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Dawen Zhang

Publications and source records attributed to Dawen Zhang.

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RAGOps: Operating and Managing Retrieval-Augmented Generation Pipelines

Recent studies show that 60% of LLM-based compound systems in enterprise environments leverage some form of retrieval-augmented generation (RAG), which enhances the relevance and accuracy of LLM (or other genAI) outputs by retrieving relevant information from external data sources. LLMOps involves the practices and techniques for managing the lifecycle and operations of LLM compound systems in production environments. It supports enhancing LLM systems through continuous operations and feedback evaluation. RAGOps extends LLMOps by incorporating a strong focus on data management to address the continuous changes in external data sources. This necessitates automated methods for evaluating and testing data operations, enhancing retrieval relevance and generation quality. In this paper, we (1) characterize the generic architecture of RAG applications based on the 4+1 model view for describing software architectures, (2) outline the lifecycle of RAG systems, which integrates the management lifecycles of both the LLM and the data, (3) define the key design considerations of RAGOps across different stages of the RAG lifecycle and quality trade-off analyses, (4) highlight the overarching research challenges around RAGOps, and (5) present two use cases of RAG applications and the corresponding RAGOps considerations.

cs.SE

A Layered Architecture for Developing and Enhancing Capabilities in Large Language Model-based Software Systems

Significant efforts has been made to expand the use of Large Language Models (LLMs) beyond basic language tasks. While the generalizability and versatility of LLMs have enabled widespread adoption, evolving demands in application development often exceed their native capabilities. Meeting these demands may involve a diverse set of methods, such as enhancing creativity through either inference temperature adjustments or creativity-provoking prompts. Selecting the right approach is critical, as different methods lead to trade-offs in engineering complexity, scalability, and operational costs. This paper introduces a layered architecture that organizes LLM software system development into distinct layers, each characterized by specific attributes. By aligning capabilities with these layers, the framework encourages the systematic implementation of capabilities in effective and efficient ways that ultimately supports desired functionalities and qualities. Through practical case studies, we illustrate the utility of the framework. This work offers developers actionable insights for selecting suitable technologies in LLM-based software system development, promoting robustness and scalability.

cs.SE

Privacy and Copyright Protection in Generative AI: A Lifecycle Perspective

The advent of Generative AI has marked a significant milestone in artificial intelligence, demonstrating remarkable capabilities in generating realistic images, texts, and data patterns. However, these advancements come with heightened concerns over data privacy and copyright infringement, primarily due to the reliance on vast datasets for model training. Traditional approaches like differential privacy, machine unlearning, and data poisoning only offer fragmented solutions to these complex issues. Our paper delves into the multifaceted challenges of privacy and copyright protection within the data lifecycle. We advocate for integrated approaches that combines technical innovation with ethical foresight, holistically addressing these concerns by investigating and devising solutions that are informed by the lifecycle perspective. This work aims to catalyze a broader discussion and inspire concerted efforts towards data privacy and copyright integrity in Generative AI.

cs.SE

Blockchain-Enabled Accountability in Data Supply Chain: A Data Bill of Materials Approach

In the era of advanced artificial intelligence, highlighted by large-scale generative models like GPT-4, ensuring the traceability, verifiability, and reproducibility of datasets throughout their lifecycle is paramount for research institutions and technology companies. These organisations increasingly rely on vast corpora to train and fine-tune advanced AI models, resulting in intricate data supply chains that demand effective data governance mechanisms. In addition, the challenge intensifies as diverse stakeholders may use assorted tools, often without adequate measures to ensure the accountability of data and the reliability of outcomes. In this study, we adapt the concept of ``Software Bill of Materials" into the field of data governance and management to address the above challenges, and introduce ``Data Bill of Materials" (DataBOM) to capture the dependency relationship between different datasets and stakeholders by storing specific metadata. We demonstrate a platform architecture for providing blockchain-based DataBOM services, present the interaction protocol for stakeholders, and discuss the minimal requirements for DataBOM metadata. The proposed solution is evaluated in terms of feasibility and performance via case study and quantitative analysis respectively.

cs.SE

Investigating the Design Considerations for Integrating Text-to-Image Generative AI within Augmented Reality Environments

Generative Artificial Intelligence (GenAI) has emerged as a fundamental component of intelligent interactive systems, enabling the automatic generation of multimodal media content. The continuous enhancement in the quality of Artificial Intelligence-Generated Content (AIGC), including but not limited to images and text, is forging new paradigms for its application, particularly within the domain of Augmented Reality (AR). Nevertheless, the application of GenAI within the AR design process remains opaque. This paper aims to articulate a design space encapsulating a series of criteria and a prototypical process to aid practitioners in assessing the aptness of adopting pertinent technologies. The proposed model has been formulated based on a synthesis of design insights garnered from ten experts, obtained through focus group interviews. Leveraging these initial insights, we delineate potential applications of GenAI in AR.

cs.HC

Right to be Forgotten in the Era of Large Language Models: Implications, Challenges, and Solutions

