Law
Language Models Identify Ambiguities and Exploit Loopholes
Choi, Jio, Bansal, Mohit, Stengel-Eskin, Elias
Studying the responses of large language models (LLMs) to loopholes presents a two-fold opportunity. First, it affords us a lens through which to examine ambiguity and pragmatics in LLMs, since exploiting a loophole requires identifying ambiguity and performing sophisticated pragmatic reasoning. Second, loopholes pose an interesting and novel alignment problem where the model is presented with conflicting goals and can exploit ambiguities to its own advantage. To address these questions, we design scenarios where LLMs are given a goal and an ambiguous user instruction in conflict with the goal, with scenarios covering scalar implicature, structural ambiguities, and power dynamics. We then measure different models' abilities to exploit loopholes to satisfy their given goals as opposed to the goals of the user. We find that both closed-source and stronger open-source models can identify ambiguities and exploit their resulting loopholes, presenting a potential AI safety risk. Our analysis indicates that models which exploit loopholes explicitly identify and reason about both ambiguity and conflicting goals.
TAI Scan Tool: A RAG-Based Tool With Minimalistic Input for Trustworthy AI Self-Assessment
Davvetas, Athanasios, Ziouvelou, Xenia, Dami, Ypatia, Kaponis, Alexios, Giouvanopoulou, Konstantina, Papademas, Michael
This paper introduces the TAI Scan Tool, a RAG-based TAI self-assessment tool with minimalistic input. The current version of the tool supports the legal TAI assessment, with a particular emphasis on facilitating compliance with the AI Act. It involves a two-step approach with a pre-screening and an assessment phase. The assessment output of the system includes insight regarding the risk-level of the AI system according to the AI Act, while at the same time retrieving relevant articles to aid with compliance and notify on their obligations. Our qualitative evaluation using use-case scenarios yields promising results, correctly predicting risk levels while retrieving relevant articles across three distinct semantic groups. Furthermore, interpretation of results shows that the tool's reasoning relies on comparison with the setting of high-risk systems, a behaviour attributed to their deployment requiring careful consideration, and therefore frequently presented within the AI Act.
Breaking the Cycle of Incarceration With Targeted Mental Health Outreach: A Case Study in Machine Learning for Public Policy
Rodolfa, Kit T., Salomon, Erika, Yao, Jin, Yoder, Steve, Sullivan, Robert, McGuire, Kevin, Dickinson, Allie, MacDougall, Rob, Seidler, Brian, Sung, Christina, Herdeman, Claire, Ghani, Rayid
Many incarcerated individuals face significant and complex challenges, including mental illness, substance dependence, and homelessness, yet jails and prisons are often poorly equipped to address these needs. With little support from the existing criminal justice system, these needs can remain untreated and worsen, often leading to further offenses and a cycle of incarceration with adverse outcomes both for the individual and for public safety, with particularly large impacts on communities of color that continue to widen the already extensive racial disparities in criminal justice outcomes. Responding to these failures, a growing number of criminal justice stakeholders are seeking to break this cycle through innovative approaches such as community-driven and alternative approaches to policing, mentoring, community building, restorative justice, pretrial diversion, holistic defense, and social service connections. Here we report on a collaboration between Johnson County, Kansas, and Carnegie Mellon University to perform targeted, proactive mental health outreach in an effort to reduce reincarceration rates. This paper describes the data used, our predictive modeling approach and results, as well as the design and analysis of a field trial conducted to confirm our model's predictive power, evaluate the impact of this targeted outreach, and understand at what level of reincarceration risk outreach might be most effective. Through this trial, we find that our model is highly predictive of new jail bookings, with more than half of individuals in the trial's highest-risk group returning to jail in the following year. Outreach was most effective among these highest-risk individuals, with impacts on mental health utilization, EMS dispatches, and criminal justice involvement.
The Influence of Facial Features on the Perceived Trustworthiness of a Social Robot
Barrow, Benedict, Moore, Roger K.
Abstract-- Trust and the perception of trustworthiness play an important role in decision-making and our behaviour towards others, and this is true not only of human-human interactions but also of human-robot interactions. While significant advances have been made in recent years in the field of social robotics, there is still some way to go before we fully understand the factors that influence human trust in robots. This paper presents the results of a study into the first impressions created by a social robot's facial features, based on the hypothesis that a'babyface' engenders trust. By manipulating the back-projected face of a Furhat robot, the study confirms that eye shape and size have a significant impact on the perception of trustworthiness. The work thus contributes to an understanding of the design choices that need to be made when developing social robots so as to optimise the effectiveness of human-robot interaction. Trust is a fundamental building block for any society to function properly.
