arXiv:2602.22560cs.LGcs.AI2026-02

在资源有限时,用统一阈值平衡安全、公平与效率。

Operationalizing Fairness: Post-Hoc Threshold Optimization Under Hard Resource Limits

  • 提出后处理阈值优化框架,使用单一全局阈值确保合规。
  • 资源限制超80%情况下决定最终阈值,25%容量下召回率仍达0.409–0.702。
  • 适合医疗、司法等高风险场景中需依法决策的实操者。

机器学习在高风险领域的部署需兼顾预测安全与算法公平。现有公平干预常假设资源无约束,采用群体特定决策阈值,违反反歧视法规。本文提出一种后处理、模型无关的阈值优化框架,在严格且固定的容量约束下,联合平衡安全、效率与公平。为保障法律合规,框架强制使用单一全局决策阈值。我们构建了参数化的伦理损失函数,并结合有界决策规则,数学上防止干预量超过可用资源。理论分析证明了部署阈值的局部单调性及关键容量区间的精确识别。在多个高风险数据集上进行广泛实验,结果表明:容量约束主导伦理优先级;在80%以上的测试配置中,严格资源限制决定了最终部署阈值。在25%容量限制下,该框架仍保持较高风险识别能力(召回率0.409至0.702),而标准无约束公平方法退化至接近零效用。结论是,理论公平目标必须明确服从操作容量限制,方能落地。通过解耦预测评分与政策评估,并严格控制干预率,本框架为资源受限环境下的利益相关方提供了可操作且合法的伦理权衡机制。

原文摘要 · Abstract (English)

The deployment of machine learning in high-stakes domains requires a balance between predictive safety and algorithmic fairness. However, existing fairness interventions often as- sume unconstrained resources and employ group-specific decision thresholds that violate anti- discrimination regulations. We introduce a post-hoc, model-agnostic threshold optimization framework that jointly balances safety, efficiency, and equity under strict and hard capacity constraints. To ensure legal compliance, the framework enforces a single, global decision thresh- old. We formulated a parameterized ethical loss function coupled with a bounded decision rule that mathematically prevents intervention volumes from exceeding the available resources. An- alytically, we prove the key properties of the deployed threshold, including local monotonicity with respect to ethical weighting and the formal identification of critical capacity regimes. We conducted extensive experimental evaluations on diverse high-stakes datasets. The principal re- sults demonstrate that capacity constraints dominate ethical priorities; the strict resource limit determines the final deployed threshold in over 80% of the tested configurations. Furthermore, under a restrictive 25% capacity limit, the proposed framework successfully maintains high risk identification (recall ranging from 0.409 to 0.702), whereas standard unconstrained fairness heuristics collapse to a near-zero utility. We conclude that theoretical fairness objectives must be explicitly subordinated to operational capacity limits to remain in deployment. By decou- pling predictive scoring from policy evaluation and strictly bounding intervention rates, this framework provides a practical and legally compliant mechanism for stakeholders to navigate unavoidable ethical trade-offs in resource-constrained environments.

公平性资源约束阈值优化合规

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