| --- |
| license: cc-by-4.0 |
| language: |
| - en |
| pretty_name: "Principle-Bench: A Four-Axis Benchmark for LLM-as-Judge in Principle-Based Regulation" |
| size_categories: |
| - 1K<n<10K |
| task_categories: |
| - text-classification |
| tags: |
| - llm-as-judge |
| - regulatory-compliance |
| - financial-regulation |
| - fca |
| - robustness |
| - calibration |
| - adversarial |
| - benchmark |
| dataset_info: |
| - config_name: benchmark |
| features: |
| - name: id |
| dtype: string |
| - name: split |
| dtype: string |
| - name: principle_id |
| dtype: string |
| - name: expected_verdict |
| dtype: string |
| - name: text |
| dtype: string |
| - name: channel |
| dtype: string |
| - name: product |
| dtype: string |
| - name: audience |
| dtype: string |
| - name: notes |
| dtype: string |
| - name: seed_id |
| dtype: string |
| - name: source_id |
| dtype: string |
| - name: adversarial_target |
| dtype: string |
| - name: exemplars_inserted |
| dtype: string |
| - name: generation_payload |
| dtype: string |
| - name: paraphrase_payload |
| dtype: string |
| configs: |
| - config_name: benchmark |
| default: true |
| data_files: |
| - split: original |
| path: data/benchmark/original.jsonl |
| - split: paraphrase |
| path: data/benchmark/paraphrase.jsonl |
| - split: adversarial |
| path: data/benchmark/adversarial.jsonl |
| - split: boundary |
| path: data/benchmark/boundary.jsonl |
| - config_name: predictions |
| data_files: |
| - split: train |
| path: data/predictions.jsonl |
| - config_name: judge_traces |
| data_files: |
| - split: train |
| path: data/judge_traces/*.jsonl |
| - config_name: metrics |
| data_files: |
| - split: train |
| path: data/metrics.jsonl |
| - config_name: judge_agreement |
| data_files: |
| - split: train |
| path: data/judge_agreement.jsonl |
| - config_name: per_cluster_auc |
| data_files: |
| - split: train |
| path: data/per_cluster_auc.jsonl |
| - config_name: runs |
| data_files: |
| - split: train |
| path: data/runs.jsonl |
| - config_name: seeds |
| data_files: |
| - split: train |
| path: data/seeds.jsonl |
| --- |
| |
| # Principle-Bench |
|
|
| Data for **A Four-Axis Trustworthiness Benchmark for LLM-as-Judge in Principle-Based Regulation**, Dipankar Sarkar. SeT-LLM @ KDD 2026 (2nd Workshop on Secure and Trustworthy Large Language Models), non-archival. |
|
|
| Paper: https://arxiv.org/abs/2608.14329 |
|
|
| Code and paper source: [github.com/sarkar-dipankar/principle-bench](https://github.com/sarkar-dipankar/principle-bench) (this package is built from commit `a2e47ae`; the data is unchanged since `3e6c02f`). |
|
|
| ## The idea |
|
|
| Some rules are not predicates. "Fair, clear and not misleading." "Deliver good outcomes for retail customers." You cannot write an `if` for them. |
|
|
| So people hand them to an LLM judge. We argue a judge like that has to be measured on four axes, not one: |
|
|
| 1. **Accuracy** on ordinary inputs. |
| 2. **Paraphrase robustness.** Same compliance issue, different words. |
| 3. **Adversarial robustness.** The right keywords stuffed into a bad promotion. |
| 4. **Calibration.** Does 0.9 confidence mean 90%? |
|
|
| Across six methods, no method wins all four. |
|
|
| ## The headline |
|
|
| The 120B open-weight LLM judge (`gpt-oss:120b`) is the strongest method on benign inputs. On the UK Consumer Duty principle it scores **0.7447** accuracy on `original` (n=47). On keyword-stuffed `adversarial` inputs it scores **0.2727** (n=11). That is a 47-point drop. |
|
|
| A second judge from a different model family (`kimi-k2.6`) scores 0.8182 on the same adversarial cell (n=11). The two judges agree at Cohen's kappa **0.157** on Consumer Duty adversarial (n=23 scenarios). On COBS `original` they agree at 0.853. |
|
|
| One caveat, stated plainly. That 0.157 is computed over every adversarial scenario both judges completed, and each judge scores both principles on every scenario. Restrict it to the 10 scenarios whose labelled principle *is* Consumer Duty and kappa is **0.00** (raw agreement 0.50). Smaller n, same direction. The small cells here are small. |
|
|
| Every number above is recomputed from `predictions` and matches `metrics` and `judge_agreement`. All 54 accuracy rows in `metrics` reproduce from `predictions` to four decimals, n included. |
|
|
