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arXiv 2602.23446cs.LGcs.AI
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人类监督作为信息瓶颈:人类引导学习中误差地板的统一理论

Human Supervision as an Information Bottleneck: A Unified Theory of Error Floors in Human-Guided Learning

Miralta Finance Bank S.A.(Miralta 金融银行);University of Reading(阅读大学)

Alejandro Rodriguez Dominguez

AI总结:

本文提出人类监督作为信息瓶颈的统一理论,揭示了人类引导学习中误差地板的结构性质,并通过实验验证了辅助信号对消除地板的作用。

摘要:

大型语言模型主要通过人类生成的数据和反馈进行训练,但它们表现出持续性的错误,这些错误源于标注噪声、主观偏好以及自然语言有限的表达带宽。我们主张这些限制反映了监督通道的结构性质,而非模型规模或优化。我们发展了一个统一的理论,表明当人类监督通道不足以评估潜在的目标时,它会成为一个信息减少的通道,从而对任何受其支配的学习者诱导出严格正的超额风险地板。我们正式化了这一人类受限智能极限,并展示了在六个互补的框架(算子理论、PAC-Bayes、信息理论、因果推断、范畴理论以及人类反馈强化学习的博弈论分析)中,非充分性导致了从相同结构性分解中产生的严格正下界。该理论解释了为什么仅扩大规模无法消除持续的人类对齐错误,并描述了辅助非人类信号(例如检索、程序执行、工具)如何增加有效监督能力并消除地板的条件。在真实偏好数据、合成已知目标任务和外部可验证基准上的实验验证了预测的结构性特征:人类单独监督表现出持续的地板,而足够信息的辅助通道严格减少或消除超额误差。

英文摘要:

Large language models are trained primarily on human-generated data and feedback, yet they exhibit persistent errors arising from annotation noise, subjective preferences, and the limited expressive bandwidth of natural language. We argue that these limitations reflect structural properties of the supervision channel rather than model scale or optimization. We develop a unified theory showing that whenever the human supervision channel is not sufficient for a latent evaluation target, it acts as an information-reducing channel that induces a strictly positive excess-risk floor for any learner dominated by it. We formalize this Human-Bounded Intelligence limit and show that across six complementary frameworks (operator theory, PAC-Bayes, information theory, causal inference, category theory, and game-theoretic analyses of reinforcement learning from human feedback), non-sufficiency yields strictly positive lower bounds arising from the same structural decomposition into annotation noise, preference distortion, and semantic compression. The theory explains why scaling alone cannot eliminate persistent human-aligned errors and characterizes conditions under which auxiliary non-human signals (e.g., retrieval, program execution, tools) increase effective supervision capacity and collapse the floor by restoring information about the latent target. Experiments on real preference data, synthetic known-target tasks, and externally verifiable benchmarks confirm the predicted structural signatures: human-only supervision exhibits a persistent floor, while sufficiently informative auxiliary channels strictly reduce or eliminate excess error.

机构、总结、中文摘要均由AI分析而来,可能存在错误,请以论文正文为准。

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