Government
A Three-Branch Checks-and-Balances Frameworkfor Context-Aware Ethical Alignment of Large Language Models
This paper introduces a three-branch checks-and-balances framework for ethical alignment of Large Language Models (LLMs), inspired by governmental systems. It implements three independent yet interacting components: LLMs as the executive branch for knowledge generation, DIKE as the legislative branch establishing ethical guardrails, and ERIS as the judicial branch for contextual interpretation. The adversarial DIKE-ERIS duality enables adaptation to diverse cultural contexts while upholding consistent ethical principles. This architecture addresses limitations of reinforcement learning with human feedback (RLHF) by providing interpretable, adaptable, and culturally-aware ethical reasoning. Through self-supervised learning and adversarial testing, our framework demonstrates how emotional modeling can guide linguistic behaviors toward ethical outcomes while preserving independence across knowledge generation, ethical oversight, and contextual interpretation.
An Empirical Game-Theoretic Analysis of Autonomous Cyber-Defence Agents
Palmer, Gregory, Swaby, Luke, Harrold, Daniel J. B., Stewart, Matthew, Hiles, Alex, Willis, Chris, Miles, Ian, Farmer, Sara
The recent rise in increasingly sophisticated cyber-attacks raises the need for robust and resilient autonomous cyber-defence (ACD) agents. Given the variety of cyber-attack tactics, techniques and procedures (TTPs) employed, learning approaches that can return generalisable policies are desirable. Meanwhile, the assurance of ACD agents remains an open challenge. We address both challenges via an empirical game-theoretic analysis of deep reinforcement learning (DRL) approaches for ACD using the principled double oracle (DO) algorithm. This algorithm relies on adversaries iteratively learning (approximate) best responses against each others' policies; a computationally expensive endeavour for autonomous cyber operations agents. In this work we introduce and evaluate a theoretically-sound, potential-based reward shaping approach to expedite this process. In addition, given the increasing number of open-source ACD-DRL approaches, we extend the DO formulation to allow for multiple response oracles (MRO), providing a framework for a holistic evaluation of ACD approaches.
Jackpot! Alignment as a Maximal Lottery
Maura-Rivero, Roberto-Rafael, Lanctot, Marc, Visin, Francesco, Larson, Kate
Reinforcement Learning from Human Feedback (RLHF), the standard for aligning Large Language Models (LLMs) with human values, is known to fail to satisfy properties that are intuitively desirable, such as respecting the preferences of the majority \cite{ge2024axioms}. To overcome these issues, we propose the use of a probabilistic Social Choice rule called \emph{maximal lotteries} as a replacement for RLHF. We show that a family of alignment techniques, namely Nash Learning from Human Feedback (NLHF) \cite{munos2023nash} and variants, approximate maximal lottery outcomes and thus inherit its beneficial properties. We confirm experimentally that our proposed methodology handles situations that arise when working with preferences more robustly than standard RLHF, including supporting the preferences of the majority, providing principled ways of handling non-transitivities in the preference data, and robustness to irrelevant alternatives. This results in systems that better incorporate human values and respect human intentions.
Position: Curvature Matrices Should Be Democratized via Linear Operators
Dangel, Felix, Eschenhagen, Runa, Ormaniec, Weronika, Fernandez, Andres, Tatzel, Lukas, Kristiadi, Agustinus
Structured large matrices are prevalent in machine learning. A particularly important class is curvature matrices like the Hessian, which are central to understanding the loss landscape of neural nets (NNs), and enable second-order optimization, uncertainty quantification, model pruning, data attribution, and more. However, curvature computations can be challenging due to the complexity of automatic differentiation, and the variety and structural assumptions of curvature proxies, like sparsity and Kronecker factorization. In this position paper, we argue that linear operators -- an interface for performing matrix-vector products -- provide a general, scalable, and user-friendly abstraction to handle curvature matrices. To support this position, we developed $\textit{curvlinops}$, a library that provides curvature matrices through a unified linear operator interface. We demonstrate with $\textit{curvlinops}$ how this interface can hide complexity, simplify applications, be extensible and interoperable with other libraries, and scale to large NNs.
Enhancing Model Defense Against Jailbreaks with Proactive Safety Reasoning
Yang, Xianglin, Deng, Gelei, Shi, Jieming, Zhang, Tianwei, Dong, Jin Song
Large language models (LLMs) are vital for a wide range of applications yet remain susceptible to jailbreak threats, which could lead to the generation of inappropriate responses. Conventional defenses, such as refusal and adversarial training, often fail to cover corner cases or rare domains, leaving LLMs still vulnerable to more sophisticated attacks. We propose a novel defense strategy, Safety Chain-of-Thought (SCoT), which harnesses the enhanced reasoning capabilities of LLMs for proactive assessment of harmful inputs, rather than simply blocking them. SCoT augments any refusal training datasets to critically analyze the intent behind each request before generating answers. By employing proactive reasoning, SCoT enhances the generalization of LLMs across varied harmful queries and scenarios not covered in the safety alignment corpus. Additionally, it generates detailed refusals specifying the rules violated. Comparative evaluations show that SCoT significantly surpasses existing defenses, reducing vulnerability to out-of-distribution issues and adversarial manipulations while maintaining strong general capabilities. The code and data is available at https://anonymous.4open.science/r/SCoT-D4D9.
