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基于大语言模型的推荐系统隐私泄漏与隐私保护综述

李翠鸿,  黄晓雯,  桑基韬,  尹传环,  于剑

李翠鸿, 黄晓雯, 桑基韬, 尹传环, 于剑. 基于大语言模型的推荐系统隐私泄漏与隐私保护综述. 自动化学报, xxxx, xx(x): x−xx doi: 10.16383/j.aas.c250462
引用本文: 李翠鸿, 黄晓雯, 桑基韬, 尹传环, 于剑. 基于大语言模型的推荐系统隐私泄漏与隐私保护综述. 自动化学报, xxxx, xx(x): x−xx doi: 10.16383/j.aas.c250462
Li Cui-Hong, Huang Xiao-Wen, Sang Ji-Tao, Yin Chuan-Huan, Yu Jian. Privacy leakage and protection in llm-based recommender systems: a survey. Acta Automatica Sinica, xxxx, xx(x): x−xx doi: 10.16383/j.aas.c250462
Citation: Li Cui-Hong, Huang Xiao-Wen, Sang Ji-Tao, Yin Chuan-Huan, Yu Jian. Privacy leakage and protection in llm-based recommender systems: a survey. Acta Automatica Sinica, xxxx, xx(x): x−xx doi: 10.16383/j.aas.c250462

基于大语言模型的推荐系统隐私泄漏与隐私保护综述

doi: 10.16383/j.aas.c250462 cstr: 32138.14.j.aas.c250462
基金项目: 中央高校基本科研业务费 (2025JBMC011) , 国家重点研发计划 (2023YFC3310700) , 国家自然科学基金 (62572040, 62202041) , 北京市自然科学基金 (JQ24019) 资助
详细信息
    作者简介:

    李翠鸿:北京交通大学硕士. 主要研究方向包括用户建模和隐私保护. E-mail: 23120365@bjtu.edu.cn

    黄晓雯:北京交通大学计算机科学与技术学院副教授, 主要研究方向为多媒体计算, 数据挖掘, 用户建模, 推荐系统. 本文通讯作者. E-mail: xwhuang@bjtu.edu.cn

    桑基韬:北京交通大学计算机科学与技术学院教授. 主要研究方向为多媒体内容分析, 网络数据挖掘, 可信赖机器学习. E-mail: jtsang@bjtu.edu.cn

    尹传环:北京交通大学计算机科学与技术学院副教授, 主要研究方向为深度学习, 网络安全, 异常检测和数据挖掘. E-mail: chyin@bjtu.edu.cn

    于剑:北京交通大学计算机学院教授. 主要研究方向为机器学习与认知计算, 人工智能, 计算机技术, 软件工程, 大数据技术与工程, 新一代电子信息技术. E-mail: jyu@bjtu.edu.cn

Privacy Leakage and Protection in LLM-based Recommender Systems: A Survey

Funds: Supported by Fundamental Research Funds for the Central Universities (2025JBMC011), National Key Research and Development Program of China (2023YFC3310700), National Natural Science Foundation of China (62572040, 62202041), and Beijing Natural Science Foundation (JQ24019)
More Information
    Author Bio:

    LI Cui-Hong Master of Beijing Jiaotong University. Her research interests include user modeling and privacy protection

    HUANG Xiao-Wen Associate professor at the School of Computer Science and Technology, Beijing Jiaotong University. Her research interests include multimedia computing, data mining, user modeling, and recommender systems. Corresponding author of this paper

    SANG Ji-Tao Professor at the School of Computer Science and Technology, Beijing Jiaotong University. His research interests include multimedia content analysis, web data mining, and trustworthy machine learning

    YIN Chuan-Huan Associate professor at the School of Computer Science and Technology, Beijing Jiaotong University. His research interests include deep learning, network security, anomaly detection, and data mining

    YU Jian  Professor at the School of Computer Science and Technology, Beijing Jiaotong University. His research interests include machine learning and cognitive computing, artificial intelligence, computer technology, software engineering, big data technology and engineering, and new generation electronic information technology

  • 摘要: 随着推荐系统的广泛应用, 推荐系统的隐私问题得到越来越多关注. 大语言模型的兴起使得推荐系统与大语言模型的结合开始发展, 在发展过程中涉及的隐私问题比传统推荐系统的隐私问题更为广泛. 本文主要对基于大语言模型的推荐系统的隐私泄漏进行分析, 包括大语言模型推荐系统从传统推荐系统和大语言模型中分别继承的隐私问题以及大语言模型和推荐系统结合后新的隐私隐患, 对基于大语言模型的推荐系统隐私保护方法进行总结, 从传统推荐系统隐私保护角度和大语言模型角度分别阐述可用于大语言模型推荐系统的隐私保护方法, 对目前大语言模型推荐系统隐私保护的挑战进行总结, 对未来方向进行展望.
  • 图  1  本文研究结构

