C-RAG: Certified Generation Risks for Retrieval-Augmented Language Models

Despite the impressive capabilities of large language models (LLMs) across diverse applications, they still suffer from trustworthiness issues, such as hallucinations and misalignments. Retrieval-augmented language models (RAG) have been proposed to enhance the credibility of generations by grounding external knowledge, but the theoretical understandings of their generation risks remains unexplored. In this paper, we answer: 1) whether RAG can indeed lead to low generation risks, 2) how to provide provable guarantees on the generation risks of RAG and vanilla LLMs, and 3) what sufficient conditions enable RAG models to reduce generation risks. We propose C-RAG, the first framework to certify generation risks for RAG models. Specifically, we provide conformal risk analysis for RAG models and certify an upper confidence bound of generation risks, which we refer to as conformal generation risk. We also provide theoretical guarantees on conformal generation risks for general bounded risk functions under test distribution shifts. We prove that RAG achieves a lower conformal generation risk than that of a single LLM when the quality of the retrieval model and transformer is non-trivial. Our intensive empirical results demonstrate the soundness and tightness of our conformal generation risk guarantees across four widely-used NLP datasets on four state-of-the-art retrieval models.

Robust Prompt Optimization for Defending Language Models Against Jailbreaking Attacks

Despite advances in AI alignment, language models (LM) remain vulnerable to adversarial attacks or jailbreaking, in which adversaries modify input prompts to induce harmful behavior. While some defenses have been proposed, they focus on narrow threat models and fall short of a strong defense, which we posit should be effective, universal, and practical. To achieve this, we propose the first adversarial objective for defending LMs against jailbreaking attacks and an algorithm, robust prompt optimization (RPO), that uses gradient-based token optimization to enforce harmless outputs. This results in an easily accessible suffix that significantly improves robustness to both jailbreaks seen during optimization and unknown, held-out jailbreaks, reducing the attack success rate on Starling-7B from 84% to 8.66% across 20 jailbreaks. In addition, we find that RPO has a minor effect on benign use, is successful under adaptive attacks, and can transfer to black-box models, reducing the success rate of the strongest attack on GPT-4, GUARD, from 92% to 6%.

GRATH: Gradual Self-Truthifying for Large Language Models

Truthfulness is paramount for large language models (LLMs) as they are increasingly deployed in real-world applications. However, existing LLMs still struggle with generating truthful content, as evidenced by their modest performance on benchmarks like TruthfulQA. To address this issue, we propose GRAdual self-truTHifying (GRATH), a novel post-processing method to enhance truthfulness of LLMs. GRATH utilizes out-of-domain question prompts to generate pairwise truthfulness training data with each pair containing a question and its correct and incorrect answers, and then optimizes the model via direct preference optimization (DPO) to learn from the truthfulness difference between answer pairs. GRATH iteratively refines truthfulness data and updates the model, leading to a gradual improvement in model truthfulness in a self-supervised manner. Empirically, we evaluate GRATH using different 7B-LLMs and compare with LLMs with similar or even larger sizes on benchmark datasets. Our results show that GRATH effectively improves LLMs' truthfulness without compromising other core capabilities. Notably, GRATH achieves state-of-the-art performance on TruthfulQA, with MC1 accuracy of 54.71% and MC2 accuracy of 69.10%, which even surpass those on 70B-LLMs.

Validating Climate Models with Spherical Convolutional Wasserstein Distance

The validation of global climate models is crucial to ensure the accuracy and efficacy of model output. We introduce the spherical convolutional Wasserstein distance to more comprehensively measure differences between climate models and reanalysis data. This new similarity measure accounts for spatial variability using convolutional projections and quantifies local differences in the distribution of climate variables. We apply this method to evaluate the historical model outputs of the Coupled Model Intercomparison Project (CMIP) members by comparing them to observational and reanalysis data products. Additionally, we investigate the progression from CMIP phase 5 to phase 6 and find modest improvements in the phase 6 models regarding their ability to produce realistic climatologies.

Benchmarking Large Multimodal Models against Common Corruptions

This technical report aims to fill a deficiency in the assessment of large multimodal models (LMMs) by specifically examining the self-consistency of their outputs when subjected to common corruptions. We investigate the cross-modal interactions between text, image, and speech, encompassing four essential generation tasks: text-to-image, image-to-text, text-to-speech, and speech-to-text. We create a comprehensive benchmark, named MMCBench, that covers more than 100 popular LMMs (totally over 150 model checkpoints). A thorough evaluation under common corruptions is critical for practical deployment and facilitates a better understanding of the reliability of cutting-edge LMMs. The benchmarking code is available at https://github.com/sail-sg/MMCBench

