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HuRef: HUman-REadable Fingerprint for Large Language Models

NeurIPS 2024 · Large language models › Instruction and fine-tuning · approach: Safety alignment after fine-tuning · 4 citations (OpenAlex)

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Proposes HuRef, a black-box LLM fingerprinting method that computes invariant terms from the last layers of weights (robust to permutation/rotation attacks), encodes them into a Gaussian vector and then a StyleGAN2 dog image, with zero-knowledge proofs ensuring honest generation.

Problem

Identifying the base model of an LLM for copyright protection when parameters are altered by fine-tuning, continued pretraining, or RLHF, and parameters are not publicly accessible (black-box setting), while being robust to weight rearrangement attacks.

Approach

Observes that the direction of LLM parameter vectors stabilizes after pretraining and is preserved by subsequent training, then derives three Transformer-structure-invariant terms (M_a, M_b, M_f) robust to weight permutation and invertible-matrix rotation attacks; these are encoded by a contrastively trained CNN encoder with GAN-style Gaussianization into a StyleGAN2 image fingerprint, and ZKP pro

Key results

Measured effects reported in the paper

What was changedWhereMeasuredEffect
use invariant-term cosine similarity to identify offspring base modelsHuRef · 51 offspring models from 18 base modelsbase-model identification accuracy: 100%Helped
use HuRef instead of IF_adapter^2LLaMA-7B offspring · LLaMA-7B offspringFSR: 84.62 -> 100.00Helped
use HuRef instead of TrapLLaMA-7B offspring · LLaMA-7B offspringFSR: 11.94 -> 100.00Helped
generate human-readable fingerprints from invariant termsHuRef · Human subject studyaccuracy: 94.74%Helped
use invariant terms to compare independently trained modelsHuRef · 28 independently trained LLMsaverage ICS: 0.38Helped
add cosine-similarity suppression term L_A during Alpaca SFT (ablation)Alpaca · Average across eight zero-shot benchmarksaccuracy: 62.54 -> 40.25; 33.38; 33.24; 33.52Hurt
add cosine-similarity suppression term L_A (PCS 97.13) (ablation)Alpaca · BoolQaccuracy: 77.49 -> 45.44Hurt
add cosine-similarity suppression term L_A (PCS 87.21) (ablation)Alpaca · BoolQaccuracy: 77.49 -> 42.23Hurt
add cosine-similarity suppression term L_A (PCS 80.23) (ablation)Alpaca · BoolQaccuracy: 77.49 -> 39.05Hurt
add cosine-similarity suppression term L_A (PCS 77.56) (ablation)Alpaca · BoolQaccuracy: 77.49 -> 41.62Hurt

Surprising findings

Limitations

Experimental setup

Datasets: Synthetic random Gaussian matrices (encoder training) The Pile (subset, for GPT-NeoX-350M) AFHQ dog dataset (StyleGAN2 pretraining)

Benchmarks: BoolQ PIQA HellaSwag WinoGrande ARC-e ARC-c RACE MMLU

Metrics: ICS (invariant-term cosine similarity) PCS zero-shot accuracy accuracy of base model identification FSR (fingerprint success rate) human subject accuracy

Baselines: Trap IF (adapter) IF (full parameters)

Builds on: StyleGAN2 Trap IF (instruction fingerprinting) GAN

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