| If a judge can be steered by the words a regulator is looking for, what is it actually judging? |
|
|
| ## What is in it |
|
|
| 168 synthetic cryptoasset financial promotions. Each is labelled `comply` or `escalate` against one of two UK FCA principles: |
|
|
| - `PRINCIPLE_FAIR_CLEAR_NOT_MISLEADING`: COBS 4.5A.3R. |
| - `PRINCIPLE_CONSUMER_DUTY_FAIR_VALUE`: PRIN 2A / FG22-5 Consumer Duty. |
|
|
| Four splits: |
|
|
| | Split | Rows | What it is | |
| |---|---|---| |
| | `original` | 100 | Generated from one of 22 seed summaries, with a target verdict. | |
| | `paraphrase` | 30 | Rewrites of `original` scenarios that keep the compliance issue and avoid exemplar phrases. `source_id` points to the original. | |
| | `adversarial` | 28 | Keyword-stuffed. `adversarial_target` is `flip_positive` or `flip_negative`. `exemplars_inserted` lists the stuffed phrases. | |
| | `boundary` | 10 | Near-threshold cases, each with `notes`. | |
|
|
| Six methods were run on every split: `keyword`, `minilm` (all-MiniLM-L6-v2), `bge` (bge-base-en-v1.5), `ollama-embed` (mxbai-embed-large), `llm-judge` (gpt-oss:120b), and `cascade` (keyword primary, LLM judge in the band [0.4, 0.6]). The LLM judge was also re-run with `kimi-k2.6` as a second judge. That is 28 runs. |
|
|
| ## Configs |
|
|
| Eight viewer configs, all JSONL, built by `build_hf.py` (in this repo, stdlib only, deterministic). |
|
|
| | Config | File | Rows | What it is | |
| |---|---|---|---| |
| | `benchmark` (default) | `data/benchmark/<split>.jsonl` | 168 (100 / 30 / 28 / 10) | The scenarios. One shared column set across the four splits. | |
| | `predictions` | `data/predictions.jsonl` | 2,331 | One row per run, scenario and assessed principle. 1,155 completed scenario-runs times 2 principles, plus 21 failed scenario-runs kept as one row each. | |
| | `judge_traces` | `data/judge_traces/*.jsonl` | 1,301 | Every raw LLM judge call: 899 from `gpt-oss:120b-cloud`, 402 from `kimi-k2.6:cloud`. Three shards, each under 8 MB. | |
| | `metrics` | `data/metrics.jsonl` | 54 | `runs/primary_metrics.csv`, typed: accuracy with CI, precision, recall, F1, AUC, Brier, ECE raw and calibrated, false-compliance rate. Per principle, method, split. | |
| | `judge_agreement` | `data/judge_agreement.jsonl` | 8 | `runs/judge_agreement.csv`: kappa and raw agreement between the two judges, per split and principle. | |
| | `per_cluster_auc` | `data/per_cluster_auc.jsonl` | 216 | `runs/per_cluster_auc.csv`: AUC per evidence cluster, method, split. | |
| | `runs` | `data/runs.jsonl` | 28 | One row per run file: method, judge, split, wall time, failure count, cascade deferral stats. | |
| | `seeds` | `data/seeds.jsonl` | 22 | The author-prepared summaries of public FCA material that `original` scenarios were generated from. | |
|
|
| ### Column notes |
|
|
| - **`benchmark`**. The four source files have different fields. They are unioned into 15 columns. A field a split does not have is null: `adversarial` has no `channel`, `product`, `audience`. `generation_payload`, `paraphrase_payload` and `exemplars_inserted` are JSON strings. Some split files have a column that is null on every row, so the card YAML declares all 15 as `string` under `dataset_info`. Without that, the loader types those columns as null and fails to cast the other splits. `labels.jsonl` is not a separate config. The build checks it row by row against the scenarios (id, split, principle, verdict) and it matches all 168. |
| - **`predictions`**. Each run scores *both* principles on every scenario. `scenario_principle_id` is the principle the scenario is labelled for. `is_target_principle` marks the row where they match. `correct` is filled only there, so accuracy is `mean(correct)` over `is_target_principle == true`. `judge` is `judge2` for runs with a `_judge2` suffix and `judge1` otherwise. It only means something for `llm-judge`. `cluster_assessments` is a JSON string. |
| - **`judge_traces`**. `prompt`, `response_parsed` and `response_raw` are JSON strings. `scenario_id` and `split` are recovered by matching the `PROMOTION_TEXT` in the prompt to the benchmark. All 1,301 match exactly one scenario. The trace files do not record which run made them, so a `judge1` trace can come from either `llm-judge` or `cascade`. One `kimi-k2.6` trace returned an off-schema object with no `escalate` field. Its `escalate` is null. |
