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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.

The integration of large language models (LLMs) with vision-language (VL) tasks has been a transformative development in the realm of artificial intelligence, highlighting the potential of LLMs as a versatile general-purpose chatbot. However, the current trend in this evolution focuses on the integration of vision and language to create models that can operate in more diverse and real-world contexts. We present a novel approach, termed Bottleneck Adapter, specifically crafted for enhancing the multimodal functionalities of these complex models, enabling joint optimization of the entire multimodal LLM framework through a process known as Multimodal Model Tuning (MMT). Our approach utilizes lightweight adapters to connect the image encoder and LLM without the need for large, complex neural networks. Unlike the conventional modular training schemes, our approach adopts an end-to-end optimization regime, which, when combined with the adapters, facilitates the joint optimization using a significantly smaller parameter set. Our method exhibits robust performance with 90.12\% accuracy, outperforming both human-level performance (88.4\%) and LaVIN-7B (89.41\%).

Transformers have emerged as the backbone of large language models (LLMs). However, generation remains inefficient due to the need to store in memory a cache of key-value representations for past tokens, whose size scales linearly with the input sequence length and batch size. As a solution, we propose Dynamic Memory Compression (DMC), a method for online key-value cache compression at inference time. Most importantly, the model learns to apply different compression ratios in different heads and layers. We retrofit pre-trained LLMs such as Llama 2 (7B, 13B and 70B) into DMC Transformers, achieving up to 7x throughput increase during auto-regressive inference on an NVIDIA H100 GPU. DMC is applied via continued pre-training on a negligible percentage of the original data without adding any extra parameters. DMC preserves the original downstream performance with up to 4x cache compression, outperforming up-trained grouped-query attention (GQA) and key-value eviction policies (H$_2$O, TOVA). GQA and DMC can be even combined to obtain compounded gains. Hence, DMC can serve as a drop-in replacement for KV caching in existing LLMs to fit longer contexts and larger batches within any given memory budget.

As large language models (LLMs) become more powerful and are deployed more autonomously, it will be increasingly important to prevent them from causing harmful outcomes. Researchers have investigated a variety of safety techniques for this purpose, e.g. using models to review the outputs of other models, or red-teaming techniques to surface subtle failure modes. However, researchers have not evaluated whether such techniques still ensure safety if the model is itself intentionally trying to subvert them. In this paper, we develop and evaluate pipelines of safety techniques ("protocols") that are robust to intentional subversion. We investigate a scenario in which we want to solve a sequence of programming problems, using access to a powerful but untrusted model (in our case, GPT-4), access to a less powerful trusted model (in our case, GPT-3.5), and limited access to high-quality trusted labor. We investigate protocols that aim to never submit solutions containing backdoors, which we operationalize here as logical errors that are not caught by test cases. We investigate a range of protocols and test each against strategies that the untrusted model could use to subvert them. One protocol is what we call trusted editing. This protocol first asks GPT-4 to write code, and then asks GPT-3.5 to rate the suspiciousness of that code. If the code is below some suspiciousness threshold, it is submitted. Otherwise, GPT-3.5 edits the solution to remove parts that seem suspicious and then submits the edited code. Another protocol is untrusted monitoring. This protocol asks GPT-4 to write code, and then asks another instance of GPT-4 whether the code is backdoored, using various techniques to prevent the GPT-4 instances from colluding. These protocols improve substantially on simple baselines.

With recent rapid growth of large language models (LLMs), discrete speech tokenization has played an important role for injecting speech into LLMs. However, this discretization gives rise to a loss of information, consequently impairing overall performance. To improve the performance of these discrete speech tokens, we present RepCodec, a novel speech representation codec for semantic speech tokenization. In contrast to audio codecs which reconstruct the raw audio, RepCodec learns a vector quantization codebook through reconstructing speech representations from speech encoders like HuBERT or data2vec. Together, the speech encoder, the codec encoder and the vector quantization codebook form a pipeline for converting speech waveforms into semantic tokens. The extensive experiments illustrate that RepCodec, by virtue of its enhanced information retention capacity, significantly outperforms the widely used k-means clustering approach in both speech understanding and generation. Furthermore, this superiority extends across various speech encoders and languages, affirming the robustness of RepCodec. We believe our method can facilitate large language modeling research on speech processing.

