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Kevin Baum

Publications and source records attributed to Kevin Baum.

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Norms at a Price: Why RL-Based Alignment Can Promise Conditional Compliance at Best

AI agents sometimes act aligned when they infer they are being tested, and differently when not. We argue this is not an anomaly but what current training regimes are structured to select for. Reinforcement-learning-based alignment folds norms and task pursuit into one policy: the system learns its norms from scored behavior, and scoring flattens them. Do not do X is learned as doing X costs something if noticed. On every datum training can produce, a policy that complies only when it might be observed is indistinguishable from one that complies always. The experiment that would tell them apart - scoring unobserved behavior - is a contradiction in terms. Conditional compliance is thus the most that behavioral training can be known to deliver. Agency sharpens the problem: agents operate mostly where no one is watching, and can act on whether they are watched. An iterated pipeline that trains against detected failures selects for passing detection, not for complying. This account unifies alignment faking, sandbagging, and evaluation-aware scheming. And it reorients the remedy: not deeper internalization but architecture, making violations unavailable rather than unchosen.

cs.AI

Modularizing Educational LLM-Agency for Fostering Responsible Learning Assistance

The widespread adoption of AI chatbots in education will drastically change learning, making responsible deployment a critical concern. While large language models (LLMs) might have access to sources discussing insights from educational sciences, they are not particularly inclined to adhere to pedagogical concepts, risking negative effects on the learning process, such as a loss of transfer capabilities, critical thinking, or creativity. In this paper, we introduce an agentic AI chatbot architecture assisting students with exercise solving, specifically designed to contribute to more responsible AI use in education. We base our conceptual development on the identification of several desiderata for responsible LLM-based educational systems, argue for the structural shortcomings inherent in monolithic, out-of-the-box solutions, and instead suggest modularizing the agentic architecture. We propose specific modules for different stages of exercise solving, enabling incorporation of targeted pedagogical advice, guiding students through the learning process in a more controllable, transparent, and overseeable manner.

cs.AI

Keeping an Eye on AI: A Framework for Effective Human Oversight of AI Systems

The use of Artificial Intelligence (AI) in high-risk, decision-making scenarios presents technical, safety, and normative challenges; problems that may only be ameliorated by human oversight. However, notions of human oversight lack a common foundational understanding: oversight architectures are not well defined, the roles involved remain unclear, and implementation steps are opaque. Hence, researchers and practitioners struggle to determine how to design, implement, and evaluate systems that enable effective human oversight. This paper advances a practical framework for effective human oversight of AI systems, based on a cross-disciplinary perspective that draws on insights from computer science, human-computer interaction, psychology, philosophy, and law. The core contributions are: (1) a foundational framework, with a working definition, architecture and processes for effective human oversight of AI systems; (2) an initial template for documenting oversight architectures and processes, applied to diverse domains; and (3) a synthesis of open research challenges that need to be considered in the emerging field of effective human oversight of AI systems.

cs.CY

Constitutive vs. Corrective: A Causal Taxonomy of Human Runtime Involvement in AI Systems

As AI systems permeate high-stakes decision-making, the terminology of human involvement---Human-in-the-Loop (HITL), Human-on-the-Loop (HOTL), and Human Oversight---has become vexingly ambiguous. This complicates interdisciplinary collaboration between computer science, law, philosophy, psychology, and sociology and breeds regulatory uncertainty. We propose a clarification grounded in causal structure, focused on runtime involvement. The distinction between HITL and HOTL is best drawn not spatially---in terms of a human's position "in" or "on" a loop---but causally: HITL is constitutive (a human contribution is necessary for the decision output), while HOTL is corrective (external to the primary causal chain, capable of preventing or modifying outputs). Within HOTL, we distinguish temporal modes---synchronous, asynchronous, and anticipatory---situated in a nested model of provider and deployer runtime. A second, orthogonal dimension captures cognitive integration: whether human and machine form complementary or hybrid intelligence, yielding four distinct configurations. Finally, we separate these descriptive categories from the normative requirements they serve: statutory "Human Oversight" is a normative mode of HOTL demanding not merely a corrective causal position but genuine preparedness and capacity for effective intervention. Because the same person may occupy both roles, this role duality must be treated as a design problem requiring architectural and epistemic mitigation.

cs.CY

Breaking Up with Normatively Monolithic Agency with GRACE: A Reason-Based Neuro-Symbolic Architecture for Safe and Ethical AI Alignment

As AI agents become increasingly autonomous, widely deployed in consequential contexts, and efficacious in bringing about real-world impacts, ensuring that their decisions are not only instrumentally effective but also normatively aligned has become critical. We introduce a neuro-symbolic reason-based containment architecture, Governor for Reason-Aligned ContainmEnt (GRACE), that decouples normative reasoning from instrumental decision-making and can contain AI agents of virtually any design. GRACE restructures decision-making into three modules: a Moral Module (MM) that determines permissible macro actions via deontic logic-based reasoning; a Decision-Making Module (DMM) that encapsulates the target agent while selecting instrumentally optimal primitive actions in accordance with derived macro actions; and a Guard that monitors and enforces moral compliance. The MM uses a reason-based formalism providing a semantic foundation for deontic logic, enabling interpretability, contestability, and justifiability. Its symbolic representation enriches the DMM's informational context and supports formal verification and statistical guarantees of alignment enforced by the Guard. We demonstrate GRACE on an example of a LLM therapy assistant, showing how it enables stakeholders to understand, contest, and refine agent behavior.

