Rag and Roll: An End-to-End Evaluation of Indirect Prompt Manipulations in LLM-based Application Frameworks

• URL: http://arxiv.org/abs/2408.05025v2
• Date: Mon, 12 Aug 2024 13:57:42 GMT
• Title: Rag and Roll: An End-to-End Evaluation of Indirect Prompt Manipulations in LLM-based Application Frameworks
• Authors: Gianluca De Stefano, Lea Schönherr, Giancarlo Pellegrino,
• Abstract summary: Retrieval Augmented Generation (RAG) is a technique commonly used to equip models with out of distribution knowledge. This paper investigates the security of RAG systems against end-to-end indirect prompt manipulations.
• Score: 12.061098193438022
• License: http://arxiv.org/licenses/nonexclusive-distrib/1.0/
• Abstract: Retrieval Augmented Generation (RAG) is a technique commonly used to equip models with out of distribution knowledge. This process involves collecting, indexing, retrieving, and providing information to an LLM for generating responses. Despite its growing popularity due to its flexibility and low cost, the security implications of RAG have not been extensively studied. The data for such systems are often collected from public sources, providing an attacker a gateway for indirect prompt injections to manipulate the responses of the model. In this paper, we investigate the security of RAG systems against end-to-end indirect prompt manipulations. First, we review existing RAG framework pipelines, deriving a prototypical architecture and identifying critical parameters. We then examine prior works searching for techniques that attackers can use to perform indirect prompt manipulations. Finally, we implemented Rag 'n Roll, a framework to determine the effectiveness of attacks against end-to-end RAG applications. Our results show that existing attacks are mostly optimized to boost the ranking of malicious documents during the retrieval phase. However, a higher rank does not immediately translate into a reliable attack. Most attacks, against various configurations, settle around a 40% success rate, which could rise to 60% when considering ambiguous answers as successful attacks (those that include the expected benign one as well). Additionally, when using unoptimized documents, attackers deploying two of them (or more) for a target query can achieve similar results as those using optimized ones. Finally, exploration of the configuration space of a RAG showed limited impact in thwarting the attacks, where the most successful combination severely undermines functionality.

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