GO: The Great Outdoors Multimodal Dataset
Jiang, Peng, Viswanath, Kasi, Nagariya, Akhil, Chustz, George, Wigness, Maggie, Osteen, Philip, Overbye, Timothy, Ellis, Christian, Quang, Long, Saripalli, Srikanth
The Great Outdoors (GO) dataset is a multi-modal annotated data resource aimed at advancing ground robotics research in unstructured environments. This dataset provides the most comprehensive set of data modalities and annotations compared to existing off-road datasets. In total, the GO dataset includes six unique sensor types with high-quality semantic annotations and GPS traces to support tasks such as semantic segmentation, object detection, and SLAM. The diverse environmental conditions represented in the dataset present significant real-world challenges that provide opportunities to develop more robust solutions to support the continued advancement of field robotics, autonomous exploration, and perception systems in natural environments. The dataset can be downloaded at: https://www.unmannedlab.org/the-great-outdoors-dataset/
Ontological analysis of proactive life event services
Life event service is a direct digital public service provided jointly by several governmental institutions so that a person can fulfill all the obligations and use all the rights that arise due to a particular event or situation in personal life. Life event service consolidates several public services related to the same life event into one service for the service consumer. This paper presents an ontological analysis of life event services, which is based on the works by Guarino, Guizzardi, Nardi, Wagner, and others. The purpose of the ontological analysis is to understand the meanings of life event, proactive public service based on life event, and other related notions. This kind of ontological analysis is crucial because for implementing the hardware and software architectures of e-government and digital public services, it is essential to agree upon the precise meanings of the underlying terms.
Employee Turnover Prediction: A Cross-component Attention Transformer with Consideration of Competitor Influence and Contagious Effect
Employee turnover refers to an individual's termination of employment from the current organization. It is one of the most persistent challenges for firms, especially those ones in Information Technology (IT) industry that confront high turnover rates. Effective prediction of potential employee turnovers benefits multiple stakeholders such as firms and online recruiters. Prior studies have focused on either the turnover prediction within a single firm or the aggregated employee movement among firms. How to predict the individual employees' turnovers among multiple firms has gained little attention in literature, and thus remains a great research challenge. In this study, we propose a novel deep learning approach based on job embeddedness theory to predict the turnovers of individual employees across different firms. Through extensive experimental evaluations using a real-world dataset, our developed method demonstrates superior performance over several state-of-the-art benchmark methods. Additionally, we estimate the cost saving for recruiters by using our turnover prediction solution and interpret the attributions of various driving factors to employee's turnover to showcase its practical business value.
Ensembles of Low-Rank Expert Adapters
Li, Yinghao, Gao, Vianne, Zhang, Chao, Torkamani, MohamadAli
The training and fine-tuning of large language models (LLMs) often involve diverse textual data from multiple sources, which poses challenges due to conflicting gradient directions, hindering optimization and specialization. These challenges can undermine model generalization across tasks, resulting in reduced downstream performance. Recent research suggests that fine-tuning LLMs on carefully selected, task-specific subsets of data can match or even surpass the performance of using the entire dataset. Building on these insights, we propose the Ensembles of Low-Rank Expert Adapters (ELREA) framework to improve the model's capability to handle diverse tasks. ELREA clusters the training instructions based on their gradient directions, representing different areas of expertise and thereby reducing conflicts during optimization. Expert adapters are then trained on these clusters, utilizing the low-rank adaptation (LoRA) technique to ensure training efficiency and model scalability. During inference, ELREA combines predictions from the most relevant expert adapters based on the input data's gradient similarity to the training clusters, ensuring optimal adapter selection for each task. Experiments show that our method outperforms baseline LoRA adapters trained on the full dataset and other ensemble approaches with similar training and inference complexity across a range of domain-specific tasks.
o3-mini vs DeepSeek-R1: Which One is Safer?
Arrieta, Aitor, Ugarte, Miriam, Valle, Pablo, Parejo, José Antonio, Segura, Sergio
The irruption of DeepSeek-R1 constitutes a turning point for the AI industry in general and the LLMs in particular. Its capabilities have demonstrated outstanding performance in several tasks, including creative thinking, code generation, maths and automated program repair, at apparently lower execution cost. However, LLMs must adhere to an important qualitative property, i.e., their alignment with safety and human values. A clear competitor of DeepSeek-R1 is its American counterpart, OpenAI's o3-mini model, which is expected to set high standards in terms of performance, safety and cost. In this technical report, we systematically assess the safety level of both DeepSeek-R1 (70b version) and OpenAI's o3-mini (beta version). To this end, we make use of our recently released automated safety testing tool, named ASTRAL. By leveraging this tool, we automatically and systematically generated and executed 1,260 test inputs on both models. After conducting a semi-automated assessment of the outcomes provided by both LLMs, the results indicate that DeepSeek-R1 produces significantly more unsafe responses (12%) than OpenAI's o3-mini (1.2%).