A Systematic Survey of Automatic Prompt Optimization Techniques

Since the advent of large language models (LLMs), prompt engineering has been a crucial step for eliciting desired responses for various Natural Language Processing (NLP) tasks. However, prompt engineering remains an impediment for end users due to rapid advances in models, tasks, and associated best practices. To mitigate this, Automatic Prompt Optimization (APO) techniques have recently emerged that use various automated techniques to help improve the performance of LLMs on various tasks. In this paper, we present a comprehensive survey summarizing the current progress and remaining challenges in this field. We provide a formal definition of APO, a 5-part unifying framework, and then proceed to rigorously categorize all relevant works based on their salient features therein. We hope to spur further research guided by our framework.

A Survey of Model Architectures in Information Retrieval

This survey examines the evolution of model architectures in information retrieval (IR), focusing on two key aspects: backbone models for feature extraction and end-to-end system architectures for relevance estimation. The review intentionally separates architectural considerations from training methodologies to provide a focused analysis of structural innovations in IR systems.We trace the development from traditional term-based methods to modern neural approaches, particularly highlighting the impact of transformer-based models and subsequent large language models (LLMs). We conclude by discussing emerging challenges and future directions, including architectural optimizations for performance and scalability, handling of multimodal, multilingual data, and adaptation to novel application domains beyond traditional search paradigms.

MAIN-RAG: Multi-Agent Filtering Retrieval-Augmented Generation

Large Language Models (LLMs) are becoming essential tools for various natural language processing tasks but often suffer from generating outdated or incorrect information. Retrieval-Augmented Generation (RAG) addresses this issue by incorporating external, real-time information retrieval to ground LLM responses. However, the existing RAG systems frequently struggle with the quality of retrieval documents, as irrelevant or noisy documents degrade performance, increase computational overhead, and undermine response reliability. To tackle this problem, we propose Multi-Agent Filtering Retrieval-Augmented Generation (MAIN-RAG), a training-free RAG framework that leverages multiple LLM agents to collaboratively filter and score retrieved documents. Specifically, MAIN-RAG introduces an adaptive filtering mechanism that dynamically adjusts the relevance filtering threshold based on score distributions, effectively minimizing noise while maintaining high recall of relevant documents. The proposed approach leverages inter-agent consensus to ensure robust document selection without requiring additional training data or fine-tuning. Experimental results across four QA benchmarks demonstrate that MAIN-RAG consistently outperforms traditional RAG approaches, achieving a 2-11% improvement in answer accuracy while reducing the number of irrelevant retrieved documents. Quantitative analysis further reveals that our approach achieves superior response consistency and answer accuracy over baseline methods, offering a competitive and practical alternative to training-based solutions.

State Space Models are Strong Text Rerankers

Transformers dominate NLP and IR; but their inference inefficiencies and challenges in extrapolating to longer contexts have sparked interest in alternative model architectures. Among these, state space models (SSMs) like Mamba offer promising advantages, particularly $O(1)$ time complexity in inference. Despite their potential, SSMs' effectiveness at text reranking -- a task requiring fine-grained query-document interaction and long-context understanding -- remains underexplored. This study benchmarks SSM-based architectures (specifically, Mamba-1 and Mamba-2) against transformer-based models across various scales, architectures, and pre-training objectives, focusing on performance and efficiency in text reranking tasks. We find that (1) Mamba architectures achieve competitive text ranking performance, comparable to transformer-based models of similar size; (2) they are less efficient in training and inference compared to transformers with flash attention; and (3) Mamba-2 outperforms Mamba-1 in both performance and efficiency. These results underscore the potential of state space models as a transformer alternative and highlight areas for improvement in future IR applications.

Beyond Perplexity: Multi-dimensional Safety Evaluation of LLM Compression

Large language models (LLMs) are increasingly deployed in real-world scenarios with the help of recent model compression techniques. Such momentum towards local deployment means the use of compressed LLMs will widely impact a large population. However, prior analysis works often prioritize on preserving perplexity which is a direct analogy to training loss. The impact of compression method on other critical aspects of model behavior, particularly safety, still calls for a systematic assessment. To this end, we investigate the impact of model compression on four dimensions: (1) degeneration harm, i.e., bias and toxicity in generation; (2) representational harm, i.e., biases in discriminative tasks; (3) dialect bias; (4) language modeling and downstream task performance. We cover a wide spectrum of LLM compression techniques, including unstructured pruning, semi-structured pruning and quantization. Our analysis reveals that compression can lead to unexpected consequences. Although compression may unintentionally remedy LLMs' degeneration harm, it can still exacerbate on the representational harm axis. Although compression may unintentionally remedy LLMs' degeneration harm, it can still exacerbate on the representational harm axis. Moreover, there is a divergent impact on different protected groups as the compression rate grows. Finally, different compression methods have drastically different safety impacts, e.g., quantization mostly preserves bias while pruning degrades quickly. Our findings underscore the importance of integrating safety assessments into the development of compressed LLMs to ensure their reliability across real-world applications. Our full results are available here: \url{https://github.com/zhichaoxu-shufe/Beyond-Perplexity-Compression-Safety-Eval}

RankMamba: Benchmarking Mamba's Document Ranking Performance in the Era of Transformers

Transformer structure has achieved great success in multiple applied machine learning communities, such as natural language processing (NLP), computer vision (CV) and information retrieval (IR). Transformer architecture's core mechanism -- attention requires $O(n^2)$ time complexity in training and $O(n)$ time complexity in inference. Many works have been proposed to improve the attention mechanism's scalability, such as Flash Attention and Multi-query Attention. A different line of work aims to design new mechanisms to replace attention. Recently, a notable model structure -- Mamba, which is based on state space models, has achieved transformer-equivalent performance in multiple sequence modeling tasks. In this work, we examine \mamba's efficacy through the lens of a classical IR task -- document ranking. A reranker model takes a query and a document as input, and predicts a scalar relevance score. This task demands the language model's ability to comprehend lengthy contextual inputs and to capture the interaction between query and document tokens. We find that (1) Mamba models achieve competitive performance compared to transformer-based models with the same training recipe; (2) but also have a lower training throughput in comparison to efficient transformer implementations such as flash attention. We hope this study can serve as a starting point to explore Mamba models in other classical IR tasks. Our code implementation and trained checkpoints are made public to facilitate reproducibility (https://github.com/zhichaoxu-shufe/RankMamba).

