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As a powerful and rapidly advancing dual-use technology, AI offers both immense benefits and worrisome risks. In response, governing bodies around the world are developing a range of regulatory AI laws and policies. This paper compares three distinct approaches taken by the EU, China and the US. Within the US, we explore AI regulation at both the federal and state level, with a focus on California's pending Senate Bill 1047. Each regulatory system reflects distinct cultural, political and economic perspectives. Each also highlights differing regional perspectives on regulatory risk-benefit tradeoffs, with divergent judgments on the balance between safety versus innovation and cooperation versus competition. Finally, differences between regulatory frameworks reflect contrastive stances in regards to trust in centralized authority versus trust in a more decentralized free market of self-interested stakeholders. Taken together, these varied approaches to AI innovation and regulation influence each other, the broader international community, and the future of AI regulation., Comment: 36 pages, 11 figures and tables

Speech-based depression detection poses significant challenges for automated detection due to its unique manifestation across individuals and data scarcity. Addressing these challenges, we introduce DAAMAudioCNNLSTM and DAAMAudioTransformer, two parameter efficient and explainable models for audio feature extraction and depression detection. DAAMAudioCNNLSTM features a novel CNN-LSTM framework with multi-head Density Adaptive Attention Mechanism (DAAM), focusing dynamically on informative speech segments. DAAMAudioTransformer, leveraging a transformer encoder in place of the CNN-LSTM architecture, incorporates the same DAAM module for enhanced attention and interpretability. These approaches not only enhance detection robustness and interpretability but also achieve state-of-the-art performance: DAAMAudioCNNLSTM with an F1 macro score of 0.702 and DAAMAudioTransformer with an F1 macro score of 0.72 on the DAIC-WOZ dataset, without reliance on supplementary information such as vowel positions and speaker information during training/validation as in previous approaches. Both models' significant explainability and efficiency in leveraging speech signals for depression detection represent a leap towards more reliable, clinically useful diagnostic tools, promising advancements in speech and mental health care. To foster further research in this domain, we make our code publicly available.

It has been known since 1992 that the McKay-Thompson series $T_g(q)$ of the Moonshine module form Hauptmoduln for genus zero subgroups of $SL(2, \mathbb{R})$. In 2021, Lin and Shao constructed a series analogous to the McKay-Thompson series (a twined partition function of the Monster CFT), but using a non-invertible topological defect rather than an element of the Monster group $\mathcal{M}$. This "defect McKay-Thompson series" was found to be invariant under a genus zero subgroup of $SL(2, \mathbb{R})$, but was shown not to be the Hauptmodul of the subgroup. Nevertheless, one might wonder if a weaker version of Borcherds' theorem holds for non-invertible defects: perhaps defect McKay-Thompson series enjoy genus zero invariance groups in $SL(2, \mathbb{R})$, whether or not they are Hauptmoduln for those groups. Using the decompositions of the monster stress tensor found in Bae et al. (2021), we construct several new defect McKay-Thompson series, study their modular properties, and determine their invariance groups in $SL(2, \mathbb{R})$. We discover that many of the invariance groups are not genus zero., Comment: 18 pages, 1 figure, 5 tables

Detecting out-of-distribution (OOD) data is crucial in machine learning applications to mitigate the risk of model overconfidence, thereby enhancing the reliability and safety of deployed systems. The majority of existing OOD detection methods predominantly address uni-modal inputs, such as images or texts. In the context of multi-modal documents, there is a notable lack of extensive research on the performance of these methods, which have primarily been developed with a focus on computer vision tasks. We propose a novel methodology termed as attention head masking (AHM) for multi-modal OOD tasks in document classification systems. Our empirical results demonstrate that the proposed AHM method outperforms all state-of-the-art approaches and significantly decreases the false positive rate (FPR) compared to existing solutions up to 7.5\%. This methodology generalizes well to multi-modal data, such as documents, where visual and textual information are modeled under the same Transformer architecture. To address the scarcity of high-quality publicly available document datasets and encourage further research on OOD detection for documents, we introduce FinanceDocs, a new document AI dataset. Our code and dataset are publicly available.

