Plan$\times$RAG: Planning-guided Retrieval Augmented Generation

We introduce Planning-guided Retrieval Augmented Generation (Plan$\times$RAG), a novel framework that augments the \emph{retrieve-then-reason} paradigm of existing RAG frameworks to \emph{plan-then-retrieve}. Plan$\times$RAG formulates a reasoning plan as a directed acyclic graph (DAG), decomposing queries into interrelated atomic sub-queries. Answer generation follows the DAG structure, allowing significant gains in efficiency through parallelized retrieval and generation. While state-of-the-art RAG solutions require extensive data generation and fine-tuning of language models (LMs), Plan$\times$RAG incorporates frozen LMs as plug-and-play experts to generate high-quality answers. Compared to existing RAG solutions, Plan$\times$RAG demonstrates significant improvements in reducing hallucinations and bolstering attribution due to its structured sub-query decomposition. Overall, Plan$\times$RAG offers a new perspective on integrating external knowledge in LMs while ensuring attribution by design, contributing towards more reliable LM-based systems.

ASTRA: Accurate and Scalable ANNS-based Training of Extreme Classifiers

`Extreme Classification'' (or XC) is the task of annotating data points (queries) with relevant labels (documents), from an extremely large set of $L$ possible labels, arising in search and recommendations. The most successful deep learning paradigm that has emerged over the last decade or so for XC is to embed the queries (and labels) using a deep encoder (e.g. DistilBERT), and use linear classifiers on top of the query embeddings. This architecture is of appeal because it enables millisecond-time inference using approximate nearest neighbor search (ANNS). The key question is how do we design training algorithms that are accurate as well as scale to $O(100M)$ labels on a limited number of GPUs. State-of-the-art XC techniques that demonstrate high accuracies (e.g., DEXML, Ren\'ee, DEXA) on standard datasets have per-epoch training time that scales as $O(L)$ or employ expensive negative sampling strategies, which are prohibitive in XC scenarios. In this work, we develop an accurate and scalable XC algorithm ASTRA with two key observations: (a) building ANNS index on the classifier vectors and retrieving hard negatives using the classifiers aligns the negative sampling strategy to the loss function optimized; (b) keeping the ANNS indices current as the classifiers change through the epochs is prohibitively expensive while using stale negatives (refreshed periodically) results in poor accuracy; to remedy this, we propose a negative sampling strategy that uses a mixture of importance sampling and uniform sampling. By extensive evaluation on standard XC as well as proprietary datasets with 120M labels, we demonstrate that ASTRA achieves SOTA precision, while reducing training time by 4x-15x relative to the second best.

CROSS-JEM: Accurate and Efficient Cross-encoders for Short-text Ranking Tasks

Ranking a set of items based on their relevance to a given query is a core problem in search and recommendation. Transformer-based ranking models are the state-of-the-art approaches for such tasks, but they score each query-item independently, ignoring the joint context of other relevant items. This leads to sub-optimal ranking accuracy and high computational costs. In response, we propose Cross-encoders with Joint Efficient Modeling (CROSS-JEM), a novel ranking approach that enables transformer-based models to jointly score multiple items for a query, maximizing parameter utilization. CROSS-JEM leverages (a) redundancies and token overlaps to jointly score multiple items, that are typically short-text phrases arising in search and recommendations, and (b) a novel training objective that models ranking probabilities. CROSS-JEM achieves state-of-the-art accuracy and over 4x lower ranking latency over standard cross-encoders. Our contributions are threefold: (i) we highlight the gap between the ranking application's need for scoring thousands of items per query and the limited capabilities of current cross-encoders; (ii) we introduce CROSS-JEM for joint efficient scoring of multiple items per query; and (iii) we demonstrate state-of-the-art accuracy on standard public datasets and a proprietary dataset. CROSS-JEM opens up new directions for designing tailored early-attention-based ranking models that incorporate strict production constraints such as item multiplicity and latency.

