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Han Bao

Publications and source records attributed to Han Bao.

At least 37 records · Page 2Linked to original sources

AI Alignment Breaks at the Edge

General Alignment has improved average-case helpfulness and safety, but current alignment practice still rewards confident, single-turn responses. The problem is not only that models fail on edge cases; it is that current evaluation makes many of these failures hard to see. We take the position that alignment must move beyond average-case evaluation by making failures under value conflict, plural stakeholder disagreement, and epistemic ambiguity visible and actionable. Scalar rewards compress diverse values into a single number; data and evaluation regimes collapse, filter, or fail to elicit the cases where alignment is hardest; and governance often lacks mechanisms for adjudicating contested cases. These blind spots produce value flattening, representation loss, and uncertainty blindness. We use Edge alignment to name a detection, evaluation, and governance agenda for surfacing these failures and connecting them to appropriate interventions. Rather than a single training objective, Edge alignment defines the conditions under which standard alignment should yield to mechanisms that preserve multidimensional value structure, represent plural perspectives, and support uncertainty-aware interaction. A pilot diagnostic set of 91 edge cases and four contemporary models illustrates that ordinary helpfulness and safety readings can miss process failures that edge-aware evaluation exposes. We outline operational edge signals, process-aware evaluation criteria, and a three-phase process stack that reframes alignment as a lifecycle problem of dynamic normative governance.

cs.CL↗

On the Trustworthiness of Generative Foundation Models: Guideline, Assessment, and Perspective

Generative Foundation Models (GenFMs) have emerged as transformative tools. However, their widespread adoption raises critical concerns regarding trustworthiness across dimensions. This paper presents a comprehensive framework to address these challenges through three key contributions. First, we systematically review global AI governance laws and policies from governments and regulatory bodies, as well as industry practices and standards. Based on this analysis, we propose a set of guiding principles for GenFMs, developed through extensive multidisciplinary collaboration that integrates technical, ethical, legal, and societal perspectives. Second, we introduce TrustGen, the first dynamic benchmarking platform designed to evaluate trustworthiness across multiple dimensions and model types, including text-to-image, large language, and vision-language models. TrustGen leverages modular components--metadata curation, test case generation, and contextual variation--to enable adaptive and iterative assessments, overcoming the limitations of static evaluation methods. Using TrustGen, we reveal significant progress in trustworthiness while identifying persistent challenges. Finally, we provide an in-depth discussion of the challenges and future directions for trustworthy GenFMs, which reveals the complex, evolving nature of trustworthiness, highlighting the nuanced trade-offs between utility and trustworthiness, and consideration for various downstream applications, identifying persistent challenges and providing a strategic roadmap for future research. This work establishes a holistic framework for advancing trustworthiness in GenAI, paving the way for safer and more responsible integration of GenFMs into critical applications. To facilitate advancement in the community, we release the toolkit for dynamic evaluation.

cs.CY↗

Non-Stationary Online Structured Prediction with Surrogate Losses

Online structured prediction, including online classification as a special case, is the task of sequentially predicting labels from input features. In this setting, the surrogate regret -- the cumulative excess of the actual target loss (e.g., the 0-1 loss) over the surrogate loss (e.g., the logistic loss) incurred by the best fixed estimator -- has gained attention because it admits a finite bound independent of the time horizon $T$. However, such guarantees break down in non-stationary environments, where every fixed estimator may incur surrogate loss that grows linearly with $T$. To address this limitation, we obtain an upper bound of $F_T + O(1 + P_T)$ on the cumulative target loss, where $F_T$ is the cumulative surrogate loss of any comparator sequence and $P_T$ is its path length. This bound depends on $T$ only through $F_T$ and $P_T$, thus offering stronger guarantees under non-stationarity. Our core idea is to combine the dynamic regret analysis of online gradient descent (OGD) with the exploit-the-surrogate-gap technique. This viewpoint sheds light on the usefulness of a Polyak-style learning rate for OGD, which systematically yields target-loss bounds and performs well empirically. We then extend our approach to broader settings beyond prior work via the convolutional Fenchel--Young loss. Finally, a lower bound shows that the dependence on $F_T$ and $P_T$ is tight.

