"""Pre-registered analysis for the v2 harness. Implements exactly what `PREREGISTRATION.md` commits to: * primary endpoint: Clotho five-caption T2A R@1; * secondary: Clotho A2T R@1, AudioCaps T2A R@1, AudioCaps A2T R@1; * effect: unfused minus fused, paired by query; * cluster bootstrap that resamples CLIPS (five captions per clip are not independent), 2000 resamples, fixed seed; * Holm correction across the four endpoints; * TOST equivalence at a pre-committed margin, so "no difference" is a claim. python analysis_v2.py results_v2 --prereg PREREGISTRATION.md """ from __future__ import annotations import argparse import json import math from pathlib import Path import numpy as np SEED = 20261027 N_BOOT = 2000 EQUIV_MARGIN = 0.03 # pre-registered, do not tune after seeing results ENDPOINTS = [ ("clotho5", "t2a", "r@1", "primary"), ("clotho5", "a2t", "r@1", "secondary"), ("audiocaps", "t2a", "r@1", "secondary"), ("audiocaps", "a2t", "r@1", "secondary"), ] # ---------------------------------------------------------------- estimators def _hit(r: int, k: int) -> float: return 1.0 if r <= k else 0.0 def cluster_bootstrap_mean(values: np.ndarray, clusters: np.ndarray, stat, n_boot: int = N_BOOT, seed: int = SEED): """Resample clusters with replacement; recompute the mean over all their rows.""" rng = np.random.default_rng(seed) uniq = np.unique(clusters) idx_by_cluster = {c: np.flatnonzero(clusters == c) for c in uniq} draws = np.empty(n_boot) for i in range(n_boot): pick = rng.choice(uniq, size=len(uniq), replace=True) idx = np.concatenate([idx_by_cluster[c] for c in pick]) draws[i] = stat(values[idx]) return (float(np.percentile(draws, 2.5)), float(np.percentile(draws, 97.5)), float(draws.std(ddof=1))) def cluster_bootstrap_delta(a: np.ndarray, b: np.ndarray, clusters: np.ndarray, n_boot: int = N_BOOT, seed: int = SEED): """Paired bootstrap over clusters: the same resample is applied to both arms.""" rng = np.random.default_rng(seed) uniq = np.unique(clusters) idx_by_cluster = {c: np.flatnonzero(clusters == c) for c in uniq} draws = np.empty(n_boot) for i in range(n_boot): pick = rng.choice(uniq, size=len(uniq), replace=True) idx = np.concatenate([idx_by_cluster[c] for c in pick]) draws[i] = b[idx].mean() - a[idx].mean() return (float(np.percentile(draws, 2.5)), float(np.percentile(draws, 97.5)), float(draws.std(ddof=1))) def tost(delta: float, se: float, margin: float = EQUIV_MARGIN, alpha: float = 0.05): """Two one-sided tests on a paired difference. Equivalent if the (1 - 2*alpha) CI lies inside [-margin, +margin]. Returned p-value is the larger of the two one-sided p-values, which is the standard TOST statistic. Normal approximation, appropriate at these n. """ if se <= 0: return {"equivalent": abs(delta) < margin, "p": 0.0 if abs(delta) < margin else 1.0, "ci90": [delta, delta]} z = delta / se p_lower = 1.0 - _norm_cdf(z + margin / se) # H0: delta <= -margin p_upper = _norm_cdf(z - margin / se) # H0: delta >= +margin p = max(p_lower, p_upper) ci90 = [delta - 1.6448536269514722 * se, delta + 1.6448536269514722 * se] return {"equivalent": bool(p < alpha), "p": float(p), "ci90": [float(ci90[0]), float(ci90[1])]} def _norm_cdf(x: float) -> float: return 0.5 * (1.0 + math.erf(x / math.sqrt(2.0))) def cluster_sign_flip(a_hits: np.ndarray, b_hits: np.ndarray, clusters: np.ndarray, n_perm: int = 10000, seed: int = SEED) -> dict: """Permutation test at the clip