MASAI: Modular Architecture for Software-engineering AI Agents

A common method to solve complex problems in software engineering, is to divide the problem into multiple sub-problems. Inspired by this, we propose a Modular Architecture for Software-engineering AI (MASAI) agents, where different LLM-powered sub-agents are instantiated with well-defined objectives and strategies tuned to achieve those objectives. Our modular architecture offers several advantages: (1) employing and tuning different problem-solving strategies across sub-agents, (2) enabling sub-agents to gather information from different sources scattered throughout a repository, and (3) avoiding unnecessarily long trajectories which inflate costs and add extraneous context. MASAI enabled us to achieve the highest performance (28.33% resolution rate) on the popular and highly challenging SWE-bench Lite dataset consisting of 300 GitHub issues from 11 Python repositories. We conduct a comprehensive evaluation of MASAI relative to other agentic methods and analyze the effects of our design decisions and their contribution to the success of MASAI.

Task Facet Learning: A Structured Approach to Prompt Optimization

Given a task in the form of a basic description and its training examples, prompt optimization is the problem of synthesizing the given information into a text prompt for a large language model (LLM). Humans solve this problem by also considering the different facets that define a task (e.g., counter-examples, explanations, analogies) and including them in the prompt. However, it is unclear whether existing algorithmic approaches, based on iteratively editing a given prompt or automatically selecting a few in-context examples, can cover the multiple facets required to solve a complex task. In this work, we view prompt optimization as that of learning multiple facets of a task from a set of training examples. We identify and exploit structure in the prompt optimization problem -- first, we find that prompts can be broken down into loosely coupled semantic sections that have a relatively independent effect on the prompt's performance; second, we cluster the input space and use clustered batches so that the optimization procedure can learn the different facets of a task across batches. The resulting algorithm, UniPrompt, consists of a generative model to generate initial candidates for each prompt section; and a feedback mechanism that aggregates suggested edits from multiple mini-batches into a conceptual description for the section. Empirical evaluation on multiple datasets and a real-world task shows that prompts generated using UniPrompt obtain higher accuracy than human-tuned prompts and those from state-of-the-art methods. In particular, our algorithm can generate long, complex prompts that existing methods are unable to generate. Code for UniPrompt will be available at \url{https://aka.ms/uniprompt}.

Provably Robust DPO: Aligning Language Models with Noisy Feedback

Learning from preference-based feedback has recently gained traction as a promising approach to align language models with human interests. While these aligned generative models have demonstrated impressive capabilities across various tasks, their dependence on high-quality human preference data poses a bottleneck in practical applications. Specifically, noisy (incorrect and ambiguous) preference pairs in the dataset might restrict the language models from capturing human intent accurately. While practitioners have recently proposed heuristics to mitigate the effect of noisy preferences, a complete theoretical understanding of their workings remain elusive. In this work, we aim to bridge this gap by by introducing a general framework for policy optimization in the presence of random preference flips. We focus on the direct preference optimization (DPO) algorithm in particular since it assumes that preferences adhere to the Bradley-Terry-Luce (BTL) model, raising concerns about the impact of noisy data on the learned policy. We design a novel loss function, which de-bias the effect of noise on average, making a policy trained by minimizing that loss robust to the noise. Under log-linear parameterization of the policy class and assuming good feature coverage of the SFT policy, we prove that the sub-optimality gap of the proposed robust DPO (rDPO) policy compared to the optimal policy is of the order $O(\frac{1}{1-2\epsilon}\sqrt{\frac{d}{n}})$, where $\epsilon < 1/2$ is flip rate of labels, $d$ is policy parameter dimension and $n$ is size of dataset. Our experiments on IMDb sentiment generation and Anthropic's helpful-harmless dataset show that rDPO is robust to noise in preference labels compared to vanilla DPO and other heuristics proposed by practitioners.

NoFunEval: Funny How Code LMs Falter on Requirements Beyond Functional Correctness

Existing evaluation benchmarks of language models of code (code LMs) focus almost exclusively on whether the LMs can generate functionally-correct code. In real-world software engineering, developers think beyond functional correctness. They have requirements on "how" a functionality should be implemented to meet overall system design objectives like efficiency, security, and maintainability. They would also trust the code LMs more if the LMs demonstrate robust understanding of requirements and code semantics. We propose a new benchmark NoFunEval to evaluate code LMs on non-functional requirements and simple classification instances for both functional and non-functional requirements. We propose a prompting method, Coding Concepts (CoCo), as a way for a developer to communicate the domain knowledge to the LMs. We conduct an extensive evaluation of twenty-two code LMs. Our finding is that they generally falter when tested on our benchmark, hinting at fundamental blindspots in their training setups. Surprisingly, even the classification accuracy on functional-correctness instances derived from the popular HumanEval benchmark is low, calling in question the depth of their comprehension and the source of their success in generating functionally-correct code in the first place. We will release our benchmark and evaluation scripts publicly at https://aka.ms/NoFunEval.

