Daily Papers

We introduce TeMLM, a set of transparency-first release artifacts for clinical language models. TeMLM unifies provenance, data transparency, modeling transparency, and governance into a single, machine-checkable release bundle. We define an artifact suite (TeMLM-Card, TeMLM-Datasheet, TeMLM-Provenance) and a lightweight conformance checklist for repeatable auditing. We instantiate the artifacts on Technetium-I, a large-scale synthetic clinical NLP dataset with 498,000 notes, 7.74M PHI entity annotations across 10 types, and ICD-9-CM diagnosis labels, and report reference results for ProtactiniumBERT (about 100 million parameters) on PHI de-identification (token classification) and top-50 ICD-9 code extraction (multi-label classification). We emphasize that synthetic benchmarks are valuable for tooling and process validation, but models should be validated on real clinical data prior to deployment.

Despite its crucial role in research experiments, code correctness is often presumed only on the basis of the perceived quality of results. This assumption comes with the risk of erroneous outcomes and potentially misleading findings. To address this issue, we posit that the current focus on reproducibility should go hand in hand with the emphasis on software quality. We present a case study in which we identify and fix three bugs in widely used implementations of the state-of-the-art Conformer architecture. Through experiments on speech recognition and translation in various languages, we demonstrate that the presence of bugs does not prevent the achievement of good and reproducible results, which however can lead to incorrect conclusions that potentially misguide future research. As a countermeasure, we propose a Code-quality Checklist and release pangoliNN, a library dedicated to testing neural models, with the goal of promoting coding best practices and improving research software quality within the NLP community.

Accuracy is an important concern for suppliers of artificial intelligence (AI) services, but considerations beyond accuracy, such as safety (which includes fairness and explainability), security, and provenance, are also critical elements to engender consumers' trust in a service. Many industries use transparent, standardized, but often not legally required documents called supplier's declarations of conformity (SDoCs) to describe the lineage of a product along with the safety and performance testing it has undergone. SDoCs may be considered multi-dimensional fact sheets that capture and quantify various aspects of the product and its development to make it worthy of consumers' trust. Inspired by this practice, we propose FactSheets to help increase trust in AI services. We envision such documents to contain purpose, performance, safety, security, and provenance information to be completed by AI service providers for examination by consumers. We suggest a comprehensive set of declaration items tailored to AI and provide examples for two fictitious AI services in the appendix of the paper.

Ensuring alignment, which refers to making models behave in accordance with human intentions [1,2], has become a critical task before deploying large language models (LLMs) in real-world applications. For instance, OpenAI devoted six months to iteratively aligning GPT-4 before its release [3]. However, a major challenge faced by practitioners is the lack of clear guidance on evaluating whether LLM outputs align with social norms, values, and regulations. This obstacle hinders systematic iteration and deployment of LLMs. To address this issue, this paper presents a comprehensive survey of key dimensions that are crucial to consider when assessing LLM trustworthiness. The survey covers seven major categories of LLM trustworthiness: reliability, safety, fairness, resistance to misuse, explainability and reasoning, adherence to social norms, and robustness. Each major category is further divided into several sub-categories, resulting in a total of 29 sub-categories. Additionally, a subset of 8 sub-categories is selected for further investigation, where corresponding measurement studies are designed and conducted on several widely-used LLMs. The measurement results indicate that, in general, more aligned models tend to perform better in terms of overall trustworthiness. However, the effectiveness of alignment varies across the different trustworthiness categories considered. This highlights the importance of conducting more fine-grained analyses, testing, and making continuous improvements on LLM alignment. By shedding light on these key dimensions of LLM trustworthiness, this paper aims to provide valuable insights and guidance to practitioners in the field. Understanding and addressing these concerns will be crucial in achieving reliable and ethically sound deployment of LLMs in various applications.

As autonomous AI agents are used in regulated and safety-critical settings, organizations need effective ways to turn policy into enforceable controls. We introduce a regulatory machine learning framework that converts unstructured design artifacts (like PRDs, TDDs, and code) into verifiable runtime guardrails. Our Policy as Prompt method reads these documents and risk controls to build a source-linked policy tree. This tree is then compiled into lightweight, prompt-based classifiers for real-time runtime monitoring. The system is built to enforce least privilege and data minimization. For conformity assessment, it provides complete provenance, traceability, and audit logging, all integrated with a human-in-the-loop review process. Evaluations show our system reduces prompt-injection risk, blocks out-of-scope requests, and limits toxic outputs. It also generates auditable rationales aligned with AI governance frameworks. By treating policies as executable prompts (a policy-as-code for agents), this approach enables secure-by-design deployment, continuous compliance, and scalable AI safety and AI security assurance for regulatable ML.

