小模型如何可信地拒绝回答?这篇论文给出可证明的安全边界。
Provable Limits and Certified Deferral for Verbalized Uncertainty in Small Language Models

- 用校准方法让模型的自信度有真实含义
- 仅3个组合能在20%风险下自主运行,10%时全都不行
- 提出可证明的拒答安全证书,适合对安全要求高的部署
小型开源语言模型越来越多地部署在私有、离线和成本敏感的场景中,关键问题不仅是模型回答什么,更是何时应拒绝回答并交由人工处理。本文研究了口头表达的置信度能否支持风险可控的拒答策略,在三个模型族、0.5B至14B参数规模的11个指令微调模型上,于ARC-Challenge与TruthfulQA数据集上进行25,168次本地预测评估。理论层面,证明三类限制:严格单调校准能保持风险-覆盖率前沿与错误检测的AUROC;温度缩放无法校准信心高于0.5但准确率低于此值的模型;基于Clopper-Pearson的方法可将200题校准集转化为有限样本风险证书(假设i.i.d部署)。实证发现,22个模型-任务组合中有8个在1个百分点内达到温度缩放不可行下限。Platt缩放可使ECE降至0.02,但在20%风险预算下仅有3个组合获得认证自主权,10%时为零。同时识别并修复了TruthfulQA多选形式中的答案排序偏差。校准赋予置信度语义,认证拒答确定小模型何时可用。
原文摘要 · Abstract (English)
Small open-weight language models increasingly run in private, offline, and cost-sensitive settings, where the key deployment question is not only what a model answers but when it should defer to a human. We study whether verbalized confidence can support risk-controlled deferral, evaluating eleven instruction-tuned models from three families, 0.5B to 14B parameters, on ARC-Challenge and TruthfulQA with 25,168 local predictions. Three theoretical results delimit what calibration can provide: strictly monotone calibration preserves the risk-coverage frontier and error-detection AUROC; temperature scaling cannot calibrate models whose confidence stays above one half while accuracy falls below it; and a Clopper-Pearson procedure converts a 200-question calibration set into a finite-sample risk certificate under an i.i.d. deployment assumption. Empirically, eight of 22 model-task pairs hit the temperature-scaling infeasibility floor within one percentage point of the predicted bound. Platt scaling reduces ECE to as low as 0.02, yet certified autonomy at a 20% risk budget is granted to only three model-task pairs and to none at 10%. We also identify and repair an answer-ordering artifact in the multiple-choice form of TruthfulQA. Calibration gives confidence semantics; certified deferral determines when small models are safe to use.
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