GAR-meets-RAG Paradigm for Zero-Shot Information Retrieval

Given a query and a document corpus, the information retrieval (IR) task is to output a ranked list of relevant documents. Combining large language models (LLMs) with embedding-based retrieval models, recent work shows promising results on the zero-shot retrieval problem, i.e., no access to labeled data from the target domain. Two such popular paradigms are generation-augmented retrieval or GAR (generate additional context for the query and then retrieve), and retrieval-augmented generation or RAG (retrieve relevant documents as context and then generate answers). The success of these paradigms hinges on (i) high-recall retrieval models, which are difficult to obtain in the zero-shot setting, and (ii) high-precision (re-)ranking models which typically need a good initialization. In this work, we propose a novel GAR-meets-RAG recurrence formulation that overcomes the challenges of existing paradigms. Our method iteratively improves retrieval (via GAR) and rewrite (via RAG) stages in the zero-shot setting. A key design principle is that the rewrite-retrieval stages improve the recall of the system and a final re-ranking stage improves the precision. We conduct extensive experiments on zero-shot passage retrieval benchmarks, BEIR and TREC-DL. Our method establishes a new state-of-the-art in the BEIR benchmark, outperforming previous best results in Recall@100 and nDCG@10 metrics on 6 out of 8 datasets, with up to 17% relative gains over the previous best.

Differentially Private Reward Estimation with Preference Feedback

Learning from preference-based feedback has recently gained considerable traction as a promising approach to align generative models with human interests. Instead of relying on numerical rewards, the generative models are trained using reinforcement learning with human feedback (RLHF). These approaches first solicit feedback from human labelers typically in the form of pairwise comparisons between two possible actions, then estimate a reward model using these comparisons, and finally employ a policy based on the estimated reward model. An adversarial attack in any step of the above pipeline might reveal private and sensitive information of human labelers. In this work, we adopt the notion of label differential privacy (DP) and focus on the problem of reward estimation from preference-based feedback while protecting privacy of each individual labelers. Specifically, we consider the parametric Bradley-Terry-Luce (BTL) model for such pairwise comparison feedback involving a latent reward parameter $\theta^* \in \mathbb{R}^d$. Within a standard minimax estimation framework, we provide tight upper and lower bounds on the error in estimating $\theta^*$ under both local and central models of DP. We show, for a given privacy budget $\epsilon$ and number of samples $n$, that the additional cost to ensure label-DP under local model is $\Theta \big(\frac{1}{ e^\epsilon-1}\sqrt{\frac{d}{n}}\big)$, while it is $\Theta\big(\frac{\text{poly}(d)}{\epsilon n} \big)$ under the weaker central model. We perform simulations on synthetic data that corroborate these theoretical results.

Frustrated with Code Quality Issues? LLMs can Help!

As software projects progress, quality of code assumes paramount importance as it affects reliability, maintainability and security of software. For this reason, static analysis tools are used in developer workflows to flag code quality issues. However, developers need to spend extra efforts to revise their code to improve code quality based on the tool findings. In this work, we investigate the use of (instruction-following) large language models (LLMs) to assist developers in revising code to resolve code quality issues. We present a tool, CORE (short for COde REvisions), architected using a pair of LLMs organized as a duo comprised of a proposer and a ranker. Providers of static analysis tools recommend ways to mitigate the tool warnings and developers follow them to revise their code. The \emph{proposer LLM} of CORE takes the same set of recommendations and applies them to generate candidate code revisions. The candidates which pass the static quality checks are retained. However, the LLM may introduce subtle, unintended functionality changes which may go un-detected by the static analysis. The \emph{ranker LLM} evaluates the changes made by the proposer using a rubric that closely follows the acceptance criteria that a developer would enforce. CORE uses the scores assigned by the ranker LLM to rank the candidate revisions before presenting them to the developer. CORE could revise 59.2% Python files (across 52 quality checks) so that they pass scrutiny by both a tool and a human reviewer. The ranker LLM is able to reduce false positives by 25.8% in these cases. CORE produced revisions that passed the static analysis tool in 76.8% Java files (across 10 quality checks) comparable to 78.3% of a specialized program repair tool, with significantly much less engineering efforts.