arXiv:2606.08932cs.CLcs.AI2026-06KDD

提出新方法精准识别法律条文中的例外与反例外关系,解决模型误判关键边缘情况的问题。

From Statute to Control Flow: Span-Grounded Deontic Trees for Defeasible Scope Parsing

论文配图:From Statute to Control Flow: Span-Grounded Deontic Trees for Defeasible Scope Parsing
图 1 · 摘自论文原文
  • 用源文本片段锚定的道义树结构,显式标记逻辑分支与排除条件。
  • 发现大模型在深层例外场景下性能急剧下降,且难以正确构建控制流。
  • 该方法特别适合处理含复杂例外的法律文本,提升合规性推理可靠性。

遵循规则的智能体在执行政策法规时常因隐性范围遗漏(SSO)而失败:模型应用一般规则但无声忽略嵌套的例外或反例外,输出看似合规却在关键边缘情况下出错。尽管这类问题常被归因于智能体系统,其根本瓶颈在于对法律条文的理解能力,这通常是法律自然语言处理的研究重点。然而,现有法律NLP基准多聚焦最终任务表现,容易忽视导致SSO的结构性遗漏。为诊断和缓解SSO,我们提出NormBench,一个包含2,290个条款的基准,涵盖中文(法律与地方政策)、英文(美国税法、GDPR、企业政策)及跨语言场景,专用于可废止范围解析:精确识别哪个条款覆盖哪个条款。NormBench采用段落锚定的道义树(SG-DT),一种类编译器的中间表示,将每个逻辑分支锚定至原文片段,并要求显式排除条件,实现确定性编译与可审计性。对前沿大模型的评估揭示两种常见病理:(1) 递归衰减,即随着废止层级增加,性能显著下降;(2) 可审计陷阱,模型能检索相关片段却无法构建正确的控制流。使用SG-DT作为受限中间输出能提升全树保真度与废止者恢复能力,下游实验表明其效用具有机制特异性:收益集中于含例外的、易发SSO的案例,而当附加结构不必要或解析保真度低时,整体准确率可能混合。

原文摘要 · Abstract (English)

Rule-following agents tasked with executing policies and regulations often fail via Silent Scope Omission (SSO): a model applies a general rule but silently drops nested exceptions or counter-exceptions, producing outputs that appear compliant yet break on important edge cases. Although such failures are often framed as an agentic-systems problem, the underlying bottleneck is statutory and policy understanding, a capability typically studied in legal NLP. However, most existing legal NLP benchmarks emphasize end-task outcomes, which can overlook the structural omissions that cause SSO. To diagnose and mitigate SSO, we introduce NormBench, a benchmark of 2,290 provisions spanning Chinese (laws and local policies), English (U.S. tax law, GDPR, and corporate policies), and cross-lingual settings, designed for defeasible scope parsing: identifying precisely which clause overrides which. NormBench uses Span-Grounded Deontic Trees (SG-DT), a compiler-style intermediate representation that anchors every logical branch to source spans and requires explicit exclusion guards, enabling deterministic compilation and audit. Evaluations of frontier LLMs reveal two recurring pathologies: (1) Recursion Decay, where performance drops sharply as defeater depth increases, and (2) an Auditability Trap, where models retrieve relevant spans but fail to assemble correct control flow. Using SG-DT as a constrained intermediate output improves whole-tree fidelity and defeater recovery, and downstream experiments show that its utility is mechanism-specific: gains concentrate on exception-active, SSO-prone cases, while aggregate accuracy can be mixed when the added structure is unnecessary or parser fidelity is low.

法律AI例外处理可审计性道义逻辑

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