Towards an In-Depth Comprehension of Case Relevance for Better Legal Retrieval

Legal retrieval techniques play an important role in preserving the fairness and equality of the judicial system. As an annually well-known international competition, COLIEE aims to advance the development of state-of-the-art retrieval models for legal texts. This paper elaborates on the methodology employed by the TQM team in COLIEE2024.Specifically, we explored various lexical matching and semantic retrieval models, with a focus on enhancing the understanding of case relevance. Additionally, we endeavor to integrate various features using the learning-to-rank technique. Furthermore, fine heuristic pre-processing and post-processing methods have been proposed to mitigate irrelevant information. Consequently, our methodology achieved remarkable performance in COLIEE2024, securing first place in Task 1 and third place in Task 3. We anticipate that our proposed approach can contribute valuable insights to the advancement of legal retrieval technology.

DELTA: Pre-train a Discriminative Encoder for Legal Case Retrieval via Structural Word Alignment

Recent research demonstrates the effectiveness of using pre-trained language models for legal case retrieval. Most of the existing works focus on improving the representation ability for the contextualized embedding of the [CLS] token and calculate relevance using textual semantic similarity. However, in the legal domain, textual semantic similarity does not always imply that the cases are relevant enough. Instead, relevance in legal cases primarily depends on the similarity of key facts that impact the final judgment. Without proper treatments, the discriminative ability of learned representations could be limited since legal cases are lengthy and contain numerous non-key facts. To this end, we introduce DELTA, a discriminative model designed for legal case retrieval. The basic idea involves pinpointing key facts in legal cases and pulling the contextualized embedding of the [CLS] token closer to the key facts while pushing away from the non-key facts, which can warm up the case embedding space in an unsupervised manner. To be specific, this study brings the word alignment mechanism to the contextual masked auto-encoder. First, we leverage shallow decoders to create information bottlenecks, aiming to enhance the representation ability. Second, we employ the deep decoder to enable translation between different structures, with the goal of pinpointing key facts to enhance discriminative ability. Comprehensive experiments conducted on publicly available legal benchmarks show that our approach can outperform existing state-of-the-art methods in legal case retrieval. It provides a new perspective on the in-depth understanding and processing of legal case documents.

BLADE: Enhancing Black-box Large Language Models with Small Domain-Specific Models

Large Language Models (LLMs) like ChatGPT and GPT-4 are versatile and capable of addressing a diverse range of tasks. However, general LLMs, which are developed on open-domain data, may lack the domain-specific knowledge essential for tasks in vertical domains, such as legal, medical, etc. To address this issue, previous approaches either conduct continuous pre-training with domain-specific data or employ retrieval augmentation to support general LLMs. Unfortunately, these strategies are either cost-intensive or unreliable in practical applications. To this end, we present a novel framework named BLADE, which enhances Black-box LArge language models with small Domain-spEcific models. BLADE consists of a black-box LLM and a small domain-specific LM. The small LM preserves domain-specific knowledge and offers specialized insights, while the general LLM contributes robust language comprehension and reasoning capabilities. Specifically, our method involves three steps: 1) pre-training the small LM with domain-specific data, 2) fine-tuning this model using knowledge instruction data, and 3) joint Bayesian optimization of the general LLM and the small LM. Extensive experiments conducted on public legal and medical benchmarks reveal that BLADE significantly outperforms existing approaches. This shows the potential of BLADE as an effective and cost-efficient solution in adapting general LLMs for vertical domains.

Evaluation Ethics of LLMs in Legal Domain

In recent years, the utilization of large language models for natural language dialogue has gained momentum, leading to their widespread adoption across various domains. However, their universal competence in addressing challenges specific to specialized fields such as law remains a subject of scrutiny. The incorporation of legal ethics into the model has been overlooked by researchers. We asserts that rigorous ethic evaluation is essential to ensure the effective integration of large language models in legal domains, emphasizing the need to assess domain-specific proficiency and domain-specific ethic. To address this, we propose a novelty evaluation methodology, utilizing authentic legal cases to evaluate the fundamental language abilities, specialized legal knowledge and legal robustness of large language models (LLMs). The findings from our comprehensive evaluation contribute significantly to the academic discourse surrounding the suitability and performance of large language models in legal domains.

PRE: A Peer Review Based Large Language Model Evaluator

The impressive performance of large language models (LLMs) has attracted considerable attention from the academic and industrial communities. Besides how to construct and train LLMs, how to effectively evaluate and compare the capacity of LLMs has also been well recognized as an important yet difficult problem. Existing paradigms rely on either human annotators or model-based evaluators to evaluate the performance of LLMs on different tasks. However, these paradigms often suffer from high cost, low generalizability, and inherited biases in practice, which make them incapable of supporting the sustainable development of LLMs in long term. In order to address these issues, inspired by the peer review systems widely used in academic publication process, we propose a novel framework that can automatically evaluate LLMs through a peer-review process. Specifically, for the evaluation of a specific task, we first construct a small qualification exam to select "reviewers" from a couple of powerful LLMs. Then, to actually evaluate the "submissions" written by different candidate LLMs, i.e., the evaluatees, we use the reviewer LLMs to rate or compare the submissions. The final ranking of evaluatee LLMs is generated based on the results provided by all reviewers. We conducted extensive experiments on text summarization tasks with eleven LLMs including GPT-4. The results demonstrate the existence of biasness when evaluating using a single LLM. Also, our PRE model outperforms all the baselines, illustrating the effectiveness of the peer review mechanism.

