In an era of "moving fast and breaking things", regulators have moved slowly to pick up the safety, bias, and legal pieces left in the wake of broken Artificial Intelligence (AI) deployment. Since AI models, such as large language models, are able to push misinformation and stoke division within our society, it is imperative for regulators to employ a framework that mitigates these dangers and ensures user safety. While there is much-warranted discussion about how to address the safety, bias, and legal woes of state-of-the-art AI models, the number of rigorous and realistic mathematical frameworks to regulate AI safety is lacking. We take on this challenge, proposing an auction-based regulatory mechanism that provably incentivizes model-building agents (i) to deploy safer models and (ii) to participate in the regulation process. We provably guarantee, via derived Nash Equilibria, that each participating agent's best strategy is to submit a model safer than a prescribed minimum-safety threshold. Empirical results show that our regulatory auction boosts safety and participation rates by 20% and 15% respectively, outperforming simple regulatory frameworks that merely enforce minimum safety standards.

Large language models have demonstrated significant potential as the next-generation information access engines. However, their reliability is hindered by issues of hallucination and generating non-factual content. This is particularly problematic in long-form responses, where assessing and ensuring factual accuracy is complex. In this paper, we address this gap by proposing FactAlign, a novel alignment framework designed to enhance the factuality of LLMs' long-form responses while maintaining their helpfulness. We introduce fKTO, a fine-grained, sentence-level alignment algorithm that extends the Kahneman-Tversky Optimization (KTO) alignment method. Leveraging recent advances in automatic factuality evaluation, FactAlign utilizes fine-grained factuality assessments to guide the alignment process. Our experiments on open-domain prompts and information-seeking questions demonstrate that FactAlign significantly improves the factual accuracy of LLM responses while also improving their helpfulness. Further analyses identify that FactAlign is capable of training LLMs to provide more information without losing factual precision, thus improving the factual F1 score. Our source code, datasets, and trained models are publicly available at https://github.com/MiuLab/FactAlign

Generative models lack rigorous statistical guarantees for their outputs and are therefore unreliable in safety-critical applications. In this work, we propose Sequential Conformal Prediction for Generative Models (SCOPE-Gen), a sequential conformal prediction method producing prediction sets that satisfy a rigorous statistical guarantee called conformal admissibility control. This guarantee states that with high probability, the prediction sets contain at least one admissible (or valid) example. To this end, our method first samples an initial set of i.i.d. examples from a black box generative model. Then, this set is iteratively pruned via so-called greedy filters. As a consequence of the iterative generation procedure, admissibility of the final prediction set factorizes as a Markov chain. This factorization is crucial, because it allows to control each factor separately, using conformal prediction. In comparison to prior work, our method demonstrates a large reduction in the number of admissibility evaluations during calibration. This reduction is important in safety-critical applications, where these evaluations must be conducted manually by domain experts and are therefore costly and time consuming. We highlight the advantages of our method in terms of admissibility evaluations and cardinality of the prediction sets through experiments in natural language generation and molecular graph extension tasks.

This work develops a distributed graph neural network (GNN) methodology for mesh-based modeling applications using a consistent neural message passing layer. As the name implies, the focus is on enabling scalable operations that satisfy physical consistency via halo nodes at sub-graph boundaries. Here, consistency refers to the fact that a GNN trained and evaluated on one rank (one large graph) is arithmetically equivalent to evaluations on multiple ranks (a partitioned graph). This concept is demonstrated by interfacing GNNs with NekRS, a GPU-capable exascale CFD solver developed at Argonne National Laboratory. It is shown how the NekRS mesh partitioning can be linked to the distributed GNN training and inference routines, resulting in a scalable mesh-based data-driven modeling workflow. We study the impact of consistency on the scalability of mesh-based GNNs, demonstrating efficient scaling in consistent GNNs for up to O(1B) graph nodes on the Frontier exascale supercomputer.

Red teaming assesses how large language models (LLMs) can produce content that violates norms, policies, and rules set during their safety training. However, most existing automated methods in the literature are not representative of the way humans tend to interact with AI models. Common users of AI models may not have advanced knowledge of adversarial machine learning methods or access to model internals, and they do not spend a lot of time crafting a single highly effective adversarial prompt. Instead, they are likely to make use of techniques commonly shared online and exploit the multiturn conversational nature of LLMs. While manual testing addresses this gap, it is an inefficient and often expensive process. To address these limitations, we introduce the Generative Offensive Agent Tester (GOAT), an automated agentic red teaming system that simulates plain language adversarial conversations while leveraging multiple adversarial prompting techniques to identify vulnerabilities in LLMs. We instantiate GOAT with 7 red teaming attacks by prompting a general-purpose model in a way that encourages reasoning through the choices of methods available, the current target model's response, and the next steps. Our approach is designed to be extensible and efficient, allowing human testers to focus on exploring new areas of risk while automation covers the scaled adversarial stress-testing of known risk territory. We present the design and evaluation of GOAT, demonstrating its effectiveness in identifying vulnerabilities in state-of-the-art LLMs, with an ASR@10 of 97% against Llama 3.1 and 88% against GPT-4 on the JailbreakBench dataset.

