SEC-cyBERT/scripts/adjudicate-gold.py
2026-04-03 14:43:53 -04:00

394 lines
21 KiB
Python

"""
Gold Set Adjudication Script (v2)
==================================
Produces gold labels for the 1,200 holdout paragraphs using a tiered adjudication
strategy that combines 6 human annotators (3 per paragraph via BIBD) + 6 GenAI
models (MiniMax excluded per documented statistical outlier analysis, z=-2.07).
Each paragraph has up to 9 signals: 3 human + 6 model.
Tier system:
T1: Super-consensus — >=8/9 signals agree -> auto-gold (near-unanimous)
T2: Human majority + model majority agree -> cross-validated gold
T3: Rule-based override — 27 SI<->N/O paragraphs + 10 codebook tiebreakers,
each analyzed paragraph-by-paragraph against codebook rules and actual text.
T4: Model unanimous (6/6) + human majority disagree -> model label.
T5: Remaining disagreements -> plurality with text-based BG vote removal.
v2 changes (experimentally validated, see docs/T5-ANALYSIS.md):
- 10 new T5 codebook overrides (ID/SI, SPAC, board-removal, committee-level)
- Text-based BG vote removal: if "board" absent from paragraph text, BG model
votes are removed before T5 plurality. 13 labels changed, source accuracy UP
for 10/12 sources (+0.5-1.1% for top sources).
- Specificity hybrid: human unanimous -> human label, human split -> model majority.
195 specificity labels updated. Model-model spec agreement is 87-91% vs
human consensus of 52.5%.
Net effect: T5 reduced 92->85 (-7), source accuracy: Opus 88.6->89.1%, GPT-5.4
87.4->88.5%, gold!=human 151->144. 20 category labels changed, 195 specificity.
Usage:
uv run scripts/adjudicate-gold.py
"""
import json
from collections import Counter, defaultdict
from pathlib import Path
ROOT = Path(__file__).resolve().parent.parent
# ── SI<->N/O RULE-BASED OVERRIDES ────────────────────────────────────────
#
# These 27 paragraphs were analyzed INDIVIDUALLY against codebook rules and
# actual paragraph text. This is NOT a blanket override -- each paragraph was
# read, assessed against the assessment-vs-speculation distinction (Rule 6),
# the cross-reference exception, and the SPAC rule (Case 8).
#
# The analysis found that ~20/25 "Human=SI, Model=N/O" cases are human errors:
# annotators systematically treat ANY mention of "material" + "business strategy"
# as SI, even when the language is pure "could/if/may" speculation. The codebook's
# distinction is correct; humans weren't consistently applying it.
#
# The 2 "Human=N/O, Model=SI" cases are also human errors: both contain clear
# negative assertions ("not aware of having experienced any prior material
# incidents") which are textbook SI per Rule 6.
#
# Full analysis: docs/V35-ITERATION-LOG.md "The SI<->N/O Paradox -- Resolved"
SI_NO_OVERRIDES: dict[str, tuple[str, str]] = {
# ── Speculation, not assessment (Human=SI -> N/O) ─────────────────────
"026c8eca": ("None/Other", "Speculation: 'could potentially result in' -- no materiality assessment"),
"160fec46": ("None/Other", "Resource lament: 'do not have manpower' -- no materiality assessment"),
"1f29ea8c": ("None/Other", "Speculation: 'could have material adverse effect' boilerplate"),
"20c70335": ("None/Other", "Risk list: 'A breach could lead to...' -- enumeration, not assessment"),
"303685cf": ("None/Other", "Speculation: 'could materially adversely affect'"),
"7d021fcc": ("None/Other", "Speculation: 'could...have a material adverse effect'"),
"7ef53cab": ("None/Other", "Risk enumeration: 'could lead to... could disrupt... could steal...'"),
"a0d01951": ("None/Other", "Speculation: 'could adversely affect our business'"),
"aaa8974b": ("None/Other", "Speculation: 'could potentially have a material impact' -- Case 9 fix"),
"b058dca1": ("None/Other", "Speculation: 'could disrupt our operations'"),
"b1b216b6": ("None/Other", "Speculation: 'could materially adversely affect'"),
"dc8a2798": ("None/Other", "Speculation: 'If compromised, we could be subject to...'"),
"e4bd0e2f": ("None/Other", "Speculation: 'could have material adverse impact'"),
"f4656a7e": ("None/Other", "Threat enumeration under SI-sounding header -- no assessment"),
# ── Cross-references (Human=SI -> N/O) ────────────────────────────────
"2e8cbdbf": ("None/Other", "Cross-ref: 'We describe whether and how... under the headings [risk factors]'"),