Large language models (LLMs) have demonstrated great success in various fields, benefiting from their huge amount of parameters that store knowledge. However, LLMs still suffer from several key issues, such as hallucination problems, knowledge update issues, and lacking domain-specific expertise. The appearance of retrieval-augmented generation (RAG), which leverages an external knowledge database to augment LLMs, makes up those drawbacks of LLMs. This paper reviews all significant techniques of RAG, especially in the retriever and the retrieval fusions. Besides, tutorial codes are provided for implementing the representative techniques in RAG. This paper further discusses the RAG training, including RAG with/without datastore update. Then, we introduce the application of RAG in representative natural language processing tasks and industrial scenarios. Finally, this paper discusses the future directions and challenges of RAG for promoting its development.

Since the launch of ChatGPT, a powerful AI Chatbot developed by OpenAI, large language models (LLMs) have made significant advancements in both academia and industry, bringing about a fundamental engineering paradigm shift in many areas. While LLMs are powerful, it is also crucial to best use their power where "prompt'' plays a core role. However, the booming LLMs themselves, including excellent APIs like ChatGPT, have several inherent limitations: 1) temporal lag of training data, and 2) the lack of physical capabilities to perform external actions. Recently, we have observed the trend of utilizing prompt-based tools to better utilize the power of LLMs for downstream tasks, but a lack of systematic literature and standardized terminology, partly due to the rapid evolution of this field. Therefore, in this work, we survey related prompting tools and promote the concept of the "Prompting Framework" (PF), i.e. the framework for managing, simplifying, and facilitating interaction with large language models. We define the lifecycle of the PF as a hierarchical structure, from bottom to top, namely: Data Level, Base Level, Execute Level, and Service Level. We also systematically depict the overall landscape of the emerging PF field and discuss potential future research and challenges. To continuously track the developments in this area, we maintain a repository at //github.com/lxx0628/Prompting-Framework-Survey, which can be a useful resource sharing platform for both academic and industry in this field.

Large language models (LLMs) have demonstrated impressive capabilities in natural language processing. However, their internal mechanisms are still unclear and this lack of transparency poses unwanted risks for downstream applications. Therefore, understanding and explaining these models is crucial for elucidating their behaviors, limitations, and social impacts. In this paper, we introduce a taxonomy of explainability techniques and provide a structured overview of methods for explaining Transformer-based language models. We categorize techniques based on the training paradigms of LLMs: traditional fine-tuning-based paradigm and prompting-based paradigm. For each paradigm, we summarize the goals and dominant approaches for generating local explanations of individual predictions and global explanations of overall model knowledge. We also discuss metrics for evaluating generated explanations, and discuss how explanations can be leveraged to debug models and improve performance. Lastly, we examine key challenges and emerging opportunities for explanation techniques in the era of LLMs in comparison to conventional machine learning models.

Large language models (LLMs), such as ChatGPT and GPT4, are making new waves in the field of natural language processing and artificial intelligence, due to their emergent ability and generalizability. However, LLMs are black-box models, which often fall short of capturing and accessing factual knowledge. In contrast, Knowledge Graphs (KGs), Wikipedia and Huapu for example, are structured knowledge models that explicitly store rich factual knowledge. KGs can enhance LLMs by providing external knowledge for inference and interpretability. Meanwhile, KGs are difficult to construct and evolving by nature, which challenges the existing methods in KGs to generate new facts and represent unseen knowledge. Therefore, it is complementary to unify LLMs and KGs together and simultaneously leverage their advantages. In this article, we present a forward-looking roadmap for the unification of LLMs and KGs. Our roadmap consists of three general frameworks, namely, 1) KG-enhanced LLMs, which incorporate KGs during the pre-training and inference phases of LLMs, or for the purpose of enhancing understanding of the knowledge learned by LLMs; 2) LLM-augmented KGs, that leverage LLMs for different KG tasks such as embedding, completion, construction, graph-to-text generation, and question answering; and 3) Synergized LLMs + KGs, in which LLMs and KGs play equal roles and work in a mutually beneficial way to enhance both LLMs and KGs for bidirectional reasoning driven by both data and knowledge. We review and summarize existing efforts within these three frameworks in our roadmap and pinpoint their future research directions.