arXiv subjects

Pengfei He

Publications and source records attributed to Pengfei He.

At least 55 records · Page 3Linked to original sources

arXiv2025

Evaluating the Effectiveness and Efficiency of Demonstration Retrievers in RAG for Coding Tasks

Retrieval-Augmented Generation (RAG) enhances Large Language Models (LLMs) by integrating external knowledge bases, achieving state-of-the-art results in various coding tasks. The core of RAG is retrieving demonstration examples, which is essential to balance effectiveness (generation quality) and efficiency (retrieval time) for optimal performance. However, the high-dimensional nature of code representations and large knowledge bases often create efficiency bottlenecks, which are overlooked in previous research. This paper systematically evaluates the efficiency-effectiveness trade-off of retrievers across three coding tasks: Program Synthesis, Commit Message Generation, and Assertion Generation. We examined six retrievers: two sparse (BM25 and BM25L) and four dense retrievers, including one exhaustive dense retriever (SBERT's Semantic Search) and three approximate dense retrievers (ANNOY, LSH, and HNSW). Our findings show that while BM25 excels in effectiveness, it suffers in efficiency as the knowledge base grows beyond 1000 entries. In large-scale retrieval, efficiency differences become more pronounced, with approximate dense retrievers offering the greatest gains. For instance, in Commit Generation task, HNSW achieves a 44x speed up, while only with a 1.74% drop in RougeL compared with BM25. Our results also show that increasing the number of demonstrations in the prompt doesn't always improve the effectiveness and can increase latency and lead to incorrect outputs. Our findings provide valuable insights for practitioners aiming to build efficient and effective RAG systems for coding tasks.

cs.SE↗

arXiv2025

Towards Context-Robust LLMs: A Gated Representation Fine-tuning Approach

Large Language Models (LLMs) enhanced with external contexts, such as through retrieval-augmented generation (RAG), often face challenges in handling imperfect evidence. They tend to over-rely on external knowledge, making them vulnerable to misleading and unhelpful contexts. To address this, we propose the concept of context-robust LLMs, which can effectively balance internal knowledge with external context, similar to human cognitive processes. Specifically, context-robust LLMs should rely on external context only when lacking internal knowledge, identify contradictions between internal and external knowledge, and disregard unhelpful contexts. To achieve this goal, we introduce Grft, a lightweight and plug-and-play gated representation fine-tuning approach. Grft consists of two key components: a gating mechanism to detect and filter problematic inputs, and low-rank representation adapters to adjust hidden representations. By training a lightweight intervention function with only 0.0004\% of model size on fewer than 200 examples, Grft can effectively adapt LLMs towards context-robust behaviors.

cs.CL↗

arXiv2025

Multi-Faceted Studies on Data Poisoning can Advance LLM Development

The lifecycle of large language models (LLMs) is far more complex than that of traditional machine learning models, involving multiple training stages, diverse data sources, and varied inference methods. While prior research on data poisoning attacks has primarily focused on the safety vulnerabilities of LLMs, these attacks face significant challenges in practice. Secure data collection, rigorous data cleaning, and the multistage nature of LLM training make it difficult to inject poisoned data or reliably influence LLM behavior as intended. Given these challenges, this position paper proposes rethinking the role of data poisoning and argue that multi-faceted studies on data poisoning can advance LLM development. From a threat perspective, practical strategies for data poisoning attacks can help evaluate and address real safety risks to LLMs. From a trustworthiness perspective, data poisoning can be leveraged to build more robust LLMs by uncovering and mitigating hidden biases, harmful outputs, and hallucinations. Moreover, from a mechanism perspective, data poisoning can provide valuable insights into LLMs, particularly the interplay between data and model behavior, driving a deeper understanding of their underlying mechanisms.

cs.CR↗

arXiv2025

Mitigating the Privacy Issues in Retrieval-Augmented Generation (RAG) via Pure Synthetic Data

