提出C3R控制层,无标签下确保多域检索的领域污染可控。
Certified Domain Consistency for Multi-Domain Retrieval: Label-Free Per-Domain Contamination Control with Conformal Risk Guarantees
- 基于风险控制预测集,分两阶段实现领域污染预算认证
- 在最难领域保证污染降低,而非仅提供紧致边界
- 适用于任意重排序器,可保障联邦法规等真实场景
混合多个领域的语料库检索常返回相关但错误领域的证据,现有排名指标难以捕捉,且符合性风险控制仅提供边际覆盖,无法充分保护最差领域。本文提出C3R,一种无需查询时标签的即插即用控制层,从推断的领域后验出发,在可行时认证各领域污染预算,否则拒绝输出而非隐性违规;在最难领域保证污染减少,而非仅提供紧致边界。核心为基于风险控制预测集的两阶段方案,其有限样本转移界可从推断域无缝过渡至真实域,具有完全可估计的松弛项,支持异质预算,并可反向用于部署。总体有效性依赖于该界与受控模拟;在千次重采样校准中证书从未失效(稳定性结果),而边际控制在每次抽样中均违反最污染领域;软降序策略在相同认证污染水平下比最强校准级联保留更多召回率。方法在多个开放测试平台(包括来自公共联邦法规的独立测试集)复现成功,大型语言模型评估的下游探测显示:错误权威依据随污染上升,受控后下降。该层对冻结堆栈和重排序器均无依赖。
原文摘要 · Abstract (English)
Retrieval over corpora that mix several domains often returns relevant but wrong-domain evidence that ranking metrics miss and that conformal risk control bounds only marginally, under-covering the worst domains. This work introduces C3R, a drop-in control layer that, from an inferred domain posterior and no query-time label, certifies a per-domain contamination budget where feasible and otherwise abstains rather than silently violating; on the hardest domains it guarantees a reduction, not a tight bound. The core is a two-split scheme built on risk-controlling prediction sets, whose finite-sample transfer bound crosses from the inferred to the true domain with fully estimable slack, supports heterogeneous budgets, and inverts for deployment. Population validity rests on this bound and a controlled simulation; across a thousand resampled calibrations the certificate never violates (a stability result) while marginal control violates the most-contaminated domain in every draw, and soft demotion retains more recall than the strongest calibrated cascade at equal certified contamination. The method replicates across open testbeds including an independent one from public federal regulations, and an LLM-judged downstream probe indicates wrong-authority grounding rises with contamination and falls under control. The layer is frozen-stack and reranker-agnostic.
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