Law
Structural DID with ML: Theory, Simulation, and a Roadmap for Applied Research
Causal inference in observational panel data has become a central concern in economics,policy analysis,and the broader social sciences.To address the core contradiction where traditional difference-in-differences (DID) struggles with high-dimensional confounding variables in observational panel data,while machine learning (ML) lacks causal structure interpretability,this paper proposes an innovative framework called S-DIDML that integrates structural identification with high-dimensional estimation.Building upon the structure of traditional DID methods,S-DIDML employs structured residual orthogonalization techniques (Neyman orthogonality+cross-fitting) to retain the group-time treatment effect (ATT) identification structure while resolving high-dimensional covariate interference issues.It designs a dynamic heterogeneity estimation module combining causal forests and semi-parametric models to capture spatiotemporal heterogeneity effects.The framework establishes a complete modular application process with standardized Stata implementation paths.The introduction of S-DIDML enriches methodological research on DID and DDML innovations, shifting causal inference from method stacking to architecture integration.This advancement enables social sciences to precisely identify policy-sensitive groups and optimize resource allocation.The framework provides replicable evaluation tools, decision optimization references,and methodological paradigms for complex intervention scenarios such as digital transformation policies and environmental regulations.
Advancing Risk and Quality Assurance: A RAG Chatbot for Improved Regulatory Compliance
Hillebrand, Lars, Berger, Armin, Uedelhoven, Daniel, Berghaus, David, Warning, Ulrich, Dilmaghani, Tim, Kliem, Bernd, Schmid, Thomas, Loitz, Rรผdiger, Sifa, Rafet
Risk and Quality (R&Q) assurance in highly regulated industries requires constant navigation of complex regulatory frameworks, with employees handling numerous daily queries demanding accurate policy interpretation. Traditional methods relying on specialized experts create operational bottlenecks and limit scalability. We present a novel Retrieval Augmented Generation (RAG) system leveraging Large Language Models (LLMs), hybrid search and relevance boosting to enhance R&Q query processing. Evaluated on 124 expert-annotated real-world queries, our actively deployed system demonstrates substantial improvements over traditional RAG approaches. Additionally, we perform an extensive hyperparameter analysis to compare and evaluate multiple configuration setups, delivering valuable insights to practitioners.
PromptAL: Sample-Aware Dynamic Soft Prompts for Few-Shot Active Learning
Xiang, Hui, Shi, Jinqiao, Zhang, Ting, Zhao, Xiaojie, Liu, Yong, Ma, Yong
Active learning (AL) aims to optimize model training and reduce annotation costs by selecting the most informative samples for labeling. Typically, AL methods rely on the empirical distribution of labeled data to define the decision boundary and perform uncertainty or diversity estimation, subsequently identifying potential high-quality samples. In few-shot scenarios, the empirical distribution often diverges significantly from the target distribution, causing the decision boundary to shift away from its optimal position. However, existing methods overlook the role of unlabeled samples in enhancing the empirical distribution to better align with the target distribution, resulting in a suboptimal decision boundary and the selection of samples that inadequately represent the target distribution. To address this, we propose a hybrid AL framework, termed \textbf{PromptAL} (Sample-Aware Dynamic Soft \textbf{Prompts} for Few-Shot \textbf{A}ctive \textbf{L}earning). This framework accounts for the contribution of each unlabeled data point in aligning the current empirical distribution with the target distribution, thereby optimizing the decision boundary. Specifically, PromptAL first leverages unlabeled data to construct sample-aware dynamic soft prompts that adjust the model's predictive distribution and decision boundary. Subsequently, based on the adjusted decision boundary, it integrates uncertainty estimation with both global and local diversity to select high-quality samples that more accurately represent the target distribution. Experimental results on six in-domain and three out-of-domain datasets show that PromptAL achieves superior performance over nine baselines. Our codebase is openly accessible.
Identifying Pre-training Data in LLMs: A Neuron Activation-Based Detection Framework
Tang, Hongyi, Zhu, Zhihao, Yang, Yi
The performance of large language models (LLMs) is closely tied to their training data, which can include copyrighted material or private information, raising legal and ethical concerns. Additionally, LLMs face criticism for dataset contamination and internalizing biases. To address these issues, the Pre-Training Data Detection (PDD) task was proposed to identify if specific data was included in an LLM's pre-training corpus. However, existing PDD methods often rely on superficial features like prediction confidence and loss, resulting in mediocre performance. To improve this, we introduce NA-PDD, a novel algorithm analyzing differential neuron activation patterns between training and non-training data in LLMs. This is based on the observation that these data types activate different neurons during LLM inference. We also introduce CCNewsPDD, a temporally unbiased benchmark employing rigorous data transformations to ensure consistent time distributions between training and non-training data. Our experiments demonstrate that NA-PDD significantly outperforms existing methods across three benchmarks and multiple LLMs.
