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研究生: 李仁傑
Reinald Adrian Pugoy
論文名稱: Accurate and Explainable Neural Review-Based Collaborative Filtering
一種基於評論協同過濾的高精準度可解釋神經網路
指導教授: 高宏宇
Kao, Hung-Yu
學位類別: 博士
Doctor
系所名稱: 電機資訊學院 - 資訊工程學系
Department of Computer Science and Information Engineering
論文出版年: 2023
畢業學年度: 111
語文別: 英文
論文頁數: 99
中文關鍵詞: 推薦系統協同過濾可解釋性評級預測
外文關鍵詞: Recommender Systems, Collaborative Filtering, Explainability, Rating Prediction
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  • Recommender systems are information filtering mechanisms that seek to predict the user's preference toward a particular product, typically in the form of a numeric rating. In implementing recommender systems, collaborative filtering (CF) models are the most dominant approach. CF leverages the collaborative behaviors of all existing users, and designing a CF model involves learning user and item representations and modeling user-item interactions. The earliest CF models learned these representations solely based on user-given numeric ratings. However, employing ratings to learn such representations is a clear case of oversimplifying the latter that can actually harm accuracy.

    In light of this, review texts have been utilized to alleviate this issue. Since users can freely discuss their reasons and experience with the items, reviews contain a large quantity of rich latent information that cannot be otherwise acquired exclusively from ratings. Moreover, when integrated with neural networks and deep learning, this has given rise to a new class of recommender systems, i.e., neural review-based collaborative filtering (NRCF), resulting in state-of-the-art recommendation performances.

    Notwithstanding the revolutionary results granted by NN, there are serious issues that are compounding NRCF models. First is the black-box nature of NN. Despite widespread usage, they have largely remained black-boxes that opaque the explainability behind predictions. Providing explanations is necessary to improve user satisfaction and aid potential clients in making informed decisions. Second is the trade-off between accuracy and explainability, wherein the most accurate models are usually complicated, non-transparent, and unexplainable. The reverse is also true for explainable and straightforward methods that sacrifice accuracy. The third issue, which is rarely tackled, is the need for ground-truth explanation texts during training. A typical large dataset only consists of a user ID, item ID, rating, and review. It is unrealistic to expect target or ground-truth explanations in the dataset. Also, obtaining these targets from scratch is cumbersome, labor-intensive, and time-consuming.

    To address the aforementioned issues, this dissertation formally establishes a novel CF pipeline that equally emphasizes accuracy and explainability for NRCF. While maintaining excellent rating prediction accuracy, we reformulate explainability as a non-supervised construction of explanation texts acceptable to humans in real life. As our contribution to the theory of explanation construction, we formally define two types of recommender explanations for the first time. Invariant explanations are fixed or the same for all users regardless of their preferences since they depend on the item information. In contrast, variant explanations are personalized and geared toward user preferences.

    Specifically, we implemented three NRCF models in this dissertation that bridge the research gap between accuracy and explainability. extbf{BENEFICT} is one of the first recommender models to integrate BERT and CF. For explainability, it implements the fixed-length solution of the maximum subarray problem to produce token-based explanations.
    extbf{ESCOFILT} is the first extractive summarization-based CF model; it uniquely integrates BERT, $K$-Means embedding clustering, and multilayer perceptron to learn sentence embeddings, summary-level explanations, and user-item interactions. Unlike other types of explanations, ESCOFILT-produced explanations closely resemble real-life explanations. Lastly, extbf{NEAR} pioneers the first complete non-supervised explainability architecture that can produce both invariant and variant explanations. Invariant explanations are summary-level texts derived from ESCOFILT. On the other hand, variant explanations are generated by our customized Transformer conditioned on every user-item-rating tuple and artificial ground-truth (self-supervised label) from one of the invariant explanation's sentences. All these models have resulted in state-of-the-art recommendation accuracy during the time of their publication. Moreover, further experiments and assessments show that our variant explanations are more personalized than those from other similar models, and invariant explanations are preferred over other contemporary models' texts in real life.