Large Language Models Discriminate Against Speakers of German Dialects
Bui, Minh Duc, Holtermann, Carolin, Hofmann, Valentin, Lauscher, Anne, von der Wense, Katharina
Dialects represent a significant component of human culture and are found across all regions of the world. In Germany, more than 40% of the population speaks a regional dialect (Adler and Hansen, 2022). However, despite cultural importance, individuals speaking dialects often face negative societal stereotypes. We examine whether such stereotypes are mirrored by large language models (LLMs). We draw on the sociolinguistic literature on dialect perception to analyze traits commonly associated with dialect speakers. Based on these traits, we assess the dialect naming bias and dialect usage bias expressed by LLMs in two tasks: an association task and a decision task. To assess a model's dialect usage bias, we construct a novel evaluation corpus that pairs sentences from seven regional German dialects (e.g., Alemannic and Bavarian) with their standard German counterparts. We find that: (1) in the association task, all evaluated LLMs exhibit significant dialect naming and dialect usage bias against German dialect speakers, reflected in negative adjective associations; (2) all models reproduce these dialect naming and dialect usage biases in their decision making; and (3) contrary to prior work showing minimal bias with explicit demographic mentions, we find that explicitly labeling linguistic demographics--German dialect speakers--amplifies bias more than implicit cues like dialect usage.
Scrub It Out! Erasing Sensitive Memorization in Code Language Models via Machine Unlearning
Chu, Zhaoyang, Wan, Yao, Zhang, Zhikun, Wang, Di, Yang, Zhou, Zhang, Hongyu, Zhou, Pan, Shi, Xuanhua, Jin, Hai, Lo, David
While Code Language Models (CLMs) have demonstrated superior performance in software engineering tasks such as code generation and summarization, recent empirical studies reveal a critical privacy vulnerability: these models exhibit unintended memorization of sensitive training data, enabling verbatim reproduction of confidential information when specifically prompted. To address this issue, several approaches, including training data de-duplication and differential privacy augmentation, have been proposed. However, these methods require full-model retraining for deployed CLMs, which incurs substantial computational costs. In this paper, we aim to answer the following research question: Can sensitive information memorized by CLMs be erased effectively and efficiently? We conduct a pioneering investigation into erasing sensitive memorization in CLMs through machine unlearning - a post-hoc modification method that removes specific information from trained models without requiring full retraining. Specifically, we first quantify the memorization risks of sensitive data within CLM training datasets and curate a high-risk dataset of 50,000 sensitive memorized samples as unlearning targets. We study two widely used gradient ascent-based unlearning approaches: the vanilla and constraint-based methods, and introduce CodeEraser, an advanced variant that selectively unlearns sensitive memorized segments in code while preserving the structural integrity and functional correctness of the surrounding code. Extensive experiments on three families of CLMs, i.e., CodeParrot, CodeGen-Mono, and Qwen2.5-Coder, validate the effectiveness and efficiency of CodeEraser in erasing targeted sensitive memorization while maintaining model utility.
DeepLogit: A sequentially constrained explainable deep learning modeling approach for transport policy analysis
Oon, Jeremy, Mepparambath, Rakhi Manohar, Feng, Ling
Despite the significant progress of deep learning models in multitude of applications, their adaption in planning and policy related areas remains challenging due to the black-box nature of these models. In this work, we develop a set of DeepLogit models that follow a novel sequentially constrained approach in estimating deep learning models for transport policy analysis. In the first step of the proposed approach, we estimate a convolutional neural network (CNN) model with only linear terms, which is equivalent of a linear-in-parameter multinomial logit model. We then estimate other deep learning models by constraining the parameters that need interpretability at the values obtained in the linear-in-parameter CNN model and including higher order terms or by introducing advanced deep learning architectures like Transformers. Our approach can retain the interpretability of the selected parameters, yet provides significantly improved model accuracy than the discrete choice model. We demonstrate our approach on a transit route choice example using real-world transit smart card data from Singapore. This study shows the potential for a unifying approach, where theory-based discrete choice model (DCM) and data-driven AI models can leverage each other's strengths in interpretability and predictive power. With the availability of larger datasets and more complex constructions, such approach can lead to more accurate models using discrete choice models while maintaining its applicability in planning and policy-related areas. Our code is available on https://github.com/jeremyoon/route-choice/ .