Caseformer: Pre-training for Legal Case Retrieval

Legal case retrieval aims to help legal workers find relevant cases related to their cases at hand, which is important for the guarantee of fairness and justice in legal judgments. While recent advances in neural retrieval methods have significantly improved the performance of open-domain retrieval tasks (e.g., Web search), their advantages have not been observed in legal case retrieval due to their thirst for annotated data. As annotating large-scale training data in legal domains is prohibitive due to the need for domain expertise, traditional search techniques based on lexical matching such as TF-IDF, BM25, and Query Likelihood are still prevalent in legal case retrieval systems. While previous studies have designed several pre-training methods for IR models in open-domain tasks, these methods are usually suboptimal in legal case retrieval because they cannot understand and capture the key knowledge and data structures in the legal corpus. To this end, we propose a novel pre-training framework named Caseformer that enables the pre-trained models to learn legal knowledge and domain-specific relevance information in legal case retrieval without any human-labeled data. Through three unsupervised learning tasks, Caseformer is able to capture the special language, document structure, and relevance patterns of legal case documents, making it a strong backbone for downstream legal case retrieval tasks. Experimental results show that our model has achieved state-of-the-art performance in both zero-shot and full-data fine-tuning settings. Also, experiments on both Chinese and English legal datasets demonstrate that the effectiveness of Caseformer is language-independent in legal case retrieval.

LeCaRDv2: A Large-Scale Chinese Legal Case Retrieval Dataset

As an important component of intelligent legal systems, legal case retrieval plays a critical role in ensuring judicial justice and fairness. However, the development of legal case retrieval technologies in the Chinese legal system is restricted by three problems in existing datasets: limited data size, narrow definitions of legal relevance, and naive candidate pooling strategies used in data sampling. To alleviate these issues, we introduce LeCaRDv2, a large-scale Legal Case Retrieval Dataset (version 2). It consists of 800 queries and 55,192 candidates extracted from 4.3 million criminal case documents. To the best of our knowledge, LeCaRDv2 is one of the largest Chinese legal case retrieval datasets, providing extensive coverage of criminal charges. Additionally, we enrich the existing relevance criteria by considering three key aspects: characterization, penalty, procedure. This comprehensive criteria enriches the dataset and may provides a more holistic perspective. Furthermore, we propose a two-level candidate set pooling strategy that effectively identify potential candidates for each query case. It's important to note that all cases in the dataset have been annotated by multiple legal experts specializing in criminal law. Their expertise ensures the accuracy and reliability of the annotations. We evaluate several state-of-the-art retrieval models at LeCaRDv2, demonstrating that there is still significant room for improvement in legal case retrieval. The details of LeCaRDv2 can be found at the anonymous website https://github.com/anonymous1113243/LeCaRDv2.

Mask wearing object detection algorithm based on improved YOLOv5

Wearing a mask is one of the important measures to prevent infectious diseases. However, it is difficult to detect people's mask-wearing situation in public places with high traffic flow. To address the above problem, this paper proposes a mask-wearing face detection model based on YOLOv5l. Firstly, Multi-Head Attentional Self-Convolution not only improves the convergence speed of the model but also enhances the accuracy of the model detection. Secondly, the introduction of Swin Transformer Block is able to extract more useful feature information, enhance the detection ability of small targets, and improve the overall accuracy of the model. Our designed I-CBAM module can improve target detection accuracy. In addition, using enhanced feature fusion enables the model to better adapt to object detection tasks of different scales. In the experimentation on the MASK dataset, the results show that the model proposed in this paper achieved a 1.1% improvement in mAP(0.5) and a 1.3% improvement in mAP(0.5:0.95) compared to the YOLOv5l model. Our proposed method significantly enhances the detection capability of mask-wearing.

Aligning the Capabilities of Large Language Models with the Context of Information Retrieval via Contrastive Feedback

Information Retrieval (IR), the process of finding information to satisfy user's information needs, plays an essential role in modern people's lives. Recently, large language models (LLMs) have demonstrated remarkable capabilities across various tasks, some of which are important for IR. Nonetheless, LLMs frequently confront the issue of generating responses that lack specificity. This has limited the overall effectiveness of LLMs for IR in many cases. To address these issues, we present an unsupervised alignment framework called Reinforcement Learning from Contrastive Feedback (RLCF), which empowers LLMs to generate both high-quality and context-specific responses that suit the needs of IR tasks. Specifically, we construct contrastive feedback by comparing each document with its similar documents, and then propose a reward function named Batched-MRR to teach LLMs to generate responses that captures the fine-grained information that distinguish documents from their similar ones. To demonstrate the effectiveness of RLCF, we conducted experiments in two typical applications of LLMs in IR, i.e., data augmentation and summarization. The experimental results show that RLCF can effectively improve the performance of LLMs in IR context.

An Intent Taxonomy of Legal Case Retrieval

Legal case retrieval is a special Information Retrieval~(IR) task focusing on legal case documents. Depending on the downstream tasks of the retrieved case documents, users' information needs in legal case retrieval could be significantly different from those in Web search and traditional ad-hoc retrieval tasks. While there are several studies that retrieve legal cases based on text similarity, the underlying search intents of legal retrieval users, as shown in this paper, are more complicated than that yet mostly unexplored. To this end, we present a novel hierarchical intent taxonomy of legal case retrieval. It consists of five intent types categorized by three criteria, i.e., search for Particular Case(s), Characterization, Penalty, Procedure, and Interest. The taxonomy was constructed transparently and evaluated extensively through interviews, editorial user studies, and query log analysis. Through a laboratory user study, we reveal significant differences in user behavior and satisfaction under different search intents in legal case retrieval. Furthermore, we apply the proposed taxonomy to various downstream legal retrieval tasks, e.g., result ranking and satisfaction prediction, and demonstrate its effectiveness. Our work provides important insights into the understanding of user intents in legal case retrieval and potentially leads to better retrieval techniques in the legal domain, such as intent-aware ranking strategies and evaluation methodologies.