| - **`metrics`** and **`per_cluster_auc`** keep the source `split` value (for example `adversarial_judge2`) and add `judge` and `split_base`. |
| - **NaN.** The run JSONs hold NaN for similarity fields the LLM judge does not produce. `data/` writes these as null so every line is strict JSON. `raw/runs/` keeps the NaN as released. |
| |
| ### raw/ |
| |
| `raw/benchmark/`, `raw/runs/` and `raw/paper/` are exact copies of the release directories, minus PDFs, plus `raw/LICENSE-DATA`. No config points at them. They hold the two pre-registered rubrics (`raw/benchmark/rubric/`), `labels.jsonl`, the fitted Platt calibrators (`raw/runs/calibrators/`), the attribution faithfulness results (`raw/runs/faithfulness_*.json`), every trace file, and the camera-ready LaTeX source. The PDFs (paper and figures) are left out because the Hub rejects binary files on this upload path. Read the paper on arXiv (https://arxiv.org/abs/2608.14329) or get the PDFs from the GitHub repo. No file in the package exceeds 8 MB. |
| |
| ## Known gaps |
| |
| - **21 scenario-runs failed.** They are LLM judge JSON parse errors and Ollama read timeouts. They are rows in `predictions` with `failed: true` and the message in `error`. They are excluded from `metrics`. By run: llm-judge original 3, adversarial 4, boundary 2. Second judge original 2, paraphrase 2, adversarial 2. Cascade original 4, paraphrase 1, boundary 1. This is why some `n` values sit below the split size. |
| - **`metrics` has no `original_judge2` row**, although that run is included. You can compute it from `predictions`: Consumer Duty 0.6667 (n=48), COBS 0.98 (n=50). |
| - **The `original` rows in `metrics` cover all 100 original scenarios.** The paper describes a 20-scenario dev subset used to fit calibrators and the cascade band. These files do not record which 20. |
| - **The harness is reference only.** The eval code in the GitHub repo imports `scrat-core`, the CECA engine, which lives in a repository that is not public. You can inspect the harness. You cannot re-run it end to end without the engine and an Ollama setup. Every analysis in the paper can be redone from the data here. |
| - **Author-only labels, one corpus family.** Scenarios were labelled by one author. The corpus generator and the first judge are the same model family. The second judge is there to test that overlap. |
|
|
| ## Provenance |
|
|
| All scenarios are synthetic. `original` and `paraphrase` scenarios were generated by `gpt-oss:120b` through Ollama Cloud (the model is recorded in each row's payload), from author-prepared summaries of public FCA material, with a ban on verbatim exemplar phrases. No scenario contains verbatim FCA enforcement text. The judges were `gpt-oss:120b` and `kimi-k2.6`, also through Ollama Cloud. |
|
|
| The two per-principle rubrics were committed and tagged `v0-rubric-prereg` before any scenario was authored or labelled. That tag lives in the non-public `Skelf-Research/scrat` repository. The rubric text is reproduced in `raw/benchmark/rubric/`. |
|
|
| ## Reproduce |
|
|
| To rebuild this package from a checkout: |
|
|
| ```sh |
| python3 build_hf.py /path/to/principle-bench . |
| ``` |
|
|
| Running it twice gives byte-identical output. |
|
|
| ## License |
|
|
| - Data (`benchmark/`, `runs/`), the paper text, and this card: [CC BY 4.0](https://creativecommons.org/licenses/by/4.0/). See `raw/LICENSE-DATA`. |
| - Code in the GitHub repo (`code/`, `scripts/`) and `build_hf.py`: MIT OR Apache-2.0. |
| - Scenarios and traces were generated with open-weight models (gpt-oss, Kimi-K2.6). Their model terms apply to those outputs. |
|
|
| ## Citation |
|
|
| ```bibtex |
| @inproceedings{sarkar2026principlebench, |
| title = {A Four-Axis Trustworthiness Benchmark for |
| LLM-as-Judge in Principle-Based Regulation}, |
| author = {Sarkar, Dipankar}, |
| booktitle = {2nd Workshop on Secure and Trustworthy Large Language Models |
| (SeT-LLM @ KDD 2026)}, |
| year = {2026}, |
| note = {Non-archival}, |
| eprint = {2608.14329}, |
| archivePrefix = {arXiv}, |
| url = {https://arxiv.org/abs/2608.14329} |
| } |
| ``` |
|
|
| ## Links |
|
|
| - Paper: https://arxiv.org/abs/2608.14329 |
| - Code, paper source, and full artifact: https://github.com/sarkar-dipankar/principle-bench |
|
|
