Trustworthy RAG for Intelligent Enterprises
Keywords:
Retrieval-augmented generation (RAG), governance, security, compliance, privacy, intelligent enterprise service automation, large language model (LLM), system architecture, trust.Abstract
Large language models (LLMs) excel at generative tasks but fall short in automating intelligent enterprise services. Their capabilities can be enhanced by retrieval-augmented generation (RAG), leveraging a knowledge base for accurate and trustworthy responses. However, naive integration of RAG into LLMs poses significant security and governance concerns that hinder practical adoption. This paper addresses this problem by presenting the design and validation of secure and governed RAG in LLMs, focusing on the business context of intelligent enterprise service automation without loss of generality.
The contribution promotes practical trust establishment in LLM usage. Requirements and implications of security and governance are explored across the RAG process, strengthened by implementation feedback using open-source enterprise LLMs and proximate RAG configurations. A secure access model mitigates data leakage during retrieval and generation, while an enterprise-level governance framework clarifies accountability and policy definition, avails continuous improvement mechanisms, and lays the foundation for third-party auditing. Together, these measures support trusted, regulation-compliant LLM governance in achieving sustainable business value.
References
1. Izacard, G., & Grave, E. (2021). Leveraging passage retrieval with generative models for open domain question answering. Proceedings of the 16th Conference of the European Chapter of the Association for Computational Linguistics: Main Volume, 874–880.
2. Borgeaud, S., Mensch, A., Hoffmann, J., Cai, T., Rutherford, E., Millican, K., van den Driessche, G., Lespiau, J.-B., Damoc, B., Clark, A., de Las Casas, D., Guy, A., Menick, J., Ring, R., Hennigan, T., Huang, S., Maggiore, A., Jones, C., Cassirer, A., ... Sifre, L. (2022). Improving language models by retrieving from trillions of tokens. Proceedings of the 39th International Conference on Machine Learning, 2206–2240.
3. Yandamuri, U. S. (2023). An Intelligent Analytics Framework Combining Big Data and Machine Learning for Business Forecasting. International Journal Of Finance, 36(6), 682-706.
4. Izacard, G., & Grave, E. (2021). Distilling knowledge from reader to retriever for question answering. International Conference on Learning Representations.
5. Lewis, P., Perez, E., Piktus, A., Petroni, F., Karpukhin, V., Goyal, N., Küttler, H., Lewis, M., Yih, W.-T., Rocktäschel, T., Riedel, S., & Kiela, D. (2021). Retrieval-augmented generation for knowledge-intensive NLP tasks. Proceedings of the 34th International Conference on Neural Information Processing Systems, 9459–9474.
6. Guu, K., Lee, K., Tung, Z., Pasupat, P., & Chang, M.-W. (2021). REALM: Retrieval-augmented language model pre-training. Proceedings of the 37th International Conference on Machine Learning, 3929–3938.
7. Mattaparthi, R. (2023). Deep Learning-Driven Combustion Anomaly Detection in Diesel Powertrains: A Multi-Sensor Fusion Approach for Real-Time ECM Adaptation. International Journal of Intelligent Systems and Applications in Engineering, 11, 1084.
8. Karpukhin, V., Oguz, B., Min, S., Lewis, P., Wu, L., Edunov, S., Chen, D., & Yih, W.-T. (2021). Dense passage retrieval for open-domain question answering. Proceedings of the 2021 Conference of the North American Chapter of the Association for Computational Linguistics: Human Language Technologies, 6769–6781.
9. Xiong, L., Xiong, C., Li, Y., Tang, K.-F., Liu, J., Bennett, P., Ahmed, J., & Overwijk, A. (2021). Approximate nearest neighbor negative contrastive learning for dense text retrieval. International Conference on Learning Representations.
10. Khattab, O., & Zaharia, M. (2021). ColBERTv2: Effective and efficient retrieval via lightweight late interaction. Proceedings of the 2022 Conference of the North American Chapter of the Association for Computational Linguistics: Human Language Technologies, 3713–3724.
11. Kolla, S. H., & Loganathan, R. (2023). Cloud-Native Deep Learning Architectures For Secure Generative AI Deployment In Enterprise Workflow Platforms. Journal of International Crisis and Risk Communication Research, 603-618.
12. Santhanam, K., Khattab, O., Saad-Falcon, J., Potts, C., & Zaharia, M. (2022). ColBERTv2: Effective and efficient retrieval via lightweight late interaction. Proceedings of the 2022 Conference of the North American Chapter of the Association for Computational Linguistics: Human Language Technologies, 3713–3724.
13. Izacard, G., Caron, M., Hosseini, L., Riedel, S., Bojanowski, P., Joulin, A., & Grave, E. (2022). Atlas: Few-shot learning with retrieval augmented language models. Journal of Machine Learning Research, 24, 1–43.