cs.LG↗

SkillGen: Verified Inference-Time Agent Skill Synthesis

Skills are a promising way to improve LLM agent capabilities without retraining, while keeping the added procedure reusable and controllable. However, high-quality skills are still largely written by hand. We introduce SkillGen, a multi-agent framework that synthesizes a single auditable skill from trajectories generated by a base agent. The output is a human-readable artifact that can be inspected before use. Rather than merely summarizing trajectories, SkillGen leverages contrastive induction over both successful and failed trajectories to identify reusable success patterns, recurring failure modes, and behaviors that appear in nearby successes but are missing from failures. SkillGen then generates candidate skills and iteratively refines the skill. A key novelty in SkillGen is that we model agent skills as interventions to empirically verify the net effect of skills on the overall performance. Specifically, we compare outcomes on the same instances with and without the skill, so that we account for both repairs (cases where the skill fixes a baseline failure) and regressions (cases where the skill breaks a baseline success). Across a broad range of agents and datasets, SkillGen consistently improves held-out performance, outperforms existing skill-generation baselines, and produces skills that transfer across models.

cs.LG↗

PolicyLLM: Towards Excellent Comprehension of Public Policy for Large Language Models

Large Language Models (LLMs) are increasingly integrated into real-world decision-making, including in the domain of public policy. Yet, their ability to comprehend and reason about policy-related content remains underexplored. To fill this gap, we present \textbf{\textit{PolicyBench}}, the first large-scale cross-system benchmark (US-China) evaluating policy comprehension, comprising 21K cases across a broad spectrum of policy areas, capturing the diversity and complexity of real-world governance. Following Bloom's taxonomy, the benchmark assesses three core capabilities: (1) \textbf{Memorization}: factual recall of policy knowledge, (2) \textbf{Understanding}: conceptual and contextual reasoning, and (3) \textbf{Application}: problem-solving in real-life policy scenarios. Building on this benchmark, we further propose \textbf{\textit{PolicyMoE}}, a domain-specialized Mixture-of-Experts (MoE) model with expert modules aligned to each cognitive level. The proposed models demonstrate stronger performance on application-oriented policy tasks than on memorization or conceptual understanding, and yields the highest accuracy on structured reasoning tasks. Our results reveal key limitations of current LLMs in policy understanding and suggest paths toward more reliable, policy-focused models.

cs.CL↗

Guardian-as-an-Advisor: Advancing Next-Generation Guardian Models for Trustworthy LLMs

Hard-gated safety checkers often over-refuse and misalign with a vendor's model spec; prevailing taxonomies also neglect robustness and honesty, yielding safer-on-paper yet less useful systems. This work introduces Guardian-as-an-Advisor (GaaA), a soft-gating pipeline where a guardian predicts a binary risk label plus a concise explanation and prepends this advice to the original query for re-inference, keeping the base model operating under its original spec. To support training and evaluation, GuardSet is constructed, a 208k+ multi-domain dataset unifying harmful and harmless cases with targeted robustness and honesty slices. GuardAdvisor is trained via SFT followed by RL to enforce label-explanation consistency. GuardAdvisor attains competitive detection accuracy while enabling the advisory workflow; when used to augment inputs, responses improve over unaugmented prompts. A latency study shows advisor inference uses below 5% of base-model compute and adds only 2-10% end-to-end overhead under realistic harmful-input rates. Overall, GaaA steers models to comply with the model spec, maintaining safety while reducing over-refusal.

cs.LG↗

Flow Matching from Viewpoint of Proximal Operators

We reformulate Optimal Transport Conditional Flow Matching (OT-CFM), a class of dynamical generative models, showing that it admits an exact proximal formulation via an extended Brenier potential, without assuming that the target distribution has a density. In particular, the mapping to recover the target point is exactly given by a proximal operator, which yields an explicit proximal expression of the vector field. We also discuss the convergence of minibatch OT-CFM to the population formulation as the batch size increases. Finally, using second epi-derivatives of convex potentials, we prove that, for manifold-supported targets, OT-CFM is terminally normally hyperbolic: after time rescaling, the dynamics contracts exponentially in directions normal to the data manifold while remaining neutral along tangential directions.

