用因果分析法评估大模型是否真正理解语义深层结构。
Beyond Surface Structure: A Causal Assessment of LLMs' Comprehension Ability
- 提出直接/间接因果效应替代指标,量化模型对深层与表面结构的依赖。
- 发现多数大模型具备深层语义理解能力,且随精度提升而增强。
- 闭源模型更依赖深层结构,开源模型则更敏感于表达形式,规模越大越少依赖表面格式。
大语言模型在自然语言任务中表现卓越,但其是否真正理解深层语义(核心含义)仍存争议。以往研究认为模型对表面结构(如呈现方式)敏感,因而主要依赖表层模式。然而,这种敏感性并不排除深层理解的可能性。为全面评估模型能力,我们采用因果中介分析,将深层结构理解定义为直接因果效应(DCE),表面结构理解定义为间接因果效应(ICE)。由于原始效应不可估计(因深层与表面结构难以分离),我们构建可量化的近似指标:近似直接因果效应(ADCE)和近似间接因果效应(AICE)。在一系列主流大模型上应用ADCE,结果表明大多数模型具备深层结构理解能力,且该能力随预测准确率上升而增强。对比显示,闭源模型更依赖深层结构,而开源模型更易受表面结构影响,但这一倾向随模型规模增大而减弱。理论上,ADCE同时衡量深层结构变化的充分性与必要性,比单一准确率评价更全面。本工作为理解大模型语义理解提供了新视角与新方法。
原文摘要 · Abstract (English)
Large language models (LLMs) have shown remarkable capability in natural language tasks, yet debate persists on whether they truly comprehend deep structure (i.e., core semantics) or merely rely on surface structure (e.g., presentation format). Prior studies observe that LLMs' performance declines when intervening on surface structure, arguing their success relies on surface structure recognition. However, surface structure sensitivity does not prevent deep structure comprehension. Rigorously evaluating LLMs' capability requires analyzing both, yet deep structure is often overlooked. To this end, we assess LLMs' comprehension ability using causal mediation analysis, aiming to fully discover the capability of using both deep and surface structures. Specifically, we formulate the comprehension of deep structure as direct causal effect (DCE) and that of surface structure as indirect causal effect (ICE), respectively. To address the non-estimability of original DCE and ICE -- stemming from the infeasibility of isolating mutual influences of deep and surface structures, we develop the corresponding quantifiable surrogates, including approximated DCE (ADCE) and approximated ICE (AICE). We further apply the ADCE to evaluate a series of mainstream LLMs, showing that most of them exhibit deep structure comprehension ability, which grows along with the prediction accuracy. Comparing ADCE and AICE demonstrates closed-source LLMs rely more on deep structure, while open-source LLMs are more surface-sensitive, which decreases with model scale. Theoretically, ADCE is a bidirectional evaluation, which measures both the sufficiency and necessity of deep structure changes in causing output variations, thus offering a more comprehensive assessment than accuracy, a common evaluation in LLMs. Our work provides new insights into LLMs' deep structure comprehension and offers novel methods for LLMs evaluation.
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