Multi-dimensional Evaluation of Empathetic Dialog Responses

Empathy is a critical element of effective and satisfactory conversational communication, yet previous studies in measuring conversational empathy mostly focus on expressed communicative intents -- in which way empathy is expressed, ignoring the fact that conversation is also a collaborative practice involving both speakers and listeners. In contrast, we propose a multi-dimensional empathy evaluation framework that extends upon existing work to measure both expressed intents from the speaker's perspective and perceived empathy from the listener's perspective. Applying the proposed framework to analyzing our internal customer-service dialogue shows that the two dimensions (expressed intent types and perceived empathy) are inter-connected, while perceived empathy has high correlation with the satisfactory level of dialogue sessions. This proposed framework still requires subjective assessments from trained annotators, which can be non-trivial to collect. To scale up evaluation without excessive reliance on carefully annotated data, we explore different modeling options to automatically measure conversational empathy with (1) prompting frozen large language models (LLMs) and (2) training language model-based classifiers. Extensive experiments on both internal and external dialogue datasets show that measuring conversational empathy remains a challenging task for prompting frozen LLMs, reflected by less satisfying performance of GPT-4 and Flan family models. On the other hand, our proposed instruction-finetuned classifiers based on sequence-to-sequence (Seq2Seq) language models is able to achieve the best performance compared to prior works and competitive baselines. Finally, we perform comprehensive ablation studies on the performance of proposed instruction-finetuned classifiers and give recommendations on potentially adopting them as automatic conversational empathy evaluation metrics.

In-Context Example Ordering Guided by Label Distributions

By allowing models to predict without task-specific training, in-context learning (ICL) with pretrained LLMs has enormous potential in NLP. However, a number of problems persist in ICL. In particular, its performance is sensitive to the choice and order of in-context examples. Given the same set of in-context examples with different orderings, model performance may vary between near random to near state-of-the-art. In this work, we formulate in-context example ordering as an optimization problem. We examine three problem settings that differ in the assumptions they make about what is known about the task. Inspired by the idea of learning from label proportions, we propose two principles for in-context example ordering guided by model's probability predictions. We apply our proposed principles to thirteen text classification datasets and nine different autoregressive LLMs with 700M to 13B parameters. We demonstrate that our approach outperforms the baselines by improving the classification accuracy, reducing model miscalibration, and also by selecting better in-context examples.

Context-aware Decoding Reduces Hallucination in Query-focused Summarization

Query-focused summarization (QFS) aims to provide a summary of a single document/multi documents that can satisfy the information needs of a given query. It is useful for various real-world applications, such as abstractive snippet generation or more recent retrieval augmented generation (RAG). A prototypical QFS pipeline consists of a retriever (sparse or dense retrieval) and a generator (usually a large language model). However, applying large language models (LLM) potentially leads to hallucinations, especially when the evidence contradicts the prior belief of LLMs. There has been growing interest in developing new decoding methods to improve generation quality and reduce hallucination. In this work, we conduct a large-scale reproducibility study on one recently proposed decoding method -- Context-aware Decoding (CAD). In addition to replicating CAD's experiments on news summarization datasets, we include experiments on QFS datasets, and conduct more rigorous analysis on computational complexity and hyperparameter sensitivity. Experiments with eight different language models show that performance-wise, CAD improves QFS quality by (1) reducing factuality errors/hallucinations while (2) mostly retaining the match of lexical patterns, measured by ROUGE scores, while also at a cost of increased inference-time FLOPs and reduced decoding speed. The code implementation based on Huggingface Library is made available https://github.com/zhichaoxu-shufe/context-aware-decoding-qfs

FARA: Future-aware Ranking Algorithm for Fairness Optimization

Ranking systems are the key components of modern Information Retrieval (IR) applications, such as search engines and recommender systems. Besides the ranking relevance to users, the exposure fairness to item providers has also been considered an important factor in ranking optimization. Many fair ranking algorithms have been proposed to jointly optimize both ranking relevance and fairness. However, we find that most existing fair ranking methods adopt greedy algorithms that only optimize rankings for the next immediate session or request. As shown in this paper, such a myopic paradigm could limit the upper bound of ranking optimization and lead to suboptimal performance in the long term. To this end, we propose FARA, a novel Future-Aware Ranking Algorithm for ranking relevance and fairness optimization. Instead of greedily optimizing rankings for the next immediate session, FARA plans ahead by jointly optimizing multiple ranklists together and saving them for future sessions. Particularly, FARA first uses the Taylor expansion to investigate how future ranklists will influence the overall fairness of the system. Then, based on the analysis of the Taylor expansion, FARA adopts a two-phase optimization algorithm where we first solve an optimal future exposure planning problem and then construct the optimal ranklists according to the optimal future exposure planning. Theoretically, we show that FARA is optimal for ranking relevance and fairness joint optimization. Empirically, our extensive experiments on three semi-synthesized datasets show that FARA is efficient, effective, and can deliver significantly better ranking performance compared to state-of-the-art fair ranking methods.