As large language models are deployed in high-stakes enterprise applications, from healthcare to finance, ensuring adherence to organization-specific policies has become essential. Yet existing safety evaluations focus exclusively on universal harms. We present COMPASS (Company/Organization Policy Alignment Assessment), the first systematic framework for evaluating whether LLMs comply with organizational allowlist and denylist policies. We apply COMPASS to eight diverse industry scenarios, generating and validating 5,920 queries that test both routine compliance and adversarial robustness through strategically designed edge cases. Evaluating seven state-of-the-art models, we uncover a fundamental asymmetry: models reliably handle legitimate requests (>95% accuracy) but catastrophically fail at enforcing prohibitions, refusing only 13-40% of adversarial denylist violations. These results demonstrate that current LLMs lack the robustness required for policy-critical deployments, establishing COMPASS as an essential evaluation framework for organizational AI safety.

Various benchmarks have been proposed to assess the performance of large language models (LLMs) in different coding scenarios. We refer to them as code-related benchmarks. However, there are no systematic guidelines by which such a benchmark should be developed to ensure its quality, reliability, and reproducibility. We propose How2Bench, which is comprised of a 55- 55-criteria checklist as a set of guidelines to govern the development of code-related benchmarks comprehensively. Using HOW2BENCH, we profiled 274 benchmarks released within the past decade and found concerning issues. Nearly 70% of the benchmarks did not take measures for data quality assurance; over 10% did not even open source or only partially open source. Many highly cited benchmarks have loopholes, including duplicated samples, incorrect reference codes/tests/prompts, and unremoved sensitive/confidential information. Finally, we conducted a human study involving 49 participants, which revealed significant gaps in awareness of the importance of data quality, reproducibility, and transparency.

As software projects progress, quality of code assumes paramount importance as it affects reliability, maintainability and security of software. For this reason, static analysis tools are used in developer workflows to flag code quality issues. However, developers need to spend extra efforts to revise their code to improve code quality based on the tool findings. In this work, we investigate the use of (instruction-following) large language models (LLMs) to assist developers in revising code to resolve code quality issues. We present a tool, CORE (short for COde REvisions), architected using a pair of LLMs organized as a duo comprised of a proposer and a ranker. Providers of static analysis tools recommend ways to mitigate the tool warnings and developers follow them to revise their code. The proposer LLM of CORE takes the same set of recommendations and applies them to generate candidate code revisions. The candidates which pass the static quality checks are retained. However, the LLM may introduce subtle, unintended functionality changes which may go un-detected by the static analysis. The ranker LLM evaluates the changes made by the proposer using a rubric that closely follows the acceptance criteria that a developer would enforce. CORE uses the scores assigned by the ranker LLM to rank the candidate revisions before presenting them to the developer. CORE could revise 59.2% Python files (across 52 quality checks) so that they pass scrutiny by both a tool and a human reviewer. The ranker LLM is able to reduce false positives by 25.8% in these cases. CORE produced revisions that passed the static analysis tool in 76.8% Java files (across 10 quality checks) comparable to 78.3% of a specialized program repair tool, with significantly much less engineering efforts.

We introduce the Agent GPA (Goal-Plan-Action) framework: an evaluation paradigm based on an agent's operational loop of setting goals, devising plans, and executing actions. The framework includes five evaluation metrics: Goal Fulfillment, Logical Consistency, Execution Efficiency, Plan Quality, and Plan Adherence. Logical Consistency checks that an agent's actions are consistent with its prior actions. Execution Efficiency checks whether the agent executes in the most efficient way to achieve its goal. Plan Quality checks whether an agent's plans are aligned with its goals; Plan Adherence checks if an agent's actions are aligned with its plan; and Goal Fulfillment checks that agent's final outcomes match the stated goals. Our experimental results on two benchmark datasets - the public TRAIL/GAIA dataset and an internal dataset for a production-grade data agent - show that this framework (a) provides a systematic way to cover a broad range of agent failures, including all agent errors on the TRAIL/GAIA benchmark dataset; (b) supports LLM-judges that exhibit strong agreement with human annotation, covering 80% to over 95% errors; and (c) localizes errors with 86% agreement to enable targeted improvement of agent performance.

