Small Language Models (SLMs) have potential to be used for automatically labelling and identifying aspects of text data for medicine/health-related purposes from documents and the web. As their resource requirements are significantly lower than Large Language Models (LLMs), these can be deployed potentially on more types of devices. SLMs often are benchmarked on health/medicine-related tasks, such as MedQA, although performance on these can vary especially depending on the size of the model in terms of number of parameters. Furthermore, these test results may not necessarily reflect real-world performance regarding the automatic labelling or identification of texts in documents and the web. As a result, we compared topic-relatedness scores from Microsofts phi-3-mini-4k-instruct SLM to the topic-relatedness scores from 7 human evaluators on 1144 samples of medical/health-related texts and 1117 samples of sports injury-related texts. These texts were from a larger dataset of about 9 million news headlines, each of which were processed and assigned scores by phi-3-mini-4k-instruct. Our sample was selected (filtered) based on 1 (low filtering) or more (high filtering) Boolean conditions on the phi-3 SLM scores. We found low-moderate significant correlations between the scores from the SLM and human evaluators for sports injury texts with low filtering (\r{ho} = 0.3413, p < 0.001) and medicine/health texts with high filtering (\r{ho} = 0.3854, p < 0.001), and low significant correlation for medicine/health texts with low filtering (\r{ho} = 0.2255, p < 0.001). There was negligible, insignificant correlation for sports injury-related texts with high filtering (\r{ho} = 0.0318, p = 0.4466).

Quality-Diversity algorithms have transformed optimization by prioritizing the discovery of diverse, high-performing solutions over a single optimal result. However, traditional Quality-Diversity methods, such as MAP-Elites, rely heavily on predefined behavior descriptors and complete prior knowledge of the task to define the behavior space grid, limiting their flexibility and applicability. In this work, we introduce Vector Quantized-Elites (VQ-Elites), a novel Quality-Diversity algorithm that autonomously constructs a structured behavior space grid using unsupervised learning, eliminating the need for prior task-specific knowledge. At the core of VQ-Elites is the integration of Vector Quantized Variational Autoencoders, which enables the dynamic learning of behavior descriptors and the generation of a structured, rather than unstructured, behavior space grid -- a significant advancement over existing unsupervised Quality-Diversity approaches. This design establishes VQ-Elites as a flexible, robust, and task-agnostic optimization framework. To further enhance the performance of unsupervised Quality-Diversity algorithms, we introduce behavior space bounding and cooperation mechanisms, which significantly improve convergence and performance, as well as the Effective Diversity Ratio and Coverage Diversity Score, two novel metrics that quantify the actual diversity in the unsupervised setting. We validate VQ-Elites on robotic arm pose-reaching, mobile robot space-covering, and MiniGrid exploration tasks. The results demonstrate its ability to efficiently generate diverse, high-quality solutions, emphasizing its adaptability, scalability, robustness to hyperparameters, and potential to extend Quality-Diversity optimization to complex, previously inaccessible domains.

Retrieval-augmented generation (RAG) is instrumental for inhibiting hallucinations in large language models (LLMs) through the use of a factual knowledge base (KB). Although PDF documents are prominent sources of knowledge, text-based RAG pipelines are ineffective at capturing their rich multi-modal information. In contrast, visual document RAG (VD-RAG) uses screenshots of document pages as the KB, which has been shown to achieve state-of-the-art results. However, by introducing the image modality, VD-RAG introduces new attack vectors for adversaries to disrupt the system by injecting malicious documents into the KB. In this paper, we demonstrate the vulnerability of VD-RAG to poisoning attacks targeting both retrieval and generation. We define two attack objectives and demonstrate that both can be realized by injecting only a single adversarial image into the KB. Firstly, we introduce a targeted attack against one or a group of queries with the goal of spreading targeted disinformation. Secondly, we present a universal attack that, for any potential user query, influences the response to cause a denial-of-service in the VD-RAG system. We investigate the two attack objectives under both white-box and black-box assumptions, employing a multi-objective gradient-based optimization approach as well as prompting state-of-the-art generative models. Using two visual document datasets, a diverse set of state-of-the-art retrievers (embedding models) and generators (vision language models), we show VD-RAG is vulnerable to poisoning attacks in both the targeted and universal settings, yet demonstrating robustness to black-box attacks in the universal setting.