14. Nakano, R., Hilton, J., Balaji, S., Wu, J., Ouyang, L., Kim, C., Hesse, C., Jain, S., Kosaraju, V., Saunders, W., Jiang, X., Cobbe, K., & Schulman, J. (2021). WebGPT: Browser-assisted question-answering with human feedback. arXiv preprint arXiv:2112.09332.
15. Menick, J., Trebacz, M., Mikulik, V., Aslanides, J., Song, F., Chadwick, M., Glaese, A., McAleese, N., Gati, D., & others. (2022). Teaching language models to support answers with verified quotes. arXiv preprint arXiv:2203.11147.
16. Reddy, V. A. R. (2022). Designing Fault-Tolerant Data Ingestion Pipelines for High-Volume Healthcare Transactions. Frontiers in Health Informatics, 11, 861-889.
17. Gao, L., Dai, Z., Pasupat, P., Chen, A., Chaganty, A. T., Fan, Y., Zhao, P., Lee, Y., Chen, D., & Yu, Q. (2022). RARR: Researching and revising what language models say, using language models. Proceedings of the 61st Annual Meeting of the Association for Computational Linguistics, 515–529.
18. Gao, T., Yen, H., Yu, J., & Chen, D. (2023). Enabling large language models to generate text with citations. Proceedings of the 2023 Conference on Empirical Methods in Natural Language Processing, 6465–6488.
19. Asai, A., Wu, Z., Wang, Y., Sil, A., & Hajishirzi, H. (2023). Self-RAG: Learning to retrieve, generate, and critique through self-reflection. arXiv preprint arXiv:2310.11511.
20. Gao, Y., Xiong, Y., Gao, X., Jia, K., Pan, J., Bi, Y., Dai, Y., Sun, J., Wang, M., & Wang, H. (2023). Retrieval-augmented generation for large language models: A survey. arXiv preprint arXiv:2312.10997.
21. Li, J., Cheng, X., Zhao, W. X., Nie, J.-Y., & Wen, J.-R. (2023). HaluEval: A large-scale hallucination evaluation benchmark for large language models. Proceedings of the 2023 Conference on Empirical Methods in Natural Language Processing, 6449–6464.
22. Niu, C., Wu, Y., Zhu, J., Xu, S., Shum, K., Zhong, R., Song, J., & Zhang, T. (2023). RAGTruth: A hallucination corpus for developing trustworthy retrieval-augmented language models. arXiv preprint arXiv:2401.00396.
23. Syed, S. (2023). Shaping The Future Of Large-Scale Vehicle Manufacturing: Planet 2050 Initiatives And The Role Of Predictive Analytics. Nanotechnology Perceptions, 19(3), 103-116.
24. Min, S., Lewis, P., Hajishirzi, H., Zettlemoyer, L., & others. (2022). Rethinking the role of demonstrations: What makes in-context learning work? Proceedings of the 2022 Conference on Empirical Methods in Natural Language Processing, 11048–11064.
25. Mialon, G., Desset, R., Lomeli, M., Nalmpantis, C., Pasunuru, R., Ram, O., & others. (2023). Augmented language models: A survey. Transactions on Machine Learning Research, 2023.
26. Ji, Z., Lee, N., Frieske, R., Yu, T., Su, D., Xu, Y., Ishii, E., Bang, Y., Madotto, A., & Fung, P. (2023). Survey of hallucination in natural language generation. ACM Computing Surveys, 55(12), 1–38.
27. Manakul, P., Liusie, A., & Gales, M. J. F. (2023). SelfCheckGPT: Zero-resource black-box hallucination detection for generative large language models. Proceedings of the 2023 Conference on Empirical Methods in Natural Language Processing, 9004–9017.
28. Min, S., Krishna, K., Lyu, X., Lewis, M., Yih, W.-T., Koh, P. W., Iyyer, M., Zettlemoyer, L., & Hajishirzi, H. (2023). FActScore: Fine-grained atomic evaluation of factual precision in long form text generation. Proceedings of the 2023 Conference on Empirical Methods in Natural Language Processing, 12076–12100.
29. Es, S., James, J., Espinosa-Anke, L., & Schockaert, S. (2023). RAGAS: Automated evaluation of retrieval augmented generation. Proceedings of the 18th Conference of the European Chapter of the Association for Computational Linguistics: System Demonstrations, 150–158.
30. Mangalampalli, B. M. (2023). AI-Driven Anomaly Detection in Healthcare Claims Data: A Business Intelligence Perspective. Journal of Rare Cardiovascular Diseases.
31. Liu, Y., Iter, D., Xu, Y., Wang, S., Xu, R., & Zhu, C. (2023). G-Eval: NLG evaluation using GPT-4 with better human alignment. Proceedings of the 2023 Conference on Empirical Methods in Natural Language Processing, 2511–2522.