Electronic Health Records (EHRs) are integral for storing comprehensive patient medical records, combining structured data (e.g., medications) with detailed clinical notes (e.g., physician notes). These elements are essential for straightforward data retrieval and provide deep, contextual insights into patient care. However, they often suffer from discrepancies due to unintuitive EHR system designs and human errors, posing serious risks to patient safety. To address this, we developed EHRCon, a new dataset and task specifically designed to ensure data consistency between structured tables and unstructured notes in EHRs. EHRCon was crafted in collaboration with healthcare professionals using the MIMIC-III EHR dataset, and includes manual annotations of 3,943 entities across 105 clinical notes checked against database entries for consistency. EHRCon has two versions, one using the original MIMIC-III schema, and another using the OMOP CDM schema, in order to increase its applicability and generalizability. Furthermore, leveraging the capabilities of large language models, we introduce CheckEHR, a novel framework for verifying the consistency between clinical notes and database tables. CheckEHR utilizes an eight-stage process and shows promising results in both few-shot and zero-shot settings. The code is available at https://github.com/dustn1259/EHRCon.

Given the rapid ascent of large language models (LLMs), we study the question: (How) can large language models help in reviewing of scientific papers or proposals? We first conduct some pilot studies where we find that (i) GPT-4 outperforms other LLMs (Bard, Vicuna, Koala, Alpaca, LLaMa, Dolly, OpenAssistant, StableLM), and (ii) prompting with a specific question (e.g., to identify errors) outperforms prompting to simply write a review. With these insights, we study the use of LLMs (specifically, GPT-4) for three tasks: 1. Identifying errors: We construct 13 short computer science papers each with a deliberately inserted error, and ask the LLM to check for the correctness of these papers. We observe that the LLM finds errors in 7 of them, spanning both mathematical and conceptual errors. 2. Verifying checklists: We task the LLM to verify 16 closed-ended checklist questions in the respective sections of 15 NeurIPS 2022 papers. We find that across 119 {checklist question, paper} pairs, the LLM had an 86.6% accuracy. 3. Choosing the "better" paper: We generate 10 pairs of abstracts, deliberately designing each pair in such a way that one abstract was clearly superior than the other. The LLM, however, struggled to discern these relatively straightforward distinctions accurately, committing errors in its evaluations for 6 out of the 10 pairs. Based on these experiments, we think that LLMs have a promising use as reviewing assistants for specific reviewing tasks, but not (yet) for complete evaluations of papers or proposals.

Software Quality Assurance (SQA) is critical for delivering reliable, secure, and efficient software products. The Software Quality Assurance Process aims to provide assurance that work products and processes comply with predefined provisions and plans. Recent advancements in Large Language Models (LLMs) present new opportunities to enhance existing SQA processes by automating tasks like requirement analysis, code review, test generation, and compliance checks. Simultaneously, established standards such as ISO/IEC 12207, ISO/IEC 25010, ISO/IEC 5055, ISO 9001/ISO/IEC 90003, CMMI, and TMM provide structured frameworks for ensuring robust quality practices. This paper surveys the intersection of LLM-based SQA methods and these recognized standards, highlighting how AI-driven solutions can augment traditional approaches while maintaining compliance and process maturity. We first review the foundational software quality standards and the technical fundamentals of LLMs in software engineering. Next, we explore various LLM-based SQA applications, including requirement validation, defect detection, test generation, and documentation maintenance. We then map these applications to key software quality frameworks, illustrating how LLMs can address specific requirements and metrics within each standard. Empirical case studies and open-source initiatives demonstrate the practical viability of these methods. At the same time, discussions on challenges (e.g., data privacy, model bias, explainability) underscore the need for deliberate governance and auditing. Finally, we propose future directions encompassing adaptive learning, privacy-focused deployments, multimodal analysis, and evolving standards for AI-driven software quality.

Conformant planning is the problem of finding a sequence of actions for achieving a goal in the presence of uncertainty in the initial state or action effects. The problem has been approached as a path-finding problem in belief space where good belief representations and heuristics are critical for scaling up. In this work, a different formulation is introduced for conformant problems with deterministic actions where they are automatically converted into classical ones and solved by an off-the-shelf classical planner. The translation maps literals L and sets of assumptions t about the initial situation, into new literals KL/t that represent that L must be true if t is initially true. We lay out a general translation scheme that is sound and establish the conditions under which the translation is also complete. We show that the complexity of the complete translation is exponential in a parameter of the problem called the conformant width, which for most benchmarks is bounded. The planner based on this translation exhibits good performance in comparison with existing planners, and is the basis for T0, the best performing planner in the Conformant Track of the 2006 International Planning Competition.