BadChain: Backdoor Chain-of-Thought Prompting for Large Language Models

Large language models (LLMs) are shown to benefit from chain-of-thought (COT) prompting, particularly when tackling tasks that require systematic reasoning processes. On the other hand, COT prompting also poses new vulnerabilities in the form of backdoor attacks, wherein the model will output unintended malicious content under specific backdoor-triggered conditions during inference. Traditional methods for launching backdoor attacks involve either contaminating the training dataset with backdoored instances or directly manipulating the model parameters during deployment. However, these approaches are not practical for commercial LLMs that typically operate via API access. In this paper, we propose BadChain, the first backdoor attack against LLMs employing COT prompting, which does not require access to the training dataset or model parameters and imposes low computational overhead. BadChain leverages the inherent reasoning capabilities of LLMs by inserting a backdoor reasoning step into the sequence of reasoning steps of the model output, thereby altering the final response when a backdoor trigger exists in the query prompt. Empirically, we show the effectiveness of BadChain for two COT strategies across four LLMs (Llama2, GPT-3.5, PaLM2, and GPT-4) and six complex benchmark tasks encompassing arithmetic, commonsense, and symbolic reasoning. Moreover, we show that LLMs endowed with stronger reasoning capabilities exhibit higher susceptibility to BadChain, exemplified by a high average attack success rate of 97.0% across the six benchmark tasks on GPT-4. Finally, we propose two defenses based on shuffling and demonstrate their overall ineffectiveness against BadChain. Therefore, BadChain remains a severe threat to LLMs, underscoring the urgency for the development of robust and effective future defenses.

VOT: Revolutionizing Speaker Verification with Memory and Attention Mechanisms

Speaker verification is to judge the similarity of two unknown voices in an open set, where the ideal speaker embedding should be able to condense discriminant information into a compact utterance-level representation that has small intra-speaker distances and large inter-speaker distances.We propose a novel model named Voice Transformer(VOT) for speaker verification. The model consists of multiple parallel Transformers, and the outputs of these Transformers are adaptively combined. Deeply-Fused Semantic Memory Network(DFSMN)is integrated into the attention parts of these Transformers to capture long-distance information and enhance the local dependencies. Statistical pooling layers are incorporated to enhance overall performance without significantly increasing the number of parameters. We propose a new loss function called Additive Angular Margin Focal Loss(AAMF) to address the hard sample mining issue.We evaluate the proposed approach on the VoxCeleb1 and CN-Celeb2 datasets. The experimental results demonstrate that VOT achieves state-of-the-art results, outperforming nearly all existing models. The code is available on GitHub.

Efficient Adapter Finetuning for Tail Languages in Streaming Multilingual ASR

The end-to-end ASR model is often desired in the streaming multilingual scenario since it is easier to deploy and can benefit from pre-trained speech models such as powerful foundation models. Meanwhile, the heterogeneous nature and imbalanced data abundance of different languages may cause performance degradation, leading to asynchronous peak performance for different languages during training, especially on tail ones. Sometimes even the data itself may become unavailable as a result of the enhanced privacy protection. Existing work tend to significantly increase the model size or learn language-specific decoders to accommodate each language separately. In this study, we explore simple yet effective Language-Dependent Adapter (LDA) finetuning under a cascaded Conformer transducer framework enhanced by teacher pseudo-labeling for tail languages in the streaming multilingual ASR. The adapter only accounts for 0.4% of the full model per language. It is plugged into the frozen foundation model and is the only trainable module during the finetuning process with noisy student training. The final model merges the adapter parameters from different checkpoints for different languages. The model performance is validated on a challenging multilingual dictation dataset, which includes 39 tail languages across Latin, Greek, Arabic, etc. Our proposed method brings 12.2% word error rate reduction on average and up to 37.5% on a single locale. Furthermore, we show that our parameter-efficient LDA can match the quality of the full model finetuning, thus greatly alleviating the asynchronous peak performance issue.

Crafter: Facial Feature Crafting against Inversion-based Identity Theft on Deep Models

With the increased capabilities at the edge (e.g., mobile device) and more stringent privacy requirement, it becomes a recent trend for deep learning-enabled applications to pre-process sensitive raw data at the edge and transmit the features to the backend cloud for further processing. A typical application is to run machine learning (ML) services on facial images collected from different individuals. To prevent identity theft, conventional methods commonly rely on an adversarial game-based approach to shed the identity information from the feature. However, such methods can not defend against adaptive attacks, in which an attacker takes a countermove against a known defence strategy. We propose Crafter, a feature crafting mechanism deployed at the edge, to protect the identity information from adaptive model inversion attacks while ensuring the ML tasks are properly carried out in the cloud. The key defence strategy is to mislead the attacker to a non-private prior from which the attacker gains little about the private identity. In this case, the crafted features act like poison training samples for attackers with adaptive model updates. Experimental results indicate that Crafter successfully defends both basic and possible adaptive attacks, which can not be achieved by state-of-the-art adversarial game-based methods.