The Right to be Forgotten (RTBF) was first established as the result of the ruling of Google Spain SL, Google Inc. v AEPD, Mario Costeja González, and was later included as the Right to Erasure under the General Data Protection Regulation (GDPR) of European Union to allow individuals the right to request personal data be deleted by organizations. Specifically for search engines, individuals can send requests to organizations to exclude their information from the query results. It was a significant emergent right as the result of the evolution of technology. With the recent development of Large Language Models (LLMs) and their use in chatbots, LLM-enabled software systems have become popular. But they are not excluded from the RTBF. Compared with the indexing approach used by search engines, LLMs store, and process information in a completely different way. This poses new challenges for compliance with the RTBF. In this paper, we explore these challenges and provide our insights on how to implement technical solutions for the RTBF, including the use of differential privacy, machine unlearning, model editing, and guardrails. With the rapid advancement of AI and the increasing need of regulating this powerful technology, learning from the case of RTBF can provide valuable lessons for technical practitioners, legal experts, organizations, and authorities.

cs.CY

{A New Hope}: Contextual Privacy Policies for Mobile Applications and An Approach Toward Automated Generation

Privacy policies have emerged as the predominant approach to conveying privacy notices to mobile application users. In an effort to enhance both readability and user engagement, the concept of contextual privacy policies (CPPs) has been proposed by researchers. The aim of CPPs is to fragment privacy policies into concise snippets, displaying them only within the corresponding contexts within the application's graphical user interfaces (GUIs). In this paper, we first formulate CPP in mobile application scenario, and then present a novel multimodal framework, named SeePrivacy, specifically designed to automatically generate CPPs for mobile applications. This method uniquely integrates vision-based GUI understanding with privacy policy analysis, achieving 0.88 precision and 0.90 recall to detect contexts, as well as 0.98 precision and 0.96 recall in extracting corresponding policy segments. A human evaluation shows that 77% of the extracted privacy policy segments were perceived as well-aligned with the detected contexts. These findings suggest that SeePrivacy could serve as a significant tool for bolstering user interaction with, and understanding of, privacy policies. Furthermore, our solution has the potential to make privacy notices more accessible and inclusive, thus appealing to a broader demographic. A demonstration of our work can be accessed at https://cpp4app.github.io/SeePrivacy/

cs.CR

Trust in Software Supply Chains: Blockchain-Enabled SBOM and the AIBOM Future

The robustness of critical infrastructure systems is contingent upon the integrity and transparency of their software supply chains. A Software Bill of Materials (SBOM) is pivotal in this regard, offering an exhaustive inventory of components and dependencies crucial to software development. However, prevalent challenges in SBOM sharing, such as data tampering risks and vendors' reluctance to fully disclose sensitive information, significantly hinder its effective implementation. These challenges pose a notable threat to the security of critical infrastructure and systems where transparency and trust are paramount, underscoring the need for a more secure and flexible mechanism for SBOM sharing. To bridge the gap, this study introduces a blockchain-empowered architecture for SBOM sharing, leveraging verifiable credentials to allow for selective disclosure. This strategy not only heightens security but also offers flexibility. Furthermore, this paper broadens the remit of SBOM to encompass AI systems, thereby coining the term AI Bill of Materials (AIBOM). The advent of AI and its application in critical infrastructure necessitates a nuanced understanding of AI software components, including their origins and interdependencies. The evaluation of our solution indicates the feasibility and flexibility of the proposed SBOM sharing mechanism, positing a solution for safeguarding (AI) software supply chains, which is essential for the resilience and reliability of modern critical infrastructure systems.

cs.SE

To Be Forgotten or To Be Fair: Unveiling Fairness Implications of Machine Unlearning Methods

The right to be forgotten (RTBF) is motivated by the desire of people not to be perpetually disadvantaged by their past deeds. For this, data deletion needs to be deep and permanent, and should be removed from machine learning models. Researchers have proposed machine unlearning algorithms which aim to erase specific data from trained models more efficiently. However, these methods modify how data is fed into the model and how training is done, which may subsequently compromise AI ethics from the fairness perspective. To help software engineers make responsible decisions when adopting these unlearning methods, we present the first study on machine unlearning methods to reveal their fairness implications. We designed and conducted experiments on two typical machine unlearning methods (SISA and AmnesiacML) along with a retraining method (ORTR) as baseline using three fairness datasets under three different deletion strategies. Experimental results show that under non-uniform data deletion, SISA leads to better fairness compared with ORTR and AmnesiacML, while initial training and uniform data deletion do not necessarily affect the fairness of all three methods. These findings have exposed an important research problem in software engineering, and can help practitioners better understand the potential trade-offs on fairness when considering solutions for RTBF.

cs.SE

Tag Your Fish in the Broken Net: A Responsible Web Framework for Protecting Online Privacy and Copyright