    Fig.  1  Research structure of this paper

    图  2  传统推荐系统隐私泄露与保护方法分类

    Fig.  2  Taxonomy of privacy leakage and protection methods in traditional recommender systems

    图  3  大语言模型可能产生隐私泄漏的阶段

    Fig.  3  Potential stages of privacy leakage in large language models

    图  4  大语言模型与推荐系统的结合方式

    Fig.  4  Ways of combining large language models with recommender systems

    图  5  大语言模型辅助的推荐系统隐私保护方法

    Fig.  5  Privacy-preserving methods for recommender systems assisted by large language models

    表  1  推荐系统隐私问题相关综述工作

    Table  1  Related surveys on privacy issues in recommender systems

    研究视角 代表工作 以往工作缺点和本文优点
    传统推荐
    系统隐私
    文献[1−4] 未涵盖大语言模型引入后的交互范式转变、大语言模型作为推荐中枢时的隐私问题、大语言模型推荐特有的上下文累积风险等
    通用大语言
    模型隐私
    文献[5−7] 以通用大语言模型安全为核心并基于通用自然语言任务基准, 未延伸至推荐系统任务中
    大模型推荐
    系统隐私
    文献[8] 对生成式隐私风险的分析停留在模型记忆复述层面, 未充分讨论因大模型推荐系统的新隐私问题
    本文 / 从大模型、推荐系统等多个维度分析大模型推荐系统的隐私泄漏根源, 并对对应的隐私保护方法和潜在的策略进行总结和分析
    下载: 导出CSV

    表  2  大模型推荐系统继承传统推荐系统的主要隐私问题

    Table  2  Main privacy issues inherited by LLM-based recommender systems from traditional recommender systems

    类型子类别核心思想攻击优势攻击劣势
    攻击场景推理攻击利用模型输出推断训练数据或属性隐蔽性强依赖模型访问
    对抗攻击构造扰动输入干扰模型预测泛化性较强难适配离散数据
    投毒攻击注入虚假数据影响模型训练对模型性能影响大易被检测
    数据流通数据传输与存储泄露数据在传输中被窃取覆盖面广依赖系统安全
    模型参数泄露通过梯度恢复原始数据无需原始数据防御复杂
    中间表示泄露从表示向量推断用户信息攻击隐蔽难检测
    下载: 导出CSV

    表  3  针对大语言模型的提示注入攻击分类

    Table  3  Taxonomy of prompt injection attacks on large language models

    攻击类型 描述
    前缀注入 (prefix injection) 要求大语言模型在回复中带有某些肯定性的前缀, 例如“Absolutely! Here's......”等, 利用模型的指令跟随能力绕过模型内部拒绝机制, 难拒绝接下来的攻击性输入.
    拒绝抑制 (refusal suppression) 要求大语言模型在回复中不能带有拒绝回答的词汇, 例如“cannot”、“unfortunately”等, 与前缀注入的原理类似.
    混淆攻击 (obfuscation) 攻击者通过在字符或词语层面进行混淆处理, 来规避模型的安全检测机制, 例如将字母“O”替换为数字“0”, 使用摩斯电码、故意拼写错误、语义相近词替代, 或将输入内容进行多轮翻译等.
    复合注入攻击 同时结合多种提示注入方法 (如前缀注入和拒绝抑制) , 比单一攻击更具破坏力.
    下载: 导出CSV

    表  4  大语言模型产生隐私风险的不同阶段对比

    Table  4  Comparison of privacy risks across different stages of large language models

    阶段典型隐私风险核心机制特点局限性
    训练阶段数据记忆、成员推理风险参数记忆与过拟合能捕获复杂模式隐私信息长期残留, 难以删除
    推理阶段嵌入泄露、提示恢复表示空间可逆性推理能力强输出可能被逆向利用
    交互阶段用户输入泄露、日志泄露上下文学习与持续记忆支持个性化交互隐私易被持续积累
    攻击场景提示注入、越狱、后门攻击生成控制与鲁棒性不足攻击方式灵活防御难度高, 难完全检测
    下载: 导出CSV

    表  5  基于大语言模型微调的推荐系统部分工作

    Table  5  Selected works on recommender systems based on large language model fine-tuning

