C-SafeGen: Certified Safe LLM Generation with Claim-Based Streaming Guardrails

Mintong Kang, Zhaorun Chen, Bo Li

Keywords: LLM safety, LLM guardrail

Abstract: Despite the remarkable capabilities of large language models (LLMs) across diverse applications, they remain vulnerable to generating content that violates safety regulations and policies. To mitigate these risks, LLMs undergo safety alignment; however, they can still be effectively jailbroken. Off-the-shelf guardrail models are commonly deployed to monitor generations, but these models primarily focus on detection rather than ensuring safe decoding of LLM outputs. Moreover, existing efforts lack rigorous safety guarantees, which are crucial for the universal deployment of LLMs and certifiable compliance with regulatory standards. In this paper, we propose a Claim-based Stream Decoding (CSD) algorithm coupled with a statistical risk guarantee framework using conformal analysis. Specifically, our CSD algorithm integrates a stream guardrail model to safeguard sequential claims generated by LLMs and incorporates a backtracking mechanism to revise claims flagged with high safety risks. We provide theoretical guarantees demonstrating that the CSD algorithm achieves the desired generation distribution subject to safety constraints. Furthermore, we introduce a generation risk certification framework and derive a high-probability upper bound on the safety risk of the proposed CSD algorithm. We extend our approach to online settings, where user queries arrive sequentially, and prove that our method can asymptotically control safety risk to any desired level. Empirical evaluations demonstrate the effectiveness and efficiency of the CSD algorithm compared to state-of-the-art safety decoding approaches. Additionally, we validate the soundness and tightness of the derived safety risk upper bound using realistic data in both offline and online scenarios.

Primary Area: Social and economic aspects of machine learning (e.g., fairness, interpretability, human-AI interaction, privacy, safety, strategic behavior)

Submission Number: 24306