Haoran Yu
Publications
When Should Active RAG Retrieve? A Budget-Aware Evaluation of Utility, Calibration, and Cost
Active RAG systems decide when to retrieve external knowledge during generation, making them a budget-sensitive case of agentic RAG and self-adaptive retrieval. Yet evaluations often leave the operating point underspecified: two systems may both claim a 50% evidence-usage budget while realizing different held-out usage rates, so higher accuracy can reflect a looser budget rather than a better retrieval policy. We study budget-aware evaluation for Active RAG by recasting active retrieval as utility estimation, where retrieval is valuable only through its marginal correctness change over a no-retrieval answer. This view separates three questions that single-point evaluations conflate: whether trigger scores rank useful retrieval decisions, whether thresholds calibrated on past data meet future budgets, and how trigger-side computation changes deployment cost. We operationalize these questions with exact top-k utility frontiers, deployable threshold frontiers, conservative budget frontiers, harm audits, and cost decompositions. Across knowledge-intensive multi-hop QA datasets and open instruction models, retrieval harm is non-negligible, router rankings change across datasets and budgets, nominal thresholds can miss target usage, and simple uncertainty or retrieval-score baselines often rival learned utility routers. Budget-aware Active RAG evaluations should therefore report frontiers, realized usage, threshold-transfer error, harm rates, and cost decompositions alongside accuracy.
Operational Reframing and Approval-Framed Delegation in Multi-Agent LLM Safety
Safety evaluations of multi-agent LLM systems often compare a direct prompt with a planner-executor pipeline and report the difference as a single "pipeline effect." We argue that this aggregate is difficult to interpret because it conflates three mechanisms: harmful intent may be reframed as plausible operational work, the planner may refuse or transform the request, and the executor may act under delegation prompts implying prior approval. To separate these factors, we introduce a five-condition controlled contrast design, evaluated on 30 synthetic harmful scenarios and an exploratory external validation set from four agent-safety benchmarks using LLM-judged compliance. Our results show that aggregate pipeline safety is not a stable architectural property. Operational reframing is the most portable risk signal, increasing compliance for GPT, Gemini, and DeepSeek across both scenario sets, while Claude is comparatively resistant. Planner behavior can offset this risk mainly through refusal; however, when the planner produces executable steps, the executor may become more compliant than under the direct operational baseline. Approval-framed delegation is sensitive to prompt design, model pairing, and scenario source, and a skeptical executor prompt sharply reduces compliance. Raw-direct model rankings can also mispredict deployed planner-executor behavior. Gemini is safest under raw direct prompts in the primary set yet shows the largest amplification with a Claude planner, rising from 8.9 percent to 38.9 percent compliance. GPTs near-zero aggregate pipeline effect instead hides a reframing increase canceled by planner refusal. These findings suggest that multi-agent safety evaluations should report reframing, planner behavior, delegation framing, and model pairing separately before attributing failures to architecture itself.
ChainCaps: Composition-Safe Tool-Using Agents via Monotonic Capability Attenuation
Tool-using agents increasingly operate in open-ended deployment environments, where they compose file systems, web APIs, code interpreters, and enterprise services at runtime. This creates a safety gap in tool composition: an agent can satisfy every per-tool permission check and still produce an unsafe end-to-end effect, such as reading a confidential document, summarizing it, and sending the summary to an external endpoint. We call this failure mode permission laundering. ChainCaps addresses it with a runtime rule: every value carries a sink-specific capability budget, and tool composition propagates budgets by intersection. A value can preserve or lose authority as it moves through a tool chain, but it cannot gain new authority through composition. We implement ChainCaps as a transparent MCP proxy that requires no changes to the agent or tool servers. On 82 tasks across five frontier models from three providers, ChainCaps reduces attack success rate from 25-68% to 0-4.8% while preserving 96-100% benign completion. In replay experiments, it also outperforms scalar-IFC and per-function-isolation baselines. Manifest quality is the dominant deployment bottleneck: expert manifests reach 100% attack blocking, while naive manifests fall to 27.3%. Our claims are limited to explicit-flow composition safety under trusted manifests and proxy-visible data movement, a practical gap in deployed tool-using agents today.