Retrieval-augmented generation (RAG) enhances the outputs of language models by integrating relevant information retrieved from external knowledge sources. However, when the retrieval process involves private data, RAG systems may face severe privacy risks, potentially leading to the leakage of sensitive information. To address this issue, we propose using synthetic data as a privacy-preserving alternative for the retrieval data. We propose SAGE, a novel two-stage synthetic data generation paradigm. In the stage-1, we employ an attribute-based extraction and generation approach to preserve key contextual information from the original data. In the stage-2, we further enhance the privacy properties of the synthetic data through an agent-based iterative refinement process. Extensive experiments demonstrate that using our synthetic data as the retrieval context achieves comparable performance to using the original data while substantially reducing privacy risks. Our work takes the first step towards investigating the possibility of generating high-utility and privacy-preserving synthetic data for RAG, opening up new opportunities for the safe application of RAG systems in various domains.

cs.CR↗

arXiv2025

Stepwise Perplexity-Guided Refinement for Efficient Chain-of-Thought Reasoning in Large Language Models

Chain-of-Thought (CoT) reasoning, which breaks down complex tasks into intermediate reasoning steps, has significantly enhanced the performance of large language models (LLMs) on challenging tasks. However, the detailed reasoning process in CoT often incurs long generation times and high computational costs, partly due to the inclusion of unnecessary steps. To address this, we propose a method to identify critical reasoning steps using perplexity as a measure of their importance: a step is deemed critical if its removal causes a significant increase in perplexity. Our method enables models to focus solely on generating these critical steps. This can be achieved through two approaches: refining demonstration examples in few-shot CoT or fine-tuning the model using selected examples that include only critical steps. Comprehensive experiments validate the effectiveness of our method, which achieves a better balance between the reasoning accuracy and efficiency of CoT.

cs.CL↗

arXiv2024

Towards Understanding Jailbreak Attacks in LLMs: A Representation Space Analysis

Large language models (LLMs) are susceptible to a type of attack known as jailbreaking, which misleads LLMs to output harmful contents. Although there are diverse jailbreak attack strategies, there is no unified understanding on why some methods succeed and others fail. This paper explores the behavior of harmful and harmless prompts in the LLM's representation space to investigate the intrinsic properties of successful jailbreak attacks. We hypothesize that successful attacks share some similar properties: They are effective in moving the representation of the harmful prompt towards the direction to the harmless prompts. We leverage hidden representations into the objective of existing jailbreak attacks to move the attacks along the acceptance direction, and conduct experiments to validate the above hypothesis using the proposed objective. We hope this study provides new insights into understanding how LLMs understand harmfulness information.

cs.CL↗

arXiv2024

Stealthy Backdoor Attack via Confidence-driven Sampling

Backdoor attacks aim to surreptitiously insert malicious triggers into DNN models, granting unauthorized control during testing scenarios. Existing methods lack robustness against defense strategies and predominantly focus on enhancing trigger stealthiness while randomly selecting poisoned samples. Our research highlights the overlooked drawbacks of random sampling, which make that attack detectable and defensible. The core idea of this paper is to strategically poison samples near the model's decision boundary and increase defense difficulty. We introduce a straightforward yet highly effective sampling methodology that leverages confidence scores. Specifically, it selects samples with lower confidence scores, significantly increasing the challenge for defenders in identifying and countering these attacks. Importantly, our method operates independently of existing trigger designs, providing versatility and compatibility with various backdoor attack techniques. We substantiate the effectiveness of our approach through a comprehensive set of empirical experiments, demonstrating its potential to significantly enhance resilience against backdoor attacks in DNNs.

