Daben Liu

Jingyu Wu, Aditya Shrivastava, Jing Zhu et al.

Efficiently reranking documents retrieved from information retrieval (IR) pipelines to enhance overall quality of Retrieval-Augmented Generation (RAG) system remains an important yet challenging problem. Recent studies have highlighted the importance of Large Language Models (LLMs) in reranking tasks. In particular, Pairwise Reranking Prompting (PRP) has emerged as a promising plug-and-play approach due to its usability and effectiveness. However, the inherent complexity of the algorithm, coupled with the high computational demands and latency incurred due to LLMs, raises concerns about its feasibility in real-time applications. To address these challenges, this paper presents a focused study on pairwise reranking, demonstrating that carefully applied optimization methods can significantly mitigate these issues. By implementing these methods, we achieve a remarkable latency reduction of up to 166 times, from 61.36 seconds to 0.37 seconds per query, with an insignificant drop in performance measured by Recall@k. Our study highlights the importance of design choices that were previously overlooked, such as using smaller models, limiting the reranked set, using lower precision, reducing positional bias with one-directional order inference, and restricting output tokens. These optimizations make LLM-based reranking substantially more efficient and feasible for latency-sensitive, real-world deployments.

Neel Jain, Aditya Shrivastava, Chenyang Zhu et al.

A key component of building safe and reliable language models is enabling the models to appropriately refuse to follow certain instructions or answer certain questions. We may want models to output refusal messages for various categories of user queries, for example, ill-posed questions, instructions for committing illegal acts, or queries which require information past the model's knowledge horizon. Engineering models that refuse to answer such questions is complicated by the fact that an individual may want their model to exhibit varying levels of sensitivity for refusing queries of various categories, and different users may want different refusal rates. The current default approach involves training multiple models with varying proportions of refusal messages from each category to achieve the desired refusal rates, which is computationally expensive and may require training a new model to accommodate each user's desired preference over refusal rates. To address these challenges, we propose refusal tokens, one such token for each refusal category or a single refusal token, which are prepended to the model's responses during training. We then show how to increase or decrease the probability of generating the refusal token for each category during inference to steer the model's refusal behavior. Refusal tokens enable controlling a single model's refusal rates without the need of any further fine-tuning, but only by selectively intervening during generation.

Yavuz Bakman, Sungmin Kang, Zhiqi Huang et al.

Uncertainty Quantification (UQ) research has primarily focused on closed-book factual question answering (QA), while contextual QA remains unexplored, despite its importance in real-world applications. In this work, we focus on UQ for the contextual QA task and propose a theoretically grounded approach to quantify epistemic uncertainty. We begin by introducing a task-agnostic, token-level uncertainty measure defined as the cross-entropy between the predictive distribution of the given model and the unknown true distribution. By decomposing this measure, we isolate the epistemic component and approximate the true distribution by a perfectly prompted, idealized model. We then derive an upper bound for epistemic uncertainty and show that it can be interpreted as semantic feature gaps in the given model's hidden representations relative to the ideal model. We further apply this generic framework to the contextual QA task and hypothesize that three features approximate this gap: context-reliance (using the provided context rather than parametric knowledge), context comprehension (extracting relevant information from context), and honesty (avoiding intentional lies). Using a top-down interpretability approach, we extract these features by using only a small number of labeled samples and ensemble them to form a robust uncertainty score. Experiments on multiple QA benchmarks in both in-distribution and out-of-distribution settings show that our method substantially outperforms state-of-the-art unsupervised (sampling-free and sampling-based) and supervised UQ methods, achieving up to a 13-point PRR improvement while incurring a negligible inference overhead.

Catarina G Belem, Parker Glenn, Alfy Samuel et al.

Automatic readability assessment plays a key role in ensuring effective and accessible written communication. Despite significant progress, the field is hindered by inconsistent definitions of readability and measurements that rely on surface-level text properties. In this work, we investigate the factors shaping human perceptions of readability through the analysis of 897 judgments, finding that, beyond surface-level cues, information content and topic strongly shape text comprehensibility. Furthermore, we evaluate 15 popular readability metrics across five English datasets, contrasting them with six more nuanced, model-based metrics. Our results show that four model-based metrics consistently place among the top four in rank correlations with human judgments, while the best performing traditional metric achieves an average rank of 8.6. These findings highlight a mismatch between current readability metrics and human perceptions, pointing to model-based approaches as a more promising direction.