level. McNemar assumes independent pairs, but five captions of one clip share their audio, so those five pairs are correlated and McNemar's p is anti-conservative. Here the labels are swapped *per cluster*: under the null the two checkpoints are exchangeable within a clip, so each clip contributes either +d or -d, where d is that clip's (b - a) contribution. Captions never move independently. """ uniq, inv = np.unique(clusters, return_inverse=True) sa = np.bincount(inv, weights=a_hits.astype(float), minlength=len(uniq)) sb = np.bincount(inv, weights=b_hits.astype(float), minlength=len(uniq)) d = sb - sa total = float(len(a_hits)) obs = float(d.sum() / total) rng = np.random.default_rng(seed) hits = 0 done = 0 while done < n_perm: chunk = min(1000, n_perm - done) signs = rng.choice(np.array([-1.0, 1.0]), size=(chunk, len(uniq))) sims = signs @ d / total hits += int(np.sum(np.abs(sims) >= abs(obs) - 1e-15)) done += chunk p = (1.0 + hits) / (n_perm + 1.0) return {"delta": obs, "p_cluster_perm": float(p), "n_permutations": n_perm, "n_clusters": int(len(uniq))} def mcnemar_exact(a_hits: np.ndarray, b_hits: np.ndarray) -> tuple[float, int, int]: """Exact two-sided McNemar on paired binary outcomes. Returns (p, b_only, a_only) where b_only counts queries only b gets right. This is the difference test; TOST answers a different question and must not be substituted for it. """ n01 = int((~a_hits & b_hits).sum()) n10 = int((a_hits & ~b_hits).sum()) m = n01 + n10 if m == 0: return 1.0, n01, n10 tail = sum(math.comb(m, i) for i in range(0, min(n01, n10) + 1)) / 2 ** m return min(1.0, 2 * tail), n01, n10 def holm(pvals: dict[str, float], alpha: float = 0.05) -> dict[str, float]: """Holm-Bonferroni step-down. Returns adjusted p-values, monotone in the input.""" items = sorted(pvals.items(), key=lambda kv: kv[1]) m = len(items) adj, running = {}, 0.0 for i, (name, p) in enumerate(items): val = min(1.0, (m - i) * p) running = max(running, val) adj[name] = running return adj def mdd(se: float, alpha: float = 0.05, power: float = 0.8) -> float: """Minimum detectable difference at the given power (normal approximation).""" return float((1.959963984540054 + 0.8416212335729143) * se) # ---------------------------------------------------------------- loading def load_cell(path: Path) -> dict: d = json.loads(path.read_text(encoding="utf-8")) need = ("first_hit_rank", "cluster") if d["metrics"]["t2a"].get("cluster") is None: raise SystemExit(f"{path.name}: missing per-query clusters; rerun the cell") return d def arm(d: dict, direction: str, k: int): m = d["metrics"][direction] ranks = np.asarray(m["first_hit_rank"], dtype=np.int64) clusters = np.asarray(m["cluster"], dtype=np.int64) return np.array([_hit(r, k) for r in ranks]), clusters def summarise(d: dict, direction: str, k: int) -> dict: hits, clusters = arm(d, direction, k) lo, hi, se = cluster_bootstrap_mean(hits, clusters, lambda v: float(v.mean())) return {"value": float(hits.mean()), "ci95": [lo, hi], "se_cluster": se, "n_queries": int(len(hits)), "n_clusters": int(clusters.max() + 1)} def main() -> int: ap = argparse.ArgumentParser() ap.add_argument("dir", nargs="?", default="results_v2") ap.add_argument("--out", default="analysis_v2.json") ap.add_argument("--prereg", default="PREREGISTRATION.md") args = ap.parse_args() if not Path(args.prereg).exists(): raise SystemExit("PREREGISTRATION.md missing: analysis must follow a