Generative Artificial Intelligence (AI) is enabling unprecedented automation in content creation and decision support, but it also raises novel risks. This paper presents a first-principles risk assessment framework underlying the IEEE P3396 Recommended Practice for AI Risk, Safety, Trustworthiness, and Responsibility. We distinguish between process risks (risks arising from how AI systems are built or operated) and outcome risks (risks manifest in the AI system's outputs and their real-world effects), arguing that generative AI governance should prioritize outcome risks. Central to our approach is an information-centric ontology that classifies AI-generated outputs into four fundamental categories: (1) Perception-level information, (2) Knowledge-level information, (3) Decision/Action plan information, and (4) Control tokens (access or resource directives). This classification allows systematic identification of harms and more precise attribution of responsibility to stakeholders (developers, deployers, users, regulators) based on the nature of the information produced. We illustrate how each information type entails distinct outcome risks (e.g. deception, misinformation, unsafe recommendations, security breaches) and requires tailored risk metrics and mitigations. By grounding the framework in the essence of information, human agency, and cognition, we align risk evaluation with how AI outputs influence human understanding and action. The result is a principled approach to AI risk that supports clear accountability and targeted safeguards, in contrast to broad application-based risk categorizations. We include example tables mapping information types to risks and responsibilities. This work aims to inform the IEEE P3396 Recommended Practice and broader AI governance with a rigorous, first-principles foundation for assessing generative AI risks while enabling responsible innovation.

Recent advances in novel view synthesis have enabled real-time rendering speeds with high reconstruction accuracy. 3D Gaussian Splatting (3D-GS), a foundational point-based parametric 3D scene representation, models scenes as large sets of 3D Gaussians. However, complex scenes can consist of millions of Gaussians, resulting in high storage and memory requirements that limit the viability of 3D-GS on devices with limited resources. Current techniques for compressing these pretrained models by pruning Gaussians rely on combining heuristics to determine which Gaussians to remove. At high compression ratios, these pruned scenes suffer from heavy degradation of visual fidelity and loss of foreground details. In this paper, we propose a principled sensitivity pruning score that preserves visual fidelity and foreground details at significantly higher compression ratios than existing approaches. It is computed as a second-order approximation of the reconstruction error on the training views with respect to the spatial parameters of each Gaussian. Additionally, we propose a multi-round prune-refine pipeline that can be applied to any pretrained 3D-GS model without changing its training pipeline. After pruning 90% of Gaussians, a substantially higher percentage than previous methods, our PUP 3D-GS pipeline increases average rendering speed by 3.56$\times$ while retaining more salient foreground information and achieving higher image quality metrics than existing techniques on scenes from the Mip-NeRF 360, Tanks & Temples, and Deep Blending datasets.

Clinical trials face mounting challenges: fragmented patient populations, slow enrollment, and unsustainable costs, particularly for late phase trials in oncology and rare diseases. While external control arms built from real-world data have been explored, a promising alternative is the generation of synthetic control arms using generative AI. A central challenge is the generation of time-to-event outcomes, which constitute primary endpoints in oncology and rare disease trials, but are difficult to model under censoring and small sample sizes. Existing generative approaches, largely GAN-based, are data-hungry, unstable, and rely on strong assumptions such as independent censoring. We introduce a variational autoencoder (VAE) that jointly generates mixed-type covariates and survival outcomes within a unified latent variable framework, without assuming independent censoring. Across synthetic and real trial datasets, we evaluate our model in two realistic scenarios: (i) data sharing under privacy constraints, where synthetic controls substitute for original data, and (ii) control-arm augmentation, where synthetic patients mitigate imbalances between treated and control groups. Our method outperforms GAN baselines on fidelity, utility, and privacy metrics, while revealing systematic miscalibration of type I error and power. We propose a post-generation selection procedure that improves calibration, highlighting both progress and open challenges for generative survival modeling.