Zhiqi Huang, Vivek Datla, Chenyang Zhu et al.

We propose a method for confidence estimation in retrieval-augmented generation (RAG) systems that aligns closely with the correctness of large language model (LLM) outputs. Confidence estimation is especially critical in high-stakes domains such as finance and healthcare, where the cost of an incorrect answer outweighs that of not answering the question. Our approach extends prior uncertainty quantification methods by leveraging raw feed-forward network (FFN) activations as auto-regressive signals, avoiding the information loss inherent in token logits and probabilities after projection and softmax normalization. We model confidence prediction as a sequence classification task, and regularize training with a Huber loss term to improve robustness against noisy supervision. Applied in a real-world financial industry customer-support setting with complex knowledge bases, our method outperforms strong baselines and maintains high accuracy under strict latency constraints. Experiments on Llama 3.1 8B model show that using activations from only the 16th layer preserves accuracy while reducing response latency. Our results demonstrate that activation-based confidence modeling offers a scalable, architecture-aware path toward trustworthy RAG deployment.

Faisal Hamman, Chenyang Zhu, Anoop Kumar et al.

RAG systems are increasingly deployed in high-stakes domains where users expect outputs to be consistent across semantically equivalent queries. However, existing systems often exhibit significant inconsistencies due to variability in both the retriever and generator (LLM), undermining trust and reliability. In this work, we focus on information consistency, i.e., the requirement that outputs convey the same core content across semantically equivalent inputs. We introduce a principled evaluation framework that decomposes RAG consistency into retriever-level, generator-level, and end-to-end components, helping identify inconsistency sources. To improve consistency, we propose Paraphrased Set Group Relative Policy Optimization (PS-GRPO), an RL approach that leverages multiple rollouts across paraphrased set to assign group similarity rewards. We leverage PS-GRPO to achieve Information Consistent RAG (Con-RAG), training the generator to produce consistent outputs across paraphrased queries and remain robust to retrieval-induced variability. Because exact reward computation over paraphrase sets is computationally expensive, we also introduce a scalable approximation method that retains effectiveness while enabling efficient, large-scale training. Empirical evaluations across short-form, multi-hop, and long-form QA benchmarks demonstrate that Con-RAG significantly improves both consistency and accuracy over strong baselines, even in the absence of explicit ground-truth supervision. Our work provides practical solutions for evaluating and building reliable RAG systems for safety-critical deployments.

Neal Gregory Lawton, Alfy Samuel, Anoop Kumar et al.

A Comparison of Independent and Joint Fine-tuning Strategies for Retrieval-Augmented Generation Download PDF Neal Gregory Lawton, Alfy Samuel, Anoop Kumar, Daben Liu Published: 20 Aug 2025, Retrieval augmented generation (RAG) is a popular framework for question answering that is powered by two large language models (LLMs): an embedding model that retrieves context documents from a database that are relevant to a given question, and a generator model that uses the retrieved context to generate an answer to the question. Both the embedding and generator models can be fine-tuned to increase performance of a RAG pipeline on a new task, but multiple fine-tuning strategies exist with different costs and benefits. In this paper, we evaluate and compare several RAG fine-tuning strategies, including independent, joint, and two-phase fine-tuning. In our experiments, we observe that all of these strategies achieve about equal improvement in EM and F1 generation quality metrics, although they have significantly different computational costs. We conclude the optimal fine-tuning strategy to use depends on whether the training dataset includes context labels and whether a grid search over the learning rates for the embedding and generator models is required.

Chenyang Zhu, Spencer Hong, Jingyu Wu et al.