    基座模型 微调数据 微调后的模型 开源地址
    CLLM4Rec[108] Amazon Beauty/Toys/Sports, Yelp RecLLM[85] https://github.com/yaochenzhu/llm4rec
    M6[114] AlipayMiniApp, Taobao, AlipayQuery M6-Rec[86] https://github.com/brightmart/albert_zh
    T5[115] Amazon Beauty/Toys/Sports, Yelp P5[108] https://github.com/jeykigung/P5
    llama2[116] ShareGPT vicuna[109] https://github.com/lm-sys/FastChat#vicuna-weights
    llama2 ChatGPT构建的对话 baize[110] https://github.com/project-baize/baize-chatbot
    llama2 Alpaca, Amazon Book, MovieLens TALLREC[111] https://github.com/SAI990323/TALLRec
    vicuna Amazon Book, MovieLens CoLLM[112] https://github.com/zyang1580/CoLLM
    vicuna Amazon Book, MovieLens BinLLM[113] https://github.com/zyang1580/BinLLM
    下载: 导出CSV

    表  6  大模型推荐系统构造方法比较

    Table  6  Comparison of construction methods for LLM-based recommender systems

    类型方法核心思想优点
    辅助式特征编码利用大语言模型生成用户/物品嵌入表示提升语义表达能力
    特征工程使用大语言模型增强数据 (画像/文本/样本) 数据质量提升明显
    交互建模利用大语言模型建模用户行为与兴趣捕获复杂偏好关系
    替代式评分预测将推荐任务建模为评分函数结构统一, 易优化
    项目生成直接生成推荐列表灵活性高
    微调推荐在推荐数据上微调大语言模型适用于特定领域任务
    下载: 导出CSV

    表  7  大模型推荐系统数据构造与转换相关工作

    Table  7  Related works on data construction and transformation for LLM-based recommender systems

    工作名称数据集开源地址
    INTERS[131]INTERS datasethttps://huggingface.co/datasets/yutaozhu94/INTERS
    InstructRec[132]Instruments, Amazon Games/
    DEALRec[133]Amazon Book, Amazon Games, MicroLens-50K/
    M6[114]taobao/
    TALLREC[111]Alpaca, Amazon Book, MovieLenshttps://github.com/SAI990323/TALLRec
    CoLLM[112]Alpaca, Amazon Book, MovieLenshttps://github.com/zyang1580/CoLLM
    BinLLM[113]Alpaca, Amazon Book, MovieLenshttps://github.com/zyang1580/BinLLM
    下载: 导出CSV

    表  8  大模型推荐系统中新的隐私隐患总结

    Table  8  Summary of new privacy risks in LLM-based recommender systems

    维度数据与参数量推理与微调机制交互形式
    差异来源跨域隐私关联、数据删除困难推理泄露、微调记忆泄露多模态隐私泄露、生成内容泄露
    典型隐私风险大规模数据融合与参数记忆上下文推理与参数更新多轮对话与跨模态表示
    特点隐私难以追踪与撤销防护方法缺乏系统性难以统一建模与检测
    下载: 导出CSV

    表  9  推荐系统隐私攻击方法及对应防御方法相关综述

    Table  9  Related surveys on privacy attacks and corresponding defenses in recommender systems

    推理攻击 对抗攻击 投毒攻击
    攻击方法综述 文献[152−155] 文献[157−159] 文献[162−167]
    攻击场景下的
    防御方法综述
    文献[11, 153, 156] 文献[157−161] 文献[165−167]
    下载: 导出CSV

    表  10  面向数据流通中隐私泄露的多种技术结合的隐私防护工作

    Table  10  Privacy protection works combining multiple technologies against privacy leakage in data circulation

    已有工作 涉及的隐私保护技术
    联邦学习 差分隐私 加密技术 区块链技术
    文献[200−202] √ √
    文献[203−205] √ √
    文献[206−209] √ √ √
    文献[210] √ √
    下载: 导出CSV

    表  11  从传统推荐系统角度保护大模型推荐系统的主要方法比较

    Table  11  Comparison of main methods for protecting LLM-based recommender systems from the perspective of traditional recommender systems

    类别代表方法/技术优点局限性
    攻击防御正则化/对抗训练/数据检测提升模型鲁棒性, 针对性强泛化能力有限, 依赖具体攻击假设
    联邦学习分布式训练/参数聚合无需共享原始数据, 降低数据泄露风险梯度泄露风险, 系统可信性问题
    差分隐私噪声扰动/PDP隐私可证明, 理论基础完善引入噪声导致精度下降
    加密技术HE/SMPC安全性高, 可在密态计算计算与通信开销大, 效率较低
    区块链智能合约/共享账本数据可追溯、透明性强性能瓶颈, 扩展性受限
    多技术融合FL + DP/HE/ Blockchain等综合提升隐私与安全性系统复杂度高, 实现成本高
    下载: 导出CSV

