为黑箱模型构建可审计的科学理论,支持全生命周期解释
Scientific Theory of a Black-Box: A Life Cycle-Scale XAI Framework Based on Constructive Empiricism
- 基于建构经验主义,构建可更新、可追溯的解释框架
- 通过持续观测积累,动态维护符合行为数据的规则代理模型
- 适合需要长期合规性审查的高风险应用领域
可解释人工智能(XAI)虽已提供多种算法回答黑箱模型的具体问题,但缺乏将解释信息整合为持久、可审计成果的系统方法。本文提出黑箱科学理论(SToBB),基于建构经验主义,要求满足三项义务:(i) 对所有可观测的黑箱行为具备经验充分性;(ii) 通过明确的更新承诺,在新观测出现时恢复充分性;(iii) 通过透明文档实现可审计性,记录假设、构建选择与更新行为。我们设计通用框架,包括可扩展的观测基础、可追踪的假设类、构造与修订的算法组件,以及支持第三方评估的完整文档。解释通过查询维护记录获得,而非生成孤立结果。以表格任务上的神经网络分类器为例,我们实现完整SToBB,并提出在线算法CoBoT,随观测累积持续构建并维护经验充分的规则型替代模型。该工作使SToBB成为贯穿模型生命周期、可检查、可复用的分析基准,支持一致性和系统性外部审查。
原文摘要 · Abstract (English)
Explainable AI (XAI) offers a growing number of algorithms that aim to answer specific questions about black-box models. What is missing is a principled way to consolidate explanatory information about a fixed black-box model into a persistent, auditable artefact, that accompanies the black-box throughout its life cycle. We address this gap by introducing the notion of a scientific theory of a black (SToBB). Grounded in Constructive Empiricism, a SToBB fulfils three obligations: (i) empirical adequacy with respect to all available observations of black-box behaviour, (ii) adaptability via explicit update commitments that restore adequacy when new observations arrive, and (iii) auditability through transparent documentation of assumptions, construction choices, and update behaviour. We operationalise these obligations as a general framework that specifies an extensible observation base, a traceable hypothesis class, algorithmic components for construction and revision, and documentation sufficient for third-party assessment. Explanations for concrete stakeholder needs are then obtained by querying the maintained record through interfaces, rather than by producing isolated method outputs. As a proof of concept, we instantiate a complete SToBB for a neural-network classifier on a tabular task and introduce the Constructive Box Theoriser (CoBoT) algorithm, an online procedure that constructs and maintains an empirically adequate rule-based surrogate as observations accumulate. Together, these contributions position SToBBs as a life cycle-scale, inspectable point of reference that supports consistent, reusable analyses and systematic external scrutiny.
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