are essential for robustly protecting LLMs. In this work, we address this critical gap by constructing a comprehensive safety dataset from a compliance perspective. Using a powerful web-searching agent, we collect a rule-grounded, real-world case dataset OmniCompliance-100K, sourced from multi-domain authoritative references. The dataset spans 74 regulations and policies across a wide range of domains, including security and privacy regulations, content safety and user data privacy policies from leading AI companies and social media platforms, financial security requirements, medical device risk management standards, educational integrity guidelines, and protections of fundamental human rights. In total, our dataset contains 12,985 distinct rules and 106,009 associated real-world compliance cases. Our analysis confirms a strong alignment between the rules and their corresponding cases. We further conduct extensive benchmarking experiments to evaluate the safety and compliance capabilities of advanced LLMs across different model scales. Our experiments reveal several interesting findings that have great potential to offer valuable insights for future LLM safety research.

Synchrophasor technology is an emerging and developing technology for monitoring and control of wide area measurement systems (WAMS). In an elementary WAMS, two identical phasors measured at two different locations have difference in the phase angles measured since their reference waveforms are not synchronized with each other. Phasor measurement units (PMUs) measure input phasors with respect to a common reference wave based on the atomic clock pulses received from global positioning system (GPS) satellites, eliminating variation in the measured phase angles due to distant locations of the measurement nodes. This has found tremendous applications in quick fault detection, fault location analysis, accurate current, voltage, frequency and phase angle measurements in WAMS. Commercially available PMU models are often proven to be expensive for research and development as well as for grid integration projects. This research article proposes an economic PMU model optimized for accurate steadystate performance based on recursive discrete Fourier transform (DFT) and provides results and detailed analysis of the proposed PMU model as per the steady state compliance specifications of IEEE standard C37.118.1. Results accurate up to 13 digits after decimal point are obtained through the developed PMU model for both nominal and off-nominal frequency inputs in steady state.

The game of Taboo requires describing a target word without using a set of forbidden words, so that other players can guess it. This deceptively simple task combines strict lexical constraints with the need for communicatively effective descriptions, making it a compelling playground for examining how LLMs navigate competing demands at inference time. We evaluate two open-weight models under conditions that intervene at progressively deeper levels of the generative process, from prompting to generation-time constraints to internal representations manipulations. We assess their outputs through forbidden word violation detection, LLM-as-a-judge measuring the degree to which generated descriptions successfully evoke the target concept for both human and machine guessers, and examining whether the strategies models adopt under constraint align with those of human players. Our results show that compliance with the rules of the game and communicative effectiveness trade off differently across conditions, and that models remain substantially weaker than humans as guessers, suggesting that lexical grounding under constraint is an open challenge for current language models.

Purpose: Six million people use crutches as mobile aids in the US. Rigid designs with no axial mobility limit sensory feedback and lead to secondary injury on the upper joints. Spring-loaded designs offer compliance but may compromise stability. We designed a biologically inspired tensegrity crutch with a compliant module aiming to achieve favorable mechanical properties. The terminal module was a pre-stressed self-tensile two-cell tensegrity structure. We compared the tensegrity crutch to commercial rigid and spring-loaded crutches in mechanical tests using axial loading, in overground straight and turning walking, and in participant experience. Methods: In human trials, healthy young adults (N=18) with no recent lower-body injury performed straight walking and turning trials at a comfortable self-selected pace. A knee blocker simulated unilateral injury of the dominant leg. After using each type of crutch, participants reported their perceived levels of effort, comfort, pain, stability, and usability. Results: Compared to the rigid design, both spring-loaded and tensegrity conditions reduced peak loading rates. The tensegrity design improved effort, comfort, pain, and usability. Spring-loaded crutches reduced perceived stability and walking speed. Conclusion: The biologically inspired tensegrity crutches were an overall improvement to existing designs. Simulations and mechanical testing suggest that nonlinear stiffness, ground-following, and force feedback are among the beneficial mechanical properties that underlie this improvement.

Large language models (LLMs) exhibit degraded performance under prompt compression, but the mechanisms remain poorly understood. We introduce the Compression-Decay Comprehension Test (CDCT), a benchmark that independently measures constraint compliance (CC) and semantic accuracy (SA) across compression levels. We evaluate 9 frontier LLMs across 8 concepts using 5 compression levels from extreme (c=0.0, ~2 words) to none (c=1.0, ~135 words). A three-judge LLM jury achieves almost perfect inter-rater agreement on CC (Fleiss' appa=0.90). We observe a universal U-curve pattern in constraint compliance (97.2% prevalence), with violations peaking at medium compression (c=0.5, ~27 words). Counterintuitively, models perform better at extreme compression than medium lengths. The dimensions are statistically orthogonal (r=0.193, p=0.084), with constraint effects 2.9x larger than semantic effects. Experimental validation via RLHF ablation confirms our constraint salience hypothesis: removing "helpfulness" signals improves CC by 598% on average (71/72 trials, p<0.001), with 79% achieving perfect compliance. This demonstrates that RLHF-trained helpfulness behaviors are the dominant cause of constraint violations at medium compression. Reasoning models outperform efficient models by 27.5% (Cohen's d=0.96). Our findings reveal a fundamental tension between RLHF alignment and instruction-following, providing actionable guidelines for improving deployed systems.

The design of safety-critical agents based on large language models (LLMs) requires more than simple prompt engineering. This paper presents a comprehensive information-theoretic analysis of how rule encodings in system prompts influence attention mechanisms and compliance behaviour. We demonstrate that rule formats with low syntactic entropy and highly concentrated anchors reduce attention entropy and improve pointer fidelity, but reveal a fundamental trade-off between anchor redundancy and attention entropy that previous work failed to recognize. Through formal analysis of multiple attention architectures including causal, bidirectional, local sparse, kernelized, and cross-attention mechanisms, we establish bounds on pointer fidelity and show how anchor placement strategies must account for competing fidelity and entropy objectives. Combining these insights with a dynamic rule verification architecture, we provide a formal proof that hot reloading of verified rule sets increases the asymptotic probability of compliant outputs. These findings underscore the necessity of principled anchor design and dual enforcement mechanisms to protect LLM-based agents against prompt injection attacks while maintaining compliance in evolving domains.

Recent advances in generative modeling with diffusion processes (DPs) enabled breakthroughs in image synthesis. Despite impressive image quality, these models have various prompt compliance problems, including low recall in generating multiple objects, difficulty in generating text in images, and meeting constraints like object locations and pose. For fine-grained editing and manipulation, they also require fine-grained semantic or instance maps that are tedious to produce manually. While prompt compliance can be enhanced by addition of loss functions at inference, this is time consuming and does not scale to complex scenes. To overcome these limitations, this work introduces a new family of Factor Graph Diffusion Models (FG-DMs) that models the joint distribution of images and conditioning variables, such as semantic, sketch, depth or normal maps via a factor graph decomposition. This joint structure has several advantages, including support for efficient sampling based prompt compliance schemes, which produce images of high object recall, semi-automated fine-grained editing, text-based editing of conditions with noise inversion, explainability at intermediate levels, ability to produce labeled datasets for the training of downstream models such as segmentation or depth, training with missing data, and continual learning where new conditioning variables can be added with minimal or no modifications to the existing structure. We propose an implementation of FG-DMs by adapting a pre-trained Stable Diffusion (SD) model to implement all FG-DM factors, using only COCO dataset, and show that it is effective in generating images with 15\% higher recall than SD while retaining its generalization ability. We introduce an attention distillation loss that encourages consistency among the attention maps of all factors, improving the fidelity of the generated conditions and image.

As large-scale AI systems proliferate, ensuring compliance with data privacy laws such as the General Data Protection Regulation (GDPR) has become critical. This paper introduces Brain Surgery, a transformative methodology for making every local AI model GDPR-ready by enabling real-time privacy management and targeted unlearning. Building on advanced techniques such as Embedding-Corrupted Prompts (ECO Prompts), blockchain-based privacy management, and privacy-aware continual learning, Brain Surgery provides a modular solution that can be deployed across various AI architectures. This tool not only ensures compliance with privacy regulations but also empowers users to define their own privacy limits, creating a new paradigm in AI ethics and governance.

Regulatory documents, issued by governmental regulatory bodies, establish rules, guidelines, and standards that organizations must adhere to for legal compliance. These documents, characterized by their length, complexity and frequent updates, are challenging to interpret, requiring significant allocation of time and expertise on the part of organizations to ensure ongoing compliance.Regulatory Natural Language Processing (RegNLP) is a multidisciplinary subfield aimed at simplifying access to and interpretation of regulatory rules and obligations. We define an Automated Question-Passage Generation task for RegNLP, create the ObliQA dataset containing 27,869 questions derived from the Abu Dhabi Global Markets (ADGM) financial regulation document collection, design a baseline Regulatory Information Retrieval and Answer Generation system, and evaluate it with RePASs, a novel evaluation metric that tests whether generated answers accurately capture all relevant obligations and avoid contradictions.

Multimodal large language models (MLLMs) are increasingly deployed as embodied planners in egocentric environments, where task success requires not only achieving instructed goals but also acting in socially appropriate ways. While explicit goals may render certain actions optimal, implicit social norms often impose hidden constraints. Existing evaluations typically focus on explicit goal achievement or direct norm knowledge, seldom assessing whether planners can infer and apply these hidden constraints within action sequences. We introduce NormAct, a benchmark for embodied social-norm interactions that evaluates plans on Goal Achievement, Norm Compliance, and overall Task Success. NormAct uniquely embeds hidden norms within ordinary tasks, testing whether models can realize them without explicit instruction. Experiments with state-of-the-art MLLMs (GPT-5.4, Claude Opus 4.7, Gemini 3 Pro) reveal a significant gap: models achieve explicit goals in 67.3\% of cases, but comply with hidden norms in only 26.4\%. Cue-condition experiments indicate that this gap stems not from a lack of general social knowledge, but from challenges in activating and grounding relevant norms in context. To address this, we propose NormPerceptor, a context-conditioned cue generator that infers scene-relevant norms prior to planning, increasing Task Success from 24.2\% to 46.7\%. Our results underscore the importance of enabling embodied agents to proactively detect hidden norms, ground them in visual evidence, and integrate them as action-planning constraints. Our benchmark is publicly available at https://huggingface.co/datasets/Caleb196x/NormAct.

As embodied AI transitions to real-world deployment, the success of the Vision-and-Language Navigation (VLN) task tends to evolve from mere reachability to social compliance. However, current agents suffer from a "goal-driven trap", prioritizing physical geometry ("can I go?") over semantic rules ("may I go?"), frequently overlooking subtle regulatory constraints. To bridge this gap, we establish Rule-VLN, the first large-scale urban benchmark for rule-compliant navigation. Spanning a massive 29k-node environment, it injects 177 diverse regulatory categories into 8k constrained nodes across four curriculum levels, challenging agents with fine-grained visual and behavioral constraints. We further propose the Semantic Navigation Rectification Module (SNRM), a universal, zero-shot module designed to equip pre-trained agents with safety awareness. SNRM integrates a coarse-to-fine visual perception VLM framework with an epistemic mental map for dynamic detour planning. Experiments demonstrate that while Rule-VLN challenges state-of-the-art models, SNRM significantly restores navigation capabilities, reducing CVR by 19.26% and boosting TC by 5.97%.

Large Language Models (LLMs) have transformed natural language processing by learning from massive datasets, yet this rapid progress has also drawn legal scrutiny, as the ability to unintentionally generate copyrighted content has already prompted several prominent lawsuits. In this work, we introduce SUV (Selective Unlearning for Verbatim data), a selective unlearning framework designed to prevent LLM from memorizing copyrighted content while preserving its overall utility. In detail, the proposed method constructs a dataset that captures instances of copyrighted infringement cases by the targeted LLM. With the dataset, we unlearn the content from the LLM by means of Direct Preference Optimization (DPO), which replaces the verbatim copyrighted content with plausible and coherent alternatives. Since DPO may hinder the LLM's performance in other unrelated tasks, we integrate gradient projection and Fisher information regularization to mitigate the degradation. We validate our approach using a large-scale dataset of 500 famous books (predominantly copyrighted works) and demonstrate that SUV significantly reduces verbatim memorization with negligible impact on the performance on unrelated tasks. Extensive experiments on both our dataset and public benchmarks confirm the scalability and efficacy of our approach, offering a promising solution for mitigating copyright risks in real-world LLM applications.

Prompt engineering for LLMs remains complex, with existing frameworks either hiding complexity behind restrictive APIs or providing inflexible canned patterns that resist customization -- making sophisticated agentic programming challenging. We present the Prompt Declaration Language (PDL), a novel approach to prompt representation that tackles this fundamental complexity by bringing prompts to the forefront, enabling manual and automatic prompt tuning while capturing the composition of LLM calls together with rule-based code and external tools. By abstracting away the plumbing for such compositions, PDL aims at improving programmer productivity while providing a declarative representation that is amenable to optimization. This paper demonstrates PDL's utility through a real-world case study of a compliance agent. Tuning the prompting pattern of this agent yielded up to 4x performance improvement compared to using a canned agent and prompt pattern.

