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Haiquan Zhao

Publications and source records attributed to Haiquan Zhao.

At least 37 records · Page 2Linked to original sources

Qwen3Guard Technical Report

As large language models (LLMs) become more capable and widely used, ensuring the safety of their outputs is increasingly critical. Existing guardrail models, though useful in static evaluation settings, face two major limitations in real-world applications: (1) they typically output only binary "safe/unsafe" labels, which can be interpreted inconsistently across diverse safety policies, rendering them incapable of accommodating varying safety tolerances across domains; and (2) they require complete model outputs before performing safety checks, making them fundamentally incompatible with streaming LLM inference, thereby preventing timely intervention during generation and increasing exposure to harmful partial outputs. To address these challenges, we present Qwen3Guard, a series of multilingual safety guardrail models with two specialized variants: Generative Qwen3Guard, which casts safety classification as an instruction-following task to enable fine-grained tri-class judgments (safe, controversial, unsafe); and Stream Qwen3Guard, which introduces a token-level classification head for real-time safety monitoring during incremental text generation. Both variants are available in three sizes (0.6B, 4B, and 8B parameters) and support up to 119 languages and dialects, providing comprehensive, scalable, and low-latency safety moderation for global LLM deployments. Evaluated across English, Chinese, and multilingual benchmarks, Qwen3Guard achieves state-of-the-art performance in both prompt and response safety classification. All models are released under the Apache 2.0 license for public use.

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A Stitch in Time Saves Nine: Proactive Self-Refinement for Language Models

Recent advances in self-refinement have demonstrated significant potential for improving the outputs of large language models (LLMs) through iterative refinement. However, most existing self-refinement methods rely on a reactive process with a fixed number of iterations, making it difficult to determine the optimal timing and content of refinement based on the evolving generation context. Inspired by the way humans dynamically refine their thoughts during execution, we propose ProActive Self-Refinement (PASR), a novel method that enables LLMs to refine their outputs during the generation process. Unlike methods that regenerate entire responses, PASR proactively decides whether, when, and how to refine based on the model's internal state and evolving context. We conduct extensive experiments on a diverse set of 10 tasks to evaluate the effectiveness of PASR. Experimental results show that PASR significantly enhances problem-solving performance. In particular, on Qwen3-8B, PASR reduces average token consumption by 41.6% compared to standard generation, while also achieving an 8.2% improvement in accuracy. Our code and baselines used in the paper are available on GitHub.

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Dynamic State Estimation of Power System Utilizing Cauchy Kernel-Based Maximum Mixture Correntropy UKF over Beluga Whale-Bat Optimization

Non-Gaussian noise, outliers, sudden load changes, and bad measurement data are key factors that diminish the accuracy of dynamic state estimation in power systems. Additionally, unscented Kalman filters (UKF) based on correntropy criteria utilize bandwidth-sensitive Gaussian kernels, which may lead to singular matrices in the Cholesky decomposition. To overcome all the above problems, in this paper, a robust UKF based on Cauchy kernel maximum mixture correntropy (CKMMC) criteria over hybrid Beluga Whale-Bat (BWB) optimization (BWB-CKMMC-UKF) is proposed, in which the kernel is merged of two Cauchy functions. Specifically, the measurement error and state error are unified in the cost function by the statistical linearization technique, and the optimal value of state estimation is obtained by fixed-point iteration. Because of its insensitive feature to kernel bandwidth and notable thick-tailed feature, the Cauchy kernel function is utilized instead of the Gaussian kernel in the optimization criteria. Additionally, to fit the power system model, the shape coefficients of the kernel in the CKMMC criterion and scale coefficients that influence the selection of sigma points in the unscented transform are determined based on the BWB algorithm. Simulation results on IEEE 14, 30, and 57-bus test systems validated the performance of the proposed algorithm.