    中文摘要 ....................................... i Abstract........................................ iii Acknowledgements .................................. vi Contents........................................ viii List of Tables..................................... xii List of Figures .................................... xiv 1 Introduction.................................... 1 1.1 Collaborative Filtering ........................... 1 1.2 Review-Based Recommender Systems................... 2 1.2.1 Neural Review-Based Collaborative Filtering . . . . . . . . . . . 3 1.2.2 Explainability Issues ........................ 4 1.3 Research Formulation............................ 6 1.3.1 Task Formulation and Notation .................. 7 1.4 Overview of Implemented Models ..................... 8 2 Related Works and Principles .......................... 10 2.1 Fundamental Neural Recommendation .................. 10 2.2 Graph-Based Recommendation ...................... 11 2.3 Attention-Based Recommendation..................... 11 2.4 BERT Language Model........................... 12 2.5 Personalized Explanation Generation ................... 13 2.6 Observations................................. 15 3 BERT-Based Neural Collaborative Filtering and Fixed-Length Contiguous TokensExplanation................................ 17 3.1 Motivations ................................. 17 3.1.1 Improving Accuracy with BERT.................. 17 3.1.2 Implementing Explainability with MSP . . . . . . . . . . . . . . 18 3.2 Contributions ................................ 18 3.3 Research Questions............................. 19 3.4 Methodology ................................ 19 3.4.1 BERT Encoding .......................... 19 3.4.2 Representation, Multilayer Perceptron, and Prediction . . . . . 20 3.4.3 Explanation Generation ...................... 22 3.5 Empirical Evaluation............................ 23 3.5.1 Experimental Settings ....................... 24 3.5.2 Prediction Results and Discussion ................ 25 3.6 Explainability Study ............................ 26 3.6.1 Human Assessment of Explanations................ 26 3.6.2 Explainability Results and Discussion. . . . . . . . . . . . . . . 27 3.6.3 Case Study ............................. 29 4 Unsupervised Extractive Summarization-Based Collaborative Filtering . . . . 32 4.1 Motivations ................................. 32 4.1.1 State of Review-Level and Word-Level Explanations . . . . . . 32 4.1.2 Simultaneous Explainability-Accuracy Improvement via Extractive Summarization......................... 33 4.2 Contributions ................................ 34 4.3 Research Questions............................. 35 4.4 Methodology ................................ 35 4.4.1 Sentence Extraction and Encoding ................ 36 4.4.2 Embedding Clustering ....................... 37 4.4.3 Rating-Based Hidden Vectors and Fusion Layers . . . . . . . . . 38 4.4.4 Multilayer Perceptron and Rating Prediction . . . . . . . . . . . 39 4.5 Empirical Evaluation............................ 40 4.5.1 Experimental Settings ....................... 41 4.5.2 Prediction Results and Discussion................. 41 4.6 Explainability Study ............................ 44 4.6.1 Real-Life Explainability Criteria ................. 44 4.6.2 Human Assessment of Explanations................ 45 4.6.3 Explainability Results and Discussion. . . . . . . . . . . . . . . 45 5 Non-supervised Explainability Architecture for Accurate Collaborative Filtering 48 5.1 Motivations ................................. 48 5.1.1 Lack of Personalization and Ground-Truth Explanations . . . . 48 5.2 Non-supervised Explainability Architecture. . . . . . . . . . . . . . . . 49 5.2.1 Invariant Explanations....................... 51 5.2.2 Variant Explanations........................ 51 5.3 Contributions ................................ 51 5.4 Methodology ................................ 53 5.4.1 ESCOFILT ............................. 54 5.4.2 LGR................................. 55 5.4.3 VET................................. 56 5.5 Empirical Evaluation............................ 61 5.5.1 Evaluation Metrics ......................... 63 5.5.2 Experimental Settings ....................... 63 5.5.3 Prediction Results and Discussion................. 64 5.6 Explainability Study ............................ 69 5.6.1 New Evaluation Metrics for Personalization . . . . . . . . . . . 69 5.6.2 Analysis on Variant Explanations ................. 71 5.6.3 Analysis on Invariant Explanations ................ 76 6 Conclusion and FutureWork........................... 80 6.1 Concluding Remarks ............................ 80 6.2 FutureWork................................. 81 References....................................... 83 Appendix A: BENEFICT Experimental Details .................. 95 Appendix B: ESCOFILT Experimental Details .................. 96 Publication List.................................... 99

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