cs.CR↗

arXiv2024

Parameter Efficient Instruction Tuning: An Empirical Study

Instruction tuning has become an important step for finetuning pretrained language models to better follow human instructions and generalize on various tasks. Nowadays, pretrained language models become increasingly larger, and full parameter finetuning is overwhelmingly costly. Therefore, Parameter Efficient Finetuning (PEFT) has arisen as a cost-effective practice for instruction tuning because of significantly smaller computational, memory, and storage cost compared to full finetuning. Despite their widespread adaptations, the vast hyperparameter spaces, the number of PEFT methods, the different focus of instruction tuning capabilities make disentangling the impact of each aspect difficult. This study systematically investigates several representative PEFT methods, surveying the effect of hyperparameter choices including training hyperparameters and PEFT-specific hyperparameters, how different models sizes and the number of instruction tasks affect the performance, in-task-distribution memorization and open instruction following capability. Our empirical study shows that only LoRA and adapter can get close to full finetuning with ideal training settings. The ideal training setting includes an appropriate learning rate, largest LoRA rank or adapter size allowed and diverse training tasks. On the other hand, LoRA and adapter suffer from training instability if such an ideal training condition is not met. Additionally, LoRA requires a greater number of tasks for effective unseen task generalization, exhibit slower learning speed. Moreover, LoRA has weaker task-level memorization. Lastly, LoRA and adapter fall short in complex reasoning, coding and long-form generation compared to finetuning in open instruction tuning settings but it shows stronger capabilities compared to adapter.

cs.CL↗

arXiv2024

A Theoretical Understanding of Chain-of-Thought: Coherent Reasoning and Error-Aware Demonstration

Few-shot Chain-of-Thought (CoT) prompting has demonstrated strong performance in improving the reasoning capabilities of large language models (LLMs). While theoretical investigations have been conducted to understand CoT, the underlying transformer used in these studies isolates the CoT reasoning process into separated in-context learning steps (Stepwise ICL). In this work, we theoretically show that, compared to Stepwise ICL, the transformer gains better error correction ability and more accurate predictions if the reasoning from earlier steps (Coherent CoT) is integrated. Given that this coherent reasoning changes the behavior of the transformer, we further investigate the sensitivity of the transformer with Coherent CoT when the demonstration examples are corrupted at the inference stage. Our theoretical results indicate that the transformer is more sensitive to errors in intermediate reasoning steps than the final outcome. Building upon this observation, we propose an improvement on CoT by incorporating both correct and incorrect reasoning paths in the demonstration. Our experiments validate the effectiveness of the proposed approach.

cs.CL↗

arXiv2024

Make LLMs better zero-shot reasoners: Structure-orientated autonomous reasoning

Zero-shot reasoning methods with Large Language Models (LLMs) offer significant advantages including great generalization to novel tasks and reduced dependency on human-crafted examples. However, the current zero-shot methods still have limitations in complex tasks, e.g., answering questions that require multi-step reasoning. In this paper, we address this limitation by introducing a novel structure-oriented analysis method to help LLMs better understand the question and guide the problem-solving process of LLMs. We first demonstrate how the existing reasoning strategies, Chain-of-Thought and ReAct, can benefit from our structure-oriented analysis. In addition to empirical investigations, we leverage the probabilistic graphical model to theoretically explain why our structure-oriented analysis can improve the LLM reasoning process. To further improve the reliability in complex question-answering tasks, we propose a multi-agent reasoning system, Structure-oriented Autonomous Reasoning Agents (SARA), that can better enforce the reasoning process following our structure-oriented analysis by refinement techniques and is equipped with external knowledge retrieval capability to reduce factual errors. Extensive experiments verify the effectiveness of the proposed reasoning system. Surprisingly, in some cases, the system even surpasses few-shot methods. Finally, the system not only improves reasoning accuracy in complex tasks but also demonstrates robustness against potential attacks that corrupt the reasoning process.

cs.LG↗

arXiv2024

A Comprehensive Framework for Evaluating API-oriented Code Generation in Large Language Models

Large language models (LLMs) like GitHub Copilot and ChatGPT have emerged as powerful tools for code generation, significantly enhancing productivity and accelerating software development. However, existing benchmarks primarily focus on general code generation without considering API-oriented code generation, i.e., generating code that invokes APIs from specific libraries. Given the growing demand for API-oriented code generation, there is a pressing need for a systematic and automated approach to evaluate LLM on API-oriented code generation. To address this gap, we propose AutoAPIEval, a lightweight and automated framework designed to evaluate the capabilities of LLMs in API-oriented code generation. Our framework works with any library that provides API documentation and focuses on two unit tasks: API recommendation and code example generation, along with four metrics to evaluate the generated APIs and code examples, such as the proportion of incorrect API recommendations for Task 1, and the proportion of code examples where no specific API is invoked and uncompilable/unexecutable code examples for Task 2. In addition, we conducted a case study on three LLMs (ChatGPT, MagiCoder, and DeepSeek Coder) and Java Runtime Environment 8 to demonstrate the framework's effectiveness. Our findings reveal substantial variability in LLM performance across tasks, with ChatGPT adhering better to instructions, while sharing similar effectiveness in code example generation with its counterparts (i.e., MagiCoder and DeekSeek Coder). We also identify key factors associated with code quality, such as API popularity and model confidence, and build classifiers that achieve high accuracy in detecting incorrect API recommendations and erroneous code examples. Retrieval-augmented generation enhances the quality of code generated by LLMs, though its effectiveness varies across different LLMs.