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CKFNet: Neural Network Aided Cubature Kalman filtering

The cubature Kalman filter (CKF), while theoretically rigorous for nonlinear estimation, often suffers performance degradation due to model-environment mismatches in practice. To address this limitation, we propose CKFNet-a hybrid architecture that synergistically integrates recurrent neural networks (RNN) with the CKF framework while preserving its cubature principles. Unlike conventional model-driven approaches, CKFNet embeds RNN modules in the prediction phase to dynamically adapt to unmodeled uncertainties, effectively reducing cumulative error propagation through temporal noise correlation learning. Crucially, the architecture maintains CKF's analytical interpretability via constrained optimization of cubature point distributions. Numerical simulation experiments have confirmed that our proposed CKFNet exhibits superior accuracy and robustness compared to conventional model-based methods and existing KalmanNet algorithms.

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Reflection-Bench: Evaluating Epistemic Agency in Large Language Models

With large language models (LLMs) increasingly deployed as cognitive engines for AI agents, the reliability and effectiveness critically hinge on their intrinsic epistemic agency, which remains understudied. Epistemic agency, the ability to flexibly construct, adapt, and monitor beliefs about dynamic environments, represents a base-model-level capacity independent of specific tools, modules, or applications. We characterize the holistic process underlying epistemic agency, which unfolds in seven interrelated dimensions: prediction, decision-making, perception, memory, counterfactual thinking, belief updating, and meta-reflection. Correspondingly, we propose Reflection-Bench, a cognitive-psychology-inspired benchmark consisting of seven tasks with long-term relevance and minimization of data leakage. Through a comprehensive evaluation of 16 models using three prompting strategies, we identify a clear three-tier performance hierarchy and significant limitations of current LLMs, particularly in meta-reflection capabilities. While state-of-the-art LLMs demonstrate rudimentary signs of epistemic agency, our findings suggest several promising research directions, including enhancing core cognitive functions, improving cross-functional coordination, and developing adaptive processing mechanisms. Our code and data are available at https://github.com/AI45Lab/ReflectionBench.

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A Family of Robust Generalized Adaptive Filters and Application for Time-series Prediction

The continuous development of new adaptive filters (AFs) based on novel cost functions (CFs) is driven by the demands of various application scenarios and noise environments. However, these algorithms typically demonstrate optimal performance only in specific conditions. In the event of the noise change, the performance of these AFs often declines, rendering simple parameter adjustments ineffective. Instead, a modification of the CF is necessary. To address this issue, the robust generalized adaptive AF (RGA-AF) with strong adaptability and flexibility is proposed in this paper. The flexibility of the RGA-AF's CF allows for smooth adaptation to varying noise environments through parameter adjustments, ensuring optimal filtering performance in diverse scenarios. Moreover, we introduce several fundamental properties of negative RGA (NRGA) entropy and present the negative asymmetric RGA-AF (NAR-GA-AF) and kernel recursive NRGA-AF (KRNRGA-AF). These AFs address asymmetric noise distribution and nonlinear filtering issues, respectively. Simulations of linear system identification and time-series prediction for Chua's circuit under different noise environments demonstrate the superiority of the proposed algorithms in comparison to existing techniques.

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Transient Error Analysis of the LMS and RLS Algorithm for Graph Signal Estimation

Recently, the proposal of the least mean square (LMS) and recursive least squares (RLS) algorithm for graph signal processing (GSP) provides excellent solutions for processing signals defined on irregular structures such as sensor networks. The existing work has completed the steady state error analysis of the GSP LMS algorithm and GSP RLS algorithm in Gaussian noise scenarios, and a range of values for the step size of the GSP LMS algorithm has also been given. Meanwhile, the transient error analysis of the GSP LMS algorithm and GSP RLS algorithm is also important and challenging. Completing the above work will help to quantitatively analyze the performance of the graph signal adaptive estimation algorithm at transient moments, which is what this paper is working on. By using formula derivation and mathematical induction, the transient errors expressions of the GSP LMS and GSP RLS algorithm are given in this paper. Based on the Brazilian temperature datasets, the related simulation experiments are executed, which strongly demonstrate the correctness of our proposed theoretical analysis

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Diffusion Augmented Complex Maximum Total Correntropy Algorithm for Power System Frequency Estimation