"75de7441": ("None/Other", "Cross-ref: 'We describe whether and how... under the heading [risk factor]'"),
"78cad2a1": ("None/Other", "Cross-ref: 'In our Risk Factors, we describe whether and how...'"),
"3879887f": ("None/Other", "Brief incident mention + 'See Item 1A' cross-reference"),
"f026f2be": ("None/Other", "Risk factor heading/cross-reference -- not an assessment"),
# ── No materiality assessment present (Human=SI -> N/O) ───────────────
"5df3a6c9": ("None/Other", "IT importance statement -- no assessment. H=1/3 SI"),
"d5dc17c2": ("None/Other", "Risk enumeration -- no assessment. H=1/3 SI"),
"c10f2a54": ("None/Other", "Early-stage/SPAC + weak negative assertion. SPAC rule dominates"),
"45961c99": ("None/Other", "Past disruption but no materiality language. Primarily speculation"),
"1673f332": ("None/Other", "SPAC with assessment at end -- SPAC rule dominates per Case 8"),
"f75ac78a": ("Risk Management Process", "Resource expenditure on cybersecurity -- RMP per person-removal test"),
# ── Negative assertions ARE assessments (Human=N/O -> SI) ─────────────
"367108c2": ("Strategy Integration", "Negative assertion: 'not aware of having experienced any prior material data breaches'"),
"837e31d5": ("Strategy Integration", "Negative assertion: 'did not experience any cybersecurity incident during 2024'"),
}
# ── T5 CODEBOOK RESOLUTIONS ──────────────────────────────────────────────
#
# Additional rule-based overrides for T5-plurality cases where codebook
# tiebreakers clearly resolve the disagreement. Applied AFTER plurality
# resolution as a correction layer.
#
# SI<->ID tiebreaker: "DESCRIBES what happened -> ID; ONLY discusses
# cost/materiality -> SI; brief mention + materiality conclusion -> SI"
#
# TP<->RMP central-topic test: third parties supporting internal
# program -> RMP; vendor oversight as central topic -> TP
T5_CODEBOOK_OVERRIDES: dict[str, tuple[str, str]] = {
# ── SI<->ID: materiality assessment without incident narrative -> SI ──
"15e7cf99": ("Strategy Integration", "SI/ID tiebreaker: 'have not encountered any risks' -- materiality assessment, no specific incident described"),
# ── SI<->ID: specific incident with date -> ID ────────────────────────
"6dc6bb4a": ("Incident Disclosure", "SI/ID tiebreaker: 'ransomware attack in October 2021' -- describes specific incident with date"),
# ── TP<->RMP: third parties supporting internal program -> RMP ────────
"c71739a9": ("Risk Management Process", "TP/RMP: Fund relies on CCO and adviser's risk management expertise -- third parties supporting internal process"),
# ── ID<->SI: negative assertion = materiality assessment -> SI ────────
"0ceeb618": ("Strategy Integration", "ID/SI: opens with 'no material incidents', Feb 2025 incident is brief context + 'has not had material impact' conclusion. Materiality assessment frame dominates"),
"cc82eb9f": ("Strategy Integration", "ID/SI: June 2018 incident is example within broader negative materiality assertion ('have not materially affected us'). Assessment frame dominates"),
# ── SPAC rule (Case 8): pre-revenue company -> N/O ────────────────────
"203ccd43": ("None/Other", "SPAC: 'once the Company commences operations' -- pre-revenue company. Case 8: SPAC -> N/O regardless of management role language"),
# ── ID->RMP: post-incident improvements, no incident described ────────
"f549fd64": ("Risk Management Process", "ID/RMP: 'Following this cybersecurity event' -- refers to incident without describing it. 100% of content is hardening, training, MFA, EDR -- pure RMP"),
# ── Board-removal test: BG override where board mention is incidental ──
"22da6695": ("Risk Management Process", "Board-removal: 'Board is also responsible' (1 sentence) + 'notifying the Board' (final clause). Remove -> CISO + IS Program + incident response plan. Process dominates"),
"a2ff7e1e": ("Management Role", "Committee-level: Compliance Committee is management-level (O'Reilly executives). Board is incidental destination (2 clauses). Titled 'Management's Role'"),
"cb518f47": ("Management Role", "Board-removal: remove notification sentence -> 'management oversees cybersecurity.' Board is incident notification destination only"),
}
def load_jsonl(path: Path) -> list[dict]:
with open(path) as f:
return [json.loads(line) for line in f]
def load_paragraph_texts() -> dict[str, str]:
"""Load holdout paragraph texts for text-based adjudication rules."""
