arXiv subjects

Dian Balta

Publications and source records attributed to Dian Balta.

9 recordsLinked to original sources

arXiv2026

Autonomy and Agency in Agentic AI: Architectural Tactics for Regulated Contexts

Deploying agentic AI in regulated contexts requires principled reasoning about two design dimensions: agency (what the system can do) and autonomy (how much it acts without human involvement). Though often treated independently, they are coupled: at higher autonomy, human error correction is less available, so reliable operation requires constraining agency accordingly; compliance requirements reinforce this by mandating human involvement as action consequences grow. Yet no established approach addresses them jointly, leaving practitioners without a principled basis for reasoning about oversight, action consequences, and error correction. This work introduces a two-dimensional design space in which both dimensions are organised into five operational levels, making the coupling explicit and navigable. Autonomy ranges from human-commanded operation (L1) to fully autonomous monitoring (L5); agency ranges from reasoning over supplied context (L1) to committed writes to authoritative records (L5). Building on this space, we propose six architectural tactics--checkpoints, escalation, multi-agent delegation, tool provisioning, tool fencing, and write staging--for adjusting a deployment's position within it. The tactics are grounded in two worked examples from public-sector contexts, illustrating how they apply under realistic compliance constraints. We further examine five deployment parameters--model capability, agent architecture, tool fidelity, workflow bottlenecks, and evaluation--that shape what is achievable at any configuration independently of agency and autonomy. Together, the design space, tactics, and deployment parameters provide a shared vocabulary for principled, compliance-aware agentic AI design in which responsibility, auditability, and reversibility are explicit design considerations rather than properties that must be retrofitted after deployment.

cs.AI↗

arXiv2026

An Ontology-Based Approach to Security Risk Identification of Container Deployments in OT Contexts

In operational technology (OT) contexts, containerised applications often require elevated privileges to access low-level network interfaces or perform administrative tasks such as application monitoring. These privileges reduce the default isolation provided by containers and introduce significant security risks. Security risk identification for OT container deployments is challenged by hybrid IT/OT architectures, fragmented stakeholder knowledge, and continuous system changes. Existing approaches lack reproducibility, interpretability across contexts, and technical integration with deployment artefacts. We propose a model-based approach, implemented as the Container Security Risk Ontology (CSRO), which integrates five key domains: adversarial behaviour, contextual assumptions, attack scenarios, risk assessment rules, and container security artefacts. Our evaluation of CSRO in a case study demonstrates that the end-to-end formalisation of risk calculation, from artefact to risk level, enables automated and reproducible risk identification. While CSRO currently focuses on technical, container-level treatment measures, its modular and flexible design provides a solid foundation for extending the approach to host-level and organisational risk factors.

cs.SE↗

arXiv2025

OntoGSN: An Ontology-Based Framework for Semantic Management and Extension of Assurance Cases

Assurance cases (ACs) are a common artifact for building and maintaining confidence in system properties such as safety or robustness. Constructing an AC can be challenging, although existing tools provide support in static, document-centric applications and methods for dynamic contexts (e.g., autonomous driving) are emerging. Unfortunately, managing ACs remains a challenge, since maintaining the embedded knowledge in the face of changes requires substantial effort, in the process deterring developers - or worse, producing poorly managed cases that instill false confidence. To address this, we present OntoGSN: an ontology and supporting middleware for managing ACs in the Goal Structuring Notation (GSN) standard. OntoGSN offers a knowledge representation and a queryable graph that can be automatically populated, evaluated, and updated. Our contributions include: a 1:1 formalization of the GSN Community Standard v3 in an OWL ontology with SWRL rules; a helper ontology and parser for integration with a widely used AC tool; a repository and documentation of design decisions for OntoGSN maintenance; a SPARQL query library with automation patterns; and a prototypical interface. The ontology strictly adheres to the standard's text and has been evaluated according to FAIR principles, the OOPS framework, competency questions, and community feedback. The development of other middleware elements is guided by the community needs and subject to ongoing evaluations. To demonstrate the utility of our contributions, we illustrate dynamic AC management in an example involving assurance of adversarial robustness in large language models.

cs.AI↗

arXiv2024

Towards Assurance of LLM Adversarial Robustness using Ontology-Driven Argumentation