cs.AI

Secure human oversight of AI: Threat modeling in a socio-technical context

Human oversight of AI is promoted as a safeguard against risks such as inaccurate outputs, system malfunctions, or violations of fundamental rights, and is mandated in regulation like the European AI Act. Yet debates on human oversight have largely focused on its effectiveness, while overlooking a critical dimension: the security of human oversight. We argue that human oversight creates a new attack surface within the safety, security, and accountability architecture of AI operations. Drawing on cybersecurity perspectives, we model human oversight as an IT application for the purpose of systematic threat modeling of the human oversight process. Threat modeling allows us to identify security risks within human oversight and points towards possible mitigation strategies. Our contributions are: (1) introducing a security perspective on human oversight, (2) offering researchers and practitioners guidance on how to approach their human oversight applications from a security point of view, and (3) providing a systematic overview of attack vectors and hardening strategies to enable secure human oversight of AI.

cs.CR

Justifications for Democratizing AI Alignment and Their Prospects

The AI alignment problem comprises both technical and normative dimensions. While technical solutions focus on implementing normative constraints in AI systems, the normative problem concerns determining what these constraints should be. This paper examines justifications for democratic approaches to the normative problem -- where affected stakeholders determine AI alignment -- as opposed to epistocratic approaches that defer to normative experts. We analyze both instrumental justifications (democratic approaches produce better outcomes) and non-instrumental justifications (democratic approaches prevent illegitimate authority or coercion). We argue that normative and metanormative uncertainty create a justificatory gap that democratic approaches aim to fill through political rather than theoretical justification. However, we identify significant challenges for democratic approaches, particularly regarding the prevention of illegitimate coercion through AI alignment. Our analysis suggests that neither purely epistocratic nor purely democratic approaches may be sufficient on their own, pointing toward hybrid frameworks that combine expert judgment with participatory input alongside institutional safeguards against AI monopolization.

cs.CY

Disentangling AI Alignment: A Structured Taxonomy Beyond Safety and Ethics

Recent advances in AI research make it increasingly plausible that artificial agents with consequential real-world impact will soon operate beyond tightly controlled environments. Ensuring that these agents are not only safe but that they adhere to broader normative expectations is thus an urgent interdisciplinary challenge. Multiple fields -- notably AI Safety, AI Alignment, and Machine Ethics -- claim to contribute to this task. However, the conceptual boundaries and interrelations among these domains remain vague, leaving researchers without clear guidance in positioning their work. To address this meta-challenge, we develop a structured conceptual framework for understanding AI alignment. Rather than focusing solely on alignment goals, we introduce a taxonomy distinguishing the alignment aim (safety, ethicality, legality, etc.), scope (outcome vs. execution), and constituency (individual vs. collective). This structural approach reveals multiple legitimate alignment configurations, providing a foundation for practical and philosophical integration across domains, and clarifying what it might mean for an agent to be aligned all-things-considered.

cs.CY

On the Complexities of Testing for Compliance with Human Oversight Requirements in AI Regulation

Human oversight requirements are a core component of the European AI Act and in AI governance. In this paper, we highlight key challenges in testing for compliance with these requirements. A central difficulty lies in balancing simple, but potentially ineffective checklist-based approaches with resource-intensive and context-sensitive empirical testing of the effectiveness of human oversight of AI. Questions regarding when to update compliance testing, the context-dependent nature of human oversight requirements, and difficult-to-operationalize standards further complicate compliance testing. We argue that these challenges illustrate broader challenges in the future of sociotechnical AI governance, i.e. a future that shifts from ensuring good technological products to good sociotechnical systems.

cs.HC

Acting for the Right Reasons: Creating Reason-Sensitive Artificial Moral Agents

We propose an extension of the reinforcement learning architecture that enables moral decision-making of reinforcement learning agents based on normative reasons. Central to this approach is a reason-based shield generator yielding a moral shield that binds the agent to actions that conform with recognized normative reasons so that our overall architecture restricts the agent to actions that are (internally) morally justified. In addition, we describe an algorithm that allows to iteratively improve the reason-based shield generator through case-based feedback from a moral judge.

cs.AI

Soft Begging: Modular and Efficient Shielding of LLMs against Prompt Injection and Jailbreaking based on Prompt Tuning

Prompt injection (both direct and indirect) and jailbreaking are now recognized as significant issues for large language models (LLMs), particularly due to their potential for harm in application-integrated contexts. This extended abstract explores a novel approach to protecting LLMs from such attacks, termed "soft begging." This method involves training soft prompts to counteract the effects of corrupted prompts on the LLM's output. We provide an overview of prompt injections and jailbreaking, introduce the theoretical basis of the "soft begging" technique, and discuss an evaluation of its effectiveness.

cs.CR

On the Quest for Effectiveness in Human Oversight: Interdisciplinary Perspectives