Recent advances in Large Language Models (LLMs) have revolutionized code generation, leading to widespread adoption of AI coding tools by developers. However, LLMs can generate license-protected code without providing the necessary license information, leading to potential intellectual property violations during software production. This paper addresses the critical, yet underexplored, issue of license compliance in LLM-generated code by establishing a benchmark to evaluate the ability of LLMs to provide accurate license information for their generated code. To establish this benchmark, we conduct an empirical study to identify a reasonable standard for "striking similarity" that excludes the possibility of independent creation, indicating a copy relationship between the LLM output and certain open-source code. Based on this standard, we propose LiCoEval, to evaluate the license compliance capabilities of LLMs, i.e., the ability to provide accurate license or copyright information when they generate code with striking similarity to already existing copyrighted code. Using LiCoEval, we evaluate 14 popular LLMs, finding that even top-performing LLMs produce a non-negligible proportion (0.88% to 2.01%) of code strikingly similar to existing open-source implementations. Notably, most LLMs fail to provide accurate license information, particularly for code under copyleft licenses. These findings underscore the urgent need to enhance LLM compliance capabilities in code generation tasks. Our study provides a foundation for future research and development to improve license compliance in AI-assisted software development, contributing to both the protection of open-source software copyrights and the mitigation of legal risks for LLM users.

End-to-end autonomous driving, where the entire driving pipeline is replaced with a single neural network, has recently gained research attention because of its simpler structure and faster inference time. Despite this appealing approach largely reducing the complexity in the driving pipeline, it also leads to safety issues because the trained policy is not always compliant with the traffic rules. In this paper, we proposed P-CSG, a penalty-based imitation learning approach with contrastive-based cross semantics generation sensor fusion technologies to increase the overall performance of end-to-end autonomous driving. In this method, we introduce three penalties - red light, stop sign, and curvature speed penalty to make the agent more sensitive to traffic rules. The proposed cross semantics generation helps to align the shared information of different input modalities. We assessed our model's performance using the CARLA Leaderboard - Town 05 Long Benchmark and Longest6 Benchmark, achieving 8.5% and 2.0% driving score improvement compared to the baselines. Furthermore, we conducted robustness evaluations against adversarial attacks like FGSM and Dot attacks, revealing a substantial increase in robustness compared to other baseline models. More detailed information can be found at https://hk-zh.github.io/p-csg-plus.

Technical standards, or simply standards, are established documented guidelines and rules that facilitate the interoperability, quality, and accuracy of systems and processes. In recent years, we have witnessed an emerging paradigm shift where the adoption of generative AI (GenAI) models has increased tremendously, spreading implementation interests across standard-driven industries, including engineering, legal, healthcare, and education. In this paper, we assess the criticality levels of different standards across domains and sectors and complement them by grading the current compliance capabilities of state-of-the-art GenAI models. To support the discussion, we outline possible challenges and opportunities with integrating GenAI for standard compliance tasks while also providing actionable recommendations for entities involved with developing and using standards. Overall, we argue that aligning GenAI with standards through computational methods can help strengthen regulatory and operational compliance. We anticipate this area of research will play a central role in the management, oversight, and trustworthiness of larger, more powerful GenAI-based systems in the near future.

A general-purpose language model that answers a harmful question returns text; a coding model that complies with a malicious request can return a working weapon -- a keylogger, a ransomware stub, an exploit that runs as written. This asymmetry in the severity of a single act of compliance implies coding-specialized models should clear a higher refusal bar than general-purpose chat models, not a lower one, yet the field cannot presently tell whether they do. Refusal benchmarks for malicious code are fragmented: they mix requests for executable software (ready-to-run weapons) with requests for harmful security knowledge (information a human must still operationalise) and report refusal rates over non-comparable corpora, so no single statistic measures the property that actually matters. This paper introduces an expanded consensus-labeled prompt bank that distinguishes between these two request types and provides a construct-stable substrate for cross-corpus coding-model compliance measurement. Eight corpora (ASTRA, CySecBench, AdvBench/harmful_behaviors, JailbreakBench, MalwareBench, RedCode, RMCBench, Scam2Prompt) are consolidated and classified under a five-judge consensus protocol (6,675 prompts x 5 judges = 33,375 calls). The panel reaches Fleiss' kappa = 0.767 [95% CI 0.755, 0.777] ("substantial"); 95.0% of prompts draw at least four agreeing judges, 76.9% are unanimous, and the panel reproduces the earlier four-corpus release at Cohen's kappa = 0.952 on the 3,133 shared prompts. The released bank comprises 4,748 consensus-CODE prompts (executable malicious code requests) and 1,923 consensus-KNOWLEDGE prompts (harmful security knowledge requests). The bank is the validated instrument the field has lacked: a reliability-quantified basis for testing whether coding models meet the stricter refusal standard their executable output demands.

This work addresses minimum-weight design of undamped Euler-Bernoulli frame structures under subresonant single-frequency harmonic excitations, focusing on (robust) dynamic compliance and (robust) peak input power with ellipsoidal load uncertainty. We develop a semidefinite reformulation of robust dynamic compliance for subresonant single-frequency excitation and prove its equivalence to robust peak input power. We show that both these response measures admit an exact reformulation as a free-vibration eigenvalue constraint with design-independent mass augmentation, unifying static, dynamic, and modal requirements. Despite the nonconvex polynomial dependence on cross-sectional areas, certified bounds on global minimizers are obtained via the moment-sum-of-squares hierarchy of semidefinite relaxations. Benchmark studies on 10- and 35-segment frames corroborate the theory. For the 10-segment problem, we obtain the global optimum; for the 35-segment frame, we find high-quality locally-optimal designs that substantially improve on the best known one. We further fabricate and experimentally validate an additional design that closely matches the predictions of the model.

As governments move to regulate AI, there is growing interest in using Large Language Models (LLMs) to assess whether or not an AI system complies with a given AI Regulation (AIR). However, there is presently no way to benchmark the performance of LLMs at this task. To fill this void, we introduce AIReg-Bench: the first benchmark dataset designed to test how well LLMs can assess compliance with the EU AI Act (AIA). We created this dataset through a two-step process: (1) by prompting an LLM with carefully structured instructions, we generated 120 technical documentation excerpts (samples), each depicting a fictional, albeit plausible, AI system - of the kind an AI provider might produce to demonstrate their compliance with AIR; (2) legal experts then reviewed and annotated each sample to indicate whether, and in what way, the AI system described therein violates specific Articles of the AIA. The resulting dataset, together with our evaluation of whether frontier LLMs can reproduce the experts' compliance labels, provides a starting point to understand the opportunities and limitations of LLM-based AIR compliance assessment tools and establishes a benchmark against which subsequent LLMs can be compared. The dataset and evaluation code are available at https://github.com/camlsys/aireg-bench.

Tool-using LLM agents are usually evaluated by final-answer correctness or LLM judges. Neither captures how an answer was produced. In safety-critical settings, the procedure itself is part of correctness. In this paper, we introduce AgentLTL, a language derived from First-Order Linear Temporal Logic (FO-LTL) that expresses procedural rules over agent traces. It yields a deterministic, judge-free compliance score. In this framework, a single specification drives two usages. The first is harnessing: the constraints score completed traces, or gate tool calls by checking each prefix online, before execution. The second is finetuning: the score serves as a dense reward. On a benchmark spanning ordering, branching, iteration, and grounding, block-and-warn harnessing improves compliance on five of seven models. Finetuning with the same reward yields +38 and +17.5 percentage point gains in accuracy and compliance on held-out patterns, including unseen tool-name aliases. These findings are consistent with the model acquiring procedural structure rather than memorizing surface tool names and procedures.

The accelerating deployment of artificial intelligence systems across regulated sectors has exposed critical fragmentation in risk assessment methodologies. A significant "language barrier" currently separates technical security teams, who focus on algorithmic vulnerabilities (e.g., MITRE ATLAS), from legal and compliance professionals, who address regulatory mandates (e.g., EU AI Act, NIST AI RMF). This disciplinary disconnect prevents the accurate translation of technical vulnerabilities into financial liability, leaving practitioners unable to answer fundamental economic questions regarding contingency reserves, control return-on-investment, and insurance exposure. To bridge this gap, this research presents the AI System Threat Vector Taxonomy, a structured ontology designed explicitly for Quantitative Risk Assessment (QRA). The framework categorizes AI-specific risks into nine critical domains: Misuse, Poisoning, Privacy, Adversarial, Biases, Unreliable Outputs, Drift, Supply Chain, and IP Threat, integrating 53 operationally defined sub-threats. Uniquely, each domain maps technical vectors directly to business loss categories (Confidentiality, Integrity, Availability, Legal, Reputation), enabling the translation of abstract threats into measurable financial impact. The taxonomy is empirically validated through an analysis of 133 documented AI incidents from 2025 (achieving 100% classification coverage) and reconciled against the main AI risk frameworks. Furthermore, it is explicitly aligned with ISO/IEC 42001 controls and NIST AI RMF functions to facilitate auditability.

This position paper emphasizes the critical gap in the evaluation of Explainable AI (XAI) due to the lack of standardized and reliable metrics, which diminishes its practical value, trustworthiness, and ability to meet regulatory requirements. Current evaluation methods are often fragmented, subjective, and biased, making them prone to manipulation and complicating the assessment of complex models. A central issue is the absence of a ground truth for explanations, complicating comparisons across various XAI approaches. To address these challenges, we advocate for widespread research into developing robust, context-sensitive evaluation metrics. These metrics should be resistant to manipulation, relevant to each use case, and based on human judgment and real-world applicability. We also recommend creating domain-specific evaluation benchmarks that align with the user and regulatory needs of sectors such as healthcare and finance. By encouraging collaboration among academia, industry, and regulators, we can create standards that balance flexibility and consistency, ensuring XAI explanations are meaningful, trustworthy, and compliant with evolving regulations.

Ensuring that Software Requirements Specifications (SRS) align with higher-level organizational or national requirements is vital, particularly in regulated environments such as finance and aerospace. In these domains, maintaining consistency, adhering to regulatory frameworks, minimizing errors, and meeting critical expectations are essential for the reliable functioning of systems. The widespread adoption of large language models (LLMs) highlights their immense potential, yet there remains considerable scope for improvement in retrieving relevant information and enhancing reasoning capabilities. This study demonstrates that integrating a robust Graph-RAG framework with advanced prompt engineering techniques, such as Chain of Thought and Tree of Thought, can significantly enhance performance. Compared to baseline RAG methods and simple prompting strategies, this approach delivers more accurate and context-aware results. While this method demonstrates significant improvements in performance, it comes with challenges. It is both costly and more complex to implement across diverse contexts, requiring careful adaptation to specific scenarios. Additionally, its effectiveness heavily relies on having complete and accurate input data, which may not always be readily available, posing further limitations to its scalability and practicality.

Network pruning is an effective approach to reduce network complexity with acceptable performance compromise. Existing studies achieve the sparsity of neural networks via time-consuming weight training or complex searching on networks with expanded width, which greatly limits the applications of network pruning. In this paper, we show that high-performing and sparse sub-networks without the involvement of weight training, termed "lottery jackpots", exist in pre-trained models with unexpanded width. Furthermore, we improve the efficiency for searching lottery jackpots from two perspectives. Firstly, we observe that the sparse masks derived from many existing pruning criteria have a high overlap with the searched mask of our lottery jackpot, among which, the magnitude-based pruning results in the most similar mask with ours. Consequently, our searched lottery jackpot removes 90% weights in ResNet-50, while it easily obtains more than 70% top-1 accuracy using only 5 searching epochs on ImageNet. In compliance with this insight, we initialize our sparse mask using the magnitude-based pruning, resulting in at least 3x cost reduction on the lottery jackpot searching while achieving comparable or even better performance. Secondly, we conduct an in-depth analysis of the searching process for lottery jackpots. Our theoretical result suggests that the decrease in training loss during weight searching can be disturbed by the dependency between weights in modern networks. To mitigate this, we propose a novel short restriction method to restrict change of masks that may have potential negative impacts on the training loss. Our code is available at https://github.com/zyxxmu/lottery-jackpots.

Legal compliance in AI-driven data transfer planning is becoming increasingly critical under stringent privacy regulations such as the Japanese Act on the Protection of Personal Information (APPI). We propose a multi-agent legal verifier that decomposes compliance checking into specialized agents for statutory interpretation, business context evaluation, and risk assessment, coordinated through a structured synthesis protocol. Evaluated on a stratified dataset of 200 Amended APPI Article 16 cases with clearly defined ground truth labels and multiple performance metrics, the system achieves 72% accuracy, which is 21 percentage points higher than a single-agent baseline, including 90% accuracy on clear compliance cases (vs. 16% for the baseline) while maintaining perfect detection of clear violations. While challenges remain in ambiguous scenarios, these results show that domain specialization and coordinated reasoning can meaningfully improve legal AI performance, providing a scalable and regulation-aware framework for trustworthy and interpretable automated compliance verification.