cs.LG↗

BATQuant: Outlier-resilient MXFP4 Quantization via Learnable Block-wise Optimization

Microscaling floating-point (MXFP) formats have emerged as a promising standard for deploying Multi-modal Large Language Models (MLLMs) and Large Language Models (LLMs) on modern accelerator architectures. However, existing Post-Training Quantization (PTQ) methods, particularly rotation-based techniques designed for integer formats, suffer from severe performance collapse when applied to MXFP4. Recent studies attribute this failure to a fundamental format mismatch: global orthogonal rotations inadvertently transfer outlier energy across quantization blocks, inducing new outliers that disrupt local block-wise scaling, while often creating bimodal activation distributions that underutilize the limited quantization range. To address these issues, we propose BATQuant (Block-wise Affine Transformation), which restricts transformations to align with MXFP granularity to prevent cross-block outlier propagation, while relaxing orthogonality constraints to optimize distribution shaping. To ensure parameter efficiency, we introduce Global and Private Kronecker (GPK) decomposition to effectively reduces storage and runtime overhead and incorporate Block-wise Learnable Clipping to suppress residual outliers. Extensive experiments on both MLLMs and LLMs demonstrate that BATQuant establishes new state-of-the-art results under aggressive W4A4KV16 configurations, recovering up to 96.43% of full-precision performance on multimodal benchmarks and clearly outperforming existing methods across diverse tasks.

cs.CL↗

Brenier Isotonic Regression

Isotonic regression (IR) is shape-constrained regression to maintain a univariate fitting curve non-decreasing, which has numerous applications including single-index models and probability calibration. When it comes to multi-output regression, the classical IR is no longer applicable because the monotonicity is not readily extendable. We consider a novel multi-output regression problem where a regression function is \emph{cyclically monotone}. Roughly speaking, a cyclically monotone function is the gradient of some convex potential. Whereas enforcing cyclic monotonicity is apparently challenging, we leverage the fact that Kantorovich's optimal transport (OT) always yields a cyclically monotone coupling as an optimal solution. This perspective naturally allows us to interpret a regression function and the convex potential as a link function in generalized linear models and Brenier's potential in OT, respectively, and hence we call this IR extension \emph{Brenier isotonic regression}. We demonstrate experiments with probability calibration and generalized linear models. In particular, IR outperforms many famous baselines in probability calibration robustly.

stat.ML↗

Proper losses regret at least 1/2-order

A fundamental challenge in machine learning is the choice of a loss as it characterizes our learning task, is minimized in the training phase, and serves as an evaluation criterion for estimators. Proper losses are commonly chosen, ensuring minimizers of the full risk match the true probability vector. Estimators induced from a proper loss are widely used to construct forecasters for downstream tasks such as classification and ranking. In this procedure, how does the forecaster based on the obtained estimator perform well under a given downstream task? This question is substantially relevant to the behavior of the $p$-norm between the estimated and true probability vectors when the estimator is updated. In the proper loss framework, the suboptimality of the estimated probability vector from the true probability vector is measured by a surrogate regret. First, we analyze a surrogate regret and show that the strict properness of a loss is necessary and sufficient to establish a non-vacuous surrogate regret bound. Second, we solve an important open question that the order of convergence in p-norm cannot be faster than the $1/2$-order of surrogate regrets for a broad class of strictly proper losses. This implies that strongly proper losses entail the optimal convergence rate.

stat.ML↗

Evaluating Cross-Modal Reasoning Ability and Problem Characteristics with Multimodal Item Response Theory

Multimodal Large Language Models (MLLMs) have recently emerged as general architectures capable of reasoning over diverse modalities. Benchmarks for MLLMs should measure their ability for cross-modal integration. However, current benchmarks are filled with shortcut questions, which can be solved using only a single modality, thereby yielding unreliable rankings. For example, in vision-language cases, we can find the correct answer without either the image or the text. These low-quality questions unnecessarily increase the size and computational requirements of benchmarks. We introduce a multi-modal and multidimensional item response theory framework (M3IRT) that extends classical IRT by decomposing both model ability and item difficulty into image-only, text-only, and cross-modal components. M3IRT estimates cross-modal ability of MLLMs and each question's cross-modal difficulty, enabling compact, high-quality subsets that better reflect multimodal reasoning. Across 24 VLMs on three benchmarks, M3IRT prioritizes genuinely cross-modal questions over shortcuts and preserves ranking fidelity even when 50% of items are artificially generated low-quality questions, thereby reducing evaluation cost while improving reliability. M3IRT thus offers a practical tool for assessing cross-modal reasoning and refining multimodal benchmarks.

