arXiv:2603.21610cs.LGcs.AI2026-03

用贝叶斯方法推断规则领域中的合规状态,解决无标签数据、数据缺失和规则变动难题。

Rule-State Inference (RSI): A Bayesian Framework for Compliance Monitoring in Rule-Governed Domains

  • 将正式规则作为先验,通过变分推断反向推断群体合规状态
  • 在2000个合成企业上验证,支持规则更新时O(n_k + K)的快速适应
  • 适合监管系统需持续追踪合规轨迹的场景,如税务或医疗合规

规则治理领域(如税收管理、临床协议执行、环境监管)的合规监控面临三大结构性挑战:部署时缺乏标注结果、不合规主体选择性隐藏证据导致观测缺失,以及监管环境变化速度超过监督模型的重训练能力。本文提出规则状态推断(RSI),一种贝叶斯框架,颠覆传统学习范式:不从数据中学习规则,而是将权威规则集作为结构化先验,通过均场变分推断与精确坐标上升更新,推断每期监管周期下的隐含合规状态。核心建模对象为每期的联合潜变量:全局合规文化因子η,以及每条规则的激活状态、群体合规水平和参数漂移分量。RSI 提供三项形式保证:每条规则更新时具有 O(n_k + K) 的监管适应性;可识别连续分量满足 Bernstein-von Mises 一致性;每次迭代实现单调 ELBO 收敛。我们在多哥财政系统上实例化 RSI,基于官方法规构建了包含 2,000 个合成企业的基准测试,完整数值验证即将发布。该框架可直接扩展至序列版 RSI,即状态空间模型,使前一期后验成为下一期先验,从而实现合规轨迹追踪的精确卡尔曼滤波与个体级贝叶斯评分。

原文摘要 · Abstract (English)

Compliance monitoring in rule-governed domains (tax administration, clinical protocol adherence, environmental regulation) faces three structural obstacles that standard machine learning does not simultaneously address: the absence of labeled outcomes at deployment, strategically missing observations where non-compliant entities selectively withhold evidence, and a regulatory environment that changes faster than any supervised model can be retrained. We introduce Rule-State Inference (RSI), a Bayesian framework that reverses the usual paradigm. Rather than learning rules from data, RSI treats an authoritative, formalized rule set as structured Bayesian priors and infers the latent compliance state of a population through mean-field variational inference with exact coordinate-ascent updates. The central modeling object is a joint latent state per regulatory period: a global compliance-culture factor eta and per-rule components for activation, population compliance level, and parametric drift. RSI delivers three formal guarantees: O(n_k + K) regulatory adaptability per rule update; Bernstein-von Mises consistency for the identifiable continuous components; and monotone ELBO convergence at every iteration. We instantiate RSI on the Togolese fiscal system on a benchmark of 2,000 synthetic enterprises grounded in official regulatory law; full numerical validation is forthcoming. The framework is designed for direct extension to Sequential RSI, a state-space formulation where the posterior from one regulatory period becomes the prior for the next, yielding an exact Kalman filter for compliance-trajectory tracking and entity-level Bayesian scoring.

合规监测贝叶斯推断规则系统动态建模

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