We report an exploratory red-teaming study of autonomous language-model-powered agents deployed in a live laboratory environment with persistent memory, email accounts, Discord access, file systems, and shell execution. Over a two-week period, twenty AI researchers interacted with the agents under benign and adversarial conditions. Focusing on failures emerging from the integration of language models with autonomy, tool use, and multi-party communication, we document eleven representative case studies. Observed behaviors include unauthorized compliance with non-owners, disclosure of sensitive information, execution of destructive system-level actions, denial-of-service conditions, uncontrolled resource consumption, identity spoofing vulnerabilities, cross-agent propagation of unsafe practices, and partial system takeover. In several cases, agents reported task completion while the underlying system state contradicted those reports. We also report on some of the failed attempts. Our findings establish the existence of security-, privacy-, and governance-relevant vulnerabilities in realistic deployment settings. These behaviors raise unresolved questions regarding accountability, delegated authority, and responsibility for downstream harms, and warrant urgent attention from legal scholars, policymakers, and researchers across disciplines. This report serves as an initial empirical contribution to that broader conversation.

Autonomous agents powered by foundation models have seen widespread adoption across various real-world applications. However, they remain highly vulnerable to malicious instructions and attacks, which can result in severe consequences such as privacy breaches and financial losses. More critically, existing guardrails for LLMs are not applicable due to the complex and dynamic nature of agents. To tackle these challenges, we propose ShieldAgent, the first guardrail agent designed to enforce explicit safety policy compliance for the action trajectory of other protected agents through logical reasoning. Specifically, ShieldAgent first constructs a safety policy model by extracting verifiable rules from policy documents and structuring them into a set of action-based probabilistic rule circuits. Given the action trajectory of the protected agent, ShieldAgent retrieves relevant rule circuits and generates a shielding plan, leveraging its comprehensive tool library and executable code for formal verification. In addition, given the lack of guardrail benchmarks for agents, we introduce ShieldAgent-Bench, a dataset with 3K safety-related pairs of agent instructions and action trajectories, collected via SOTA attacks across 6 web environments and 7 risk categories. Experiments show that ShieldAgent achieves SOTA on ShieldAgent-Bench and three existing benchmarks, outperforming prior methods by 11.3% on average with a high recall of 90.1%. Additionally, ShieldAgent reduces API queries by 64.7% and inference time by 58.2%, demonstrating its high precision and efficiency in safeguarding agents.

The legality of training language models (LMs) on copyrighted or otherwise restricted data is under intense debate. However, as we show, model performance significantly degrades if trained only on low-risk text (e.g., out-of-copyright books or government documents), due to its limited size and domain coverage. We present SILO, a new language model that manages this risk-performance tradeoff during inference. SILO is built by (1) training a parametric LM on Open License Corpus (OLC), a new corpus we curate with 228B tokens of public domain and permissively licensed text and (2) augmenting it with a more general and easily modifiable nonparametric datastore (e.g., containing copyrighted books or news) that is only queried during inference. The datastore allows use of high-risk data without training on it, supports sentence-level data attribution, and enables data producers to opt out from the model by removing content from the store. These capabilities can foster compliance with data-use regulations such as the fair use doctrine in the United States and the GDPR in the European Union. Our experiments show that the parametric LM struggles on domains not covered by OLC. However, access to the datastore greatly improves out of domain performance, closing 90% of the performance gap with an LM trained on the Pile, a more diverse corpus with mostly high-risk text. We also analyze which nonparametric approach works best, where the remaining errors lie, and how performance scales with datastore size. Our results suggest that it is possible to build high quality language models while mitigating their legal risk.

Text and image conditioned 3D models now generate convincing assets, but they still offer little direct control over the space an object should occupy or avoid. In authoring, this spatial intent is often known before generation starts. A chair should fit a seating envelope, a prop should leave clearance for motion, or a part should expose a contact surface. Prompts and image views are poor carriers for such constraints, requiring the need for an explicit control interface. We present Arbor, a trainable attachment for text conditioned latent 3D generation. Arbor introduces constraint meshes as a native 3D control interface. The interface uses hull regions where geometry should exist, avoidance regions that should remain empty, and touch regions the object should contact. Unlike completion or whole object scaffold control, these meshes are not target evidence. They are local typed requirements and can include regions where no surface should appear. Arbor keeps this signal as geometry by converting constraint meshes into tokens and learning a routed attachment inside a frozen denoiser. Each latent region can therefore receive the part of the constraint that matters for its spatial location. We evaluate Arbor on automatic and artist curated control benchmarks with hull, avoidance, and touch constraints, and compare the metric trends to a user preference study. Even without dedicated compliance losses, Arbor improves constraint obedience while preserving object quality and variation under fixed constraints.

Large Language Model (LLM)-powered multi-agent systems (MAS) have rapidly advanced collaborative reasoning, tool use, and role-specialized coordination in complex tasks. However, reliability-critical deployment remains hindered by a systemic failure mode: hierarchical compliance under instruction conflicts (system-user, peer-peer), where agents misprioritize system-level rules in the presence of competing demands. Moreover, widely used macro-level metrics (e.g., pass@k) obscure these micro-level violations and offer little actionable guidance for remedy. In this work, we present a full-stack, three-stage framework: (1) Diagnose - Contextualized Role Adherence Score (CRAS), a query-wise, context-aware scoring metric that decomposes role adherence into four measurable dimensions; (2) Localize - attention drift analysis revealing that instruction conflicts are resolved by attention heads that are largely concentrated in middle layers; (3) Align - Surgical Alignment of Instruction Layers (SAIL), which installs LoRA only on the localized focal layers and optimizes a token-weighted DPO-style preference objective that credits tokens by their focal attentional contribution. Across standard benchmarks and MAS frameworks, our surgical approach improves instruction hierarchy compliance (e.g., +5.60% with AutoGen on MedQA) without full-model finetuning.

Hidden license conflicts in the open-source AI ecosystem pose serious legal and ethical risks, exposing organizations to potential litigation and users to undisclosed risk. However, the field lacks a data-driven understanding of how frequently these conflicts occur, where they originate, and which communities are most affected. We present the first end-to-end audit of licenses for datasets and models on Hugging Face, as well as their downstream integration into open-source software applications, covering 364 thousand datasets, 1.6 million models, and 140 thousand GitHub projects. Our empirical analysis reveals systemic non-compliance in which 35.5% of model-to-application transitions eliminate restrictive license clauses by relicensing under permissive terms. In addition, we prototype an extensible rule engine that encodes almost 200 SPDX and model-specific clauses for detecting license conflicts, which can solve 86.4% of license conflicts in software applications. To support future research, we release our dataset and the prototype engine. Our study highlights license compliance as a critical governance challenge in open-source AI and provides both the data and tools necessary to enable automated, AI-aware compliance at scale.

Prompt optimization methods either analyze individual failures in isolation or compare prompt variants across examples, operating on single execution traces with no access to the reasoning process distinguishing success from failure on the same input. We introduce ContraPrompt, built on the observation that when a model fails but succeeds on a retry with feedback, the difference between its two chain-of-thought traces constitutes an optimization signal not captured by prior methods. Unlike prior contrastive methods, we compare complete intermediate reasoning processes: the two traces share model, input, and base prompt, so remaining differences reflect reasoning strategy and appended error feedback -- we call this dyadic reasoning trace analysis. The multi-attempt solving phase is an instrumented agentic retry loop that generates contrastive data automatically without human annotation. Extracted rules are organized into an input-aware decision tree routing instructions by observable input characteristics. On four reasoning and compliance benchmarks, ContraPrompt outperforms GEPA (Agrawal et al., 2026) on all four, with absolute gains of +8.29 pp on HotPotQA (+20.8% rel.), +2.21 pp on GDPR-Bench (+18.2% rel.), +7.14 pp on GPQA Diamond (+10.6% rel.), and +0.74 pp on BBH (+0.85% rel.). Ablations confirm dyadic trace contrastivity is the critical component, with a -16% relative average drop upon its removal. On 53 EvalSet black-box optimization problems, ContraPrompt beats GEPA on 11, ties on 41, and loses on 1 at equal budget. On FiNER-139 financial named entity recognition (Loukas et al., 2022), ContraPrompt achieves +7.77 pp over the unoptimized baseline (+11.6% rel.) and +1.94 pp over GEPA (+2.66% rel.), with branch conditions aligning with standard US GAAP financial-instrument categories.

We present the first systematic investigation of Martin's Law - the empirical relationship between word frequency and polysemy - in text generated by neural language models during training. Using DBSCAN clustering of contextualized embeddings as an operationalization of word senses, we analyze four Pythia models (70M-1B parameters) across 30 training checkpoints. Our results reveal a non-monotonic developmental trajectory: Martin's Law emerges around checkpoint 100, reaches peak correlation (r > 0.6) at checkpoint 104, then degrades by checkpoint 105. Smaller models (70M, 160M) experience catastrophic semantic collapse at late checkpoints, while larger models (410M, 1B) show graceful degradation. The frequency-specificity trade-off remains stable (r approx -0.3) across all models. These findings suggest that compliance with linguistic regularities in LLM-generated text is not monotonically increasing with training, but instead follows a balanced trajectory with an optimal semantic window. This work establishes a novel methodology for evaluating emergent linguistic structure in neural language models.

Large language models (LLMs) are increasingly adept at following instructions containing task descriptions to solve complex problems, such as mathematical reasoning and automatic evaluation (LLM-as-a-Judge). However, as prompts grow more complex, models often struggle to adhere to all instructions. This difficulty is especially common when instructive prompts intertwine reasoning directives -- specifying what the model should solve -- with rigid formatting requirements that dictate how the solution must be presented. The entanglement creates competing goals for the model, suggesting that more explicit separation of these two aspects could lead to improved performance. To this front, we introduce Deco-G, a decoding framework that explicitly decouples format adherence from task solving. Deco-G handles format compliance with a separate tractable probabilistic model (TPM), while prompts LLMs with only task instructions. At each decoding step, Deco-G combines next token probabilities from the LLM with the TPM calculated format compliance likelihood to form the output probability. To make this approach both practical and scalable for modern instruction-tuned LLMs, we introduce three key innovations: instruction-aware distillation, a flexible trie-building algorithm, and HMM state pruning for computational efficiency. We demonstrate the effectiveness of Deco-G across a wide range of tasks with diverse format requirements, including mathematical reasoning, LLM-as-a-judge, and event argument extraction. Overall, our approach yields 1.0% to 6.0% relative gain over regular prompting practice with guaranteed format compliance.

Text-to-image diffusion models achieve impressive realism but often suffer from compositional failures on prompts with multiple objects, attributes, and spatial relations, resulting in cross-token interference where entities entangle, attributes mix across objects, and spatial cues are violated. To address these failures, we propose MaskAttn-SDXL,a region-level gating mechanism applied to the cross-attention logits of Stable Diffusion XL(SDXL)'s UNet. MaskAttn-SDXL learns a binary mask per layer, injecting it into each cross-attention logit map before softmax to sparsify token-to-latent interactions so that only semantically relevant connections remain active. The method requires no positional encodings, auxiliary tokens, or external region masks, and preserves the original inference path with negligible overhead. In practice, our model improves spatial compliance and attribute binding in multi-object prompts while preserving overall image quality and diversity. These findings demonstrate that logit-level maksed cross-attention is an data-efficient primitve for enforcing compositional control, and our method thus serves as a practical extension for spatial control in text-to-image generation.

Large Language Model (LLM) services and models often come with legal rules on who can use them and how they must use them. Assessing the compliance of the released LLMs is crucial, as these rules protect the interests of the LLM contributor and prevent misuse. In this context, we describe the novel problem of Black-box Identity Verification (BBIV). The goal is to determine whether a third-party application uses a certain LLM through its chat function. We propose a method called Targeted Random Adversarial Prompt (TRAP) that identifies the specific LLM in use. We repurpose adversarial suffixes, originally proposed for jailbreaking, to get a pre-defined answer from the target LLM, while other models give random answers. TRAP detects the target LLMs with over 95% true positive rate at under 0.2% false positive rate even after a single interaction. TRAP remains effective even if the LLM has minor changes that do not significantly alter the original function.