Bipartite Patient-Modality Graph Learning with Event-Conditional Modelling of Censoring for Cancer Survival Prediction
Yue, Hailin, Kuang, Hulin, Liu, Jin, Li, Junjian, Wang, Lanlan, He, Mengshen, Wang, Jianxin
Accurately predicting the survival of cancer patients is crucial for personalized treatment. However, existing studies focus solely on the relationships between samples with known survival risks, without fully leveraging the value of censored samples. Furthermore, these studies may suffer performance degradation in modality-missing scenarios and even struggle during the inference process. In this study, we propose a bipartite patient-modality graph learning with event-conditional modelling of censoring for cancer survival prediction (CenSurv). Specifically, we first use graph structure to model multimodal data and obtain representation. Then, to alleviate performance degradation in modality-missing scenarios, we design a bipartite graph to simulate the patient-modality relationship in various modality-missing scenarios and leverage a complete-incomplete alignment strategy to explore modality-agnostic features. Finally, we design a plug-and-play event-conditional modeling of censoring (ECMC) that selects reliable censored data using dynamic momentum accumulation confidences, assigns more accurate survival times to these censored data, and incorporates them as uncensored data into training. Comprehensive evaluations on 5 publicly cancer datasets showcase the superiority of CenSurv over the best state-of-the-art by 3.1% in terms of the mean C-index, while also exhibiting excellent robustness under various modality-missing scenarios. In addition, using the plug-and-play ECMC module, the mean C-index of 8 baselines increased by 1.3% across 5 datasets. Code of CenSurv is available at https://github.com/yuehailin/CenSurv.
PRAC3 (Privacy, Reputation, Accountability, Consent, Credit, Compensation): Long Tailed Risks of Voice Actors in AI Data-Economy
Sharma, Tanusree, Zhou, Yihao, Berisha, Visar
Early large-scale audio datasets, such as LibriSpeech, were built with hundreds of individual contributors whose voices were instrumental in the development of speech technologies, including audiobooks and voice assistants. Y et, a decade later, these same contributions have exposed voice actors to a range of risks. While existing ethical frameworks emphasize Consent, Credit, and Compensation (C), they do not adequately address the emergent risks involving vocal identities that are increasingly decoupled from context, authorship, and control. Drawing on qualitative interviews with 20 professional voice actors, this paper reveals how synthetic replication of voice without clear provenance or enforceable constraints exposes individuals to both reputational and security threats. Beyond reputational harm, such as re-purposing voice data in erotic content, offensive political messaging, and meme culture, we document concerns about accountability breakdowns when their voice is leveraged to clone voices that are deployed in high-stakes scenarios such as financial fraud, misinformation campaigns, or impersonation scams. In such cases, actors face social and legal fallout without recourse, while very few of them have a legal representative or union protection. To make sense of these shifting dynamics, we introduce the PRAC framework - an expansion of C that foregrounds Privacy, Reputation, Accountability, Consent, Credit, and Compensation as interdependent pillars of data used in the synthetic voice economy. This framework captures how privacy risks are amplified through non-consensual training, how reputational harm arises from decontextualized deployment, and how accountability can be reimagined AI Data ecosystems. We argue that voice, as both a biometric identifier and creative labor, demands governance models that restore creator agency, ensure traceability, and establish enforceable boundaries for ethical reuse.
Advancing Responsible Innovation in Agentic AI: A study of Ethical Frameworks for Household Automation
Chandra, Joydeep, Navneet, Satyam Kumar
The implementation of Artificial Intelligence (AI) in household environments, especially in the form of proactive autonomous agents, brings about possibilities of comfort and attention as well as it comes with intra or extramural ethical challenges. This article analyzes agentic AI and its applications, focusing on its move from reactive to proactive autonomy, privacy, fairness and user control. We review responsible innovation frameworks, human-centered design principles, and governance practices to distill practical guidance for ethical smart home systems. Vulnerable user groups such as elderly individuals, children, and neurodivergent who face higher risks of surveillance, bias, and privacy risks were studied in detail in context of Agentic AI. Design imperatives are highlighted such as tailored explainability, granular consent mechanisms, and robust override controls, supported by participatory and inclusive methodologies. It was also explored how data-driven insights, including social media analysis via Natural Language Processing(NLP), can inform specific user needs and ethical concerns. This survey aims to provide both a conceptual foundation and suggestions for developing transparent, inclusive, and trustworthy agentic AI in household automation.