cs.CL↗

Unleashing Low-Bit Inference on Ascend NPUs: A Comprehensive Evaluation of HiFloat Formats

As LLMs scale, low-bit floating-point formats like MXFP and NVFP4 offer new opportunities for precision and efficiency. In this work, we evaluate HiFloat (HiF8 and HiF4), a family of formats tailored for Ascend NPUs. Through rigorous comparison across weight-activation and KV-cache tasks, we provide three key insights: (1) INT8 suits narrow-range data, while floating-point formats excel with high-variance data; (2) in 4-bit regimes, HiF4's hierarchical scaling prevents the accuracy collapse seen in integer formats; and (3) HiFloat is fully compatible with state-of-the-art post-training quantization frameworks. Overall, HiFloat provides a solution for high-efficiency LLM inference on NPUs.

cs.CL↗

Feasible Dose-Response Curves for Continuous Treatments Under Positivity Violations

Positivity violations can complicate estimation and interpretation of causal dose-response curves (CDRCs) for continuous interventions. Weighting-based methods are designed to handle limited overlap, but the resulting weighted targets can be hard to interpret scientifically. Modified treatment policies can be less sensitive to support limitations, yet they typically target policy-defined effects that may not align with the original dose-response question. We develop an approach that addresses limited overlap while remaining close to the scientific target of the CDRC. Our work is motivated by the CHAPAS-3 trial of HIV-positive children in Zambia and Uganda, where clinically relevant efavirenz concentration levels are not uniformly supported across covariate strata. We introduce a diagnostic, the non-overlap ratio, which quantifies, as a function of the target intervention level, the proportion of the population for whom that level is not supported given observed covariates. We also define an individualized most feasible intervention: for each child and target concentration, we retain the target when it is supported, and otherwise map it to the nearest supported concentration. The resulting feasible dose-response curve answers: if we try to set everyone to a given concentration, but it is not realistically attainable for some individuals, what outcome would be expected after shifting those individuals to their nearest attainable concentration? We propose a plug-in g-computation estimator that combines outcome regression with flexible conditional density estimation to learn supported regions and evaluate the feasible estimand. Simulations show reduced bias under positivity violations and recovery of the standard CDRC when support is adequate. An application to CHAPAS-3 yields a stable and interpretable concentration-response summary under realistic support constraints.

stat.ME↗

Opt4GPTQ: Co-Optimizing Memory and Computation for 4-bit GPTQ Quantized LLM Inference on Heterogeneous Platforms

The increasing adoption of large language models (LLMs) on heterogeneous computing platforms poses significant challenges to achieving high inference efficiency. To address these efficiency bottlenecks across diverse platforms, this paper proposes Opt4GPTQ, a practical optimization method designed for 4-bit GPTQ quantized LLMs inference on heterogeneous AI accelerators. Built upon the vLLM serving system, Opt4GPTQ integrates three platform-level optimization strategies: Shared Memory Buffering Optimization (SMB-Opt), which caches frequently accessed data in shared memory and employs single-threaded writes; Vectorized Memory Loading Optimization (VML-Opt), which utilizes vectorized memory operations for efficient data loading; and Inline Assembly Optimization (ILA-Opt), which directly leverages hardwarenative vector half-precision addition and fused multiply-accumulate instructions. Experimental results show that Opt4GPTQ effectively improves performance across various models while maintaining original model accuracy, achieving throughput gains of up to 84.42%. This work highlights the critical role of platformlevel engineering in enabling efficient LLMs inference on emerging architectures and provides valuable methodologies for future heterogeneous platform adaptation.

cs.DC↗

Drift-Bench: Diagnosing Cooperative Breakdowns in LLM Agents under Input Faults via Multi-Turn Interaction