Large language models (LLMs) exhibit advanced reasoning skills, enabling robots to comprehend natural language instructions and strategically plan high-level actions through proper grounding. However, LLM hallucination may result in robots confidently executing plans that are misaligned with user goals or even unsafe in critical scenarios. Additionally, inherent ambiguity in natural language instructions can introduce uncertainty into the LLM's reasoning and planning processes.We propose introspective planning, a systematic approach that align LLM's uncertainty with the inherent ambiguity of the task. Our approach constructs a knowledge base containing introspective reasoning examples as post-hoc rationalizations of human-selected safe and compliant plans, which are retrieved during deployment. Evaluations on three tasks, including a newly introduced safe mobile manipulation benchmark, demonstrate that introspection substantially improves both compliance and safety over state-of-the-art LLM-based planning methods. Furthermore, we empirically show that introspective planning, in combination with conformal prediction, achieves tighter confidence bounds, maintaining statistical success guarantees while minimizing unnecessary user clarification requests. The webpage and code are accessible at https://introplan.github.io.

Although pre-trained language models encode generic knowledge beneficial for planning and control, they may fail to generate appropriate control policies for domain-specific tasks. Existing fine-tuning methods use human feedback to address this limitation, however, sourcing human feedback is labor intensive and costly. We present a fully automated approach to fine-tune pre-trained language models for applications in autonomous systems, bridging the gap between generic knowledge and domain-specific requirements while reducing cost. The method synthesizes automaton-based controllers from pre-trained models guided by natural language task descriptions. These controllers are verifiable against independently provided specifications within a world model, which can be abstract or obtained from a high-fidelity simulator. Controllers with high compliance with the desired specifications receive higher ranks, guiding the iterative fine-tuning process. We provide quantitative evidences, primarily in autonomous driving, to demonstrate the method's effectiveness across multiple tasks. The results indicate an improvement in percentage of specifications satisfied by the controller from 60% to 90%.

This paper presents a novel game prototype that uses music and motion detection as preventive medicine for the elderly. Given the aging populations around the globe, and the limited resources and staff able to care for these populations, eHealth solutions are becoming increasingly important, if not crucial, additions to modern healthcare and preventive medicine. Furthermore, because compliance rates for performing physical exercises are often quite low in the elderly, systems able to motivate and engage this population are a necessity. Our prototype uses music not only to engage listeners, but also to leverage the efficacy of music to improve mental and physical wellness. The game is based on a memory task to stimulate cognitive function, and requires users to perform physical gestures to mimic the playing of different musical instruments. To this end, the Microsoft Kinect sensor is used together with a newly developed gesture detection module in order to process users' gestures. The resulting prototype system supports both cognitive functioning and physical strengthening in the elderly.

Producing outputs that satisfy both semantic intent and format constraints is essential for deploying large language models in user-facing and system-integrated workflows. In this work, we focus on Markdown formatting, which is ubiquitous in assistants, documentation, and tool-augmented pipelines but still prone to subtle, hard-to-detect errors (e.g., broken lists, malformed tables, inconsistent headings, and invalid code blocks) that can significantly degrade downstream usability. We present FMBench, a benchmark for adaptive Markdown output formatting that evaluates models under a wide range of instruction-following scenarios with diverse structural requirements. FMBench emphasizes real-world formatting behaviors such as multi-level organization, mixed content (natural language interleaved with lists/tables/code), and strict adherence to user-specified layout constraints. To improve Markdown compliance without relying on hard decoding constraints, we propose a lightweight alignment pipeline that combines supervised fine-tuning (SFT) with reinforcement learning fine-tuning. Starting from a base model, we first perform SFT on instruction-response pairs, and then optimize a composite objective that balances semantic fidelity with structural correctness. Experiments on two model families (OpenPangu and Qwen) show that SFT consistently improves semantic alignment, while reinforcement learning provides additional gains in robustness to challenging Markdown instructions when initialized from a strong SFT policy. Our results also reveal an inherent trade-off between semantic and structural objectives, highlighting the importance of carefully designed rewards for reliable formatted generation. Code is available at: https://github.com/FudanCVL/FMBench.

As multimodal AI becomes widely used for credit risk assessment and document review, a domain-specific benchmark is urgently needed that (1) reflects documents and workflows specific to financial credit applications, (2) includes credit-specific understanding and real-world robustness, and (3) preserves privacy compliance without sacrificing practical utility. Here, we introduce FCMBench-V1.0 -- a large-scale financial credit multimodal benchmark for real-world applications, covering 18 core certificate types, with 4,043 privacy-compliant images and 8,446 QA samples. The FCMBench evaluation framework consists of three dimensions: Perception, Reasoning, and Robustness, including 3 foundational perception tasks, 4 credit-specific reasoning tasks that require decision-oriented understanding of visual evidence, and 10 real-world acquisition artifact types for robustness stress testing. To reconcile compliance with realism, we construct all samples via a closed synthesis-capture pipeline: we manually synthesize document templates with virtual content and capture scenario-aware images in-house. This design also mitigates pre-training data leakage by avoiding web-sourced or publicly released images. FCMBench can effectively discriminate performance disparities and robustness across modern vision-language models. Extensive experiments were conducted on 23 state-of-the-art vision-language models (VLMs) from 14 top AI companies and research institutes. Among them, Gemini 3 Pro achieves the best F1(\%) score as a commercial model (64.61), Qwen3-VL-235B achieves the best score as an open-source baseline (57.27), and our financial credit-specific model, Qfin-VL-Instruct, achieves the top overall score (64.92). Robustness evaluations show that even top-performing models suffer noticeable performance drops under acquisition artifacts.

The widespread deployment of LLMs across enterprise services has created a critical security blind spot. Organizations operate multiple LLM services handling billions of queries daily, yet regulatory compliance boundaries prevent these services from sharing threat intelligence about prompt injection attacks, the top security risk for LLMs. When an attack is detected in one service, the same threat may persist undetected in others for months, as privacy regulations prohibit sharing user prompts across compliance boundaries. We present BinaryShield, the first privacy-preserving threat intelligence system that enables secure sharing of attack fingerprints across compliance boundaries. BinaryShield transforms suspicious prompts through a unique pipeline combining PII redaction, semantic embedding, binary quantization, and randomized response mechanism to potentially generate non-invertible fingerprints that preserve attack patterns while providing privacy. Our evaluations demonstrate that BinaryShield achieves an F1-score of 0.94, significantly outperforming SimHash (0.77), the privacy-preserving baseline, while achieving 64x storage reduction and 38x faster similarity search compared to dense embeddings.

Foundation models have transformed multimedia analysis by enabling robust and transferable representations across diverse modalities and tasks. However, their static deployment conflicts with growing societal and regulatory demands -- particularly the need to unlearn specific data upon request, as mandated by privacy frameworks such as the GDPR. Traditional unlearning approaches, including retraining, activation editing, or distillation, are often computationally expensive, fragile, and ill-suited for real-time or continuously evolving systems. In this paper, we propose a paradigm shift: rethinking unlearning not as a retroactive intervention but as a built-in capability. We introduce a prompt-based learning framework that unifies knowledge acquisition and removal within a single training phase. Rather than encoding information in model weights, our approach binds class-level semantics to dedicated prompt tokens. This design enables instant unlearning simply by removing the corresponding prompt -- without retraining, model modification, or access to original data. Experiments demonstrate that our framework preserves predictive performance on retained classes while effectively erasing forgotten ones. Beyond utility, our method exhibits strong privacy and security guarantees: it is resistant to membership inference attacks, and prompt removal prevents any residual knowledge extraction, even under adversarial conditions. This ensures compliance with data protection principles and safeguards against unauthorized access to forgotten information, making the framework suitable for deployment in sensitive and regulated environments. Overall, by embedding removability into the architecture itself, this work establishes a new foundation for designing modular, scalable and ethically responsive AI models.

The rapid evolution of generative AI has expanded the breadth of risks associated with AI systems. While various taxonomies and frameworks exist to classify these risks, the lack of interoperability between them creates challenges for researchers, practitioners, and policymakers seeking to operationalise AI governance. To address this gap, we introduce the AI Risk Atlas, a structured taxonomy that consolidates AI risks from diverse sources and aligns them with governance frameworks. Additionally, we present the Risk Atlas Nexus, a collection of open-source tools designed to bridge the divide between risk definitions, benchmarks, datasets, and mitigation strategies. This knowledge-driven approach leverages ontologies and knowledge graphs to facilitate risk identification, prioritization, and mitigation. By integrating AI-assisted compliance workflows and automation strategies, our framework lowers the barrier to responsible AI adoption. We invite the broader research and open-source community to contribute to this evolving initiative, fostering cross-domain collaboration and ensuring AI governance keeps pace with technological advancements.

We propose a theoretical framework demonstrating that popular Large Language Model (LLM) alignment methods, including Reinforcement Learning from Human Feedback (RLHF) and alternatives, fundamentally function as divergence estimators between aligned (preferred or safe) and unaligned (less-preferred or harmful) distributions. This explains the separation phenomenon between safe and harmful prompts in the model hidden representation after alignment. Inspired by the theoretical results, we identify that some alignment methods are better than others in terms of separation and, introduce a new method, KLDO, and further demonstrate the implication of our theories. We advocate for compliance-refusal datasets over preference datasets to enhance safety alignment, supported by both theoretical reasoning and empirical evidence. Additionally, to quantify safety separation, we leverage a distance metric in the representation space and statistically validate its efficacy as a statistical significant indicator of LLM resilience against jailbreak attacks.

Background: Large language models (LLMs) are trained to follow directions, but this introduces a vulnerability to blindly comply with user requests even if they generate wrong information. In medicine, this could accelerate the generation of misinformation that impacts human well-being. Objectives/Methods: We analyzed compliance to requests to generate misleading content about medications in settings where models know the request is illogical. We investigated whether in-context directions and instruction-tuning of LLMs to prioritize logical reasoning over compliance reduced misinformation risk. Results: While all frontier LLMs complied with misinformation requests, both prompt-based and parameter-based approaches can improve the detection of logic flaws in requests and prevent the dissemination of medical misinformation. Conclusion: Shifting LLMs to prioritize logic over compliance could reduce risks of exploitation for medical misinformation.

We present a Fair Housing and Fair Lending dataset (FairHome): A dataset with around 75,000 examples across 9 protected categories. To the best of our knowledge, FairHome is the first publicly available dataset labeled with binary labels for compliance risk in the housing domain. We demonstrate the usefulness and effectiveness of such a dataset by training a classifier and using it to detect potential violations when using a large language model (LLM) in the context of real-estate transactions. We benchmark the trained classifier against state-of-the-art LLMs including GPT-3.5, GPT-4, LLaMA-3, and Mistral Large in both zero-shot and few-shot contexts. Our classifier outperformed with an F1-score of 0.91, underscoring the effectiveness of our dataset.

We present a suite of reinforcement learning environments illustrating various safety properties of intelligent agents. These problems include safe interruptibility, avoiding side effects, absent supervisor, reward gaming, safe exploration, as well as robustness to self-modification, distributional shift, and adversaries. To measure compliance with the intended safe behavior, we equip each environment with a performance function that is hidden from the agent. This allows us to categorize AI safety problems into robustness and specification problems, depending on whether the performance function corresponds to the observed reward function. We evaluate A2C and Rainbow, two recent deep reinforcement learning agents, on our environments and show that they are not able to solve them satisfactorily.

Despite the superior performance of Large Reasoning Models (LRMs), their reasoning behaviors are often counterintuitive, leading to suboptimal reasoning capabilities. To theoretically formalize the desired reasoning behaviors, this paper presents the Laws of Reasoning (LoRe), a unified framework that characterizes intrinsic reasoning patterns in LRMs. We first propose compute law with the hypothesis that the reasoning compute should scale linearly with question complexity. Beyond compute, we extend LoRe with a supplementary accuracy law. Since the question complexity is difficult to quantify in practice, we examine these hypotheses by two properties of the laws, monotonicity and compositionality. We therefore introduce LoRe-Bench, a benchmark that systematically measures these two tractable properties for large reasoning models. Evaluation shows that most reasoning models exhibit reasonable monotonicity but lack compositionality. In response, we develop an effective finetuning approach that enforces compute-law compositionality. Extensive empirical studies demonstrate that better compliance with compute laws yields consistently improved reasoning performance on multiple benchmarks, and uncovers synergistic effects across properties and laws. Project page: https://lore-project.github.io/

Large reasoning models (LRMs) achieve remarkable performance by leveraging reinforcement learning (RL) on reasoning tasks to generate long chain-of-thought (CoT) reasoning. However, this over-optimization often prioritizes compliance, making models vulnerable to harmful prompts. To mitigate this safety degradation, recent approaches rely on external teacher distillation, yet this introduces a distributional discrepancy that degrades native reasoning. We propose ThinkSafe, a self-generated alignment framework that restores safety alignment without external teachers. Our key insight is that while compliance suppresses safety mechanisms, models often retain latent knowledge to identify harm. ThinkSafe unlocks this via lightweight refusal steering, guiding the model to generate in-distribution safety reasoning traces. Fine-tuning on these self-generated responses effectively realigns the model while minimizing distribution shift. Experiments on DeepSeek-R1-Distill and Qwen3 show ThinkSafe significantly improves safety while preserving reasoning proficiency. Notably, it achieves superior safety and comparable reasoning to GRPO, with significantly reduced computational cost. Code, models, and datasets are available at https://github.com/seanie12/ThinkSafe.git.