The World Wide Web, a ubiquitous source of information, serves as a primary resource for countless individuals, amassing a vast amount of data from global internet users. However, this online data, when scraped, indexed, and utilized for activities like web crawling, search engine indexing, and, notably, AI model training, often diverges from the original intent of its contributors. The ascent of Generative AI has accentuated concerns surrounding data privacy and copyright infringement. Regrettably, the web's current framework falls short in facilitating pivotal actions like consent withdrawal or data copyright claims. While some companies offer voluntary measures, such as crawler access restrictions, these often remain inaccessible to individual users. To empower online users to exercise their rights and enable companies to adhere to regulations, this paper introduces a user-controlled consent tagging framework for online data. It leverages the extensibility of HTTP and HTML in conjunction with the decentralized nature of distributed ledger technology. With this framework, users have the ability to tag their online data at the time of transmission, and subsequently, they can track and request the withdrawal of consent for their data from the data holders. A proof-of-concept system is implemented, demonstrating the feasibility of the framework. This work holds significant potential for contributing to the reinforcement of user consent, privacy, and copyright on the modern internet and lays the groundwork for future insights into creating a more responsible and user-centric web ecosystem.

cs.NI

Is It a Trap? A Large-scale Empirical Study And Comprehensive Assessment of Online Automated Privacy Policy Generators for Mobile Apps

Privacy regulations protect and promote the privacy of individuals by requiring mobile apps to provide a privacy policy that explains what personal information is collected and how these apps process this information. However, developers often do not have sufficient legal knowledge to create such privacy policies. Online Automated Privacy Policy Generators (APPGs) can create privacy policies, but their quality and other characteristics can vary. In this paper, we conduct the first large-scale empirical study and comprehensive assessment of APPGs for mobile apps. Specifically, we scrutinize 10 APPGs on multiple dimensions. We further perform the market penetration analysis by collecting 46,472 Android app privacy policies from Google Play, discovering that nearly 20.1% of privacy policies could be generated by existing APPGs. Lastly, we point out that generated policies in our study do not fully comply with GDPR, CCPA, or LGPD. In summary, app developers must carefully select and use the appropriate APPGs with careful consideration to avoid potential pitfalls.

cs.SE

Test-takers have a say: understanding the implications of the use of AI in language tests

Language tests measure a person's ability to use a language in terms of listening, speaking, reading, or writing. Such tests play an integral role in academic, professional, and immigration domains, with entities such as educational institutions, professional accreditation bodies, and governments using them to assess candidate language proficiency. Recent advances in Artificial Intelligence (AI) and the discipline of Natural Language Processing have prompted language test providers to explore AI's potential applicability within language testing, leading to transformative activity patterns surrounding language instruction and learning. However, with concerns over AI's trustworthiness, it is imperative to understand the implications of integrating AI into language testing. This knowledge will enable stakeholders to make well-informed decisions, thus safeguarding community well-being and testing integrity. To understand the concerns and effects of AI usage in language tests, we conducted interviews and surveys with English test-takers. To the best of our knowledge, this is the first empirical study aimed at identifying the implications of AI adoption in language tests from a test-taker perspective. Our study reveals test-taker perceptions and behavioral patterns. Specifically, we identify that AI integration may enhance perceptions of fairness, consistency, and availability. Conversely, it might incite mistrust regarding reliability and interactivity aspects, subsequently influencing the behaviors and well-being of test-takers. These insights provide a better understanding of potential societal implications and assist stakeholders in making informed decisions concerning AI usage in language testing.

cs.CY

SeePrivacy: Automated Contextual Privacy Policy Generation for Mobile Applications

Privacy policies have become the most critical approach to safeguarding individuals' privacy and digital security. To enhance their presentation and readability, researchers propose the concept of contextual privacy policies (CPPs), aiming to fragment policies into shorter snippets and display them only in corresponding contexts. In this paper, we propose a novel multi-modal framework, namely SeePrivacy, designed to automatically generate contextual privacy policies for mobile apps. Our method synergistically combines mobile GUI understanding and privacy policy document analysis, yielding an impressive overall 83.6% coverage rate for privacy-related context detection and an accuracy of 0.92 in extracting corresponding policy segments. Remarkably, 96% of the retrieved policy segments can be correctly matched with their contexts. The user study shows SeePrivacy demonstrates excellent functionality and usability (4.5/5). Specifically, participants exhibit a greater willingness to read CPPs (4.1/5) compared to original privacy policies (2/5). Our solution effectively assists users in comprehending privacy notices, and this research establishes a solid foundation for further advancements and exploration.

cs.CR

Toward the Cure of Privacy Policy Reading Phobia: Automated Generation of Privacy Nutrition Labels From Privacy Policies

Software applications have become an omnipresent part of modern society. The consequent privacy policies of these applications play a significant role in informing customers how their personal information is collected, stored, and used. However, customers rarely read and often fail to understand privacy policies because of the ``Privacy Policy Reading Phobia'' (PPRP). To tackle this emerging challenge, we propose the first framework that can automatically generate privacy nutrition labels from privacy policies. Based on our ground truth applications about the Data Safety Report from the Google Play app store, our framework achieves a 0.75 F1-score on generating first-party data collection practices and an average of 0.93 F1-score on general security practices. We also analyse the inconsistencies between ground truth and curated privacy nutrition labels on the market, and our framework can detect 90.1% under-claim issues. Our framework demonstrates decent generalizability across different privacy nutrition label formats, such as Google's Data Safety Report and Apple's App Privacy Details.

cs.CR