用图结构对齐法规与运行上下文,提升大模型合规判断准确率
GraphCompliance: Aligning Policy and Context Graphs for LLM-Based Regulatory Compliance
- 将法规文本建模为政策图,运行上下文转为事件三元组图
- 在300个真实场景中提升4.1-7.2个百分点的微平均F1值
- 适合需要高精度合规推理的法律、数据安全领域应用
网页规模的合规性检查面临实际挑战:每个请求都需进行监管评估。监管文本(如《通用数据保护条例》,GDPR)具有交叉引用和规范性特征,而运行时上下文则以非结构化自然语言表达。这促使我们对非结构化文本中的语义信息与法规的结构化规范元素进行对齐。为此,我们提出GraphCompliance框架,将监管文本表示为政策图,运行时上下文表示为上下文图,并实现二者对齐。在此设定下,政策图编码规范结构与交叉引用,而上下文图将事件形式化为主体-动作-对象(SAO)三元组和实体-关系三元组。这种对齐使裁判型大语言模型(LLM)的推理锚定于结构化信息,减轻了监管解读与事件解析负担,聚焦核心推理步骤。在涵盖五个评估任务的300个基于GDPR的真实场景实验中,GraphCompliance相较仅使用LLM和RAG基线,微平均F1提升4.1-7.2个百分点,同时减少误判与漏判,带来更高召回率与更低的假阳性率。消融研究显示各图组件均有贡献,表明结构化表示与裁判型LLM在规范性推理中具有互补性。
原文摘要 · Abstract (English)
Compliance at web scale poses practical challenges: each request may require a regulatory assessment. Regulatory texts (e.g., the General Data Protection Regulation, GDPR) are cross-referential and normative, while runtime contexts are expressed in unstructured natural language. This setting motivates us to align semantic information in unstructured text with the structured, normative elements of regulations. To this end, we introduce GraphCompliance, a framework that represents regulatory texts as a Policy Graph and runtime contexts as a Context Graph, and aligns them. In this formulation, the policy graph encodes normative structure and cross-references, whereas the context graph formalizes events as subject-action-object (SAO) and entity-relation triples. This alignment anchors the reasoning of a judge large language model (LLM) in structured information and helps reduce the burden of regulatory interpretation and event parsing, enabling a focus on the core reasoning step. In experiments on 300 GDPR-derived real-world scenarios spanning five evaluation tasks, GraphCompliance yields 4.1-7.2 percentage points (pp) higher micro-F1 than LLM-only and RAG baselines, with fewer under- and over-predictions, resulting in higher recall and lower false positive rates. Ablation studies indicate contributions from each graph component, suggesting that structured representations and a judge LLM are complementary for normative reasoning.
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