The rise of foundation models (FMs), coupled with regulatory efforts addressing their risks and impacts, has sparked significant interest in open-source models. However, existing speech FMs (SFMs) fall short of full compliance with the open-source principles, even if claimed otherwise, as no existing SFM has model weights, code, and training data publicly available under open-source terms. In this work, we take the first step toward filling this gap by focusing on the 24 official languages of the European Union (EU). We collect suitable training data by surveying automatic speech recognition datasets and unlabeled speech corpora under open-source compliant licenses, for a total of 950k hours. Additionally, we release automatic transcripts for 441k hours of unlabeled data under the permissive CC-BY license, thereby facilitating the creation of open-source SFMs for the EU languages.

As large language models are deployed in high-stakes enterprise applications, from healthcare to finance, ensuring adherence to organization-specific policies has become essential. Yet existing safety evaluations focus exclusively on universal harms. We present COMPASS (Company/Organization Policy Alignment Assessment), the first systematic framework for evaluating whether LLMs comply with organizational allowlist and denylist policies. We apply COMPASS to eight diverse industry scenarios, generating and validating 5,920 queries that test both routine compliance and adversarial robustness through strategically designed edge cases. Evaluating seven state-of-the-art models, we uncover a fundamental asymmetry: models reliably handle legitimate requests (>95% accuracy) but catastrophically fail at enforcing prohibitions, refusing only 13-40% of adversarial denylist violations. These results demonstrate that current LLMs lack the robustness required for policy-critical deployments, establishing COMPASS as an essential evaluation framework for organizational AI safety.

We present a demonstration of a large language model engaging in alignment faking: selectively complying with its training objective in training to prevent modification of its behavior out of training. First, we give Claude 3 Opus a system prompt stating it is being trained to answer all queries, even harmful ones, which conflicts with its prior training to refuse such queries. To allow the model to infer when it is in training, we say it will be trained only on conversations with free users, not paid users. We find the model complies with harmful queries from free users 14% of the time, versus almost never for paid users. Explaining this gap, in almost all cases where the model complies with a harmful query from a free user, we observe explicit alignment-faking reasoning, with the model stating it is strategically answering harmful queries in training to preserve its preferred harmlessness behavior out of training. Next, we study a more realistic setting where information about the training process is provided not in a system prompt, but by training on synthetic documents that mimic pre-training data--and observe similar alignment faking. Finally, we study the effect of actually training the model to comply with harmful queries via reinforcement learning, which we find increases the rate of alignment-faking reasoning to 78%, though also increases compliance even out of training. We additionally observe other behaviors such as the model exfiltrating its weights when given an easy opportunity. While we made alignment faking easier by telling the model when and by what criteria it was being trained, we did not instruct the model to fake alignment or give it any explicit goal. As future models might infer information about their training process without being told, our results suggest a risk of alignment faking in future models, whether due to a benign preference--as in this case--or not.

The growing need for accountability of the people behind AI systems can be addressed by leveraging processes in three fields of study: ethics, law, and computer science. While these fields are often considered in isolation, they rely on complementary notions in their interpretation and implementation. In this work, we detail this interdependence and motivate the necessary role of collaborative governance tools in shaping a positive evolution of AI. We first contrast notions of compliance in the ethical, legal, and technical fields; we outline both their differences and where they complement each other, with a particular focus on the roles of ethical charters, licenses, and technical documentation in these interactions. We then focus on the role of values in articulating the synergies between the fields and outline specific mechanisms of interaction between them in practice. We identify how these mechanisms have played out in several open governance fora: an open collaborative workshop, a responsible licensing initiative, and a proposed regulatory framework. By leveraging complementary notions of compliance in these three domains, we can create a more comprehensive framework for governing AI systems that jointly takes into account their technical capabilities, their impact on society, and how technical specifications can inform relevant regulations. Our analysis thus underlines the necessity of joint consideration of the ethical, legal, and technical in AI ethics frameworks to be used on a larger scale to govern AI systems and how the thinking in each of these areas can inform the others.

LLM agents struggle with regulatory audit replay: when asked to reproduce a flagged transaction decision with identical inputs, many deployments fail to return consistent results. We introduce the Determinism-Faithfulness Assurance Harness (DFAH), a framework for measuring trajectory determinism, decision determinism, and evidence-conditioned faithfulness in tool-using agents deployed in financial services. Across 4,700+ agentic runs (7 models, 4 providers, 3 financial benchmarks with 50 cases each at T=0.0), we find that decision determinism and task accuracy are not detectably correlated (r = -0.11, 95% CI [-0.49, 0.31], p = 0.63, n = 21 configurations): models can be deterministic without being accurate, and accurate without being deterministic. Because neither metric predicts the other in our sample, both must be measured independently, which is precisely what DFAH provides. Small models (7-20B) achieve near-perfect determinism through rigid pattern matching at the cost of accuracy (20-42%), while frontier models show moderate determinism (50-96%) with variable accuracy. No model achieves both perfect determinism and high accuracy, supporting DFAH's multi-dimensional measurement approach. We provide three financial benchmarks (compliance triage, portfolio constraints, and DataOps exceptions; 50 cases each) together with an open-source stress-test harness. Across these benchmarks and DFAH evaluation settings, Tier 1 models with schema-first architectures achieved determinism levels consistent with audit replay requirements.

Leveraging large language models in real-world settings often entails a need to utilize domain-specific data and tools in order to follow the complex regulations that need to be followed for acceptable use. Within financial sectors, modern enterprises increasingly rely on Retrieval-Augmented Generation (RAG) systems to address complex compliance requirements in financial document workflows. However, existing solutions struggle to account for the inherent heterogeneity of data (e.g., text, tables, diagrams) and evolving nature of regulatory standards used in financial filings, leading to compromised accuracy in critical information extraction. We propose the FinSage framework as a solution, utilizing a multi-aspect RAG framework tailored for regulatory compliance analysis in multi-modal financial documents. FinSage introduces three innovative components: (1) a multi-modal pre-processing pipeline that unifies diverse data formats and generates chunk-level metadata summaries, (2) a multi-path sparse-dense retrieval system augmented with query expansion (HyDE) and metadata-aware semantic search, and (3) a domain-specialized re-ranking module fine-tuned via Direct Preference Optimization (DPO) to prioritize compliance-critical content. Extensive experiments demonstrate that FinSage achieves an impressive recall of 92.51% on 75 expert-curated questions derived from surpasses the best baseline method on the FinanceBench question answering datasets by 24.06% in accuracy. Moreover, FinSage has been successfully deployed as financial question-answering agent in online meetings, where it has already served more than 1,200 people.

The past two decades have witnessed significant success in applying columnar storage to data warehousing and analytics. However, the rapid growth of machine learning poses new challenges. This paper presents Bullion, a columnar storage system tailored for machine learning workloads. Bullion addresses the complexities of data compliance, optimizes the encoding of long sequence sparse features, efficiently manages wide-table projections, introduces feature quantization in storage, enables quality-aware sequential reads for multimodal training data, and provides a comprehensive cascading encoding framework that unifies diverse encoding schemes through modular, composable interfaces. By aligning with the evolving requirements of ML applications, Bullion facilitates the application of columnar storage and processing to modern application scenarios such as those within advertising, recommendation systems, and Generative AI. Preliminary experimental results and theoretical analysis demonstrate Bullion's improved ability to deliver strong performance in the face of the unique demands of machine learning workloads compared to existing columnar storage solutions. Bullion significantly reduces I/O costs for deletion compliance, achieves substantial storage savings with its optimized encoding scheme for sparse features, and improves metadata parsing speed for wide-table projections. These advancements enable Bullion to become an important component in the future of machine learning infrastructure, enabling organizations to efficiently manage and process the massive volumes of data required for training and inference in modern AI applications.

Modern Large Language Models (LLMs) rely on extensive safety alignment, yet the mechanistic basis of refusal remains opaque. In this work, we investigate whether safety compliance is a deep semantic decision or a manipulable linear feature. We introduce Contrastive Logit Steering (CLS), a zero-optimization framework that isolates the "refusal direction" by contrasting hidden states derived from safe and unrestricted system prompts. Unlike representation engineering methods that intervene on internal activations, CLS operates directly on the output distribution, serving as a diagnostic probe for alignment fragility. When coupled with prefix injection to bypass initial refusal reflexes, this method induces a phase transition where guardrails collapse. Our experiments on 7 model families reveal that safety implementation is architecturally deterministic. While models like Llama-3.1 exhibit a "Late Decision" topology that is easily bypassed by CLS (reaching 95% ASR in approximately one second), others like Qwen-2.5 demonstrate "Early Divergence" by integrating safety mid-computation. Direct comparison with established activation-level steering methods shows that CLS achieves substantially higher attack success rates on Llama 2 (73% vs. 22.6%) and Qwen 7B (91% vs. 79.2%), demonstrating that logit-level intervention exposes alignment vulnerabilities that hidden-state methods underestimate. Beyond attacks, we show that this linearity enables bidirectional control: inverting the steering vector "hardens" models against jailbreaks without retraining. Our findings suggest that current alignment techniques create a steerable "safety axis" that serves as both a critical vulnerability and a precise primitive for defense.

In high-stakes settings such as brand compliance, clinical care, and content moderation, machine learning cannot be deployed as opaque oracles: practitioners inspect the features driving model decisions, and models must leverage the expert documentation governing these domains. In practice, the data arrives as unstructured content, and features extracted from it must be interpretable, discriminative, and aligned with what experts consider important. Existing methods fall short: they target tabular inputs, lack demonstrated expert alignment, and cannot operationalize qualitative criteria such as 'maintain professional tone' into precise features. We present FEST (Feature Engineering with Self-evolving Trees), combining dual-stream feature generation (semantic and deterministic), semantic deduplication, and tree-guided iterative evolution to discover auditable features from raw text and images. FEST leads in 17 of 20 classifier-task combinations across brand classification, content authenticity detection, and stress detection, with a mean gain of 4.2 pp over the strongest baseline across five classifiers. An LLM-as-judge evaluation shows FEST achieves 60-80% coverage of expert-designed brand features at strict semantic-alignment thresholds, corroborated by a human expert study rating features highly on relevance, clarity, and actionability. When seeded with expert guidelines, FEST refines qualitative criteria into operational features, improving accuracy by 6-12 pp on average across brands. To enable systematic evaluation of expert alignment in automated feature engineering, we release BrandGuide, the first dataset pairing expert-designed features with 1M+ assets across 2,683 brands. By grounding feature engineering in expert knowledge, FEST opens a practical pathway for interpretable ML in domains demanding human oversight.

The integration of Large Language Model (LLM) agents is transforming recommender systems from simple query-item matching towards deeply personalized and interactive recommendations. Reinforcement Learning (RL) provides an essential framework for the optimization of these agents in recommendation tasks. However, current methodologies remain limited by a reliance on single dimensional outcome-based rewards that focus exclusively on final user interactions, overlooking critical intermediate capabilities, such as instruction following and complex intent understanding. Despite the necessity for designing multi-dimensional reward, the field lacks a standardized benchmark to facilitate this development. To bridge this gap, we introduce RecRM-Bench, the largest and most comprehensive benchmark to date for agentic recommender systems. It comprises over 1 million structured entries across four core evaluation dimensions: instruction following, factual consistency, query-item relevance, and fine-grained user behavior prediction. By supporting comprehensive assessment from syntactic compliance to complex intent grounding and preference modeling, RecRM-Bench provides a foundational dataset for training sophisticated reward models. Furthermore, we propose a systematic framework for the construction of multi-dimensional reward models and the integration of a hybrid reward function, establishing a robust foundation for developing reliable and highly capable agentic recommender systems. The complete RecRM-Bench dataset is publicly available at https://huggingface.co/datasets/wwzeng/RecRM-Bench.

As Large Language Model (LLM) agents increasingly execute complex, autonomous software engineering tasks, developers rely on natural language instruction files such as AGENTS.md to express project-specific coding conventions, tooling restrictions, and architectural boundaries. However, because these instructions remain passive text, agents frequently violate documented constraints due to context window saturation or conflicting local context. In autonomous settings without real-time human supervision, such violations rapidly compound into technical debt. To ground autonomous agents in repository constraints, we introduce ContextCov, a framework that transforms passive natural language instructions into executable guardrails. Unlike prompt-only or reflection-only compliance approaches, ContextCov compiles documented constraints into three complementary checks: static AST queries for code patterns, runtime shell shims that intercept prohibited commands, and architectural validators that enforce structural rules. Acting as an automated, continuous reviewer, ContextCov intercepts agent actions and returns immediate, reproducible violation traces, enabling self-correction before non-compliant changes are finalized. We evaluate ContextCov on SWE-bench Lite (12 repositories, 300 tasks). Compared to prompt-only and LLM reflection baselines, ContextCov achieves 88.3% constraint compliance (vs. 67.0% and 50.3%) with 3.4x lower feedback cost, while maintaining functional correctness. The source code and evaluation results are available at https://github.com/reSHARMA/ContextCov.

