按实测端点分类的 RAG 保护研究综述：118 篇论文的证据地图

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Abstract:Retrieval-augmented generation (RAG) systems face security, privacy, and copyright risks including content leakage, source reconstruction, unauthorized access, data poisoning, and prompt injection. Yet RAG protection studies use incompatible evaluation metrics, datasets, and threat models. We present a systematic survey and human-coded evidence map of 118 full-text-confirmed RAG defense papers, organized by measured endpoint rather than claimed goal or defense mechanism. Our seven-family taxonomy covers content disclosure, formal privacy proxies, access control and suppression, corpus-use detection, and pipeline integrity and attribution. Thirty-two annotators double-coded the papers kappa=0.867. The survey identifies three gaps. First, retrieval reranking and context rewriting each span five or six endpoint families, so mechanisms do not identify protection outcomes. Second, only 17.8% of studies use content disclosure or reconstruction as their primary endpoint; under the frozen copyright/ownership relation label, 73.3% of records have corpus-use detection as their primary endpoint, and none have an emitted-expression primary endpoint. Third, most evaluations use general-purpose question-answering datasets and non-adaptive attacks rather than sensitive data and adaptive, multi-turn extraction. Our controlled RAG testbed shows that preventing verbatim copying does not prevent private-fact recovery: a normalized 8-gram guard reduces 20-token copying to 0.0%, but a three-query adaptive attacker recovers 48.3% of hidden facts on Qwen3-8B. We release the taxonomy, dataset, coding protocols, and testbed to enable comparable, claim-aligned RAG security evaluation.

Submission history

From: Peiyang Liu [view email]
[v1] Wed, 21 Oct 2026 06:17:23 UTC (457 KB)