We have reached a critical roadblock in the development and enhancement of long-horizon, multi-component LLM agentic systems: it is incredibly tricky to identify where these systems break down and why. Evaluation capabilities that currently exist today (e.g., single pass LLM-as-a-judge) are limited in that they often focus on individual metrics or capabilities, end-to-end outcomes, and are narrowly grounded on the preferences of humans. We argue that to match the agentic capabilities, evaluation frameworks must also be able to reason, probe, iterate, and understand the complex logic passing through these systems over long horizons. In this paper, we present RAFFLES - an evaluation architecture that incorporates reasoning and iterative refinement. Specifically, RAFFLES operates as an iterative, multi-component pipeline, using a central Judge to systematically investigate faults and a set of specialized Evaluators to assess not only the system's components but also the quality of the reasoning by the Judge itself, thereby building a history of hypotheses. We tested RAFFLES against several baselines on the Who&When dataset, a benchmark designed to diagnose the "who" (agent) and "when" (step) of a system's failure. RAFFLES outperforms these baselines, achieving an agent-step fault pair accuracy of over 43% on the Algorithmically-Generated dataset (a substantial increase from the previously published best of 16.6%) and over 20% on the Hand-Crafted dataset (surpassing the previously published best of 8.8%). These results demonstrate a key step towards introducing automated fault detection for autonomous systems over labor-intensive manual human review.

Zhen Huang, Xiaodan Zhuang, Daben Liu et al.

In this paper, we present our initial efforts for building a code-switching (CS) speech recognition system leveraging existing acoustic models (AMs) and language models (LMs), i.e., no training required, and specifically targeting intra-sentential switching. To achieve such an ambitious goal, new mechanisms for foreign pronunciation generation and language model (LM) enrichment have been devised. Specifically, we have designed an automatic approach to obtain high quality pronunciation of foreign language (FL) words in the native language (NL) phoneme set using existing acoustic phone decoders and an LSTM-based grapheme-to-phoneme (G2P) model. Improved accented pronunciations have thus been obtained by learning foreign pronunciations directly from data. Furthermore, a code-switching LM was deployed by converting the original NL LM into a CS LM using translated word pairs and borrowing statistics for the NL LM. Experimental evidence clearly demonstrates that our approach better deals with accented foreign pronunciations than techniques based on human labeling. Moreover, our best system achieves a 55.5% relative word error rate reduction from 34.4%, obtained with a conventional monolingual ASR system, to 15.3% on an intra-sentential CS task without harming the monolingual recognition accuracy.

Xinwei Li, Yuanyuan Zhang, Xiaodan Zhuang et al.

Inspired by SpecAugment -- a data augmentation method for end-to-end ASR systems, we propose a frame-level SpecAugment method (f-SpecAugment) to improve the performance of deep convolutional neural networks (CNN) for hybrid HMM based ASR systems. Similar to the utterance level SpecAugment, f-SpecAugment performs three transformations: time warping, frequency masking, and time masking. Instead of applying the transformations at the utterance level, f-SpecAugment applies them to each convolution window independently during training. We demonstrate that f-SpecAugment is more effective than the utterance level SpecAugment for deep CNN based hybrid models. We evaluate the proposed f-SpecAugment on 50-layer Self-Normalizing Deep CNN (SNDCNN) acoustic models trained with up to 25000 hours of training data. We observe f-SpecAugment reduces WER by 0.5-4.5% relatively across different ASR tasks for four languages. As the benefits of augmentation techniques tend to diminish as training data size increases, the large scale training reported is important in understanding the effectiveness of f-SpecAugment. Our experiments demonstrate that even with 25k training data, f-SpecAugment is still effective. We also demonstrate that f-SpecAugment has benefits approximately equivalent to doubling the amount of training data for deep CNNs.

Zhen Huang, Tim Ng, Leo Liu et al.

Very deep CNNs achieve state-of-the-art results in both computer vision and speech recognition, but are difficult to train. The most popular way to train very deep CNNs is to use shortcut connections (SC) together with batch normalization (BN). Inspired by Self- Normalizing Neural Networks, we propose the self-normalizing deep CNN (SNDCNN) based acoustic model topology, by removing the SC/BN and replacing the typical RELU activations with scaled exponential linear unit (SELU) in ResNet-50. SELU activations make the network self-normalizing and remove the need for both shortcut connections and batch normalization. Compared to ResNet- 50, we can achieve the same or lower (up to 4.5% relative) word error rate (WER) while boosting both training and inference speed by 60%-80%. We also explore other model inference optimization schemes to further reduce latency for production use.