CLERC: A Dataset for Legal Case Retrieval and Retrieval-Augmented Analysis Generation

Legal professionals need to write analyses that rely on citations to relevant precedents, i.e., previous case decisions. Intelligent systems assisting legal professionals in writing such documents provide great benefits but are challenging to design. Such systems need to help locate, summarize, and reason over salient precedents in order to be useful. To enable systems for such tasks, we work with legal professionals to transform a large open-source legal corpus into a dataset supporting two important backbone tasks: information retrieval (IR) and retrieval-augmented generation (RAG). This dataset CLERC (Case Law Evaluation Retrieval Corpus), is constructed for training and evaluating models on their ability to (1) find corresponding citations for a given piece of legal analysis and to (2) compile the text of these citations (as well as previous context) into a cogent analysis that supports a reasoning goal. We benchmark state-of-the-art models on CLERC, showing that current approaches still struggle: GPT-4o generates analyses with the highest ROUGE F-scores but hallucinates the most, while zero-shot IR models only achieve 48.3% recall@1000.

Language Fairness in Multilingual Information Retrieval

Multilingual information retrieval (MLIR) considers the problem of ranking documents in several languages for a query expressed in a language that may differ from any of those languages. Recent work has observed that approaches such as combining ranked lists representing a single document language each or using multilingual pretrained language models demonstrate a preference for one language over others. This results in systematic unfair treatment of documents in different languages. This work proposes a language fairness metric to evaluate whether documents across different languages are fairly ranked through statistical equivalence testing using the Kruskal-Wallis test. In contrast to most prior work in group fairness, we do not consider any language to be an unprotected group. Thus our proposed measure, PEER (Probability of EqualExpected Rank), is the first fairness metric specifically designed to capture the language fairness of MLIR systems. We demonstrate the behavior of PEER on artificial ranked lists. We also evaluate real MLIR systems on two publicly available benchmarks and show that the PEER scores align with prior analytical findings on MLIR fairness. Our implementation is compatible with ir-measures and is available at http://github.com/hltcoe/peer_measure.

PLAID SHIRTTT for Large-Scale Streaming Dense Retrieval

PLAID, an efficient implementation of the ColBERT late interaction bi-encoder using pretrained language models for ranking, consistently achieves state-of-the-art performance in monolingual, cross-language, and multilingual retrieval. PLAID differs from ColBERT by assigning terms to clusters and representing those terms as cluster centroids plus compressed residual vectors. While PLAID is effective in batch experiments, its performance degrades in streaming settings where documents arrive over time because representations of new tokens may be poorly modeled by the earlier tokens used to select cluster centroids. PLAID Streaming Hierarchical Indexing that Runs on Terabytes of Temporal Text (PLAID SHIRTTT) addresses this concern using multi-phase incremental indexing based on hierarchical sharding. Experiments on ClueWeb09 and the multilingual NeuCLIR collection demonstrate the effectiveness of this approach both for the largest collection indexed to date by the ColBERT architecture and in the multilingual setting, respectively.

On the Evaluation of Machine-Generated Reports

Large Language Models (LLMs) have enabled new ways to satisfy information needs. Although great strides have been made in applying them to settings like document ranking and short-form text generation, they still struggle to compose complete, accurate, and verifiable long-form reports. Reports with these qualities are necessary to satisfy the complex, nuanced, or multi-faceted information needs of users. In this perspective paper, we draw together opinions from industry and academia, and from a variety of related research areas, to present our vision for automatic report generation, and -- critically -- a flexible framework by which such reports can be evaluated. In contrast with other summarization tasks, automatic report generation starts with a detailed description of an information need, stating the necessary background, requirements, and scope of the report. Further, the generated reports should be complete, accurate, and verifiable. These qualities, which are desirable -- if not required -- in many analytic report-writing settings, require rethinking how to build and evaluate systems that exhibit these qualities. To foster new efforts in building these systems, we present an evaluation framework that draws on ideas found in various evaluations. To test completeness and accuracy, the framework uses nuggets of information, expressed as questions and answers, that need to be part of any high-quality generated report. Additionally, evaluation of citations that map claims made in the report to their source documents ensures verifiability.

Distillation for Multilingual Information Retrieval

Recent work in cross-language information retrieval (CLIR), where queries and documents are in different languages, has shown the benefit of the Translate-Distill framework that trains a cross-language neural dual-encoder model using translation and distillation. However, Translate-Distill only supports a single document language. Multilingual information retrieval (MLIR), which ranks a multilingual document collection, is harder to train than CLIR because the model must assign comparable relevance scores to documents in different languages. This work extends Translate-Distill and propose Multilingual Translate-Distill (MTD) for MLIR. We show that ColBERT-X models trained with MTD outperform their counterparts trained ith Multilingual Translate-Train, which is the previous state-of-the-art training approach, by 5% to 25% in nDCG@20 and 15% to 45% in MAP. We also show that the model is robust to the way languages are mixed in training batches. Our implementation is available on GitHub.