Our understanding of Solar System evolution is closely tied to interpretations of asteroid composition, particularly the M-class asteroids. These asteroids were initially thought to be the exposed cores of differentiated planetesimals, a hypothesis based on their spectral similarity to iron meteorites. However, recent astronomical observations have revealed hydration on their surface through the detection of 3-$\mu$m absorption features associated with OH and potentially H2O. We present evidence of hydration due mainly to OH on asteroid (16) Psyche, the largest M-class asteroid, using data from the James Webb Space Telescope (JWST) spanning 1.1 - 6.63 $\mu$m. Our observations include two detections of the full 3-$\mu$m feature associated with OH and H2O resembling those found in CY-, CH-, and CB-type carbonaceous chondrites, and no 6-$\mu$m feature uniquely associated with H2O across two observations. We observe 3-$\mu$m depths of between 4.3 and 6% across two observations, values consistent with hydrogen abundance estimates on other airless bodies of 250 - 400 ppm. We place an upper limit of 39 ppm on the water abundance from the standard deviation around the 6-$\mu$m feature region. The presence of hydrated minerals suggests a complex history for Psyche. Exogenous sources of OH-bearing minerals could come from hydrated impactors. Endogenous OH-bearing minerals would indicate a composition more similar to E-or P-class asteroids. If the hydration is endogenous, it supports the theory that Psyche originated beyond the snow line and later migrated to the outer main belt.

Applications of Generative AI (Gen AI) are expected to revolutionize a number of different areas, ranging from science & medicine to education. The potential for these seismic changes has triggered a lively debate about the potential risks of the technology, and resulted in calls for tighter regulation, in particular from some of the major tech companies who are leading in AI development. This regulation is likely to put at risk the budding field of open-source generative AI. Using a three-stage framework for Gen AI development (near, mid and long-term), we analyze the risks and opportunities of open-source generative AI models with similar capabilities to the ones currently available (near to mid-term) and with greater capabilities (long-term). We argue that, overall, the benefits of open-source Gen AI outweigh its risks. As such, we encourage the open sourcing of models, training and evaluation data, and provide a set of recommendations and best practices for managing risks associated with open-source generative AI., Comment: Extension of arXiv:2404.17047

In the next few years, applications of Generative AI are expected to revolutionize a number of different areas, ranging from science & medicine to education. The potential for these seismic changes has triggered a lively debate about potential risks and resulted in calls for tighter regulation, in particular from some of the major tech companies who are leading in AI development. This regulation is likely to put at risk the budding field of open-source Generative AI. We argue for the responsible open sourcing of generative AI models in the near and medium term. To set the stage, we first introduce an AI openness taxonomy system and apply it to 40 current large language models. We then outline differential benefits and risks of open versus closed source AI and present potential risk mitigation, ranging from best practices to calls for technical and scientific contributions. We hope that this report will add a much needed missing voice to the current public discourse on near to mid-term AI safety and other societal impact., Comment: Accepted to ICML'24 as a position paper

Deep neural networks (DNNs), trained with gradient-based optimization and backpropagation, are currently the primary tool in modern artificial intelligence, machine learning, and data science. In many applications, DNNs are trained offline, through supervised learning or reinforcement learning, and deployed online for inference. However, training DNNs with standard backpropagation and gradient-based optimization gives no intrinsic performance guarantees or bounds on the DNN, which is essential for applications such as controls. Additionally, many offline-training and online-inference problems, such as sim2real transfer of reinforcement learning policies, experience domain shift from the training distribution to the real-world distribution. To address these stability and transfer learning issues, we propose using techniques from control theory to update DNN parameters online. We formulate the fully-connected feedforward DNN as a continuous-time dynamical system, and we propose novel last-layer update laws that guarantee desirable error convergence under various conditions on the time derivative of the DNN input vector. We further show that training the DNN under spectral normalization controls the upper bound of the error trajectories of the online DNN predictions, which is desirable when numerically differentiated quantities or noisy state measurements are input to the DNN. The proposed online DNN adaptation laws are validated in simulation to learn the dynamics of the Van der Pol system under domain shift, where parameters are varied in inference from the training dataset. The simulations demonstrate the effectiveness of using control-theoretic techniques to derive performance improvements and guarantees in DNN-based learning systems., Comment: Preprint version