cs.SE↗

arXiv2024

Deep Learning Techniques for Automatic Lateral X-ray Cephalometric Landmark Detection: Is the Problem Solved?

Localization of the craniofacial landmarks from lateral cephalograms is a fundamental task in cephalometric analysis. The automation of the corresponding tasks has thus been the subject of intense research over the past decades. In this paper, we introduce the "Cephalometric Landmark Detection (CL-Detection)" dataset, which is the largest publicly available and comprehensive dataset for cephalometric landmark detection. This multi-center and multi-vendor dataset includes 600 lateral X-ray images with 38 landmarks acquired with different equipment from three medical centers. The overarching objective of this paper is to measure how far state-of-the-art deep learning methods can go for cephalometric landmark detection. Following the 2023 MICCAI CL-Detection Challenge, we report the results of the top ten research groups using deep learning methods. Results show that the best methods closely approximate the expert analysis, achieving a mean detection rate of 75.719% and a mean radial error of 1.518 mm. While there is room for improvement, these findings undeniably open the door to highly accurate and fully automatic location of craniofacial landmarks. We also identify scenarios for which deep learning methods are still failing. Both the dataset and detailed results are publicly available online, while the platform will remain open for the community to benchmark future algorithm developments at https://cl-detection2023.grand-challenge.org/.

cs.CV↗

arXiv2024

Copyright Protection in Generative AI: A Technical Perspective

Generative AI has witnessed rapid advancement in recent years, expanding their capabilities to create synthesized content such as text, images, audio, and code. The high fidelity and authenticity of contents generated by these Deep Generative Models (DGMs) have sparked significant copyright concerns. There have been various legal debates on how to effectively safeguard copyrights in DGMs. This work delves into this issue by providing a comprehensive overview of copyright protection from a technical perspective. We examine from two distinct viewpoints: the copyrights pertaining to the source data held by the data owners and those of the generative models maintained by the model builders. For data copyright, we delve into methods data owners can protect their content and DGMs can be utilized without infringing upon these rights. For model copyright, our discussion extends to strategies for preventing model theft and identifying outputs generated by specific models. Finally, we highlight the limitations of existing techniques and identify areas that remain unexplored. Furthermore, we discuss prospective directions for the future of copyright protection, underscoring its importance for the sustainable and ethical development of Generative AI.

cs.CR↗

arXiv2024

DiffusionShield: A Watermark for Copyright Protection against Generative Diffusion Models

Recently, Generative Diffusion Models (GDMs) have showcased their remarkable capabilities in learning and generating images. A large community of GDMs has naturally emerged, further promoting the diversified applications of GDMs in various fields. However, this unrestricted proliferation has raised serious concerns about copyright protection. For example, artists including painters and photographers are becoming increasingly concerned that GDMs could effortlessly replicate their unique creative works without authorization. In response to these challenges, we introduce a novel watermarking scheme, DiffusionShield, tailored for GDMs. DiffusionShield protects images from copyright infringement by GDMs through encoding the ownership information into an imperceptible watermark and injecting it into the images. Its watermark can be easily learned by GDMs and will be reproduced in their generated images. By detecting the watermark from generated images, copyright infringement can be exposed with evidence. Benefiting from the uniformity of the watermarks and the joint optimization method, DiffusionShield ensures low distortion of the original image, high watermark detection performance, and the ability to embed lengthy messages. We conduct rigorous and comprehensive experiments to show the effectiveness of DiffusionShield in defending against infringement by GDMs and its superiority over traditional watermarking methods. The code for DiffusionShield is accessible in https://github.com/Yingqiancui/DiffusionShield.

