arXiv:2607.21480cs.LGstat.ML2026-07被引 1

提出可验证高召回候选生成漏检率的有限样本审计方法

Finite-Sample Coverage Audits for High-Recall Candidate Generation: Certification and Learning-Theoretic Design

  • 必须从被排除池采样以检测遗漏的相关项
  • 最少需约 $N_0/m$ 个外部标签才能以高概率保证漏检少于 $m$ 个
  • 提供精确的有限样本工具,支持多生成器并行认证

在实际流程中,高召回阶段决定哪些项目进入后续审查或建模,而遗漏的相关项将无法被后续阶段捕捉。本文研究在有限样本下,需要多少审计标签才能确证遗漏的相关质量很小。结果表明,仅使用候选集内标签无法获得非平凡的遗漏上限,必须从被排除池采样——唯一可能藏有未被发现相关项的区域。进一步证明了匹配的有限语料下界:任何有效的审计,若要在无遗漏时以高概率保证漏检数低于 $m$ 个(即使自适应且可标注全部候选集),至少需检查约 $N_0/m$ 个被排除池标签。因此,排除池审计在零漏检情形下是极小极大最优的。基于此,我们开发了一套精确的有限样本工具包,利用二项式与超几何分布反演而非渐近近似,实现漏检量认证、通过双池设计转换为召回率、同时认证预设嵌套候选生成器族,并生成针对声明扰动机制的应力测试证书。这些证书可结合可观测审查负担,选出满足漏检目标的最小负担生成器。所有保证均基于固定规则:候选生成器、预设族及审计规则在查看标签前即已确定。

原文摘要 · Abstract (English)

An initial high-recall stage in an empirical pipeline decides which items pass to later review, labelling, or modelling, and relevant items it misses are lost to every subsequent stage. We study how many audit labels are needed to certify, with finite-sample validity, that this missed relevant mass is small, and our main results characterise the label complexity of this problem. We first show that no procedure using only labels from inside the candidate set can certify any non-trivial bound on the missed mass: the audit must sample the excluded pool, the only region where unrecovered relevant items can lie. We then prove a matching finite-corpus lower bound. Any valid audit that certifies fewer than $m$ missed relevant items with high probability when none are present, even if adaptive and permitted to label the entire included pool, must inspect on the order of $N_0/m$ excluded-pool labels. Excluded-pool auditing is therefore minimax rate-optimal, not merely convenient, for missed-mass certification in the zero-miss regime. Building on this characterisation, we develop an exact finite-sample toolkit, using binomial and hypergeometric inversion rather than asymptotic approximation, that certifies missed mass, converts it to recall through a two-pool design, certifies pre-specified families of nested candidate generators simultaneously, and produces stress-test certificates against declared perturbation mechanisms. These certificates can be paired with observable review burden to select the least burdensome pre-specified candidate generator meeting a missed-mass target. Every guarantee holds under one discipline: the candidate generator, or the pre-specified family from which it is selected, and the audit rule are fixed before the certification labels are examined.

候选生成审计验证有限样本召回率

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