In this position paper, we argue that human baselines in foundation model evaluations must be more rigorous and more transparent to enable meaningful comparisons of human vs. AI performance, and we provide recommendations and a reporting checklist towards this end. Human performance baselines are vital for the machine learning community, downstream users, and policymakers to interpret AI evaluations. Models are often claimed to achieve "super-human" performance, but existing baselining methods are neither sufficiently rigorous nor sufficiently well-documented to robustly measure and assess performance differences. Based on a meta-review of the measurement theory and AI evaluation literatures, we derive a framework with recommendations for designing, executing, and reporting human baselines. We synthesize our recommendations into a checklist that we use to systematically review 115 human baselines (studies) in foundation model evaluations and thus identify shortcomings in existing baselining methods; our checklist can also assist researchers in conducting human baselines and reporting results. We hope our work can advance more rigorous AI evaluation practices that can better serve both the research community and policymakers. Data is available at: https://github.com/kevinlwei/human-baselines

Checklists are simple decision aids that are often used to promote safety and reliability in clinical applications. In this paper, we present a method to learn checklists for clinical decision support. We represent predictive checklists as discrete linear classifiers with binary features and unit weights. We then learn globally optimal predictive checklists from data by solving an integer programming problem. Our method allows users to customize checklists to obey complex constraints, including constraints to enforce group fairness and to binarize real-valued features at training time. In addition, it pairs models with an optimality gap that can inform model development and determine the feasibility of learning sufficiently accurate checklists on a given dataset. We pair our method with specialized techniques that speed up its ability to train a predictive checklist that performs well and has a small optimality gap. We benchmark the performance of our method on seven clinical classification problems, and demonstrate its practical benefits by training a short-form checklist for PTSD screening. Our results show that our method can fit simple predictive checklists that perform well and that can easily be customized to obey a rich class of custom constraints.

Large Language Models (LLMs) are increasingly used in empirical software engineering (ESE) to automate or assist annotation tasks such as labeling commits, issues, and qualitative artifacts. Yet the reliability and reproducibility of such annotations remain underexplored. Existing studies often lack standardized measures for reliability, calibration, and drift, and frequently omit essential configuration details. We argue that LLM-based annotation should be treated as a measurement process rather than a purely automated activity. In this position paper, we outline the Operationalization for LLM-based Annotation Framework (OLAF), a conceptual framework that organizes key constructs: reliability, calibration, drift, consensus, aggregation, and transparency. The paper aims to motivate methodological discussion and future empirical work toward more transparent and reproducible LLM-based annotation in software engineering research.

The critique capacity of Large Language Models (LLMs) is essential for reasoning abilities, which can provide necessary suggestions (e.g., detailed analysis and constructive feedback). Therefore, how to evaluate the critique capacity of LLMs has drawn great attention and several critique benchmarks have been proposed. However, existing critique benchmarks usually have the following limitations: (1). Focusing on diverse reasoning tasks in general domains and insufficient evaluation on code tasks (e.g., only covering code generation task), where the difficulty of queries is relatively easy (e.g., the code queries of CriticBench are from Humaneval and MBPP). (2). Lacking comprehensive evaluation from different dimensions. To address these limitations, we introduce a holistic code critique benchmark for LLMs called CodeCriticBench. Specifically, our CodeCriticBench includes two mainstream code tasks (i.e., code generation and code QA) with different difficulties. Besides, the evaluation protocols include basic critique evaluation and advanced critique evaluation for different characteristics, where fine-grained evaluation checklists are well-designed for advanced settings. Finally, we conduct extensive experimental results of existing LLMs, which show the effectiveness of CodeCriticBench.

Large Language Models (LLMs) are nowadays extensively used for various types of software engineering tasks, primarily code generation. Previous research has shown how suitable prompt engineering could help developers in improving their code generation prompts. However, so far, there do not exist specific guidelines driving developers towards writing suitable prompts for code generation. In this work, we derive and evaluate development-specific prompt optimization guidelines. First, we use an iterative, test-driven approach to automatically refine code generation prompts, and we analyze the outcome of this process to identify prompt improvement items that lead to test passes. We use such elements to elicit 10 guidelines for prompt improvement, related to better specifying I/O, pre-post conditions, providing examples, various types of details, or clarifying ambiguities. We conduct an assessment with 50 practitioners, who report their usage of the elicited prompt improvement patterns, as well as their perceived usefulness, which does not always correspond to the actual usage before knowing our guidelines. Our results lead to implications not only for practitioners and educators, but also for those aimed at creating better LLM-aided software development tools.

