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文档分块策略与嵌入敏感性系统性研究

A Systematic Investigation of Document Chunking Strategies and Embedding Sensitivity

Open Source Institute(开源研究所);Faculty of Science and Technology(科学与技术学院);University of Canberra(堪培拉大学)

Muhammad Arslan Shaukat, Muntasir Adnan, Carlos C. N. Kuhn

AI总结:

本文系统研究了文档分块策略与嵌入敏感性,发现内容感知分块显著提升检索效果,段落分组分块在多个领域表现最优。

摘要:

我们首次对文档分块策略进行了大规模、跨领域的评估,以解决密集检索中的关键但未被充分研究的方面。在我们的研究中,36种分块方法,涵盖固定大小、语义、结构感知、层次、自适应和LLM辅助方法,在六个不同的知识领域中使用五种不同的嵌入模型进行基准测试。检索性能通过最先进的LLM评估器的分级相关性分数进行评估,以归一化DCG@5为主要指标(辅以Hit@5和MRR)。我们的实验表明,内容感知的分块在固定长度分割的基础上显著提高了检索效果。表现最好的策略,段落分组分块,实现了最高的整体准确率(平均nDCG@5~0.459)和显著更好的顶级排名命中率(Precision@1~24%,Hit@5~59%)。相比之下,简单的固定大小字符分块作为基线表现不佳(nDCG@5 < 0.244,Precision@1~2-3%)。我们观察到显著的领域特定差异:动态令牌大小在生物学、物理学和健康领域最强,而段落分组在法律和数学领域最强。更大的嵌入模型会产生更高的绝对分数,但仍然对次优分块敏感,表明更好的分块和大嵌入模型提供了互补的好处。除了准确性提升外,我们还量化了高级分块的效率权衡。生成更多、更小的分块会增加索引大小和延迟。因此,我们识别出方法(如动态分块)接近在效果和效率之间达到最佳平衡。这些发现确立了分块作为提高检索性能和可靠性的关键杠杆。

英文摘要:

We present the first large-scale, cross-domain evaluation of document chunking strategies for dense retrieval, addressing a critical but underexplored aspect of retrieval-augmented systems. In our study, 36 segmentation methods spanning fixed-size, semantic, structure-aware, hierarchical, adaptive, and LLM-assisted approaches are benchmarked across six diverse knowledge domains using five different embedding models. Retrieval performance is assessed using graded relevance scores from a state-of-the-art LLM evaluator, with Normalised DCG@5 as the primary metric (complemented by Hit@5 and MRR). Our experiments show that content-aware chunking significantly improves retrieval effectiveness over naive fixed-length splitting. The top-performing strategy, Paragraph Group Chunking, achieved the highest overall accuracy (mean nDCG@5~0.459) and substantially better top-rank hit rates (Precision@1~24%, Hit@5~59%). In contrast, simple fixed-size character chunking as baselines performed poorly (nDCG@5 < 0.244, Precision@1~2-3%). We observe pronounced domain-specific differences: dynamic token sizing is strongest in biology, physics and health, while paragraph grouping is strongest in legal and maths. Larger embedding models yield higher absolute scores but remain sensitive to suboptimal segmentation, indicating that better chunking and large embeddings provide complementary benefits. In addition to accuracy gains, we quantify the efficiency trade-offs of advanced chunking. Producing more, smaller chunks can increase index size and latency. Consequently, we identify methods (like dynamic chunking) that approach an optimal balance of effectiveness and efficiency. These findings establish chunking as a vital lever for improving retrieval performance and reliability.

机构、总结、中文摘要均由AI分析而来,可能存在错误,请以论文正文为准。

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