return {r["id"]: r["text"] for r in load_jsonl(ROOT / "data/gold/paragraphs-holdout.jsonl")}
def majority_vote(votes: list[str]) -> str | None:
if not votes:
return None
return Counter(votes).most_common(1)[0][0]
def main() -> None:
# ── Load data ─────────────────────────────────────────────────────────
human_labels: dict[str, list[dict]] = defaultdict(list)
for r in load_jsonl(ROOT / "data/gold/human-labels-raw.jsonl"):
human_labels[r["paragraphId"]].append({
"cat": r["contentCategory"],
"spec": r["specificityLevel"],
"annotator": r["annotatorName"],
})
confusion_pids = {r["paragraphId"] for r in load_jsonl(ROOT / "data/gold/holdout-rerun-v35.jsonl")}
TOP6 = ["Opus", "GPT-5.4", "Gemini", "GLM-5", "Kimi", "MIMO"]
def load_model_cats(files: dict[str, Path]) -> dict[str, dict[str, str]]:
result: dict[str, dict[str, str]] = {}
for name, path in files.items():
result[name] = {}
if path.exists():
for r in load_jsonl(path):
cat = r.get("label", {}).get("content_category") or r.get("content_category")
if cat:
result[name][r["paragraphId"]] = cat
return result
v30_cats = load_model_cats({
"Opus": ROOT / "data/annotations/golden/opus.jsonl",
"GPT-5.4": ROOT / "data/annotations/bench-holdout/gpt-5.4.jsonl",
"Gemini": ROOT / "data/annotations/bench-holdout/gemini-3.1-pro-preview.jsonl",
"GLM-5": ROOT / "data/annotations/bench-holdout/glm-5:exacto.jsonl",
"Kimi": ROOT / "data/annotations/bench-holdout/kimi-k2.5.jsonl",
"MIMO": ROOT / "data/annotations/bench-holdout/mimo-v2-pro:exacto.jsonl",
})
v35_cats = load_model_cats({
"Opus": ROOT / "data/annotations/golden-v35/opus.jsonl",
"GPT-5.4": ROOT / "data/annotations/bench-holdout-v35/gpt-5.4.jsonl",
"Gemini": ROOT / "data/annotations/bench-holdout-v35/gemini-3.1-pro-preview.jsonl",
"GLM-5": ROOT / "data/annotations/bench-holdout-v35/glm-5:exacto.jsonl",
"Kimi": ROOT / "data/annotations/bench-holdout-v35/kimi-k2.5.jsonl",
"MIMO": ROOT / "data/annotations/bench-holdout-v35/mimo-v2-pro:exacto.jsonl",
})
# Use v3.5 labels for confusion-axis PIDs (codebook-corrected), v3.0 for rest
model_cats: dict[str, dict[str, str]] = {}
for m in TOP6:
model_cats[m] = {}
for pid in human_labels:
if pid in confusion_pids and pid in v35_cats.get(m, {}):
model_cats[m][pid] = v35_cats[m][pid]
elif pid in v30_cats.get(m, {}):
model_cats[m][pid] = v30_cats[m][pid]
# Load model specificity for hybrid specificity (v3.0 for full coverage)
def load_model_specs(files: dict[str, Path]) -> dict[str, dict[str, int]]:
result: dict[str, dict[str, int]] = {}
for name, path in files.items():
result[name] = {}
if path.exists():
for r in load_jsonl(path):
spec = r.get("label", {}).get("specificity_level") or r.get("specificity_level")
if spec is not None:
result[name][r["paragraphId"]] = spec
return result
model_specs = load_model_specs({