We propose the Multi-Head Density Adaptive Attention Mechanism (DAAM), a novel probabilistic attention framework that can be used for Parameter-Efficient Fine-tuning (PEFT), and the Density Adaptive Transformer (DAT), designed to enhance information aggregation across multiple modalities, including Speech, Text, and Vision. DAAM integrates learnable mean and variance into its attention mechanism, implemented in a multi-head framework, enabling it to collectively model any probability distribution for dynamic recalibration of feature significance. This method demonstrates significant improvements, especially with highly non-stationary data, surpassing the state-of-the-art attention techniques in model performance, up to approximately +20% (abs.) in accuracy. Empirically, DAAM exhibits superior adaptability and efficacy across a diverse range of tasks, including emotion recognition in speech, image classification, and text classification, thereby establishing its robustness and versatility in handling data across multiple modalities. Furthermore, we introduce the Importance Factor, a new learning-based metric that enhances the explainability of models trained with DAAM-based methods.

Question generation (QG) is a natural language processing task with an abundance of potential benefits and use cases in the educational domain. In order for this potential to be realized, QG systems must be designed and validated with pedagogical needs in mind. However, little research has assessed or designed QG approaches with the input from real teachers or students. This paper applies a large language model-based QG approach where questions are generated with learning goals derived from Bloom's taxonomy. The automatically generated questions are used in multiple experiments designed to assess how teachers use them in practice. The results demonstrate that teachers prefer to write quizzes with automatically generated questions, and that such quizzes have no loss in quality compared to handwritten versions. Further, several metrics indicate that automatically generated questions can even improve the quality of the quizzes created, showing the promise for large scale use of QG in the classroom setting., Comment: 8 pages, 8 figures. Accepted to the main track of the EAAI-24: The 14th Symposium on Educational Advances in Artificial Intelligence

With the rise of individual and collaborative networks of autonomous agents, AI is deployed in more key reasoning and decision-making roles. For this reason, ethics-based audits play a pivotal role in the rapidly growing fields of AI safety and regulation. This paper undertakes an ethics-based audit to probe the 8 leading commercial and open-source Large Language Models including GPT-4. We assess explicability and trustworthiness by a) establishing how well different models engage in moral reasoning and b) comparing normative values underlying models as ethical frameworks. We employ an experimental, evidence-based approach that challenges the models with ethical dilemmas in order to probe human-AI alignment. The ethical scenarios are designed to require a decision in which the particulars of the situation may or may not necessitate deviating from normative ethical principles. A sophisticated ethical framework was consistently elicited in one model, GPT-4. Nonetheless, troubling findings include underlying normative frameworks with clear bias towards particular cultural norms. Many models also exhibit disturbing authoritarian tendencies. Code is available at https://github.com/jonchun/llm-sota-chatbots-ethics-based-audit., Comment: 23 pages, 6 figures (3 as tables), 1 table (in LaTeX)

NOvA is a long-baseline neutrino oscillation experiment that measures oscillations in charged-current $\nu_{\mu} \rightarrow \nu_{\mu}$ (disappearance) and $\nu_{\mu} \rightarrow \nu_{e}$ (appearance) channels, and their antineutrino counterparts, using neutrinos of energies around 2 GeV over a distance of 810 km. In this work we reanalyze the dataset first examined in our previous paper [Phys. Rev. D 106, 032004 (2022)] using an alternative statistical approach based on Bayesian Markov Chain Monte Carlo. We measure oscillation parameters consistent with the previous results. We also extend our inferences to include the first NOvA measurements of the reactor mixing angle $\theta_{13}$ and the Jarlskog invariant. We use these results to quantify the strength of our inferences about CP violation, as well as to examine the effects of constraints from short-baseline measurements of $\theta_{13}$ using antineutrinos from nuclear reactors when making NOvA measurements of $\theta_{23}$. Our long-baseline measurement of $\theta_{13}$ is also shown to be consistent with the reactor measurements, supporting the general applicability and robustness of the PMNS framework for neutrino oscillations., Comment: 20 pages, 17 figures; version accepted by Phys. Rev. D. Data associated with this paper is available at https://doi.org/10.15484/2349444

