[8.12] [Obs AI Assistant] Add guardrails (#174060) (#174117)

# Backport

This will backport the following commits from `main` to `8.12`:
- [[Obs AI Assistant] Add guardrails
(#174060)](https://github.com/elastic/kibana/pull/174060)

<!--- Backport version: 9.4.3 -->

### Questions ?
Please refer to the [Backport tool
documentation](https://github.com/sqren/backport)

<!--BACKPORT [{"author":{"name":"Dario
Gieselaar","email":"dario.gieselaar@elastic.co"},"sourceCommit":{"committedDate":"2024-01-02T18:35:49Z","message":"[Obs
AI Assistant] Add guardrails (#174060)\n\nAdd guardrails against
function looping (max 3 calls in a completion\r\nrequest) and long
function responses (max 4000
tokens).\r\n\r\n---------\r\n\r\nCo-authored-by: Kibana Machine
<42973632+kibanamachine@users.noreply.github.com>","sha":"725a21727af57b11bdd709966d20f71f9c9be16c","branchLabelMapping":{"^v8.13.0$":"main","^v(\\d+).(\\d+).\\d+$":"$1.$2"}},"sourcePullRequest":{"labels":["release_note:skip","v8.12.0","v8.12.1","v8.13.0"],"title":"[Obs
AI Assistant] Add
guardrails","number":174060,"url":"https://github.com/elastic/kibana/pull/174060","mergeCommit":{"message":"[Obs
AI Assistant] Add guardrails (#174060)\n\nAdd guardrails against
function looping (max 3 calls in a completion\r\nrequest) and long
function responses (max 4000
tokens).\r\n\r\n---------\r\n\r\nCo-authored-by: Kibana Machine
<42973632+kibanamachine@users.noreply.github.com>","sha":"725a21727af57b11bdd709966d20f71f9c9be16c"}},"sourceBranch":"main","suggestedTargetBranches":["8.12"],"targetPullRequestStates":[{"branch":"8.12","label":"v8.12.0","branchLabelMappingKey":"^v(\\d+).(\\d+).\\d+$","isSourceBranch":false,"state":"NOT_CREATED"},{"branch":"main","label":"v8.13.0","branchLabelMappingKey":"^v8.13.0$","isSourceBranch":true,"state":"MERGED","url":"https://github.com/elastic/kibana/pull/174060","number":174060,"mergeCommit":{"message":"[Obs
AI Assistant] Add guardrails (#174060)\n\nAdd guardrails against
function looping (max 3 calls in a completion\r\nrequest) and long
function responses (max 4000
tokens).\r\n\r\n---------\r\n\r\nCo-authored-by: Kibana Machine
<42973632+kibanamachine@users.noreply.github.com>","sha":"725a21727af57b11bdd709966d20f71f9c9be16c"}}]}]
BACKPORT-->

Co-authored-by: Dario Gieselaar <dario.gieselaar@elastic.co>

x-pack/plugins/observability_ai_assistant/server/service/client/index.test.ts

@@ -7,9 +7,11 @@
 import type { ActionsClient } from '@kbn/actions-plugin/server/actions_client';
 import type { ElasticsearchClient, Logger } from '@kbn/core/server';
 import type { DeeplyMockedKeys } from '@kbn/utility-types-jest';
-import { merge } from 'lodash';
+import { waitFor } from '@testing-library/react';
+import { last, merge, repeat } from 'lodash';
+import { ChatCompletionResponseMessage } from 'openai';
 import { Subject } from 'rxjs';
-import { PassThrough, type Readable } from 'stream';
+import { EventEmitter, PassThrough, type Readable } from 'stream';
 import { finished } from 'stream/promises';
 import { ObservabilityAIAssistantClient } from '.';
 import { createResourceNamesMap } from '..';
@@ -70,7 +72,7 @@ function createLlmSimulator() {
   };
 }
 