Ensuring that Software Requirements Specifications (SRS) align with higher-level organizational or national requirements is vital, particularly in regulated environments such as finance and aerospace. In these domains, maintaining consistency, adhering to regulatory frameworks, minimizing errors, and meeting critical expectations are essential for the reliable functioning of systems. The widespread adoption of large language models (LLMs) highlights their immense potential, yet there remains considerable scope for improvement in retrieving relevant information and enhancing reasoning capabilities. This study demonstrates that integrating a robust Graph-RAG framework with advanced prompt engineering techniques, such as Chain of Thought and Tree of Thought, can significantly enhance performance. Compared to baseline RAG methods and simple prompting strategies, this approach delivers more accurate and context-aware results. While this method demonstrates significant improvements in performance, it comes with challenges. It is both costly and more complex to implement across diverse contexts, requiring careful adaptation to specific scenarios. Additionally, its effectiveness heavily relies on having complete and accurate input data, which may not always be readily available, posing further limitations to its scalability and practicality.

We introduce CheckEval, a novel evaluation framework using Large Language Models, addressing the challenges of ambiguity and inconsistency in current evaluation methods. CheckEval addresses these challenges by dividing evaluation criteria into detailed sub-aspects and constructing a checklist of Boolean questions for each, simplifying the evaluation. This approach not only renders the process more interpretable but also significantly enhances the robustness and reliability of results by focusing on specific evaluation dimensions. Validated through a focused case study using the SummEval benchmark, CheckEval indicates a strong correlation with human judgments. Furthermore, it demonstrates a highly consistent Inter-Annotator Agreement. These findings highlight the effectiveness of CheckEval for objective, flexible, and precise evaluations. By offering a customizable and interactive framework, CheckEval sets a new standard for the use of LLMs in evaluation, responding to the evolving needs of the field and establishing a clear method for future LLM-based evaluation.

Background: The development of AI-enabled software heavily depends on AI model documentation, such as model cards, due to different domain expertise between software engineers and model developers. From an ethical standpoint, AI model documentation conveys critical information on ethical considerations along with mitigation strategies for downstream developers to ensure the delivery of ethically compliant software. However, knowledge on such documentation practice remains scarce. Aims: The objective of our study is to investigate how developers document ethical aspects of open source AI models in practice, aiming at providing recommendations for future documentation endeavours. Method: We selected three sources of documentation on GitHub and Hugging Face, and developed a keyword set to identify ethics-related documents systematically. After filtering an initial set of 2,347 documents, we identified 265 relevant ones and performed thematic analysis to derive the themes of ethical considerations. Results: Six themes emerge, with the three largest ones being model behavioural risks, model use cases, and model risk mitigation. Conclusions: Our findings reveal that open source AI model documentation focuses on articulating ethical problem statements and use case restrictions. We further provide suggestions to various stakeholders for improving documentation practice regarding ethical considerations.

The ISO 26262 standard from 2016 represents the state of the art for a safety-guided development of safety-critical electric/electronic vehicle systems. These vehicle systems include advanced driver assistance systems and vehicle guidance systems. The development process proposed in the ISO 26262 standard is based upon multiple V-models, and defines activities and work products for each process step. In many of these process steps, scenario based approaches can be applied to achieve the defined work products for the development of automated driving functions. To accomplish the work products of different process steps, scenarios have to focus on various aspects like a human understandable notation or a description via time-space variables. This leads to contradictory requirements regarding the level of detail and way of notation for the representation of scenarios. In this paper, the authors present requirements for the representation of scenarios in different process steps defined by the ISO 26262 standard, propose a consistent terminology based on prior publications for the identified levels of abstraction, and demonstrate how scenarios can be systematically evolved along the phases of the development process outlined in the ISO 26262 standard.

With the growing reliance on artificial intelligence (AI) for many different applications, the sharing of code, data, and models is important to ensure the replicability and democratization of scientific knowledge. Many high-profile academic publishing venues expect code and models to be submitted and released with papers. Furthermore, developers often want to release these assets to encourage development of technology that leverages their frameworks and services. A number of organizations have expressed concerns about the inappropriate or irresponsible use of AI and have proposed ethical guidelines around the application of such systems. While such guidelines can help set norms and shape policy, they are not easily enforceable. In this paper, we advocate the use of licensing to enable legally enforceable behavioral use conditions on software and code and provide several case studies that demonstrate the feasibility of behavioral use licensing. We envision how licensing may be implemented in accordance with existing responsible AI guidelines.