Currently, adaptive filtering algorithms have been widely applied in frequency estimation for power systems. However, research on diffusion tasks remains insufficient. Existing diffusion adaptive frequency estimation algorithms exhibit certain limitations in handling input noise and lack robustness against impulsive noise. Moreover, traditional adaptive filtering algorithms designed based on the strictly-linear (SL) model fail to effectively address frequency estimation challenges in unbalanced three-phase power systems. To address these issues, this letter proposes an improved diffusion augmented complex maximum total correntropy (DAMTCC) algorithm based on the widely linear (WL) model. The proposed algorithm not only significantly enhances the capability to handle input noise but also demonstrates superior robustness to impulsive noise. Furthermore, it successfully resolves the critical challenge of frequency estimation in unbalanced three-phase power systems, offering an efficient and reliable solution for diffusion power system frequency estimation. Finally, we analyze the stability of the algorithm and computer simulations verify the excellent performance of the algorithm.

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Adaptive Robust Unscented Kalman Filter for Dynamic State Estimation of Power System

Non-Gaussian noise and the uncertainty of noise distribution are the common factors that reduce accuracy in dynamic state estimation of power systems (PS). In addition, the optimal value of the free coefficients in the unscented Kalman filter (UKF) based on information theoretic criteria is also an urgent problem. In this paper, a robust adaptive UKF (AUKF) under generalized minimum mixture error entropy with fiducial points (GMMEEF) over improve Snow Geese algorithm (ISGA) (ISGA-GMMEEF-AUKF) is proposed to overcome the above difficulties. The estimation process of the proposed algorithm is based on several key steps including augmented regression error model (AREM) construction, adaptive state estimation, and free coefficients optimization. Specifically, an AREM consisting of state prediction and measurement errors is established at the first step. Then, GMMEEF-AUKF is developed by solving the optimization problem based on GMMEEF, which uses a generalized Gaussian kernel combined with mixture correntropy to enhance the flexibility further and resolve the data problem with complex attributes and update the noise covariance matrix according to the AREM framework. Finally, the ISGA is designed to automatically calculate the optimal value of coefficients such as the shape coefficients of the kernel in the GMMEEF criterion, the coefficients selection sigma points in unscented transform, and the update coefficient of the noise covariance matrices fit with the PS model. Simulation results on the IEEE 14, 30, and 57-bus test systems in complex scenarios have confirmed that the proposed algorithm outperforms the MEEF-UKF and UKF by an average efficiency of 26% and 65%, respectively.

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ESC-Eval: Evaluating Emotion Support Conversations in Large Language Models

Emotion Support Conversation (ESC) is a crucial application, which aims to reduce human stress, offer emotional guidance, and ultimately enhance human mental and physical well-being. With the advancement of Large Language Models (LLMs), many researchers have employed LLMs as the ESC models. However, the evaluation of these LLM-based ESCs remains uncertain. Inspired by the awesome development of role-playing agents, we propose an ESC Evaluation framework (ESC-Eval), which uses a role-playing agent to interact with ESC models, followed by a manual evaluation of the interactive dialogues. In detail, we first re-organize 2,801 role-playing cards from seven existing datasets to define the roles of the role-playing agent. Second, we train a specific role-playing model called ESC-Role which behaves more like a confused person than GPT-4. Third, through ESC-Role and organized role cards, we systematically conduct experiments using 14 LLMs as the ESC models, including general AI-assistant LLMs (ChatGPT) and ESC-oriented LLMs (ExTES-Llama). We conduct comprehensive human annotations on interactive multi-turn dialogues of different ESC models. The results show that ESC-oriented LLMs exhibit superior ESC abilities compared to general AI-assistant LLMs, but there is still a gap behind human performance. Moreover, to automate the scoring process for future ESC models, we developed ESC-RANK, which trained on the annotated data, achieving a scoring performance surpassing 35 points of GPT-4. Our data and code are available at https://github.com/AIFlames/Esc-Eval.

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Robust Square Root Unscented Kalman filter of graph signals

Considering the problem of nonlinear and non-gaussian filtering of the graph signal, in this paper, a robust square root unscented Kalman filter based on graph signal processing is proposed. The algorithm uses a graph topology to generate measurements and an unscented transformation is used to obtain the priori state estimates. In addition, in order to enhance the numerical stability of the unscented Kalman filter, the algorithm combines the double square root decomposition method to update the covariance matrix in the graph frequency domain. Furthermore, to handle the non-Gaussian noise problem in the state estimation process, an error augmentation model is constructed in the graph frequency domain by unifying the measurement error and state error, which utilizes the Laplace matrix of the graph to effectively reduce the cumulative error at each vertex. Then the general robust cost function is adopted as the optimal criterion to deal with the error, which has more parameter options so that effectively suppresses the problems of random outliers and abnormal measurement values in the state estimation process. Finally, the convergence of the error of the proposed algorithm is firstly verified theoretically, and then the robustness of the proposed algorithm is verified by experimental simulation.