-describe('Observability AI Assistant service', () => {
+describe('Observability AI Assistant client', () => {
   let client: ObservabilityAIAssistantClient;
 
   const actionsClientMock: DeeplyMockedKeys<ActionsClient> = {
@@ -84,14 +86,8 @@ describe('Observability AI Assistant service', () => {
   } as any;
 
   const currentUserEsClientMock: DeeplyMockedKeys<ElasticsearchClient> = {
-    search: jest.fn().mockResolvedValue({
-      hits: {
-        hits: [],
-      },
-    }),
-    fieldCaps: jest.fn().mockResolvedValue({
-      fields: [],
-    }),
+    search: jest.fn(),
+    fieldCaps: jest.fn(),
   } as any;
 
   const knowledgeBaseServiceMock: DeeplyMockedKeys<KnowledgeBaseService> = {
@@ -107,16 +103,29 @@ describe('Observability AI Assistant service', () => {
 
   const functionClientMock: DeeplyMockedKeys<ChatFunctionClient> = {
     executeFunction: jest.fn(),
-    getFunctions: jest.fn().mockReturnValue([]),
-    hasFunction: jest.fn().mockImplementation((name) => {
-      return name !== 'recall';
-    }),
+    getFunctions: jest.fn(),
+    hasFunction: jest.fn(),
   } as any;
 
   let llmSimulator: LlmSimulator;
 
   function createClient() {
-    jest.clearAllMocks();
+    jest.resetAllMocks();
+
+    functionClientMock.getFunctions.mockReturnValue([]);
+    functionClientMock.hasFunction.mockImplementation((name) => {
+      return name !== 'recall';
+    });
+
+    currentUserEsClientMock.search.mockResolvedValue({
+      hits: {
+        hits: [],
+      },
+    } as any);
+
+    currentUserEsClientMock.fieldCaps.mockResolvedValue({
+      fields: [],
+    } as any);
 
     return new ObservabilityAIAssistantClient({
       actionsClient: actionsClientMock,
@@ -158,6 +167,10 @@ describe('Observability AI Assistant service', () => {
     );
   }
 
+  beforeEach(() => {
+    jest.clearAllMocks();
+  });
+
   describe('when completing a conversation without an initial conversation id', () => {
     let stream: Readable;
 