Agentic JWT: A Secure Delegation Protocol for Autonomous AI Agents
Abstract-- Autonomous LLM agents can issue thousands of API calls per hour without human oversight. OAuth 2.0 assumes deterministic clients, but in agentic settings stochastic reasoning, prompt injection, or multi-agent orchestration can silently expand privileges. This paper describes Agentic JWT (A-JWT), a dual-faceted token design that binds each agent action to a cryptographically verifiable user intent and optionally to a workflow step. A-JWT carries an agent's identity as a one-way checksum hash derived from its prompt, tools and configuration and a chained delegation assertion to prove which downstream agent may execute a given task. The design also uses per-agent proof-of-possession keys to prevent replay and in-process impersonation. The paper introduces a new unique authorization grant called'agent_checksum' and adds a lightweight client shim library that self-verifies code at run time, mints intent tokens, tracks workflow steps and derives keys thus enabling secure agent identity and separation even within a single process. We illustrate a comprehensive threat model for agentic applications, implement a Python proof-of-concept, and show functional blocking of scope-violating requests, replay, impersonation, and prompt-injection pathways with sub-millisecond overhead on commodity hardware. The design aligns with ongoing OAuth agent discussions and offers a drop-in path toward zero-trust guarantees for agentic applications. A comprehensive performance and security evaluation with experimental results will appear in our forthcoming journal submission. I. Introduction AI Agents are not a theoretical phenomenon anymore. Large enterprises now use AI agents [1], to possibly execute millions of API calls per hour. Major cloud LLMs now serve hundreds of millions of API requests per day, for example Baidu's ERNIE handles approximately 200 M daily queries, providing the raw horsepower that agent frameworks build on [2], yet those calls still ride on OAuth tokens designed for deterministic clients. A quick peek into the scale of operations and future trends would reveal that the volume of AI Agent activity has grown dramatically, underscoring their operational impact. Baidu's large volume of API calls per day has seen a 4 fold increase in just a few months [2]. A recent cloud survey found OpenAI/Azure AI services are used in 67% of cloud deployments, alongside a rise in self-hosted AI models across 75% of organizations [3].
An LLM Agentic Approach for Legal-Critical Software: A Case Study for Tax Prep Software
Gogani-Khiabani, Sina, Trivedi, Ashutosh, Saha, Diptikalyan, Tizpaz-Niari, Saeid
Large language models (LLMs) show promise for translating natural-language statutes into executable logic, but reliability in legally critical settings remains challenging due to ambiguity and hallucinations. We present an agentic approach for developing legal-critical software, using U.S. federal tax preparation as a case study. The key challenge is test-case generation under the oracle problem, where correct outputs require interpreting law. Building on metamorphic testing, we introduce higher-order metamorphic relations that compare system outputs across structured shifts among similar individuals. Because authoring such relations is tedious and error-prone, we use an LLM-driven, role-based framework to automate test generation and code synthesis. We implement a multi-agent system that translates tax code into executable software and incorporates a metamorphic-testing agent that searches for counterexamples. In experiments, our framework using a smaller model (GPT-4o-mini) achieves a worst-case pass rate of 45%, outperforming frontier models (GPT-4o and Claude 3.5, 9-15%) on complex tax-code tasks. These results support agentic LLM methodologies as a path to robust, trustworthy legal-critical software from natural-language specifications.
Uncovering AI Governance Themes in EU Policies using BERTopic and Thematic Analysis
Golpayegani, Delaram, Lasek-Markey, Marta, Younus, Arjumand, Kerr, Aphra, Lewis, Dave
The upsurge of policies and guidelines that aim to ensure Artificial Intelligence (AI) systems are safe and trustworthy has led to a fragmented landscape of AI governance. The European Union (EU) is a key actor in the development of such policies and guidelines. Its High-Level Expert Group (HLEG) issued an influential set of guidelines for trustworthy AI, followed in 2024 by the adoption of the EU AI Act. While the EU policies and guidelines are expected to be aligned, they may differ in their scope, areas of emphasis, degrees of normativity, and priorities in relation to AI. To gain a broad understanding of AI governance from the EU perspective, we leverage qualitative thematic analysis approaches to uncover prevalent themes in key EU documents, including the AI Act and the HLEG Ethics Guidelines. We further employ quantitative topic modelling approaches, specifically through the use of the BERTopic model, to enhance the results and increase the document sample to include EU AI policy documents published post-2018. We present a novel perspective on EU policies, tracking the evolution of its approach to addressing AI governance.