cs.CR↗

arXiv2024

FT-Shield: A Watermark Against Unauthorized Fine-tuning in Text-to-Image Diffusion Models

Text-to-image generative models, especially those based on latent diffusion models (LDMs), have demonstrated outstanding ability in generating high-quality and high-resolution images from textual prompts. With this advancement, various fine-tuning methods have been developed to personalize text-to-image models for specific applications such as artistic style adaptation and human face transfer. However, such advancements have raised copyright concerns, especially when the data are used for personalization without authorization. For example, a malicious user can employ fine-tuning techniques to replicate the style of an artist without consent. In light of this concern, we propose FT-Shield, a watermarking solution tailored for the fine-tuning of text-to-image diffusion models. FT-Shield addresses copyright protection challenges by designing new watermark generation and detection strategies. In particular, it introduces an innovative algorithm for watermark generation. It ensures the seamless transfer of watermarks from training images to generated outputs, facilitating the identification of copyrighted material use. To tackle the variability in fine-tuning methods and their impact on watermark detection, FT-Shield integrates a Mixture of Experts (MoE) approach for watermark detection. Comprehensive experiments validate the effectiveness of our proposed FT-Shield.

cs.CV↗

arXiv2024

Learning-guided iterated local search for the minmax multiple traveling salesman problem

The minmax multiple traveling salesman problem involves minimizing the longest tour among a set of tours. The problem is of great practical interest because it can be used to formulate several real-life applications. To solve this computationally challenging problem, we propose a leaning-driven iterated local search approach that combines an aggressive local search procedure with a probabilistic acceptance criterion to find high-quality local optimal solutions and a multi-armed bandit algorithm to select various removal and insertion operators to escape local optimal traps. Extensive experiments on 77 commonly used benchmark instances show that our algorithm achieves excellent results in terms of solution quality and running time. In particular, it achieves 32 new best-known results and matches the best-known results for 35 other instances. Additional experiments shed light on the understanding of the composing elements of the algorithm.

cs.NE↗

arXiv2024

A Multi-population Integrated Approach for Capacitated Location Routing

The capacitated location-routing problem involves determining the depots from a set of candidate capacitated depot locations and finding the required routes from the selected depots to serve a set of customers whereas minimizing a cost function that includes the cost of opening the chosen depots, the fixed utilization cost per vehicle used, and the total cost (distance) of the routes. This paper presents a multi-population integrated framework in which a multi-depot edge assembly crossover generates promising offspring solutions from the perspective of both depot location and route edge assembly. The method includes an effective neighborhood-based local search, a feasibility-restoring procedure and a diversification-oriented mutation. Of particular interest is the multi-population scheme which organizes the population into multiple subpopulations based on depot configurations. Extensive experiments on 281 benchmark instances from the literature show that the algorithm performs remarkably well, by improving 101 best-known results (new upper bounds) and matching 84 best-known results. Additional experiments are presented to gain insight into the role of the key elements of the algorithm.

cs.AI↗

arXiv2024

The Good and The Bad: Exploring Privacy Issues in Retrieval-Augmented Generation (RAG)

Retrieval-augmented generation (RAG) is a powerful technique to facilitate language model with proprietary and private data, where data privacy is a pivotal concern. Whereas extensive research has demonstrated the privacy risks of large language models (LLMs), the RAG technique could potentially reshape the inherent behaviors of LLM generation, posing new privacy issues that are currently under-explored. In this work, we conduct extensive empirical studies with novel attack methods, which demonstrate the vulnerability of RAG systems on leaking the private retrieval database. Despite the new risk brought by RAG on the retrieval data, we further reveal that RAG can mitigate the leakage of the LLMs' training data. Overall, we provide new insights in this paper for privacy protection of retrieval-augmented LLMs, which benefit both LLMs and RAG systems builders. Our code is available at https://github.com/phycholosogy/RAG-privacy.

cs.CR↗