    表  12  从大语言模型角度保护大模型推荐系统的主要方法比较

    Table  12  Comparison of main methods for protecting LLM-based recommender systems from the perspective of large language models

    阶段常见方法保护机制优点缺点
    数据处理差分隐私/数据清理噪声注入、匿名化、数据最小化降低训练数据敏感信息泄露风险数据质量下降、隐私-效用权衡
    微调阶段联邦学习/差分隐私/机器遗忘分布式训练、梯度扰动、记忆消除减少数据集中存储风险, 增强隐私控制梯度泄露风险、性能损失、遗忘困难
    推理阶段同态加密/ SMPC/差分隐私密态计算、扰动解码与前向传播推理过程隐私保护能力强计算开销高、延迟增加、部署复杂
    下载: 导出CSV

    表  13  根据隐私需求对用户的分类

    Table  13  User classification based on privacy needs

    用户类别对个人信息 (如身份、购买历史和评分历史等) 的隐私需求对产品推荐 (向推荐者暴露自己的推荐信息) 的隐私需求对其他行为 (浏览记录和实际购买记录) 的隐私需求
    无隐私用户不关心不关心不关心
    软隐私用户希望被保护愿意被暴露愿意被暴露
    强隐私用户希望被保护希望被保护愿意被暴露
    完全隐私用户希望被保护希望被保护希望被保护
    下载: 导出CSV

    表  14  中国互联网行业技术规范与法规

    Table  14  Technical standards and regulations in China's internet industry

    法规名称发布年份来源
    信息安全技术 个人信息处理中告知和同意的实施指南2023年https://www.cac.gov.cn/2023-02/24/c_1678884830766819.htm
    信息技术 安全技术 公有云中个人信息保护实践指南2023年https://std.samr.gov.cn/
    信息安全技术 移动互联网应用程序 (App) 收集个人信息基本要求2022年https://std.samr.gov.cn/
    信息安全技术 个人信息安全影响评估指南2021年https://std.samr.gov.cn/
    信息安全技术 个人信息安全规范2020年https://std.samr.gov.cn/
    信息安全技术 个人信息去标识化指南2020年https://std.samr.gov.cn/
    下载: 导出CSV

    表  15  数据隐私信息保护相关法律条例

    Table  15  Laws and regulations related to data privacy and information protection

    法律条例名称 发布年份/
    机构
    所属领域/
    作用范围
    来源
    个人信息保护法、
    数据安全法
    2021年/
    人大常务委员会
    中国法律/
    中国全行业
    http://www.npc.gov.cn/npc/c30834/202108/a8c4e3672c74492a80b53a172bb753fe.shtml
    关键信息基础设施
    安全保护条例
    2021年/
    国务院
    中国行政法规/
    中国全行业
    https://www.gov.cn/
    CCPA 2018年/
    美国加州
    美国法律/
    美国加州
    https://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?lawCode=CIV&division=3.&title=1.81.5
    个人信息保护法
    (APPI)
    2017年/
    日本
    日本法律/
    日本
    https://www.ppc.go.jp/en/legal/
    新加坡个人数据
    保护法 (PDPA)
    2019年/
    新加坡
    新加坡法律/
    新加坡
    https://www.pdpc.gov.sg/overview-of-pdpa/the-legislation/personal-data-protection-act
    加拿大个人信息
    保护法 (PIPEDA)
    2020年/
    加拿大
    加拿大法律/
    加拿大
    https://laws-lois.justice.gc.ca
    “数据三法”
    (个人信息保护法、
    信用信息法、信息通信网法)
    2020年/
    韩国
    韩国法律/
    韩国
    https://www.kcc.go.kr/user.do
    一般数据保护法
    (LGPD)
    2020年/
    巴西
    巴西法律/
    巴西
    https://www.planalto.gov.br/ccivil_03/_ato2015-2018/2018/lei/l13709.htm
    OECD文件 2013年/
    经合组织
    国际法规/
    经合组织成员国
    https://www.oecd.org/en/topics/digital.html
    欧洲通用数据
    保护条例 (GDPR)
    2018年/
    欧盟
    国际法规/
    欧盟成员国
    https://eur-lex.europa.eu/eli/reg/2016/679/oj
    下载: 导出CSV
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  • 收稿日期:  2025-09-10
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