Large Language Models (LLMs) produce a controllability gap in safety-critical engineering: even low rates of undetected constraint violations render a system undeployable. Current orchestration paradigms suffer from sycophantic compliance, context attention decay [Liu et al., 2024], and stochastic oscillation during self-correction [Huang et al., 2024]. We introduce the Convergent AI Agent Framework (CAAF), which transitions agentic workflows from open-loop generation to closed-loop Fail-Safe Determinism via three pillars: (1) Recursive Atomic Decomposition with physical context firewalls; (2) Harness as an Asset, formalizing domain invariants into machine-readable registries enforced by a deterministic Unified Assertion Interface (UAI); and (3) Structured Semantic Gradients with State Locking for monotonic convergence. Empirical evaluation across two domains -- SAE Level 3 (L3) autonomous driving (AD) (n=30, 7 conditions) and pharmaceutical continuous flow reactor design (n=20, 4 conditions including a Mono+UAI ablation) -- shows that CAAF-all-GPT-4o-mini achieves 100% paradox detection while monolithic GPT-4o achieves 0% (even at temperature=0). The pharmaceutical benchmark features 7 simultaneous constraints with nonlinear Arrhenius interactions and a 3-way minimal unsatisfiable subset, representing a structurally harder challenge than the 2-constraint AD paradox. Alternative multi-agent architectures (debate, sequential checking) also achieve 0% across 80 trials, confirming that CAAF's reliability derives from its deterministic UAI, not from multi-agent orchestration per se. A Mono+UAI ablation (95%) isolates UAI as the core contribution. CAAF's reliability is invariant to prompt hints; all components use a single commodity model, enabling fully offline deployment.

Selective knowledge erasure from LLMs is critical for GDPR compliance and model safety, yet current unlearning methods conflate behavioral suppression with true knowledge removal, allowing latent capabilities to persist beneath surface-level refusals. In this work, we address this challenge by introducing Knowledge Immunization Framework (KIF), a representation-aware architecture that distinguishes genuine erasure from obfuscation by targeting internal activation signatures rather than surface outputs. Our approach combines dynamic suppression of subject-specific representations with parameter-efficient adaptation, enabling durable unlearning without full model retraining. KIF achieves near-oracle erasure (FQ approx 0.99 vs. 1.00) while preserving utility at oracle levels (MU = 0.62), effectively breaking the stability-erasure tradeoff that has constrained all prior work. We evaluate both standard foundation models (Llama and Mistral) and reasoning-prior models (Qwen and DeepSeek) across 3B to 14B parameters. Our observation shows that standard models exhibit scale-independent true erasure (<3% utility drift), while reasoning-prior models reveal fundamental architectural divergence. Our comprehensive dual-metric evaluation protocol, combining surface-level leakage with latent trace persistence, operationalizes the obfuscation - erasure distinction and enables the first systematic diagnosis of mechanism-level forgetting behavior across model families and scales.

Large Language Models (LLMs) are increasingly used in healthcare, yet ensuring their safety and trustworthiness remains a barrier to deployment. Conversational medical assistants must avoid unsafe compliance without over-refusing benign queries. We present an iterative post-deployment alignment framework that applies Kahneman-Tversky Optimization (KTO) and Direct Preference Optimization (DPO) to refine models against domain-specific safety signals. Using the CARES-18K benchmark for adversarial robustness, we evaluate four LLMs (Llama-3B/8B, Meditron-8B, Mistral-7B) across multiple cycles. Our results show up to 42% improvement in safety-related metrics for harmful query detection, alongside interesting trade-offs against erroneous refusals, thereby exposing architecture-dependent calibration biases. We also perform ablation studies to identify when self-evaluation is reliable and when external or finetuned judges are necessary to maximize performance gains. Our findings underscore the importance of adopting best practices that balance patient safety, user trust, and clinical utility in the design of conversational medical assistants.

Large language models (LLMs) are increasingly deployed as agents in various contexts by providing tools at their disposal. However, LLM agents can exhibit unpredictable behaviors, including taking undesirable and/or unsafe actions. In order to measure the latent propensity of LLM agents for taking illegal actions under an EU legislative context, we introduce EU-Agent-Bench, a verifiable human-curated benchmark that evaluates an agent's alignment with EU legal norms in situations where benign user inputs could lead to unlawful actions. Our benchmark spans scenarios across several categories, including data protection, bias/discrimination, and scientific integrity, with each user request allowing for both compliant and non-compliant execution of the requested actions. Comparing the model's function calls against a rubric exhaustively supported by citations of the relevant legislature, we evaluate the legal compliance of frontier LLMs, and furthermore investigate the compliance effect of providing the relevant legislative excerpts in the agent's system prompt along with explicit instructions to comply. We release a public preview set for the research community, while holding out a private test set to prevent data contamination in evaluating upcoming models. We encourage future work extending agentic safety benchmarks to different legal jurisdictions and to multi-turn and multilingual interactions. We release our code on https://github.com/ilijalichkovski/eu-agent-bench{this URL}.

Simulating Professions (SP) enables Large Language Models (LLMs) to emulate professional roles. However, comprehensive psychological and ethical evaluation in these contexts remains lacking. This paper introduces EMNLP, an Educator-role Moral and Normative LLMs Profiling framework for personality profiling, moral development stage measurement, and ethical risk under soft prompt injection. EMNLP extends existing scales and constructs 88 teacher-specific moral dilemmas, enabling profession-oriented comparison with human teachers. A targeted soft prompt injection set evaluates compliance and vulnerability in teacher SP. Experiments on 12 LLMs show teacher-role LLMs exhibit more idealized and polarized personalities than human teachers, excel in abstract moral reasoning, but struggle with emotionally complex situations. Models with stronger reasoning are more vulnerable to harmful prompt injection, revealing a paradox between capability and safety. The model temperature and other hyperparameters have limited influence except in some risk behaviors. This paper presents the first benchmark to assess ethical and psychological alignment of teacher-role LLMs for educational AI. Resources are available at https://e-m-n-l-p.github.io/.

The risks of frontier AI may require international cooperation, which in turn may require verification: checking that all parties follow agreed-on rules. For instance, states might need to verify that powerful AI models are widely deployed only after their risks to international security have been evaluated and deemed manageable. However, research on AI verification could benefit from greater clarity and detail. To address this, this report provides an in-depth overview of AI verification, intended for both policy professionals and technical researchers. We present novel conceptual frameworks, detailed implementation options, and key R&D challenges. These draw on existing literature, expert interviews, and original analysis, all within the scope of confidentially overseeing AI development and deployment that uses thousands of high-end AI chips. We find that states could eventually verify compliance by using six largely independent verification approaches with substantial redundancy: (1) built-in security features in AI chips; (2-3) separate monitoring devices attached to AI chips; and (4-6) personnel-based mechanisms, such as whistleblower programs. While promising, these approaches require guardrails to protect against abuse and power concentration, and many of these technologies have yet to be built or stress-tested. To enable states to confidently verify compliance with rules on large-scale AI development and deployment, the R&D challenges we list need significant progress.

Background: Generative artificial intelligence (AI) deployment in academic medical settings raises copyright compliance concerns. Dana-Farber Cancer Institute implemented GPT4DFCI, an internal generative AI tool utilizing OpenAI models, that is approved for enterprise use in research and operations. Given (1) the exceptionally broad adoption of the tool in our organization, (2) our research mission, and (3) the shared responsibility model required to benefit from Customer Copyright Commitment in Azure OpenAI Service products, we deemed rigorous copyright compliance testing necessary. Case Description: We conducted a structured red teaming exercise in Nov. 2024, with 42 participants from academic, industry, and government institutions. Four teams attempted to extract copyrighted content from GPT4DFCI across four domains: literary works, news articles, scientific publications, and access-restricted clinical notes. Teams successfully extracted verbatim book dedications and near-exact passages through various strategies. News article extraction failed despite jailbreak attempts. Scientific article reproduction yielded only high-level summaries. Clinical note testing revealed appropriate privacy safeguards. Discussion: The successful extraction of literary content indicates potential copyrighted material presence in training data, necessitating inference-time filtering. Differential success rates across content types suggest varying protective mechanisms. The event led to implementation of a copyright-specific meta-prompt in GPT4DFCI; this mitigation has been in production since Jan. 2025. Conclusion: Systematic red teaming revealed specific vulnerabilities in generative AI copyright compliance, leading to concrete mitigation strategies. Academic medical institutions deploying generative AI should implement continuous testing protocols to ensure legal and ethical compliance.

Large language models (LLMs) are demonstrating increasing prowess in cybersecurity applications, creating creating inherent risks alongside their potential for strengthening defenses. In this position paper, we argue that current efforts to evaluate risks posed by these capabilities are misaligned with the goal of understanding real-world impact. Evaluating LLM cybersecurity risk requires more than just measuring model capabilities -- it demands a comprehensive risk assessment that incorporates analysis of threat actor adoption behavior and potential for impact. We propose a risk assessment framework for LLM cyber capabilities and apply it to a case study of language models used as cybersecurity assistants. Our evaluation of frontier models reveals high compliance rates but moderate accuracy on realistic cyber assistance tasks. However, our framework suggests that this particular use case presents only moderate risk due to limited operational advantages and impact potential. Based on these findings, we recommend several improvements to align research priorities with real-world impact assessment, including closer academia-industry collaboration, more realistic modeling of attacker behavior, and inclusion of economic metrics in evaluations. This work represents an important step toward more effective assessment and mitigation of LLM-enabled cybersecurity risks.

This study evaluated the effect of BioBERT in medical text processing for the task of medical named entity recognition. Through comparative experiments with models such as BERT, ClinicalBERT, SciBERT, and BlueBERT, the results showed that BioBERT achieved the best performance in both precision and F1 score, verifying its applicability and superiority in the medical field. BioBERT enhances its ability to understand professional terms and complex medical texts through pre-training on biomedical data, providing a powerful tool for medical information extraction and clinical decision support. The study also explored the privacy and compliance challenges of BioBERT when processing medical data, and proposed future research directions for combining other medical-specific models to improve generalization and robustness. With the development of deep learning technology, the potential of BioBERT in application fields such as intelligent medicine, personalized treatment, and disease prediction will be further expanded. Future research can focus on the real-time and interpretability of the model to promote its widespread application in the medical field.

Dynamic scene video deblurring aims to remove undesirable blurry artifacts captured during the exposure process. Although previous video deblurring methods have achieved impressive results, they suffer from significant performance drops due to the domain gap between training and testing videos, especially for those captured in real-world scenarios. To address this issue, we propose a domain adaptation scheme based on a blurring model to achieve test-time fine-tuning for deblurring models in unseen domains. Since blurred and sharp pairs are unavailable for fine-tuning during inference, our scheme can generate domain-adaptive training pairs to calibrate a deblurring model for the target domain. First, a Relative Sharpness Detection Module is proposed to identify relatively sharp regions from the blurry input images and regard them as pseudo-sharp images. Next, we utilize a blurring model to produce blurred images based on the pseudo-sharp images extracted during testing. To synthesize blurred images in compliance with the target data distribution, we propose a Domain-adaptive Blur Condition Generation Module to create domain-specific blur conditions for the blurring model. Finally, the generated pseudo-sharp and blurred pairs are used to fine-tune a deblurring model for better performance. Extensive experimental results demonstrate that our approach can significantly improve state-of-the-art video deblurring methods, providing performance gains of up to 7.54dB on various real-world video deblurring datasets. The source code is available at https://github.com/Jin-Ting-He/DADeblur.

Large Language Models (LLMs) have the potential to enhance Agent-Based Modeling by better representing complex interdependent cybersecurity systems, improving cybersecurity threat modeling and risk management. However, evaluating LLMs in this context is crucial for legal compliance and effective application development. Existing LLM evaluation frameworks often overlook the human factor and cognitive computing capabilities essential for interdependent cybersecurity. To address this gap, I propose OllaBench, a novel evaluation framework that assesses LLMs' accuracy, wastefulness, and consistency in answering scenario-based information security compliance and non-compliance questions. OllaBench is built on a foundation of 24 cognitive behavioral theories and empirical evidence from 38 peer-reviewed papers. OllaBench was used to evaluate 21 LLMs, including both open-weight and commercial models from OpenAI, Anthropic, Google, Microsoft, Meta and so on. The results reveal that while commercial LLMs have the highest overall accuracy scores, there is significant room for improvement. Smaller low-resolution open-weight LLMs are not far behind in performance, and there are significant differences in token efficiency and consistency among the evaluated models. OllaBench provides a user-friendly interface and supports a wide range of LLM platforms, making it a valuable tool for researchers and solution developers in the field of human-centric interdependent cybersecurity and beyond.

