用多领域混合检索增强生成,自动分析海事事故原因。
Multi-Field Hybrid Retrieval-Augmented Generation for Maritime Accident Root Cause Analysis

- 分摘要、原因、处理三字段构建结构化知识库,用混合检索提升查准率。
- 检索准确率提升至0.55(原0.18),生成报告质量评分提高至3.72(原3.34)。
- 适合海事安全调查员和智能审案系统开发者使用。
海事事故裁决报告包含关键的事故原因分析结论,但从数十年记录中检索相关判例并撰写一致报告仍耗时费力。本文提出一种面向海事事故根本原因分析(RCA)的多领域混合检索增强生成(RAG)框架,基于13,329份韩国海事安全裁判所(KMST)报告(1971–2025)构建数据集。将原始裁决文本转化为“事件卡片”结构化知识库,涵盖摘要、原因、处理三字段,并关联层级化的L1/L2原因分类体系。检索策略采用场感知混合方法,通过倒数排名融合(RRF)结合稀疏与密集排序。由于缺乏大规模专家标注的相关性标签,采用基于元数据的代理相关性分数评估检索性能,使用归一化召回率(NormRecall)和nDCG进行衡量。实验表明,该检索方法显著优于基线,NormRecall@100从0.18提升至0.55。同时,基于检索到的判例生成报告,其质量超过仅用大模型的基线,LLM作为裁判得分从3.34升至3.72。结果表明,场感知RAG可显著优化海事安全调查流程,实现更快的判例检索与更一致、有证据支持的事故分析报告生成。
原文摘要 · Abstract (English)
Maritime accident adjudication reports contain critical tribunal findings for root cause analysis (RCA), yet retrieving relevant precedents and drafting consistent reports from decades of records remains labor-intensive. This paper proposes a multi-field hybrid retrieval-augmented generation (RAG) framework for automated maritime RCA, utilizing a comprehensive dataset of 13,329 Korea Maritime Safety Tribunal (KMST) reports (1971-2025). We transform raw adjudications into a structured knowledge base of "incident cards", indexing three distinct fields-Summary, Causes, and Disposition-alongside a hierarchical L1/L2 cause taxonomy. Our retrieval strategy employs a field-aware hybrid approach, fusing sparse and dense rankings via Reciprocal Rank Fusion (RRF). Given the lack of large-scale expert relevance labels, we evaluate retrieval performance using ceiling-normalized recall and nDCG based on a metadata-derived proxy relevance score. Experimental results demonstrate that our proposed retrieval significantly outperforms baseline methods, improving NormRecall@100 from 0.18 to 0.55. Furthermore, grounding the generator on the retrieved precedents enhances RCA generation quality over an LLM-only baseline, increasing the LLM-as-a-judge score from 3.34 to 3.72. These findings suggest that field-aware RAG can substantially streamline maritime safety investigation workflows by enabling faster precedent search and more consistent, evidence-based RCA drafting.
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