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# Taxonomy 词表参考手册 本文档详细介绍 Claim Grouping 的词表规则系统。 > **相关文档**: > - [PARAMETER_GUIDE.md](./PARAMETER_GUIDE.md) - 参数配置指南 > - [KNOWLEDGE_GRAPH.md](./KNOWLEDGE_GRAPH.md) - 图谱系统说明 > - [MCP_TOOLS_REFERENCE.md](./MCP_TOOLS_REFERENCE.md) - 词表管理工具 --- ## 概述 Taxonomy 词表用于将 claims 自动分类到语义家族（family），是 Claim Grouping 系统的核心组件。 ```mermaid graph TB subgraph "Claim 处理" Claim[claim_text] --> Norm[文本规范化] Norm --> Match[模式匹配] end subgraph "词表规则" Outcome[OUTCOME 规则<br/>34 terms] Treatment[TREATMENT 规则<br/>21 terms] Setting[SETTING 规则<br/>10 terms] end Match --> Outcome Match --> Treatment Match --> Setting Outcome --> OF[outcome_family] Treatment --> TF[treatment_family] Setting --> SB[setting_bin] OF & TF & SB --> GK[group_key] ``` ### 作用 1. **标准化**：将不同表述的同一概念归类到统一 family 2. **分组依据**：`outcome_family` 和 `treatment_family` 是 group_key 的组成部分 3. **降低 general 占比**：提高词表覆盖率可减少未分类 claims ### 匹配机制 ``` claim_text (规范化后) 是否包含 pattern → 返回对应 family 优先级：priority 越小越优先匹配 无匹配：返回 "general" ``` --- ## 当前词表 (65 terms) ### OUTCOME (34 terms) 结果变量 / 因变量的分类 | Family | Pattern | Priority | 说明 | |--------|---------|----------|------| | **returns** | return | 5 | 收益率相关 | | returns | stock return | 5 | 股票收益 | | returns | abnormal return | 5 | 异常收益 | | returns | performance | 15 | 业绩表现 | | **volatility** | volatility | 8 | 波动性 | | volatility | variance | 8 | 方差 | | volatility | risk | 12 | 风险 | | **earnings** | earnings | 10 | 盈余 | | earnings | profit | 10 | 利润 | | earnings | accrual | 10 | 应计项目 | | **investment** | capex | 10 | 资本支出 | | investment | capital expenditure | 10 | 资本支出 | | investment | investment | 15 | 投资 | | **liquidity** | liquidity | 10 | 流动性 | | liquidity | trading volume | 10 | 交易量 | | **cost_capital** | cost of capital | 10 | 资本成本 | | cost_capital | discount rate | 10 | 折现率 | | **valuation** | valuation | 12 | 估值 | | valuation | market value | 12 | 市值 | | valuation | price | 15 | 价格 | | **disclosure** | disclosure | 12 | 披露 | | disclosure | transparency | 12 | 透明度 | | **audit** | audit | 12 | 审计 | | audit | auditor | 12 | 审计师 | | **esg** | esg | 20 | ESG | | esg | csr | 20 | 企业社会责任 | | esg | environment | 20 | 环境 | | esg | social | 20 | 社会 | | **innovation** | innovation | 30 | 创新 | | innovation | r&d | 30 | 研发 | | innovation | patent | 30 | 专利 | | **governance** | governance | 40 | 治理 | | governance | board | 40 | 董事会 | | governance | ceo | 40 | CEO | ### TREATMENT (21 terms) 处理变量 / 自变量的分类 | Family | Pattern | Priority | 说明 | |--------|---------|----------|------| | **merger** | m&a | 8 | 并购 | | merger | merger | 10 | 合并 | | merger | acquisition | 10 | 收购 | | **regulation** | regulation | 10 | 监管 | | regulation | policy | 15 | 政策 | | regulation | law | 15 | 法律 | | **shock** | shock | 10 | 冲击 | | shock | crisis | 10 | 危机 | | shock | event | 20 | 事件 | | **information** | asymmetry | 10 | 信息不对称 | | information | information | 15 | 信息 | | **institutional** | institutional | 12 | 机构 | | institutional | ownership | 12 | 所有权 | | **earnings** | earnings | 10 | 盈余管理 | | earnings | profit | 10 | 利润 | | **esg** | esg | 20 | ESG | | esg | environment | 20 | 环境 | | **innovation** | innovation | 30 | 创新 | | innovation | r&d | 30 | 研发 | | **governance** | governance | 40 | 治理 | | governance | board | 40 | 董事会 | ### SETTING (10 terms) 研究情境 / 样本范围的分类 | Family | Pattern | Priority | 说明 | |--------|---------|----------|------| | **us** | united states | 10 | 美国 | | us | u.s. | 10 | 美国 | | **china** | china | 10 | 中国 | | china | chinese | 10 | 中国 | | **europe** | europe | 10 | 欧洲 | | europe | european | 10 | 欧洲 | | **emerging** | emerging market | 10 | 新兴市场 | | **finance** | financial sector | 12 | 金融行业 | | **manufacturing** | manufacturing | 15 | 制造业 | | **tech** | technology | 15 | 科技行业 | --- ## 最佳实践 ### 1. 优先级设置 ``` 1-10: 高优先级（精确、专业术语） 例：abnormal return, m&a, cost of capital 10-30: 中等优先级（常见学术词汇） 例：earnings, volatility, regulation 30-50: 低优先级（泛化概念） 例：innovation, governance 50-100: 兜底优先级（非常宽泛的匹配） ``` ### 2. 避免冲突 **问题**：`return` 可能同时匹配 "stock return" 和 "return on investment" **解决**： - 更具体的 pattern 设置更高优先级 - 例：`abnormal return (5)` > `return (8)` > `performance (15)` ### 3. 词表扩展策略 1. **从 general 中挖掘** ```sql SELECT claim_text, COUNT(*) FROM claim_features cf JOIN claims c ON c.claim_id = cf.claim_id WHERE outcome_family = 'general' GROUP BY claim_text ORDER BY COUNT(*) DESC LIMIT 20; ``` 2. **按领域扩展** - 金融：liquidity, solvency, leverage, dividend - 会计：audit, internal control, restatement - 管理：CEO, compensation, turnover 3. **渐进式添加** - 每次添加 5-10 个词，重新评估命中率 - 避免一次性大批量导入 ### 4. 命中率目标 | 阶段 | 目标命中率 | 说明 | |------|-----------|------| | 初始 | > 15% | 基本可用 | | 成熟 | 25-40% | 主要概念覆盖 | | 理想 | 40-60% | 精细分类 | > 注意：100% 命中率不是目标，`general` 类本身有意义 ### 5. 质量检查 ```sql -- 检查命中率 SELECT outcome_family, COUNT(*) as n, ROUND(100.0 * COUNT(*) / SUM(COUNT(*)) OVER (), 2) as pct FROM claim_features GROUP BY outcome_family ORDER BY n DESC; -- 检查某个 family 的实际内容（验证准确性） SELECT c.claim_text FROM claim_features cf JOIN claims c ON c.claim_id = cf.claim_id WHERE cf.outcome_family = 'returns' LIMIT 10; ``` --- ## 管理操作 ### 添加词条 ```python # MCP 工具 taxonomy_upsert_term( kind="outcome", family="leverage", pattern="debt ratio", priority=10 ) ``` ```sql -- SQL INSERT INTO taxonomy_terms (kind, family, pattern, priority) VALUES ('outcome', 'leverage', 'debt ratio', 10); ``` ### 禁用词条 ```sql UPDATE taxonomy_terms SET enabled = FALSE WHERE pattern = 'risk'; ``` ### 批量导入 ```sql INSERT INTO taxonomy_terms (kind, family, pattern, priority) VALUES ('outcome', 'leverage', 'leverage', 10), ('outcome', 'leverage', 'debt', 12), ('outcome', 'dividend', 'dividend', 10), ('outcome', 'dividend', 'payout', 12); ``` ### 重新计算 claim features ```python # 修改词表后需要重新分配 assign_claim_features_v1_2() build_claim_groups_v1_2() ``` --- ## 领域扩展建议 ### 金融学 ```sql ('outcome', 'leverage', 'leverage', 10), ('outcome', 'leverage', 'debt ratio', 10), ('outcome', 'dividend', 'dividend', 10), ('outcome', 'dividend', 'payout', 12), ('outcome', 'solvency', 'solvency', 12), ('outcome', 'solvency', 'bankruptcy', 10), ``` ### 会计学 ```sql ('outcome', 'internal_control', 'internal control', 10), ('outcome', 'internal_control', 'material weakness', 8), ('outcome', 'restatement', 'restatement', 10), ('outcome', 'restatement', 'misstatement', 10), ``` ### 公司金融 ```sql ('treatment', 'compensation', 'compensation', 10), ('treatment', 'compensation', 'incentive', 12), ('treatment', 'ceo_change', 'ceo turnover', 8), ('treatment', 'ceo_change', 'succession', 10), ```