Beyond Semantic Relevance: Counterfactual Risk Minimization for Robust Retrieval-Augmented Generation
Authors: Peiyang Liu, Qiang Yan, Ziqiang Cui, Di Liang, Xi Wang, Wei Ye
Abstract
Standard Retrieval-Augmented Generation (RAG) systems predominantly rely on semantic relevance as a proxy for utility. However, this assumption collapses in realistic decision-making scenarios where user queries are laden with cognitive biases, such as false premises or confirmation bias. In such cases, maximizing relevance paradoxically promotes the retrieval of sycophantic evidence that reinforces hallucinations, a critical failure we term the ``Relevance-Robustness Gap''. To bridge this gap, we propose CoRM-RAG (Counterfactual Risk Minimization for RAG), a framework that aligns retrieval with decision safety rather than mere similarity. Grounded in causal intervention, we introduce a Cognitive Perturbation Protocol to simulate user biases during training, which is then distilled into a lightweight Evidence Critic. This scoring module learns to identify documents that possess sufficient evidential strength to steer the model toward correctness despite adversarial query perturbations. Extensive experiments on decision-making benchmarks demonstrate that CoRM-RAG significantly outperforms strong dense retrievers and LLM-based rerankers in adversarial settings, while enabling effective risk-aware abstention through reliable robustness scoring. Our code is available at https://github.com/PeiYangLiu/CoRM-RAG.git.
Retrieval-Augmented Generation (RAG) enhances Large Language Models (LLMs) by incorporating external knowledge, effectively mitigating their inherent knowledge limitations. However, RAG remains vulnerable to poisoning attacks that manipulate retrieved texts to mislead model outputs. Existing defense mechanisms often lack theoretical robustness guarantees and perform unreliably when the LLM has limited knowledge of the retrieved content. In this work, we propose PRA-RAG, a provably robust retrieval aggregation algorithm designed to defend against poisoning attacks on retrieved texts. PRA-RAG samples multiple combinations of retrieved texts and utilizes geometric structures in the embedding space to identify a robust subset, from which a stable aggregated representation is derived. We provide theoretical bounds on the maximum impact of poisoned retrieved content and establish a quantitative measure of RAG's robustness. Experiments across multiple benchmarks and RAG architectures demonstrate that PRA-RAG reduces the attack success rate to as low as 1% while maintaining an accuracy of 71%, significantly outperforming representative state-of-the-art methods.
Allowing large language models (LLMs) to retrieve information from a set of trusted documents can increase reliability and reduce hallucination. However, recent work has demonstrated that retrieval-augmented generation (RAG) can have unintended side effects on the overall safety of the generated responses, when prompted for harmful or dangerous content. A clearer understanding of the mechanisms leading to this result is needed, as increasing numbers of end users turn to RAG to incorporate corporate documents and knowledge bases into LLM-based systems. We introduce RAG-Safety-Bench, a benchmark to measure the safety impact of RAG on LLM models. By removing the confounding effect of retriever quality, and cleanly separating the problem into four conditions -- non-RAG, RAG with an oracle document containing the answer to the harmful request, RAG with documents related to the harmful request but without the specific answer, and RAG with random, safe documents -- the benchmark isolates the impacts of different factors in the observed safety degradation. We report results across five open-source LLMs, showing an inverse relationship between benign and unsafe capability, strong evidence that baseline safety guardrails do not lead to downstream safety guarantees in the RAG case, and model-specific support for previous findings that even benign documents can lead to unsafe generation in retrieval-enabled systems.
Adithiyan Rajan Indira Saravanan, Kathleen C. Fraser
Retrieval-Augmented Generation (RAG) improves the factual accuracy of large language model (LLM) outputs by grounding generation in external knowledge. Recent agentic RAG systems extend this paradigm with critical agents to evaluate model responses and iteratively refine outputs. However, most prior work implicitly assumes reliable critic feedback and focuses on planning strategies, while paying limited attention to the robustness of the error-correction process itself, which can be impacted by misaligned error categories and ineffective or incorrect corrections. Here, we hypothesize that RAG performance can be improved without explicit error categorization. We propose RePAIR, a response-action learning paradigm that directly maps flawed RAG outputs to error-mitigating action plans without relying on fine-grained error taxonomies and explicit critic supervision. Across multiple benchmarks, RePAIR consistently improves agentic RAG performance.