The Search for Extraterrestrial Intelligence aims to find evidence of technosignatures, which can point toward the possible existence of technologically advanced extraterrestrial life. Radio signals similar to those engineered on Earth may be transmitted by other civilizations, motivating technosignature searches across the entire radio spectrum. In this endeavor, the low-frequency radio band has remained largely unexplored; with prior radio searches primarily above 1 GHz. In this survey at 110-190 MHz, observations of 1,631,198 targets from TESS and Gaia are reported. Observations took place simultaneously with two international stations (noninterferometric) of the Low Frequency Array in Ireland and Sweden. We can reject the presence of any Doppler drifting narrowband transmissions in the barycentric frame of reference, with equivalent isotropic radiated power of 10 17 W, for 0.4 million (or 1.3 million) stellar systems at 110 (or 190) MHz. This work demonstrates the effectiveness of using multisite simultaneous observations for rejecting anthropogenic signals in the search for technosignatures., Comment: 15 Pages, 16 Figures, 2 Machine Readable Tables

Heterostructures based on ultrawide-bandgap (UWBG) semiconductors (bandgap >4.0 eV), boron nitride (BN) and diamond are important for next-generation high-power electronics. However, in-situ hetero-epitaxy of BN/diamond or vice-versa remains extremely challenging, due to their non-trivial growth kinetics. Here, we have grown BN thin film on (100) single crystal diamond by pulsed laser deposition and investigated its structural and magnetic properties, optical refractive index, and thermal conductivity. Structural characterizations confirm the mixed (stable hexagonal and metastable cubic) phase growth. Film shows diamagnetic behavior at room temperature. It displays anisotropic refractive index within the visible-to-near-infrared wavelength range. The room temperature cross-plane thermal conductivity of BN is ~1.53 W/(mK), and the thermal conductance of the BN/diamond interface is ~20 MW/(m2K). Our findings are useful for various device related applications based on UWBG BN/diamond heterostructures., Comment: 16 pages, 4 figures

Understanding the emergent electronic structure in twisted atomically thin layers has led to the exciting field of twistronics. However, practical applications of such systems are challenging since the specific angular correlations between the layers must be precisely controlled and the layers have to be single crystalline with uniform atomic ordering. Here, we suggest an alternative, simple and scalable approach where nanocrystalline two-dimensional (2D) film on three-dimensional (3D) substrates yield twisted-interface-dependent properties. Ultrawide-bandgap hexagonal boron nitride (h-BN) thin films are directly grown on high in-plane lattice mismatched wide-bandgap silicon carbide (4H-SiC) substrates to explore the twist-dependent structure-property correlations. Concurrently, nanocrystalline h-BN thin film shows strong non-linear second-harmonic generation and ultra-low cross-plane thermal conductivity at room temperature, which are attributed to the twisted domain edges between van der Waals stacked nanocrystals with random in-plane orientations. First-principles calculations based on time-dependent density functional theory manifest strong even-order optical nonlinearity in twisted h-BN layers. Our work unveils that directly deposited 2D nanocrystalline thin film on 3D substrates could provide easily accessible twist-interfaces, therefore enabling a simple and scalable approach to utilize the 2D-twistronics integrated in 3D material devices for next-generation nanotechnology., Comment: 33 pages, 4 figures

Boron nitride (BN) is an exceptional material and among its polymorphs, two-dimensional (2D) hexagonal and three-dimensional (3D) cubic BN (h-BN and c-BN) phases are most common. The phase stability regimes of these BN phases are still under debate and phase transformations of h-BN/c-BN remain a topic of interest. Here, we investigate the phase stability of 2D/3D h-BN/c-BN nanocomposites and show that the co-existence of two phases can lead to strong non-linear optical properties and low thermal conductivity at room temperature. Furthermore, spark-plasma sintering of the nanocomposite shows complete phase transformation to 2D h-BN with improved crystalline quality, where 3D c-BN grain sizes governs the nucleation and growth kinetics. Our demonstration might be insightful in phase engineering of BN polymorphs based nanocomposites with desirable properties for optoelectronics and thermal energy management applications., Comment: 29 pages, 5 figures

Controllable text generation (CTG) by large language models has a huge potential to transform education for teachers and students alike. Specifically, high quality and diverse question generation can dramatically reduce the load on teachers and improve the quality of their educational content. Recent work in this domain has made progress with generation, but fails to show that real teachers judge the generated questions as sufficiently useful for the classroom setting; or if instead the questions have errors and/or pedagogically unhelpful content. We conduct a human evaluation with teachers to assess the quality and usefulness of outputs from combining CTG and question taxonomies (Bloom's and a difficulty taxonomy). The results demonstrate that the questions generated are high quality and sufficiently useful, showing their promise for widespread use in the classroom setting., Comment: Accepted to AIED Late Breaking Results 2023 - to be published in their proceedings