Efficiency-Effectiveness Tradeoff of Probabilistic Structured Queries for Cross-Language Information Retrieval

Probabilistic Structured Queries (PSQ) is a cross-language information retrieval (CLIR) method that uses translation probabilities statistically derived from aligned corpora. PSQ is a strong baseline for efficient CLIR using sparse indexing. It is, therefore, useful as the first stage in a cascaded neural CLIR system whose second stage is more effective but too inefficient to be used on its own to search a large text collection. In this reproducibility study, we revisit PSQ by introducing an efficient Python implementation. Unconstrained use of all translation probabilities that can be estimated from aligned parallel text would in the limit assign a weight to every vocabulary term, precluding use of an inverted index to serve queries efficiently. Thus, PSQ's effectiveness and efficiency both depend on how translation probabilities are pruned. This paper presents experiments over a range of modern CLIR test collections to demonstrate that achieving Pareto optimal PSQ effectiveness-efficiency tradeoffs benefits from multi-criteria pruning, which has not been fully explored in prior work. Our Python PSQ implementation is available on GitHub(https://github.com/hltcoe/PSQ) and unpruned translation tables are available on Huggingface Models(https://huggingface.co/hltcoe/psq_translation_tables).

Overview of the TREC 2023 NeuCLIR Track

The principal goal of the TREC Neural Cross-Language Information Retrieval (NeuCLIR) track is to study the impact of neural approaches to cross-language information retrieval. The track has created four collections, large collections of Chinese, Persian, and Russian newswire and a smaller collection of Chinese scientific abstracts. The principal tasks are ranked retrieval of news in one of the three languages, using English topics. Results for a multilingual task, also with English topics but with documents from all three newswire collections, are also reported. New in this second year of the track is a pilot technical documents CLIR task for ranked retrieval of Chinese technical documents using English topics. A total of 220 runs across all tasks were submitted by six participating teams and, as baselines, by track coordinators. Task descriptions and results are presented.

HLTCOE at TREC 2023 NeuCLIR Track

The HLTCOE team applied PLAID, an mT5 reranker, and document translation to the TREC 2023 NeuCLIR track. For PLAID we included a variety of models and training techniques -- the English model released with ColBERT v2, translate-train~(TT), Translate Distill~(TD) and multilingual translate-train~(MTT). TT trains a ColBERT model with English queries and passages automatically translated into the document language from the MS-MARCO v1 collection. This results in three cross-language models for the track, one per language. MTT creates a single model for all three document languages by combining the translations of MS-MARCO passages in all three languages into mixed-language batches. Thus the model learns about matching queries to passages simultaneously in all languages. Distillation uses scores from the mT5 model over non-English translated document pairs to learn how to score query-document pairs. The team submitted runs to all NeuCLIR tasks: the CLIR and MLIR news task as well as the technical documents task.

FollowIR: Evaluating and Teaching Information Retrieval Models to Follow Instructions

Modern Large Language Models (LLMs) are capable of following long and complex instructions that enable a diverse amount of user tasks. However, despite Information Retrieval (IR) models using LLMs as the backbone of their architectures, nearly all of them still only take queries as input, with no instructions. For the handful of recent models that do take instructions, it's unclear how they use them. We introduce our dataset FollowIR, which contains a rigorous instruction evaluation benchmark as well as a training set for helping IR models learn to better follow real-world instructions. FollowIR builds off the long history of the TREC conferences: as TREC provides human annotators with instructions (also known as narratives) to determine document relevance, so should IR models be able to understand and decide relevance based on these detailed instructions. Our evaluation benchmark starts with three deeply judged TREC collections and alters the annotator instructions, re-annotating relevant documents. Through this process, we can measure how well IR models follow instructions, through a new pairwise evaluation framework. Our results indicate that existing retrieval models fail to correctly use instructions, using them for basic keywords and struggling to understand long-form information. However, we show that it is possible for IR models to learn to follow complex instructions: our new FollowIR-7B model has significant improvements (over 13%) after fine-tuning on our training set.

Dated Data: Tracing Knowledge Cutoffs in Large Language Models

Released Large Language Models (LLMs) are often paired with a claimed knowledge cutoff date, or the dates at which training data was gathered. Such information is crucial for applications where the LLM must provide up to date information. However, this statement only scratches the surface: do all resources in the training data share the same knowledge cutoff date? Does the model's demonstrated knowledge for these subsets closely align to their cutoff dates? In this work, we define the notion of an effective cutoff. This is distinct from the LLM designer reported cutoff and applies separately to sub-resources and topics. We propose a simple approach to estimate effective cutoffs on the resource-level temporal alignment of an LLM by probing across versions of the data. Using this analysis, we find that effective cutoffs often differ from reported cutoffs. To understand the root cause of this observation, we conduct a direct large-scale analysis on open pre-training datasets. Our analysis reveals two reasons for these inconsistencies: (1) temporal biases of CommonCrawl data due to non-trivial amounts of old data in new dumps and (2) complications in LLM deduplication schemes involving semantic duplicates and lexical near-duplicates. Overall, our results show that knowledge cutoffs are not as simple as they have seemed and that care must be taken both by LLM dataset curators as well as practitioners who seek to use information from these models.