Explainable AI (XAI) is increasingly essential as modern models become more complex and high-stakes applications demand transparency, trust, and regulatory compliance. Existing global attribution methods often incur high computational costs, lack stability under correlated inputs, and fail to scale efficiently to large or heterogeneous datasets. We address these gaps with \emph{ExCIR} (Explainability through Correlation Impact Ratio), a correlation-aware attribution score equipped with a lightweight transfer protocol that reproduces full-model rankings using only a fraction of the data. ExCIR quantifies sign-aligned co-movement between features and model outputs after \emph{robust centering} (subtracting a robust location estimate, e.g., median or mid-mean, from features and outputs). We further introduce \textsc{BlockCIR}, a \emph{groupwise} extension of ExCIR that scores \emph{sets} of correlated features as a single unit. By aggregating the same signed-co-movement numerators and magnitudes over predefined or data-driven groups, \textsc{BlockCIR} mitigates double-counting in collinear clusters (e.g., synonyms or duplicated sensors) and yields smoother, more stable rankings when strong dependencies are present. Across diverse text, tabular, signal, and image datasets, ExCIR shows trustworthy agreement with established global baselines and the full model, delivers consistent top-$k$ rankings across settings, and reduces runtime via lightweight evaluation on a subset of rows. Overall, ExCIR provides \emph{computationally efficient}, \emph{consistent}, and \emph{scalable} explainability for real-world deployment.

We investigate how to optimally design local differential privacy (LDP) mechanisms that reduce data unfairness and thereby improve fairness in downstream classification. We first derive a closed-form optimal mechanism for binary sensitive attributes and then develop a tractable optimization framework that yields the corresponding optimal mechanism for multi-valued attributes. As a theoretical contribution, we establish that for discrimination-accuracy optimal classifiers, reducing data unfairness necessarily leads to lower classification unfairness, thus providing a direct link between privacy-aware pre-processing and classification fairness. Empirically, we demonstrate that our approach consistently outperforms existing LDP mechanisms in reducing data unfairness across diverse datasets and fairness metrics, while maintaining accuracy close to that of non-private models. Moreover, compared with leading pre-processing and post-processing fairness methods, our mechanism achieves a more favorable accuracy-fairness trade-off while simultaneously preserving the privacy of sensitive attributes. Taken together, these results highlight LDP as a principled and effective pre-processing fairness intervention technique.

We propose a semiparametric Bayesian methodology for estimating the average treatment effect (ATE) within the potential outcomes framework using observational data with high-dimensional nuisance parameters. Our method introduces a Bayesian debiasing procedure that corrects for bias arising from nuisance estimation and employs a targeted modeling strategy based on summary statistics rather than the full data. These summary statistics are identified in a debiased manner, enabling the estimation of nuisance bias via weighted observables and facilitating hierarchical learning of the ATE. By combining debiasing with sample splitting, our approach separates nuisance estimation from inference on the target parameter, reducing sensitivity to nuisance model specification. We establish that, under mild conditions, the marginal posterior for the ATE satisfies a Bernstein-von Mises theorem when both nuisance models are correctly specified and remains consistent and robust when only one is correct, achieving Bayesian double robustness. This ensures asymptotic efficiency and frequentist validity. Extensive simulations confirm the theoretical results, demonstrating accurate point estimation and credible intervals with nominal coverage, even in high-dimensional settings. The proposed framework can also be extended to other causal estimands, and its key principles offer a general foundation for advancing Bayesian semiparametric inference more broadly.

Causal inference starts with a simple idea: compare groups that differ by treatment, not much else. Traditionally, similar groups are constructed using only observed covariates; however, it remains a long-standing challenge to incorporate available outcome data into the study design while preserving valid inference. In this paper, we study the general problem of covariate adjustment, effect estimation, and statistical inference when balancing features are constructed or selected with the aid of outcome information from the data. We propose cross-balancing, a method that uses sample splitting to separate the error in feature construction from the error in weight estimation. Our framework addresses two cases: one where the features are learned functions and one where they are selected from a potentially high-dimensional dictionary. In both cases, we establish mild and general conditions under which cross-balancing produces consistent, asymptotically normal, and efficient estimators. In the learned-function case, cross-balancing achieves finite-sample bias reduction relative to plug-in-type estimators, and is multiply robust when the learned features converge at slow rates. In the variable-selection case, cross-balancing only requires a product condition on how well the selected variables approximate true functions. We illustrate cross-balancing in extensive simulations and an observational study, showing that careful use of outcome information can substantially improve both estimation and inference while maintaining interpretability.