@@ -1148,4 +1161,197 @@ describe('Observability AI Assistant service', () => {
       });
     });
   });
+
+  describe('when the LLM keeps on calling a function and the limit has been exceeded', () => {
+    let stream: Readable;
+
+    let dataHandler: jest.Mock;
+
+    beforeEach(async () => {
+      client = createClient();
+
+      const onLlmCall = new EventEmitter();
+
+      function waitForNextLlmCall() {
+        return new Promise<void>((resolve) => onLlmCall.addListener('next', resolve));
+      }
+
+      actionsClientMock.execute.mockImplementation(async () => {
+        llmSimulator = createLlmSimulator();
+        onLlmCall.emit('next');
+        return {
+          actionId: '',
+          status: 'ok',
+          data: llmSimulator.stream,
+        };
+      });
+
+      functionClientMock.getFunctions.mockImplementation(() => [
+        {
+          definition: {
+            name: 'get_top_alerts',
+            contexts: ['core'],
+            description: '',
+            parameters: {},
+          },
+          respond: async () => {
+            return { content: 'Call this function again' };
+          },
+        },
+      ]);
+
+      functionClientMock.hasFunction.mockImplementation((name) => name === 'get_top_alerts');
+      functionClientMock.executeFunction.mockImplementation(async () => ({
+        content: 'Call this function again',
+      }));
+
+      stream = await client.complete({
+        connectorId: 'foo',
+        messages: [system('This is a system message'), user('How many alerts do I have?')],
+        functionClient: functionClientMock,
+        signal: new AbortController().signal,
+        title: 'My predefined title',
+        persist: true,
+      });
+
+      dataHandler = jest.fn();
+
+      stream.on('data', dataHandler);
+
+      async function requestAlertsFunctionCall() {
+        const body = JSON.parse(
+          (actionsClientMock.execute.mock.lastCall![0].params as any).subActionParams.body
+        );
+
+        let nextLlmCallPromise: Promise<void>;
+
+        if (body.functions?.length) {
+          nextLlmCallPromise = waitForNextLlmCall();
+          await llmSimulator.next({ function_call: { name: 'get_top_alerts' } });
+        } else {
+          nextLlmCallPromise = Promise.resolve();
+          await llmSimulator.next({ content: 'Looks like we are done here' });
+        }
+
+        await llmSimulator.complete();
+
+        await nextLlmCallPromise;
+      }
+
+      await requestAlertsFunctionCall();
+
+      await requestAlertsFunctionCall();
+
+      await requestAlertsFunctionCall();
+
+      await requestAlertsFunctionCall();
+
+      await finished(stream);
+    });
+
+    it('executed the function no more than three times', () => {
+      expect(functionClientMock.executeFunction).toHaveBeenCalledTimes(3);
+    });
+
+    it('does not give the LLM the choice to call a function anymore', () => {
+      const firstBody = JSON.parse(
+        (actionsClientMock.execute.mock.calls[0][0].params as any).subActionParams.body
+      );
+      const body = JSON.parse(
+        (actionsClientMock.execute.mock.lastCall![0].params as any).subActionParams.body
+      );
+
+      expect(firstBody.functions.length).toBe(1);
+
+      expect(body.functions).toBeUndefined();
+    });
+  });
+
+  describe('when the function response exceeds the max no of tokens for one', () => {
+    let stream: Readable;
+
+    let dataHandler: jest.Mock;
+
+    beforeEach(async () => {
+      client = createClient();
+
+      let functionResponsePromiseResolve: Function | undefined;
+
+      actionsClientMock.execute.mockImplementation(async () => {
+        llmSimulator = createLlmSimulator();
+        return {
+          actionId: '',
+          status: 'ok',
+          data: llmSimulator.stream,
+        };
+      });
+
+      functionClientMock.getFunctions.mockImplementation(() => [
+        {
+          definition: {
+            name: 'get_top_alerts',
+            contexts: ['core'],
+            description: '',
+            parameters: {},
+          },
+          respond: async () => {
+            return { content: '' };
+          },
+        },
+      ]);
+
+      functionClientMock.hasFunction.mockImplementation((name) => name === 'get_top_alerts');
+
+      functionClientMock.executeFunction.mockImplementation(() => {
+        return new Promise((resolve) => {
+          functionResponsePromiseResolve = resolve;
+        });
+      });
+
+      stream = await client.complete({
+        connectorId: 'foo',
+        messages: [system('This is a system message'), user('How many alerts do I have?')],
+        functionClient: functionClientMock,
+        signal: new AbortController().signal,
+        title: 'My predefined title',
+        persist: true,
+      });
+
+      dataHandler = jest.fn();
+
+      stream.on('data', dataHandler);
+
+      await llmSimulator.next({ function_call: { name: 'get_top_alerts' } });
+
+      await llmSimulator.complete();
+
+      await waitFor(() => functionResponsePromiseResolve !== undefined);
+
+      functionResponsePromiseResolve!({
+        content: repeat('word ', 10000),
+      });
+
+      await waitFor(() => actionsClientMock.execute.mock.calls.length > 1);
+
+      await llmSimulator.next({ content: 'Looks like this was truncated' });
+
+      await llmSimulator.complete();
+
+      await finished(stream);
+    });
+    it('truncates the message', () => {
+      const body = JSON.parse(
+        (actionsClientMock.execute.mock.lastCall![0].params as any).subActionParams.body
+      );
+
+      const parsed = JSON.parse(last(body.messages as ChatCompletionResponseMessage[])!.content!);
+
+      expect(parsed).toEqual({
+        message: 'Function response exceeded the maximum length allowed and was truncated',
+        truncated: expect.any(String),
+      });
+
+      expect(parsed.truncated.includes('word ')).toBe(true);
+    });
+  });
 });