Despite the impressive adaptability of large language models (LLMs), challenges remain in ensuring their security, transparency, and interpretability. Given their susceptibility to adversarial attacks, LLMs need to be defended with an evolving combination of adversarial training and guardrails. However, managing the implicit and heterogeneous knowledge for continuously assuring robustness is difficult. We introduce a novel approach for assurance of the adversarial robustness of LLMs based on formal argumentation. Using ontologies for formalization, we structure state-of-the-art attacks and defenses, facilitating the creation of a human-readable assurance case, and a machine-readable representation. We demonstrate its application with examples in English language and code translation tasks, and provide implications for theory and practice, by targeting engineers, data scientists, users, and auditors.

cs.AI↗

arXiv2024

Developing Assurance Cases for Adversarial Robustness and Regulatory Compliance in LLMs

This paper presents an approach to developing assurance cases for adversarial robustness and regulatory compliance in large language models (LLMs). Focusing on both natural and code language tasks, we explore the vulnerabilities these models face, including adversarial attacks based on jailbreaking, heuristics, and randomization. We propose a layered framework incorporating guardrails at various stages of LLM deployment, aimed at mitigating these attacks and ensuring compliance with the EU AI Act. Our approach includes a meta-layer for dynamic risk management and reasoning, crucial for addressing the evolving nature of LLM vulnerabilities. We illustrate our method with two exemplary assurance cases, highlighting how different contexts demand tailored strategies to ensure robust and compliant AI systems.

cs.CR↗

arXiv2024

Towards Assuring EU AI Act Compliance and Adversarial Robustness of LLMs

Large language models are prone to misuse and vulnerable to security threats, raising significant safety and security concerns. The European Union's Artificial Intelligence Act seeks to enforce AI robustness in certain contexts, but faces implementation challenges due to the lack of standards, complexity of LLMs and emerging security vulnerabilities. Our research introduces a framework using ontologies, assurance cases, and factsheets to support engineers and stakeholders in understanding and documenting AI system compliance and security regarding adversarial robustness. This approach aims to ensure that LLMs adhere to regulatory standards and are equipped to counter potential threats.

cs.CR↗

arXiv2024

Knowledge-Augmented Reasoning for EUAIA Compliance and Adversarial Robustness of LLMs

The EU AI Act (EUAIA) introduces requirements for AI systems which intersect with the processes required to establish adversarial robustness. However, given the ambiguous language of regulation and the dynamicity of adversarial attacks, developers of systems with highly complex models such as LLMs may find their effort to be duplicated without the assurance of having achieved either compliance or robustness. This paper presents a functional architecture that focuses on bridging the two properties, by introducing components with clear reference to their source. Taking the detection layer recommended by the literature, and the reporting layer required by the law, we aim to support developers and auditors with a reasoning layer based on knowledge augmentation (rules, assurance cases, contextual mappings). Our findings demonstrate a novel direction for ensuring LLMs deployed in the EU are both compliant and adversarially robust, which underpin trustworthiness.

cs.CL↗

arXiv2023

Need-driven decision-making and prototyping for DLT: Framework and web-based tool

In its 14 years, distributed ledger technology has attracted increasing attention, investments, enthusiasm, and user base. However, ongoing doubts about its usefulness and recent losses of trust in prominent cryptocurrencies have fueled deeply skeptical assessments. Multiple groups attempted to disentangle the technology from the associated hype and controversy by building workflows for rapid prototyping and informed decision-making, but their mostly isolated work leaves users only with fewer unclarities. To bridge the gaps between these contributions, we develop a holistic analytical framework and open-source web tool for making evidence-based decisions. Consisting of three stages - evaluation, elicitation, and design - the framework relies on input from the users' domain knowledge, maps their choices, and provides an output of needed technology bundles. We apply it to an example clinical use case to clarify the directions of our contribution charts for prototyping, hopefully driving the conversation towards ways to enhance further tools and approaches.

cs.SE↗

arXiv2022

Towards an Accountable and Reproducible Federated Learning: A FactSheets Approach

Federated Learning (FL) is a novel paradigm for the shared training of models based on decentralized and private data. With respect to ethical guidelines, FL is promising regarding privacy, but needs to excel vis-\`a-vis transparency and trustworthiness. In particular, FL has to address the accountability of the parties involved and their adherence to rules, law and principles. We introduce AF^2 Framework, where we instrument FL with accountability by fusing verifiable claims with tamper-evident facts, into reproducible arguments. We build on AI FactSheets for instilling transparency and trustworthiness into the AI lifecycle and expand it to incorporate dynamic and nested facts, as well as complex model compositions in FL. Based on our approach, an auditor can validate, reproduce and certify a FL process. This can be directly applied in practice to address the challenges of AI engineering and ethics.

cs.AI↗