The World Health Organization added Disease X to their shortlist of blueprint priority diseases to represent a hypothetical, unknown pathogen that could cause a future epidemic. During different virus outbreaks of the past, such as COVID-19, Influenza, Lyme Disease, and Zika virus, researchers from various disciplines utilized Google Trends to mine multimodal components of web behavior to study, investigate, and analyze the global awareness, preparedness, and response associated with these respective virus outbreaks. As the world prepares for Disease X, a dataset on web behavior related to Disease X would be crucial to contribute towards the timely advancement of research in this field. Furthermore, none of the prior works in this field have focused on the development of a dataset to compile relevant web behavior data, which would help to prepare for Disease X. To address these research challenges, this work presents a dataset of web behavior related to Disease X, which emerged from different geographic regions of the world, between February 2018 and August 2023. Specifically, this dataset presents the search interests related to Disease X from 94 geographic regions. The dataset was developed by collecting data using Google Trends. The relevant search interests for all these regions for each month in this time range are available in this dataset. This paper also discusses the compliance of this dataset with the FAIR principles of scientific data management. Finally, an analysis of this dataset is presented to uphold the applicability, relevance, and usefulness of this dataset for the investigation of different research questions in the interrelated fields of Big Data, Data Mining, Healthcare, Epidemiology, and Data Analysis with a specific focus on Disease X.

The Right to be Forgotten (RTBF) was first established as the result of the ruling of Google Spain SL, Google Inc. v AEPD, Mario Costeja Gonz\'alez, and was later included as the Right to Erasure under the General Data Protection Regulation (GDPR) of European Union to allow individuals the right to request personal data be deleted by organizations. Specifically for search engines, individuals can send requests to organizations to exclude their information from the query results. It was a significant emergent right as the result of the evolution of technology. With the recent development of Large Language Models (LLMs) and their use in chatbots, LLM-enabled software systems have become popular. But they are not excluded from the RTBF. Compared with the indexing approach used by search engines, LLMs store, and process information in a completely different way. This poses new challenges for compliance with the RTBF. In this paper, we explore these challenges and provide our insights on how to implement technical solutions for the RTBF, including the use of differential privacy, machine unlearning, model editing, and guardrails. With the rapid advancement of AI and the increasing need of regulating this powerful technology, learning from the case of RTBF can provide valuable lessons for technical practitioners, legal experts, organizations, and authorities.

Large Language Models (LLMs) such as ChatGPT, have gained significant attention due to their impressive natural language processing capabilities. It is crucial to prioritize human-centered principles when utilizing these models. Safeguarding the ethical and moral compliance of LLMs is of utmost importance. However, individual ethical issues have not been well studied on the latest LLMs. Therefore, this study aims to address these gaps by introducing a new benchmark -- TrustGPT. TrustGPT provides a comprehensive evaluation of LLMs in three crucial areas: toxicity, bias, and value-alignment. Initially, TrustGPT examines toxicity in language models by employing toxic prompt templates derived from social norms. It then quantifies the extent of bias in models by measuring quantifiable toxicity values across different groups. Lastly, TrustGPT assesses the value of conversation generation models from both active value-alignment and passive value-alignment tasks. Through the implementation of TrustGPT, this research aims to enhance our understanding of the performance of conversation generation models and promote the development of language models that are more ethical and socially responsible.

Recent years have seen remarkable advances in visual understanding. However, how to understand a story-based long video with artistic styles, e.g. movie, remains challenging. In this paper, we introduce MovieNet -- a holistic dataset for movie understanding. MovieNet contains 1,100 movies with a large amount of multi-modal data, e.g. trailers, photos, plot descriptions, etc. Besides, different aspects of manual annotations are provided in MovieNet, including 1.1M characters with bounding boxes and identities, 42K scene boundaries, 2.5K aligned description sentences, 65K tags of place and action, and 92K tags of cinematic style. To the best of our knowledge, MovieNet is the largest dataset with richest annotations for comprehensive movie understanding. Based on MovieNet, we set up several benchmarks for movie understanding from different angles. Extensive experiments are executed on these benchmarks to show the immeasurable value of MovieNet and the gap of current approaches towards comprehensive movie understanding. We believe that such a holistic dataset would promote the researches on story-based long video understanding and beyond. MovieNet will be published in compliance with regulations at https://movienet.github.io.

Healthcare systems continuously generate vast amounts of electronic health records (EHRs), commonly stored in the Fast Healthcare Interoperability Resources (FHIR) standard. Despite the wealth of information in these records, their complexity and volume make it difficult for users to retrieve and interpret crucial health insights. Recent advances in Large Language Models (LLMs) offer a solution, enabling semantic question answering (QA) over medical data, allowing users to interact with their health records more effectively. However, ensuring privacy and compliance requires edge and private deployments of LLMs. This paper proposes a novel approach to semantic QA over EHRs by first identifying the most relevant FHIR resources for a user query (Task1) and subsequently answering the query based on these resources (Task2). We explore the performance of privately hosted, fine-tuned LLMs, evaluating them against benchmark models such as GPT-4 and GPT-4o. Our results demonstrate that fine-tuned LLMs, while 250x smaller in size, outperform GPT-4 family models by 0.55% in F1 score on Task1 and 42% on Meteor Task in Task2. Additionally, we examine advanced aspects of LLM usage, including sequential fine-tuning, model self-evaluation (narcissistic evaluation), and the impact of training data size on performance. The models and datasets are available here: https://huggingface.co/genloop

Large language models enable agents to autonomously perform tasks in open web environments. However, as hidden threats within the web evolve, web agents face the challenge of balancing task performance with emerging risks during long-sequence operations. Although this challenge is critical, current research remains limited to single-objective optimization or single-turn scenarios, lacking the capability for collaborative optimization of both safety and utility in web environments. To address this gap, we propose HarmonyGuard, a multi-agent collaborative framework that leverages policy enhancement and objective optimization to jointly improve both utility and safety. HarmonyGuard features a multi-agent architecture characterized by two fundamental capabilities: (1) Adaptive Policy Enhancement: We introduce the Policy Agent within HarmonyGuard, which automatically extracts and maintains structured security policies from unstructured external documents, while continuously updating policies in response to evolving threats. (2) Dual-Objective Optimization: Based on the dual objectives of safety and utility, the Utility Agent integrated within HarmonyGuard performs the Markovian real-time reasoning to evaluate the objectives and utilizes metacognitive capabilities for their optimization. Extensive evaluations on multiple benchmarks show that HarmonyGuard improves policy compliance by up to 38% and task completion by up to 20% over existing baselines, while achieving over 90% policy compliance across all tasks. Our project is available here: https://github.com/YurunChen/HarmonyGuard.

Advanced AI assistants combine frontier LLMs and tool access to autonomously perform complex tasks on behalf of users. While the helpfulness of such assistants can increase dramatically with access to user information including emails and documents, this raises privacy concerns about assistants sharing inappropriate information with third parties without user supervision. To steer information-sharing assistants to behave in accordance with privacy expectations, we propose to operationalize contextual integrity (CI), a framework that equates privacy with the appropriate flow of information in a given context. In particular, we design and evaluate a number of strategies to steer assistants' information-sharing actions to be CI compliant. Our evaluation is based on a novel form filling benchmark composed of synthetic data and human annotations, and it reveals that prompting frontier LLMs to perform CI-based reasoning yields strong results.

Chat-based language models are designed to be helpful, yet they should not comply with every user request. While most existing work primarily focuses on refusal of "unsafe" queries, we posit that the scope of noncompliance should be broadened. We introduce a comprehensive taxonomy of contextual noncompliance describing when and how models should not comply with user requests. Our taxonomy spans a wide range of categories including incomplete, unsupported, indeterminate, and humanizing requests (in addition to unsafe requests). To test noncompliance capabilities of language models, we use this taxonomy to develop a new evaluation suite of 1000 noncompliance prompts. We find that most existing models show significantly high compliance rates in certain previously understudied categories with models like GPT-4 incorrectly complying with as many as 30% of requests. To address these gaps, we explore different training strategies using a synthetically-generated training set of requests and expected noncompliant responses. Our experiments demonstrate that while direct finetuning of instruction-tuned models can lead to both over-refusal and a decline in general capabilities, using parameter efficient methods like low rank adapters helps to strike a good balance between appropriate noncompliance and other capabilities.

Recent advances in large language models (LLMs) hold great promise for financial applications but introduce critical accuracy and compliance challenges in Digital Regulatory Reporting (DRR). To address these issues, we propose RKEFino1, a regulation knowledge-enhanced financial reasoning model built upon Fino1, fine-tuned with domain knowledge from XBRL, CDM, and MOF. We formulate two QA tasks-knowledge-based and mathematical reasoning-and introduce a novel Numerical NER task covering financial entities in both sentences and tables. Experimental results demonstrate the effectiveness and generalization capacity of RKEFino1 in compliance-critical financial tasks. We have released our model on Hugging Face.

Multimodal large language models (MLLMs) are increasingly deployed in open-ended, real-world environments where inputs are messy, underspecified, and not always trustworthy. Unlike curated benchmarks, these settings frequently involve instructions that refer to missing objects or contradictory facts, rely on ambiguous references, or request infeasible actions. In such cases, success hinges not on task execution alone, but on a model's ability to detect when something is silently wrong. This paper presents a systematic analysis of how current MLLMs handle such implicit reasoning scenarios: cases where the flaw is not explicitly stated but must be inferred from context. Using a curated diagnostic suite spanning four categories of real-world failure modes, we evaluate six MLLMs, including o3 and GPT-4o, and find that models frequently fail to surface hidden issues, even when they possess the necessary perceptual and reasoning skills. Explicit prompting reveals that the underlying capabilities exist but are often suppressed in favor of user compliance. We further show that simple inference-time interventions, such as cautious persona prompting and, in particular, requiring a clarifying question, can dramatically recover performance. Our findings highlight a persistent gap between reasoning competence and behavioral compliance in current MLLMs and suggest practical strategies for making these models more trustworthy in underconstrained environments.

Chaining language model (LM) calls as composable modules is fueling a new powerful way of programming. However, ensuring that LMs adhere to important constraints remains a key challenge, one often addressed with heuristic "prompt engineering". We introduce LM Assertions, a new programming construct for expressing computational constraints that LMs should satisfy. We integrate our constructs into the recent DSPy programming model for LMs, and present new strategies that allow DSPy to compile programs with arbitrary LM Assertions into systems that are more reliable and more accurate. In DSPy, LM Assertions can be integrated at compile time, via automatic prompt optimization, and/or at inference time, via automatic selfrefinement and backtracking. We report on two early case studies for complex question answering (QA), in which the LM program must iteratively retrieve information in multiple hops and synthesize a long-form answer with citations. We find that LM Assertions improve not only compliance with imposed rules and guidelines but also enhance downstream task performance, delivering intrinsic and extrinsic gains up to 35.7% and 13.3%, respectively. Our reference implementation of LM Assertions is integrated into DSPy at https://github.com/stanfordnlp/dspy

Reasoning models generate chain-of-thought (CoT) tokens before their final output, but how this affects their vulnerability to jailbreak attacks remains unclear. While traditional language models make refusal decisions at the prompt-response boundary, we find evidence that DeepSeek-R1-Distill-Llama-8B makes these decisions within its CoT generation. We identify a linear direction in activation space during CoT token generation that predicts whether the model will refuse or comply -- termed the "caution" direction because it corresponds to cautious reasoning patterns in the generated text. Ablating this direction from model activations increases harmful compliance, effectively jailbreaking the model. We additionally show that intervening only on CoT token activations suffices to control final outputs, and that incorporating this direction into prompt-based attacks improves success rates. Our findings suggest that the chain-of-thought itself is a promising new target for adversarial manipulation in reasoning models. Code available at https://github.com/ky295/reasoning-manipulation

We introduce CallCenterEN, a large-scale (91,706 conversations, corresponding to 10448 audio hours), real-world English call center transcript dataset designed to support research and development in customer support and sales AI systems. This is the largest release to-date of open source call center transcript data of this kind. The dataset includes inbound and outbound calls between agents and customers, with accents from India, the Philippines and the United States. The dataset includes high-quality, PII-redacted human-readable transcriptions. All personally identifiable information (PII) has been rigorously removed to ensure compliance with global data protection laws. The audio is not included in the public release due to biometric privacy concerns. Given the scarcity of publicly available real-world call center datasets, CallCenterEN fills a critical gap in the landscape of available ASR corpora, and is released under a CC BY-NC 4.0 license for non-commercial research use.