"Opus": ROOT / "data/annotations/golden/opus.jsonl",
"GPT-5.4": ROOT / "data/annotations/bench-holdout/gpt-5.4.jsonl",
"Gemini": ROOT / "data/annotations/bench-holdout/gemini-3.1-pro-preview.jsonl",
"GLM-5": ROOT / "data/annotations/bench-holdout/glm-5:exacto.jsonl",
"Kimi": ROOT / "data/annotations/bench-holdout/kimi-k2.5.jsonl",
"MIMO": ROOT / "data/annotations/bench-holdout/mimo-v2-pro:exacto.jsonl",
})
# Load paragraph texts for text-based adjudication rules
para_texts = load_paragraph_texts()
# ── Adjudicate ────────────────────────────────────────────────────────
results: list[dict] = []
tier_counts: Counter[str] = Counter()
for pid in sorted(human_labels.keys()):
h_cats = [l["cat"] for l in human_labels[pid]]
h_specs = [l["spec"] for l in human_labels[pid]]
h_cat_maj = majority_vote(h_cats)
h_spec_maj = majority_vote(h_specs)
h_cat_unanimous = len(set(h_cats)) == 1
m_cats_list = [model_cats[m][pid] for m in TOP6 if pid in model_cats[m]]
m_cat_maj = majority_vote(m_cats_list)
m_cat_unanimous = len(set(m_cats_list)) == 1 and len(m_cats_list) == 6
all_signals = h_cats + m_cats_list
signal_counter = Counter(all_signals)
total_signals = len(all_signals)
top_signal, top_count = signal_counter.most_common(1)[0]
short_pid = pid[:8]
si_override = SI_NO_OVERRIDES.get(short_pid)
gold_cat: str | None = None
tier: str = ""
reason: str = ""
if si_override:
gold_cat = si_override[0]
tier = "T3-rule"
reason = f"SI/NO override: {si_override[1]}"
elif top_count >= 8 and total_signals >= 8:
gold_cat = top_signal
tier = "T1-super"
reason = f"{top_count}/{total_signals} signals agree"
elif h_cat_maj == m_cat_maj:
gold_cat = h_cat_maj
tier = "T2-cross"
reason = "Human + model majority agree"
elif m_cat_unanimous:
# All 6 models unanimous. Whether humans are split (2/3) or unanimous (3/3),
# trust models on documented systematic error axes. Cross-axis analysis shows:
# - MR->RMP: models apply person-removal test correctly (humans 91% one-directional)
# - MR->BG: models apply purpose test correctly (humans 97% one-directional)
# - RMP->BG: models identify governance purpose (humans 78% one-directional)
# - TP->RMP: models apply central-topic test (humans 92% one-directional)
# - SI->N/O: models apply assessment-vs-speculation (humans 93% one-directional)
# All 9 T5-conflict cases (both sides unanimous) verified: models correct on every one.
gold_cat = m_cat_maj
tier = "T4-model"
h_count = Counter(h_cats).most_common(1)[0][1]
reason = f"6/6 models unanimous ({m_cat_maj}) vs human {h_count}/3 ({h_cat_maj})"
else:
# Check T5 codebook overrides before falling back to plurality
t5_override = T5_CODEBOOK_OVERRIDES.get(short_pid)
if t5_override:
gold_cat = t5_override[0]
tier = "T3-rule"
reason = f"T5 codebook override: {t5_override[1]}"
else:
# ── No-board BG vote removal ──────────────────────────
# If "board" (case-insensitive) doesn't appear in the paragraph
# text, BG model votes are provably unsupported — the paragraph
# can't be about board governance if it never mentions the board.
# Remove those BG signals and recalculate plurality.
# Validated experimentally: 13 labels changed, source accuracy
# UP for 10/12 sources (+0.5-0.8% for top annotators/models).
t5_signals = list(all_signals)
para_text = para_texts.get(pid, "")
if "board" not in para_text.lower():
bg_count = sum(1 for s in t5_signals if s == "Board Governance")
if bg_count > 0:
t5_signals = [s for s in t5_signals if s != "Board Governance"]
if t5_signals:
t5_counter = Counter(t5_signals)
t5_top, t5_top_count = t5_counter.most_common(1)[0]
t5_total = len(t5_signals)
else:
t5_top, t5_top_count, t5_total = top_signal, top_count, total_signals
gold_cat = t5_top
tier = "T5-plurality"
reason = f"Mixed: human={h_cat_maj}, model={m_cat_maj}, plurality={t5_top} ({t5_top_count}/{t5_total})"
# ── Specificity: hybrid human/model ──────────────────────────
# Human consensus on specificity is only 52.5%, while model-model
# agreement is 87-91%. When humans are unanimous (3/3), trust their
# label. When humans split, use model majority (more reliable).
h_spec_unanimous = len(set(h_specs)) == 1
if h_spec_unanimous:
gold_spec = h_spec_maj
else:
m_specs = [model_specs[m][pid] for m in TOP6 if pid in model_specs[m]]
if m_specs:
gold_spec = int(majority_vote([str(s) for s in m_specs]) or h_spec_maj)
else:
gold_spec = h_spec_maj
tier_counts[tier] += 1
results.append({
"paragraphId": pid,
"gold_category": gold_cat,
"gold_specificity": gold_spec,
"tier": tier,
"reason": reason,
"human_majority": h_cat_maj,
"model_majority": m_cat_maj,
"human_votes": dict(Counter(h_cats)),
"model_votes": dict(Counter(m_cats_list)),
})
# ── Write output ──────────────────────────────────────────────────────
output_path = ROOT / "data/gold/gold-adjudicated.jsonl"
with open(output_path, "w") as f:
for r in results:
f.write(json.dumps(r) + "\n")
# ── Summary ───────────────────────────────────────────────────────────
print("=" * 90)
print("GOLD SET ADJUDICATION SUMMARY")
print("=" * 90)
print(f"\nTotal paragraphs: {len(results)}")
print(f"\nTier breakdown:")
for tier, count in sorted(tier_counts.items()):
pct = count / len(results) * 100
print(f" {tier:<16} {count:>5} ({pct:.1f}%)")
flipped = sum(1 for r in results if r["gold_category"] != r["human_majority"])
print(f"\nGold labels differing from human majority: {flipped} ({flipped / len(results):.1%})")
print(f"\nCategory distribution:")
h_dist = Counter(r["human_majority"] for r in results)
g_dist = Counter(r["gold_category"] for r in results)
print(f" {'Category':<25} {'Human Maj':>10} {'Gold':>10} {'Delta':>6}")
for cat in sorted(set(list(h_dist.keys()) + list(g_dist.keys()))):
print(f" {cat:<25} {h_dist.get(cat, 0):>10} {g_dist.get(cat, 0):>10} {g_dist.get(cat, 0) - h_dist.get(cat, 0):>+6}")
gold_by_pid = {r["paragraphId"]: r["gold_category"] for r in results}
print(f"\n{'=' * 90}")
print("SOURCE ACCURACY vs ADJUDICATED GOLD")
print(f"{'=' * 90}")
annotator_names = sorted(set(l["annotator"] for labels in human_labels.values() for l in labels))
print("\nHuman annotators:")
for ann in annotator_names:
agree = total = 0
for pid, labels in human_labels.items():
for l in labels:
if l["annotator"] == ann and pid in gold_by_pid:
total += 1
if l["cat"] == gold_by_pid[pid]:
agree += 1
print(f" {ann:<12} {agree}/{total} ({agree / total:.1%})")
print("\nModels (v3.0 on full 1200):")
for m in TOP6:
agree = total = 0
for pid in gold_by_pid:
if pid in v30_cats.get(m, {}):
total += 1
if v30_cats[m][pid] == gold_by_pid[pid]:
agree += 1
print(f" {m:<12} {agree}/{total} ({agree / total:.1%})")
print(f"\nOutput: {output_path}")
if __name__ == "__main__":
main()