committed plan") root = Path(args.dir) cells = {} for f in sorted(root.glob("*__canon.json")): d = load_cell(f) cells[(d["dataset"], d["model"])] = d models = sorted({m for (_, m) in cells}) if len(models) != 2: raise SystemExit(f"expected two checkpoints, found {models}") report = {"prereg": args.prereg, "equivalence_margin": EQUIV_MARGIN, "cells": {}, "endpoints": {}} for ds in sorted({d for (d, _) in cells}): for m in models: key = f"{m}|{ds}" report["cells"][key] = { "t2a_r1": summarise(cells[(ds, m)], "t2a", 1), "a2t_r1": summarise(cells[(ds, m)], "a2t", 1), "t2a_mrr": summarise_rank(cells[(ds, m)], "t2a"), "a2t_map": summarise_ap(cells[(ds, m)]), } fused = next(m for m in models if m.endswith("fused")) unfused = next(m for m in models if m.endswith("unfused")) pvals = {} for ds, direction, metric, role in ENDPOINTS: if (ds, fused) not in cells or (ds, unfused) not in cells: continue k = int(metric.split("@")[1]) a, clusters = arm(cells[(ds, fused)], direction, k) b, _ = arm(cells[(ds, unfused)], direction, k) delta = float(b.mean() - a.mean()) lo, hi, se = cluster_bootstrap_delta(a, b, clusters) eq = tost(delta, se) # difference test at the clip level: captions within a clip are correlated, # so McNemar's independent-pairs p is reported only for reference perm = cluster_sign_flip(a > 0.5, b > 0.5, clusters) mcn_p, n01, n10 = mcnemar_exact(a > 0.5, b > 0.5) name = f"{ds}_{direction}_{metric}" pvals[name] = perm["p_cluster_perm"] report["endpoints"][name] = { "role": role, "dataset": ds, "direction": direction, "metric": metric, "delta_unfused_minus_fused": delta, "ci95": [lo, hi], "se_cluster": se, "mdd80": mdd(se), "p_cluster_perm": perm["p_cluster_perm"], "n_permutations": perm["n_permutations"], "mcnemar_p_reference_only": mcn_p, "b_only": n01, "a_only": n10, "tost_p": eq["p"], "equivalent_at_margin": eq["equivalent"], "ci90_for_tost": eq["ci90"], } holm_adj = holm(pvals) for name, adj in holm_adj.items(): report["endpoints"][name]["holm_adjusted_p"] = adj report["endpoints"][name]["significant_after_holm"] = bool(adj < 0.05) Path(args.out).write_text(json.dumps(report, indent=2), encoding="utf-8", newline="\n") print(f"{'endpoint':<24}{'delta':>8} {'95% CI':<19}{'perm p':>9}{'Holm':>8}" f"{'TOST':>8} verdict") for name, e in report["endpoints"].items(): ci = f"[{e['ci95'][0]:+.3f}, {e['ci95'][1]:+.3f}]" if e["significant_after_holm"]: verdict = "difference" elif e["equivalent_at_margin"]: verdict = "equivalent within +/-0.03" else: verdict = "inconclusive" print(f"{name:<24}{e['delta_unfused_minus_fused']:>+8.3f} {ci:<19}" f"{e['p_cluster_perm']:>9.2g}{e['holm_adjusted_p']:>8.2g}" f"{e['tost_p']:>8.2g} {verdict}") print(f"\nwrote {args.out}") return 0 def summarise_rank(d: dict, direction: str) -> dict: m = d["metrics"][direction] ranks = np.asarray(m["first_hit_rank"], dtype=np.float64) clusters = np.asarray(m["cluster"], dtype=np.int64) lo, hi, se = cluster_bootstrap_mean(ranks, clusters, lambda v: float((1.0 / v).mean())) return {"value": float((1.0 / ranks).mean()), "ci95": [lo, hi], "se_cluster": se} def summarise_ap(d: dict) -> dict: m = d["metrics"]["a2t"] ap = np.asarray(m["ap"], dtype=np.float64) clusters = np.asarray(m["cluster"], dtype=np.int64) lo, hi, se = cluster_bootstrap_mean(ap, clusters, lambda v: float(v.mean())) return {"value": float(ap.mean()), "ci95": [lo, hi], "se_cluster": se} if __name__ == "__main__": raise SystemExit(main())