As Large Language Models transition to autonomous agents, user inputs frequently violate cooperative assumptions (e.g., implicit intent, missing parameters, false presuppositions, or ambiguous expressions), creating execution risks that text-only evaluations do not capture. Existing benchmarks typically assume well-specified instructions or restrict evaluation to text-only, single-turn clarification, and thus do not measure multi-turn disambiguation under grounded execution risk. We introduce \textbf{Drift-Bench}, the first diagnostic benchmark that evaluates agentic pragmatics under input faults through multi-turn clarification across state-oriented and service-oriented execution environments. Grounded in classical theories of communication, \textbf{Drift-Bench} provides a unified taxonomy of cooperative breakdowns and employs a persona-driven user simulator with the \textbf{Rise} evaluation protocol. Experiments show substantial performance drops under these faults, with clarification effectiveness varying across user personas and fault types. \MethodName bridges clarification research and agent safety evaluation, enabling systematic diagnosis of failures that can lead to unsafe executions.

cs.AI↗

Boosting Large Language Models for Mental Manipulation Detection via Data Augmentation and Distillation

Mental manipulation on social media poses a covert yet serious threat to individuals' psychological well-being and the integrity of online interactions. Detecting such behavior is challenging due to the difficult-to-annotate training data, its highly covert and multi-turn nature, and the lack of real-world datasets. To address these challenges, we propose MentalMAD, a framework that enhances large language models for mental manipulation detection. Our approach consists of three key components: EvoSA, an annotation-free data augmentation method that combines evolutionary operations with speech-act-aware prompting; teacher-model-generated complementary-task supervision; and Complementary-Convergent Distillation, a phase-wise strategy for transferring manipulation-specific knowledge to student models. We then constructed the ReaMent dataset, comprising 5,000 real-world-sourced dialogues. Extensive experiments show that MentalMAD improves accuracy by 14.0%, macro-F1 by 27.3%, and weighted F1 by 15.1% over the strongest baseline. The code and the dataset are publicly available at https://github.com/Yuansheng-Gao/MentalMAD.

cs.CL↗

DeepSeek-R1: Incentivizing Reasoning Capability in LLMs via Reinforcement Learning

General reasoning represents a long-standing and formidable challenge in artificial intelligence. Recent breakthroughs, exemplified by large language models (LLMs) and chain-of-thought prompting, have achieved considerable success on foundational reasoning tasks. However, this success is heavily contingent upon extensive human-annotated demonstrations, and models' capabilities are still insufficient for more complex problems. Here we show that the reasoning abilities of LLMs can be incentivized through pure reinforcement learning (RL), obviating the need for human-labeled reasoning trajectories. The proposed RL framework facilitates the emergent development of advanced reasoning patterns, such as self-reflection, verification, and dynamic strategy adaptation. Consequently, the trained model achieves superior performance on verifiable tasks such as mathematics, coding competitions, and STEM fields, surpassing its counterparts trained via conventional supervised learning on human demonstrations. Moreover, the emergent reasoning patterns exhibited by these large-scale models can be systematically harnessed to guide and enhance the reasoning capabilities of smaller models.

cs.CL↗

Basis Choices for Frequency Domain Statistical Independence Tests and Algorithms for Algebraic Relation Extraction

In this paper, we explore how different selections of basis functions impact the efficacy of frequency domain techniques in statistical independence tests, and study different algorithms for extracting low-dimensional algebraic relations from dependent data. We examine a range of complete orthonormal bases functions including the Legendre polynomials, Fourier series, Walsh functions, and standard and nonstandard Haar wavelet bases. We utilize fast transformation algorithms to efficiently transform physical domain data to frequency domain coefficients. The main focuses of this paper are the effectiveness of different basis selections in detecting data dependency using frequency domain data, e.g., whether varying basis choices significantly influence statistical power loss for small data with large noise; and on the stability of different optimization formulations for finding proper algebraic relations when data are dependent. We present numerical results to demonstrate the effectiveness of frequency domain-based statistical analysis methods and provide guidance for selecting the proper basis and algorithm to detect a particular type of relations.

math.NA↗