Counterspeech presents a viable alternative to banning or suspending users for hate speech while upholding freedom of expression. However, writing effective counterspeech is challenging for moderators/users. Hence, developing suggestion tools for writing counterspeech is the need of the hour. One critical challenge in developing such a tool is the lack of quality and diversity of the responses in the existing datasets. Hence, we introduce a new dataset - CrowdCounter containing 3,425 hate speech-counterspeech pairs spanning six different counterspeech types (empathy, humor, questioning, warning, shaming, contradiction), which is the first of its kind. The design of our annotation platform itself encourages annotators to write type-specific, non-redundant and high-quality counterspeech. We evaluate two frameworks for generating counterspeech responses - vanilla and type-controlled prompts - across four large language models. In terms of metrics, we evaluate the responses using relevance, diversity and quality. We observe that Flan-T5 is the best model in the vanilla framework across different models. Type-specific prompts enhance the relevance of the responses, although they might reduce the language quality. DialoGPT proves to be the best at following the instructions and generating the type-specific counterspeech accurately.

Conversational Question Generation (CQG) enhances the interactivity of conversational question-answering systems in fields such as education, customer service, and entertainment. However, traditional CQG, focusing primarily on the immediate context, lacks the conversational foresight necessary to guide conversations toward specified conclusions. This limitation significantly restricts their ability to achieve conclusion-oriented conversational outcomes. In this work, we redefine the CQG task as Conclusion-driven Conversational Question Generation (CCQG) by focusing on proactivity, not merely reacting to the unfolding conversation but actively steering it towards a conclusion-oriented question-answer pair. To address this, we propose a novel approach, called Proactive Conversational Question Planning with self-Refining (PCQPR). Concretely, by integrating a planning algorithm inspired by Monte Carlo Tree Search (MCTS) with the analytical capabilities of large language models (LLMs), PCQPR predicts future conversation turns and continuously refines its questioning strategies. This iterative self-refining mechanism ensures the generation of contextually relevant questions strategically devised to reach a specified outcome. Our extensive evaluations demonstrate that PCQPR significantly surpasses existing CQG methods, marking a paradigm shift towards conclusion-oriented conversational question-answering systems.

In this paper a streaming weak-SINDy algorithm is developed specifically for compressing streaming scientific data. The production of scientific data, either via simulation or experiments, is undergoing an stage of exponential growth, which makes data compression important and often necessary for storing and utilizing large scientific data sets. As opposed to classical "offline" compression algorithms that perform compression on a readily available data set, streaming compression algorithms compress data "online" while the data generated from simulation or experiments is still flowing through the system. This feature makes streaming compression algorithms well-suited for scientific data compression, where storing the full data set offline is often infeasible. This work proposes a new streaming compression algorithm, streaming weak-SINDy, which takes advantage of the underlying data characteristics during compression. The streaming weak-SINDy algorithm constructs feature matrices and target vectors in the online stage via a streaming integration method in a memory efficient manner. The feature matrices and target vectors are then used in the offline stage to build a model through a regression process that aims to recover equations that govern the evolution of the data. For compressing high-dimensional streaming data, we adopt a streaming proper orthogonal decomposition (POD) process to reduce the data dimension and then use the streaming weak-SINDy algorithm to compress the temporal data of the POD expansion. We propose modifications to the streaming weak-SINDy algorithm to accommodate the dynamically updated POD basis. By combining the built model from the streaming weak-SINDy algorithm and a small amount of data samples, the full data flow could be reconstructed accurately at a low memory cost, as shown in the numerical tests.

State space models (SSMs) leverage linear, time-invariant (LTI) systems to effectively learn sequences with long-range dependencies. By analyzing the transfer functions of LTI systems, we find that SSMs exhibit an implicit bias toward capturing low-frequency components more effectively than high-frequency ones. This behavior aligns with the broader notion of frequency bias in deep learning model training. We show that the initialization of an SSM assigns it an innate frequency bias and that training the model in a conventional way does not alter this bias. Based on our theory, we propose two mechanisms to tune frequency bias: either by scaling the initialization to tune the inborn frequency bias; or by applying a Sobolev-norm-based filter to adjust the sensitivity of the gradients to high-frequency inputs, which allows us to change the frequency bias via training. Using an image-denoising task, we empirically show that we can strengthen, weaken, or even reverse the frequency bias using both mechanisms. By tuning the frequency bias, we can also improve SSMs' performance on learning long-range sequences, averaging an 88.26% accuracy on the Long-Range Arena (LRA) benchmark tasks.

As AI systems become more advanced and integrated into our lives, there has been a corresponding urgency to ensure they align with social values and norms, and that their benefits significantly outweigh any potential harms. In response to this imperative, legal and regulatory bodies globally are engaged in a concerted effort to develop comprehensive AI regulations. The increasing size, generality, opaqueness, and closed nature of present-day AI systems, however, pose significant challenges to effective regulation. Even when requirements can be articulated, it remains uncertain whether and how we can verify an AI system's compliance with these standards: A requirement that cannot be checked will not provide effective protection. If we believe that AI systems should be regulated, then AI systems must be designed to be regulatable.