eSapiens's DEREK Module: Deep Extraction & Reasoning Engine for Knowledge with LLMs
Shi, Isaac, Li, Zeyuan, Liu, Fan, Wang, Wenli, He, Lewei, Yang, Yang, Shi, Tianyu
We present the DEREK (Deep Extraction & Reasoning Engine for Knowledge) Module, a secure and scalable Retrieval-Augmented Generation pipeline designed specifically for enterprise document question answering. Designed and implemented by eSapiens, the system ingests heterogeneous content (PDF, Office, web), splits it into 1,000-token overlapping chunks, and indexes them in a hybrid HNSW+BM25 store. User queries are refined by GPT-4o, retrieved via combined vector+BM25 search, reranked with Cohere, and answered by an LLM using CO-STAR prompt engineering. A LangGraph verifier enforces citation overlap, regenerating answers until every claim is grounded. On four LegalBench subsets, 1000-token chunks improve Recall@50 by approximately 1 pp and hybrid+rerank boosts Precision@10 by approximately 7 pp; the verifier raises TRACe Utilization above 0.50 and limits unsupported statements to less than 3%. All components run in containers, enforce end-to-end TLS 1.3 and AES-256. These results demonstrate that the DEREK module delivers accurate, traceable, and production-ready document QA with minimal operational overhead. The module is designed to meet enterprise demands for secure, auditable, and context-faithful retrieval, providing a reliable baseline for high-stakes domains such as legal and finance.
OPC: One-Point-Contraction Unlearning Toward Deep Feature Forgetting
Jung, Jaeheun, Jung, Bosung, Bae, Suhyun, Lee, Donghun
Machine unlearning seeks to remove the influence of particular data or class from trained models to meet privacy, legal, or ethical requirements. Existing unlearning methods tend to forget shallowly: phenomenon of an unlearned model pretend to forget by adjusting only the model response, while its internal representations retain information sufficiently to restore the forgotten data or behavior. We empirically confirm the widespread shallowness by reverting the forgetting effect of various unlearning methods via training-free performance recovery attack and gradient-inversion-based data reconstruction attack. To address this vulnerability fundamentally, we define a theoretical criterion of ``deep forgetting'' based on one-point-contraction of feature representations of data to forget. We also propose an efficient approximation algorithm, and use it to construct a novel general-purpose unlearning algorithm: One-Point-Contraction (OPC). Empirical evaluations on image classification unlearning benchmarks show that OPC achieves not only effective unlearning performance but also superior resilience against both performance recovery attack and gradient-inversion attack. The distinctive unlearning performance of OPC arises from the deep feature forgetting enforced by its theoretical foundation, and recaps the need for improved robustness of machine unlearning methods.
A Federated Random Forest Solution for Secure Distributed Machine Learning
Cotorobai, Alexandre, Silva, Jorge Miguel, Oliveira, Jose Luis
Privacy and regulatory barriers often hinder centralized machine learning solutions, particularly in sectors like healthcare where data cannot be freely shared. Federated learning has emerged as a powerful paradigm to address these concerns; however, existing frameworks primarily support gradient-based models, leaving a gap for more interpretable, tree-based approaches. This paper introduces a federated learning framework for Random Forest classifiers that preserves data privacy and provides robust performance in distributed settings. By leveraging PySyft for secure, privacy-aware computation, our method enables multiple institutions to collaboratively train Random Forest models on locally stored data without exposing sensitive information. The framework supports weighted model averaging to account for varying data distributions, incremental learning to progressively refine models, and local evaluation to assess performance across heterogeneous datasets. Experiments on two real-world healthcare benchmarks demonstrate that the federated approach maintains competitive predictive accuracy - within a maximum 9\% margin of centralized methods - while satisfying stringent privacy requirements. These findings underscore the viability of tree-based federated learning for scenarios where data cannot be centralized due to regulatory, competitive, or technical constraints. The proposed solution addresses a notable gap in existing federated learning libraries, offering an adaptable tool for secure distributed machine learning tasks that demand both transparency and reliable performance. The tool is available at https://github.com/ieeta-pt/fed_rf.