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MLLMGuard: A Multi-dimensional Safety Evaluation Suite for Multimodal Large Language Models

Powered by remarkable advancements in Large Language Models (LLMs), Multimodal Large Language Models (MLLMs) demonstrate impressive capabilities in manifold tasks. However, the practical application scenarios of MLLMs are intricate, exposing them to potential malicious instructions and thereby posing safety risks. While current benchmarks do incorporate certain safety considerations, they often lack comprehensive coverage and fail to exhibit the necessary rigor and robustness. For instance, the common practice of employing GPT-4V as both the evaluator and a model to be evaluated lacks credibility, as it tends to exhibit a bias toward its own responses. In this paper, we present MLLMGuard, a multidimensional safety evaluation suite for MLLMs, including a bilingual image-text evaluation dataset, inference utilities, and a lightweight evaluator. MLLMGuard's assessment comprehensively covers two languages (English and Chinese) and five important safety dimensions (Privacy, Bias, Toxicity, Truthfulness, and Legality), each with corresponding rich subtasks. Focusing on these dimensions, our evaluation dataset is primarily sourced from platforms such as social media, and it integrates text-based and image-based red teaming techniques with meticulous annotation by human experts. This can prevent inaccurate evaluation caused by data leakage when using open-source datasets and ensures the quality and challenging nature of our benchmark. Additionally, a fully automated lightweight evaluator termed GuardRank is developed, which achieves significantly higher evaluation accuracy than GPT-4. Our evaluation results across 13 advanced models indicate that MLLMs still have a substantial journey ahead before they can be considered safe and responsible.

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An Improved Robust Total Logistic Distance Metric algorithm for Generalized Gaussian Noise and Noisy Input

Although the known maximum total generalized correntropy (MTGC) and generalized maximum blakezisserman total correntropy (GMBZTC) algorithms can maintain good performance under the errors-in-variables (EIV) model disrupted by generalized Gaussian noise, their requirement for manual ad-justment of parameters is excessive, greatly increasing the practical difficulty of use. To solve this problem, the total arctangent based on logical distance metric (TACLDM) algo-rithm is proposed by utilizing the advantage of few parameters in logical distance metric (LDM) theory and the convergence behavior is improved by the arctangent function. Compared with other competing algorithms, the TACLDM algorithm not only has fewer parameters, but also has better robustness to generalized Gaussian noise and significantly reduces the steady-state error. Furthermore, the analysis of the algorithm in the generalized Gaussian noise environment is analyzed in detail in this paper. Finally, computer simulations demonstrate the outstanding performance of the TACLDM algorithm and the rigorous theoretical deduction in this paper.

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OVEL: Large Language Model as Memory Manager for Online Video Entity Linking

In recent years, multi-modal entity linking (MEL) has garnered increasing attention in the research community due to its significance in numerous multi-modal applications. Video, as a popular means of information transmission, has become prevalent in people's daily lives. However, most existing MEL methods primarily focus on linking textual and visual mentions or offline videos's mentions to entities in multi-modal knowledge bases, with limited efforts devoted to linking mentions within online video content. In this paper, we propose a task called Online Video Entity Linking OVEL, aiming to establish connections between mentions in online videos and a knowledge base with high accuracy and timeliness. To facilitate the research works of OVEL, we specifically concentrate on live delivery scenarios and construct a live delivery entity linking dataset called LIVE. Besides, we propose an evaluation metric that considers timelessness, robustness, and accuracy. Furthermore, to effectively handle OVEL task, we leverage a memory block managed by a Large Language Model and retrieve entity candidates from the knowledge base to augment LLM performance on memory management. The experimental results prove the effectiveness and efficiency of our method.

