针对规则驱动的细粒度分类,提出可验证路径搜索框架。
Constraint-Aware Hierarchical Search for Regulation-Driven Fine-Grained Classification

- 将法规文档转为可检索树,按规则约束逐层筛选候选节点。
- 在四个基准数据集上平均准确率领先,尤其擅长边界条件判断。
- 适合海关、出口管制等需严格合规的行业应用。
关税分类、出口管制和设备编码等任务需在明确的监管层级下将输入实例分配至细粒度类别。与标准文本分类不同,正确标签不仅取决于语义相似性,还受规则定义的边界、阈值、排除条款、定义和局部例外影响。因此,两个高度相似的输入可能对应不同标签,而看似相关的文本片段也可能因不符合规则而不适用。现有平面分类器、层次文本分类方法及检索增强型大模型无法同时保证层级有效性、规则一致性与细粒度边界推理。本文将此场景建模为规则驱动的细粒度层次分类,要求外部实例通过监管层级中的有效路径并辅以可审计证据被分配至细粒度类别。我们从典型强监管场景构建了四个基准数据集,并通过专家闭环验证标注质量。进一步提出一种约束感知的层次搜索框架:将监管文档转化为可检索树,仅检索合法局部候选节点,并利用结构化监管字段与证据片段指导每一步决策。实验表明,该方法在所有四个数据集上均达到最高平均准确率,提供可解释的决策路径,尤其在涉及细粒度邻近类别和规则边界条件的任务中提升显著。
原文摘要 · Abstract (English)
Tasks such as customs tariff classification, export control categorization, and standards-based equipment coding require assigning an input instance to a fine-grained class under an explicit regulatory hierarchy. Unlike standard text classification, the correct label in these tasks is not determined by semantic similarity alone, but by rule-defined boundaries, threshold conditions, exclusion clauses, definitions, and local exceptions. As a result, two highly similar inputs may require different labels, while a retrieved passage that appears relevant may still be inapplicable under the governing rules. Existing flat classifiers, hierarchical text classification methods, and retrieval-augmented LLM systems are not designed to jointly enforce hierarchical validity, rule consistency, and fine-grained boundary reasoning. In this paper, we formulate this setting as regulation-driven fine-grained hierarchical classification, where an external instance must be assigned to a fine-grained class through a valid path in a regulatory hierarchy and supported by auditable evidence. We construct four benchmark datasets from representative regulation-intensive scenarios and validate the annotations through an expert-in-the-loop process. We further propose a constraint-aware hierarchical search framework that converts regulatory documents into a searchable tree, retrieves only valid local candidate nodes, and uses structured regulatory fields with evidence snippets to guide each next-hop decision. Experiments show that our method achieves the best mean accuracy on all four datasets and provides interpretable decision paths, with the largest gains on cases involving fine-grained neighboring categories and rule-based boundary conditions.
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