x-pack/plugins/observability_ai_assistant/server/service/client/index.ts

@@ -10,12 +10,13 @@ import type { ActionsClient } from '@kbn/actions-plugin/server';
 import type { ElasticsearchClient } from '@kbn/core/server';
 import type { Logger } from '@kbn/logging';
 import type { PublicMethodsOf } from '@kbn/utility-types';
-import { compact, isEmpty, last, merge, omit, pick } from 'lodash';
 import type {
   ChatCompletionRequestMessage,
   CreateChatCompletionRequest,
   CreateChatCompletionResponse,
 } from 'openai';
+import { decode, encode } from 'gpt-tokenizer';
+import { compact, isEmpty, last, merge, omit, pick, take } from 'lodash';
 import { isObservable, lastValueFrom } from 'rxjs';
 import { PassThrough, Readable } from 'stream';
 import { v4 } from 'uuid';
@@ -176,6 +177,11 @@ export class ObservabilityAIAssistantClient {
       });
     }
 
+    let numFunctionsCalled: number = 0;
+
+    const MAX_FUNCTION_CALLS = 3;
+    const MAX_FUNCTION_RESPONSE_TOKEN_COUNT = 4000;
+
     const next = async (nextMessages: Message[]): Promise<void> => {
       const lastMessage = last(nextMessages);
 
@@ -222,9 +228,12 @@ export class ObservabilityAIAssistantClient {
               connectorId,
               stream: true,
               signal,
-              functions: functionClient
-                .getFunctions()
-                .map((fn) => pick(fn.definition, 'name', 'description', 'parameters')),
+              functions:
+                numFunctionsCalled >= MAX_FUNCTION_CALLS
+                  ? []
+                  : functionClient
+                      .getFunctions()
+                      .map((fn) => pick(fn.definition, 'name', 'description', 'parameters')),
             })
           ).pipe(processOpenAiStream()),
         });
@@ -232,22 +241,52 @@ export class ObservabilityAIAssistantClient {
       }
 
       if (isAssistantMessageWithFunctionRequest) {
-        const functionResponse = await functionClient
-          .executeFunction({
-            connectorId,
-            name: lastMessage.message.function_call!.name,
-            messages: nextMessages,
-            args: lastMessage.message.function_call!.arguments,
-            signal,
-          })
-          .catch((error): FunctionResponse => {
-            return {
-              content: {
-                message: error.toString(),
-                error,
-              },
-            };
-          });
+        const functionResponse =
+          numFunctionsCalled >= MAX_FUNCTION_CALLS
+            ? {
+                content: {
+                  error: {},
+                  message: 'Function limit exceeded, ask the user what to do next',
+                },
+              }
+            : await functionClient
+                .executeFunction({
+                  connectorId,
+                  name: lastMessage.message.function_call!.name,
+                  messages: nextMessages,
+                  args: lastMessage.message.function_call!.arguments,
+                  signal,
+                })
+                .then((response) => {
+                  if (isObservable(response)) {
+                    return response;
+                  }
+
+                  const encoded = encode(JSON.stringify(response.content || {}));
+
+                  if (encoded.length <= MAX_FUNCTION_RESPONSE_TOKEN_COUNT) {
+                    return response;
+                  }
+
+                  return {
+                    data: response.data,
+                    content: {
+                      message:
+                        'Function response exceeded the maximum length allowed and was truncated',
+                      truncated: decode(take(encoded, MAX_FUNCTION_RESPONSE_TOKEN_COUNT)),
+                    },
+                  };
+                })
+                .catch((error): FunctionResponse => {
+                  return {
+                    content: {
+                      message: error.toString(),
+                      error,
+                    },
+                  };
+                });
+
+        numFunctionsCalled++;
 
         if (signal.aborted) {
           return;