Abstract
Volume-based accuracy rewards retrieval-augmented generation (RAG) systems for guessing: a system that answers everything outscores one that declines when its knowledge base cannot support an answer. Building on the confidence-target analysis of Kalai et al. (2025), we present a penalty-aware evaluation framework for deployed RAG products, combining (i) asymmetric scoring (correct +1, wrong -4, abstain 0), (ii) knowledge-gap canaries, questions whose answers are verifiably absent from the knowledge base, so that any answer constitutes ungrounded generation from parametric memory, and (iii) a failure-attribution pipeline that separates retrieval, generation, and abstention-policy failures. Applying the framework to three commercial RAG systems and a no-retrieval baseline on SimpleQA-Verified (1,000 questions x 3 repeats, graded blind by a cross-family three-judge panel with 98.9% unanimity), we find that accuracy when answering is closely clustered across systems (97.0-98.0%), while canary violation rates differ roughly sixfold (16.7% vs. 98.1%). The systems are separated less by what they answer correctly than by whether they answer at all when they should not, and penalty-aware scoring reorders the volume-based ranking accordingly; the reordering is stable across penalty settings from k=1 to k=9. All code, configurations, transcripts, and judge votes are released for independent audit.
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Retrieval-Augmented Generation (RAG) systems are often evaluated using final answer accuracy, even though their failures can originate from preprocessing, retrieval, context packing, or generation. This paper presents a controlled empirical study of RAG sensitivity, robustness, and stability across 56 experimental runs. We evaluate how chunk size, retrieval depth (top k), embedding-based reranking, probabilistic retrieval noise, and repeated seeded runs affect retrieval, context packing, and generation behavior. Using a fixed 500-question QA subset mapped to 20,958 unique corpus contexts, we analyze both final answer metrics and intermediate failure modes. Across these experiments, retrieval-oriented metrics improved under broader retrieval settings, while downstream exact-match and F1 scores often behaved non-monotonically. We also observe preprocessing-induced answer loss under smaller chunk sizes, progressive degradation under retrieval corruption, and higher observed variance in broader retrieval regimes. These findings suggest that RAG evaluation should include sensitivity, robustness, stability, and multi-stage failure analysis rather than relying only on final answer accuracy.
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Independent Researcher
Aug 25, 2026cs.CL
Evaluating Retrieval-Augmented Generation (RAG) systems requires assessing not only end-to-end correctness but also how individual components interact and how errors propagate through the pipeline. We introduce a Bayesian evaluation framework that jointly models retrieval success, abstention behavior, and answer correctness, factorized according to the pipeline's information flow. The model distinguishes task success. Whether the user received a correct answer (from generator success) and whether the generator behaved appropriately given the retrieval outcome. We apply the framework to 27 RAG configurations across three datasets, three retrievers, and three generators, and show that the conditional decomposition reveals substantial behavioral differences between systems that appear equivalent under marginal metrics. We further analyze the annotation allocation problem, demonstrating that retrieval-success annotations are more informative than task-success annotations for estimating policy adherence, and provide an information-theoretic explanation for this asymmetry. Finally, we extend the model to incorporate LLM-as-a-judge annotations as calibrated noisy observations, enabling practitioners to combine limited human judgments with cheaper automated assessments within a unified probabilistic model.
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Retrieval-augmented generation improves the factuality of large language models by grounding responses in retrieved evidence, yet existing evaluation frameworks struggle to provide consistent, fine-grained diagnostics across the diverse spectrum of user queries, ranging from close-ended fact-seeking to open-ended explanatory requests. We propose Q-CARE, a query-agnostic and fully reference-free framework that enables fine-grained assessment by decomposing queries into sub-queries and answers into atomic claims. Q-CARE establishes a unified evaluation principle based on query coverage and claim verifiability, yielding coverage-aware retriever metrics (C-Prec@k, C-nDCG@k) and claim-level generator metrics (Completeness, Conciseness, and Verifiableness). On a human-annotated benchmark spanning eight datasets, Q-CARE achieves higher correlation with human judgments than four existing RAG evaluation metrics, including RAGEval and RAGChecker, proving its effectiveness as a reliable, automated evaluation framework. Code and data are publicly available at https://github.com/DISL-Lab/Q-CaRE-COLM-26.
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1Korea Advanced Institute of Science and Technology (KAIST) · 2Cluvion