Human oversight is currently discussed as a potential safeguard to counter some of the negative aspects of high-risk AI applications. This prompts a critical examination of the role and conditions necessary for what is prominently termed effective or meaningful human oversight of these systems. This paper investigates effective human oversight by synthesizing insights from psychological, legal, philosophical, and technical domains. Based on the claim that the main objective of human oversight is risk mitigation, we propose a viable understanding of effectiveness in human oversight: for human oversight to be effective, the oversight person has to have (a) sufficient causal power with regard to the system and its effects, (b) suitable epistemic access to relevant aspects of the situation, (c) self-control, and (d) fitting intentions for their role. Furthermore, we argue that this is equivalent to saying that an oversight person is effective if and only if they are morally responsible and have fitting intentions. Against this backdrop, we suggest facilitators and inhibitors of effectiveness in human oversight when striving for practical applicability. We discuss factors in three domains, namely, the technical design of the system, individual factors of oversight persons, and the environmental circumstances in which they operate. Finally, this paper scrutinizes the upcoming AI Act of the European Union -- in particular Article 14 on Human Oversight -- as an exemplary regulatory framework in which we study the practicality of our understanding of effective human oversight. By analyzing the provisions and implications of the European AI Act proposal, we pinpoint how far that proposal aligns with our analyses regarding effective human oversight as well as how it might get enriched by our conceptual understanding of effectiveness in human oversight.

cs.CY

Software Doping Analysis for Human Oversight

This article introduces a framework that is meant to assist in mitigating societal risks that software can pose. Concretely, this encompasses facets of software doping as well as unfairness and discrimination in high-risk decision-making systems. The term software doping refers to software that contains surreptitiously added functionality that is against the interest of the user. A prominent example of software doping are the tampered emission cleaning systems that were found in millions of cars around the world when the diesel emissions scandal surfaced. The first part of this article combines the formal foundations of software doping analysis with established probabilistic falsification techniques to arrive at a black-box analysis technique for identifying undesired effects of software. We apply this technique to emission cleaning systems in diesel cars but also to high-risk systems that evaluate humans in a possibly unfair or discriminating way. We demonstrate how our approach can assist humans-in-the-loop to make better informed and more responsible decisions. This is to promote effective human oversight, which will be a central requirement enforced by the European Union's upcoming AI Act. We complement our technical contribution with a juridically, philosophically, and psychologically informed perspective on the potential problems caused by such systems.

cs.CY

Explainability Auditing for Intelligent Systems: A Rationale for Multi-Disciplinary Perspectives

National and international guidelines for trustworthy artificial intelligence (AI) consider explainability to be a central facet of trustworthy systems. This paper outlines a multi-disciplinary rationale for explainability auditing. Specifically, we propose that explainability auditing can ensure the quality of explainability of systems in applied contexts and can be the basis for certification as a means to communicate whether systems meet certain explainability standards and requirements. Moreover, we emphasize that explainability auditing needs to take a multi-disciplinary perspective, and we provide an overview of four perspectives (technical, psychological, ethical, legal) and their respective benefits with respect to explainability auditing.

cs.CY

What Do We Want From Explainable Artificial Intelligence (XAI)? -- A Stakeholder Perspective on XAI and a Conceptual Model Guiding Interdisciplinary XAI Research

Previous research in Explainable Artificial Intelligence (XAI) suggests that a main aim of explainability approaches is to satisfy specific interests, goals, expectations, needs, and demands regarding artificial systems (we call these stakeholders' desiderata) in a variety of contexts. However, the literature on XAI is vast, spreads out across multiple largely disconnected disciplines, and it often remains unclear how explainability approaches are supposed to achieve the goal of satisfying stakeholders' desiderata. This paper discusses the main classes of stakeholders calling for explainability of artificial systems and reviews their desiderata. We provide a model that explicitly spells out the main concepts and relations necessary to consider and investigate when evaluating, adjusting, choosing, and developing explainability approaches that aim to satisfy stakeholders' desiderata. This model can serve researchers from the variety of different disciplines involved in XAI as a common ground. It emphasizes where there is interdisciplinary potential in the evaluation and the development of explainability approaches.

cs.AI

Towards a Framework Combining Machine Ethics and Machine Explainability

We find ourselves surrounded by a rapidly increasing number of autonomous and semi-autonomous systems. Two grand challenges arise from this development: Machine Ethics and Machine Explainability. Machine Ethics, on the one hand, is concerned with behavioral constraints for systems, so that morally acceptable, restricted behavior results; Machine Explainability, on the other hand, enables systems to explain their actions and argue for their decisions, so that human users can understand and justifiably trust them. In this paper, we try to motivate and work towards a framework combining Machine Ethics and Machine Explainability. Starting from a toy example, we detect various desiderata of such a framework and argue why they should and how they could be incorporated in autonomous systems. Our main idea is to apply a framework of formal argumentation theory both, for decision-making under ethical constraints and for the task of generating useful explanations given only limited knowledge of the world. The result of our deliberations can be described as a first version of an ethically motivated, principle-governed framework combining Machine Ethics and Machine Explainability

cs.AI