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Adaptive Unscented Kalman Filter under Minimum Error Entropy with Fiducial Points for Non-Gaussian Systems

The minimum error entropy (MEE) has been extensively used in unscented Kalman filter (UKF) to handle impulsive noises or abnormal measurement data in non-Gaussian systems. However, the MEE-UKF has poor numerical stability due to the inverse operation of singular matrix. In this paper, a novel UKF based on minimum error entropy with fiducial points (MEEF) is proposed \textcolor{black}{to improve the problem of non-positive definite key matrix. By adding the correntropy to the error entropy, the proposed algorithm further enhances the ability of suppressing impulse noise and outliers. At the same time, considering the uncertainty of noise distribution, the modified Sage-Husa estimator of noise statistics is introduced to adaptively update the noise covariance matrix. In addition, the convergence analysis of the proposed algorithm provides a guidance for the selection of kernel width. The robustness and estimation accuracy of the proposed algorithm are manifested by the state tracking examples under complex non-Gaussian noises.

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Generalized Minimum Error with Fiducial Points Criterion for Robust Learning

The conventional Minimum Error Entropy criterion (MEE) has its limitations, showing reduced sensitivity to error mean values and uncertainty regarding error probability density function locations. To overcome this, a MEE with fiducial points criterion (MEEF), was presented. However, the efficacy of the MEEF is not consistent due to its reliance on a fixed Gaussian kernel. In this paper, a generalized minimum error with fiducial points criterion (GMEEF) is presented by adopting the Generalized Gaussian Density (GGD) function as kernel. The GGD extends the Gaussian distribution by introducing a shape parameter that provides more control over the tail behavior and peakedness. In addition, due to the high computational complexity of GMEEF criterion, the quantized idea is introduced to notably lower the computational load of the GMEEF-type algorithm. Finally, the proposed criterions are introduced to the domains of adaptive filter, kernel recursive algorithm, and multilayer perceptron. Several numerical simulations, which contain system identification, acoustic echo cancellation, times series prediction, and supervised classification, indicate that the novel algorithms' performance performs excellently.

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Robust Total Least Mean M-Estimate normalized subband filter Adaptive Algorithm for impulse noises and noisy inputs

When the input signal is correlated input signals, and the input and output signal is contaminated by Gaussian noise, the total least squares normalized subband adaptive filter (TLS-NSAF) algorithm shows good performance. However, when it is disturbed by impulse noise, the TLS-NSAF algorithm shows the rapidly deteriorating convergence performance. To solve this problem, this paper proposed the robust total minimum mean M-estimator normalized subband filter (TLMM-NSAF) algorithm. In addition, this paper also conducts a detailed theoretical performance analysis of the TLMM-NSAF algorithm and obtains the stable step size range and theoretical steady-state mean squared deviation (MSD) of the algorithm. To further improve the performance of the algorithm, we also propose a new variable step size (VSS) method of the algorithm. Finally, the robustness of our proposed algorithm and the consistency of theoretical and simulated values are verified by computer simulations of system identification and echo cancellation under different noise models.

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L0-norm constraint normalized subband adaptive filtering algorithm: Performance development and AEC application

Limited by fixed step-size and sparsity penalty factor, the conventional sparsity-aware normalized subband adaptive filtering (NSAF) type algorithms suffer from trade-off requirements of high filtering accurateness and quicker convergence behavior for sparse system identification. To deal with this problem, this paper proposes variable step-size L0-norm constraint NSAF algorithms (VSS-L0-NSAFs). We first analyze mean-square-deviation (MSD) statistics behavior of the L0-NSAF innovatively in according to novel weight recursion form and arrive at corresponding expressions for the cases that background noise variance is available and unavailable, where correlation degree of system input is indicated by scaling parameter r. Based on derivations, we develop an effective variable step-size scheme through minimizing the upper bounds of the MSD under some reasonable assumptions and lemma. Furthermore, an effective reset strategy is incorporated into presented algorithms to tackle with non-stationary situations. Finally, numerical simulations corroborate that the proposed algorithms achieve better performance in terms of estimation accurateness and tracking capability in comparison with existing related algorithms in sparse system identification and adaptive echo cancellation circumstances.

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