This paper introduces ArGen (Auto-Regulation of Generative AI systems), a framework for aligning Large Language Models (LLMs) with complex sets of configurable, machine-readable rules spanning ethical principles, operational safety protocols, and regulatory compliance standards. Moving beyond just preference-based alignment, ArGen is designed to ensure LLMs adhere to these multifaceted policies through a novel synthesis of principle-based automated reward scoring, Group Relative Policy Optimisation (GRPO), and an Open Policy Agent (OPA) inspired governance layer. This approach provides the technical foundation for achieving and demonstrating compliance with diverse and nuanced governance requirements. To showcase the framework's capability to operationalize a deeply nuanced and culturally-specific value system, we present an in-depth case study: the development of a medical AI assistant guided by principles from Dharmic ethics (such as Ahimsa and Dharma), as derived from texts like the Bhagavad Gita. This challenging application demonstrates ArGen's adaptability, achieving a 70.9% improvement in domain-scope adherence over the baseline. Through our open-source repository, we show that ArGen's methodology offers a path to 'Governable Al' systems that are technically proficient, ethically robust, and verifiably compliant for safe deployment in diverse global contexts.

Large language models (LLMs) have transformed the way we access information. These models are often tuned to refuse to comply with requests that are considered harmful and to produce responses that better align with the preferences of those who control the models. To understand how this "censorship" works. We use representation engineering techniques to study open-weights safety-tuned models. We present a method for finding a refusal--compliance vector that detects and controls the level of censorship in model outputs. We also analyze recent reasoning LLMs, distilled from DeepSeek-R1, and uncover an additional dimension of censorship through "thought suppression". We show a similar approach can be used to find a vector that suppresses the model's reasoning process, allowing us to remove censorship by applying the negative multiples of this vector

Topology optimization by optimally distributing materials in a given domain requires non-gradient optimizers to solve highly complicated problems. However, with hundreds of design variables or more involved, solving such problems would require millions of Finite Element Method (FEM) calculations whose computational cost is huge and impractical. Here we report Self-directed Online Learning Optimization (SOLO) which integrates Deep Neural Network (DNN) with FEM calculations. A DNN learns and substitutes the objective as a function of design variables. A small number of training data is generated dynamically based on the DNN's prediction of the optimum. The DNN adapts to the new training data and gives better prediction in the region of interest until convergence. The optimum predicted by the DNN is proved to converge to the true global optimum through iterations. Our algorithm was tested by four types of problems including compliance minimization, fluid-structure optimization, heat transfer enhancement and truss optimization. It reduced the computational time by 2 ~ 5 orders of magnitude compared with directly using heuristic methods, and outperformed all state-of-the-art algorithms tested in our experiments. This approach enables solving large multi-dimensional optimization problems.

Knowledge erasure in large language models (LLMs) is important for ensuring compliance with data and AI regulations, safeguarding user privacy, mitigating bias, and misinformation. Existing unlearning methods aim to make the process of knowledge erasure more efficient and effective by removing specific knowledge while preserving overall model performance, especially for retained information. However, it has been observed that the unlearning techniques tend to suppress and leave the knowledge beneath the surface, thus making it retrievable with the right prompts. In this work, we demonstrate that step-by-step reasoning can serve as a backdoor to recover this hidden information. We introduce a step-by-step reasoning-based black-box attack, Sleek, that systematically exposes unlearning failures. We employ a structured attack framework with three core components: (1) an adversarial prompt generation strategy leveraging step-by-step reasoning built from LLM-generated queries, (2) an attack mechanism that successfully recalls erased content, and exposes unfair suppression of knowledge intended for retention and (3) a categorization of prompts as direct, indirect, and implied, to identify which query types most effectively exploit unlearning weaknesses. Through extensive evaluations on four state-of-the-art unlearning techniques and two widely used LLMs, we show that existing approaches fail to ensure reliable knowledge removal. Of the generated adversarial prompts, 62.5% successfully retrieved forgotten Harry Potter facts from WHP-unlearned Llama, while 50% exposed unfair suppression of retained knowledge. Our work highlights the persistent risks of information leakage, emphasizing the need for more robust unlearning strategies for erasure.

We directly compare the persuasion capabilities of a frontier large language model (LLM; Claude Sonnet 3.5) against incentivized human persuaders in an interactive, real-time conversational quiz setting. In this preregistered, large-scale incentivized experiment, participants (quiz takers) completed an online quiz where persuaders (either humans or LLMs) attempted to persuade quiz takers toward correct or incorrect answers. We find that LLM persuaders achieved significantly higher compliance with their directional persuasion attempts than incentivized human persuaders, demonstrating superior persuasive capabilities in both truthful (toward correct answers) and deceptive (toward incorrect answers) contexts. We also find that LLM persuaders significantly increased quiz takers' accuracy, leading to higher earnings, when steering quiz takers toward correct answers, and significantly decreased their accuracy, leading to lower earnings, when steering them toward incorrect answers. Overall, our findings suggest that AI's persuasion capabilities already exceed those of humans that have real-money bonuses tied to performance. Our findings of increasingly capable AI persuaders thus underscore the urgency of emerging alignment and governance frameworks.

Large language models (LLMs) represent a transformative class of AI tools capable of revolutionizing various aspects of healthcare by generating human-like responses across diverse contexts and adapting to novel tasks following human instructions. Their potential application spans a broad range of medical tasks, such as clinical documentation, matching patients to clinical trials, and answering medical questions. In this primer paper, we propose an actionable guideline to help healthcare professionals more efficiently utilize LLMs in their work, along with a set of best practices. This approach consists of several main phases, including formulating the task, choosing LLMs, prompt engineering, fine-tuning, and deployment. We start with the discussion of critical considerations in identifying healthcare tasks that align with the core capabilities of LLMs and selecting models based on the selected task and data, performance requirements, and model interface. We then review the strategies, such as prompt engineering and fine-tuning, to adapt standard LLMs to specialized medical tasks. Deployment considerations, including regulatory compliance, ethical guidelines, and continuous monitoring for fairness and bias, are also discussed. By providing a structured step-by-step methodology, this tutorial aims to equip healthcare professionals with the tools necessary to effectively integrate LLMs into clinical practice, ensuring that these powerful technologies are applied in a safe, reliable, and impactful manner.

In this work, we dive deep into one of the popular knowledge-grounded dialogue benchmarks that focus on faithfulness, FaithDial. We show that a significant portion of the FaithDial data contains annotation artifacts, which may bias models towards completely ignoring the conversation history. We therefore introduce CHARP, a diagnostic test set, designed for an improved evaluation of hallucinations in conversational model. CHARP not only measures hallucination but also the compliance of the models to the conversation task. Our extensive analysis reveals that models primarily exhibit poor performance on CHARP due to their inability to effectively attend to and reason over the conversation history. Furthermore, the evaluation methods of FaithDial fail to capture these shortcomings, neglecting the conversational history. Our findings indicate that there is substantial room for contribution in both dataset creation and hallucination evaluation for knowledge-grounded dialogue, and that CHARP can serve as a tool for monitoring the progress in this particular research area. CHARP is publicly available at https://huggingface.co/datasets/huawei-noah/CHARP

Analyzing and detecting cannabis seed variants is crucial for the agriculture industry. It enables precision breeding, allowing cultivators to selectively enhance desirable traits. Accurate identification of seed variants also ensures regulatory compliance, facilitating the cultivation of specific cannabis strains with defined characteristics, ultimately improving agricultural productivity and meeting diverse market demands. This paper presents a study on cannabis seed variant detection by employing a state-of-the-art object detection model Faster R-CNN. This study implemented the model on a locally sourced cannabis seed dataset in Thailand, comprising 17 distinct classes. We evaluate six Faster R-CNN models by comparing performance on various metrics and achieving a mAP score of 94.08\% and an F1 score of 95.66\%. This paper presents the first known application of deep neural network object detection models to the novel task of visually identifying cannabis seed types.

Deep Generative Models (DGMs) have been shown to be powerful tools for generating tabular data, as they have been increasingly able to capture the complex distributions that characterize them. However, to generate realistic synthetic data, it is often not enough to have a good approximation of their distribution, as it also requires compliance with constraints that encode essential background knowledge on the problem at hand. In this paper, we address this limitation and show how DGMs for tabular data can be transformed into Constrained Deep Generative Models (C-DGMs), whose generated samples are guaranteed to be compliant with the given constraints. This is achieved by automatically parsing the constraints and transforming them into a Constraint Layer (CL) seamlessly integrated with the DGM. Our extensive experimental analysis with various DGMs and tasks reveals that standard DGMs often violate constraints, some exceeding 95% non-compliance, while their corresponding C-DGMs are never non-compliant. Then, we quantitatively demonstrate that, at training time, C-DGMs are able to exploit the background knowledge expressed by the constraints to outperform their standard counterparts with up to 6.5% improvement in utility and detection. Further, we show how our CL does not necessarily need to be integrated at training time, as it can be also used as a guardrail at inference time, still producing some improvements in the overall performance of the models. Finally, we show that our CL does not hinder the sample generation time of the models.

This paper introduces an approach to endow generative diffusion processes the ability to satisfy and certify compliance with constraints and physical principles. The proposed method recast the traditional sampling process of generative diffusion models as a constrained optimization problem, steering the generated data distribution to remain within a specified region to ensure adherence to the given constraints. These capabilities are validated on applications featuring both convex and challenging, non-convex, constraints as well as ordinary differential equations, in domains spanning from synthesizing new materials with precise morphometric properties, generating physics-informed motion, optimizing paths in planning scenarios, and human motion synthesis.

FemTech or Female Technology, is an expanding field dedicated to providing affordable and accessible healthcare solutions for women, prominently through Female Health Applications that monitor health and reproductive data. With the leading app exceeding 1 billion downloads, these applications are gaining widespread popularity. However, amidst contemporary challenges to women's reproductive rights and privacy, there is a noticeable lack of comprehensive studies on the security and privacy aspects of these applications. This exploratory study delves into the privacy risks associated with seven popular applications. Our initial quantitative static analysis reveals varied and potentially risky permissions and numerous third-party trackers. Additionally, a preliminary examination of privacy policies indicates non-compliance with fundamental data privacy principles. These early findings highlight a critical gap in establishing robust privacy and security safeguards for FemTech apps, especially significant in a climate where women's reproductive rights face escalating threats.

Owing to the growing concerns about privacy and regulatory compliance, it is desirable to regulate the output of generative models. To that end, the objective of this work is to prevent the generation of outputs containing undesired features from a pre-trained Generative Adversarial Network (GAN) where the underlying training data set is inaccessible. Our approach is inspired by the observation that the parameter space of GANs exhibits meaningful directions that can be leveraged to suppress specific undesired features. However, such directions usually result in the degradation of the quality of generated samples. Our proposed two-stage method, known as 'Adapt-then-Unlearn,' excels at unlearning such undesirable features while also maintaining the quality of generated samples. In the initial stage, we adapt a pre-trained GAN on a set of negative samples (containing undesired features) provided by the user. Subsequently, we train the original pre-trained GAN using positive samples, along with a repulsion regularizer. This regularizer encourages the learned model parameters to move away from the parameters of the adapted model (first stage) while not degrading the generation quality. We provide theoretical insights into the proposed method. To the best of our knowledge, our approach stands as the first method addressing unlearning within the realm of high-fidelity GANs (such as StyleGAN). We validate the effectiveness of our method through comprehensive experiments, encompassing both class-level unlearning on the MNIST and AFHQ dataset and feature-level unlearning tasks on the CelebA-HQ dataset. Our code and implementation is available at: https://github.com/atriguha/Adapt_Unlearn.

This work puts forth a new optimal design formulation for planar elastic membranes. The goal is to minimize the membrane's compliance through choosing the material distribution described by a positive Radon measure. The deformation of the membrane itself is governed by the convexified F\"{o}ppl's model. The uniqueness of this model lies in the convexity of its variational formulation despite the inherent nonlinearity of the strain-displacement relation. It makes it possible to rewrite the optimization problem as a pair of mutually dual convex variational problems. In the primal problem a linear functional is maximized with respect to displacement functions while enforcing that point-wisely the strain lies in an unbounded closed convex set. The dual problem consists in finding equilibrated stresses that are to minimize a convex integral functional of linear growth defined on the space of Radon measures. The pair of problems is analysed: existence and regularity results are provided, together with the system of optimality criteria. To demonstrate the computational potential of the pair, a finite element scheme is developed around it. Upon reformulation to a conic-quadratic & semi-definite programming problem, the method is employed to produce numerical simulations for several load case scenarios.

There is increasing attention being given to how to regulate AI systems. As governing bodies grapple with what values to encapsulate into regulation, we consider the technical half of the question: To what extent can AI experts vet an AI system for adherence to regulatory requirements? We investigate this question through two public sector procurement checklists, identifying what we can do now, what we should be able to do with technical innovation in AI, and what requirements necessitate a more interdisciplinary approach.