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ZENODO
Preprint . 2026
License: CC BY
Data sources: ZENODO
ZENODO
Preprint . 2026
License: CC BY
Data sources: Datacite
ZENODO
Preprint . 2026
License: CC BY
Data sources: Datacite
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Observation Capture and Operational Capability Non-Expansion

Policy and Behavior Lifting for Observable-Only, No-Meta Agents under Exit-Impossibility
Authors: Takahashi, K;

Observation Capture and Operational Capability Non-Expansion

Abstract

Observation capture—forced mediation of an agent’s observations—can impose dependence and control even when the agent can only process observable data and has no privileged external meta-judge. This paper develops an information-theoretic framework for observable-only, no-meta agents under exit-impossibility, and characterizes when capture can and cannot expand operational power. We model capture as interface-constrained garbling (in the Blackwell sense) of a reference observation stream, together with explicit resource readouts and authority correspondences. Under fail-closed authority (formalized as almost-sure inclusion of allowed action sets), we prove permission non-expansion via policy lifting, and derive behavioral / capability / task-value non-expansion results at the level of the observable interface. Crucially, the main non-expansion statements are information-theoretic: they assume an unrestricted measurable policy class. We explicitly show that under restricted policy classes (realistic compute/representation limits), garbling/capture can increase effective capability, and we provide minimal counterexamples. Beyond theory, the paper proposes practical anti-capture mechanisms: receipt-based enforcement with explicit error budgets, budgeted exceptions, and architecture-level audit certificates based on min-cut redundancy across control domains. We also give agent-side self-defense principles without external meta-judges, including right-to-refuse / safe-default requirements, contestability via observable commitments, and conditions under which domination remains undetectable versus structurally unstable. The result is a mathematically explicit map of what observable-only agents can guarantee, what they cannot, and which design constraints meaningfully reduce silent domination.

Keywords

Artificial intelligence, observation capture, Blackwell order, capability non-expansion, interference, contestability, non-domination, permission non-expansion, error budgets, min-cut redundancy, admissibility, auditability, exit-impossibility, task value bounds, budgeted exceptions, right-to-refuse, safety engineering, observable-only, stochastic kernels, information structures, resource readout, domination resistance, self-defense protocols, garbling, fail-closed authority, safe default, measurability, control domains, transparency logs, Menger-type arguments, restricted policy classes, policy lifting

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selected citations
These citations are derived from selected sources.
This is an alternative to the "Influence" indicator, which also reflects the overall/total impact of an article in the research community at large, based on the underlying citation network (diachronically).
BIP!Citations provided by BIP!
popularity
This indicator reflects the "current" impact/attention (the "hype") of an article in the research community at large, based on the underlying citation network.
BIP!Popularity provided by BIP!
influence
This indicator reflects the overall/total impact of an article in the research community at large, based on the underlying citation network (diachronically).
BIP!Influence provided by BIP!
impulse
This indicator reflects the initial momentum of an article directly after its publication, based on the underlying citation network.
BIP!Impulse provided by BIP!
0
Average
Average
Average