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.

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.

CaseEncoder: A Knowledge-enhanced Pre-trained Model for Legal Case Encoding

Legal case retrieval is a critical process for modern legal information systems. While recent studies have utilized pre-trained language models (PLMs) based on the general domain self-supervised pre-training paradigm to build models for legal case retrieval, there are limitations in using general domain PLMs as backbones. Specifically, these models may not fully capture the underlying legal features in legal case documents. To address this issue, we propose CaseEncoder, a legal document encoder that leverages fine-grained legal knowledge in both the data sampling and pre-training phases. In the data sampling phase, we enhance the quality of the training data by utilizing fine-grained law article information to guide the selection of positive and negative examples. In the pre-training phase, we design legal-specific pre-training tasks that align with the judging criteria of relevant legal cases. Based on these tasks, we introduce an innovative loss function called Biased Circle Loss to enhance the model's ability to recognize case relevance in fine grains. Experimental results on multiple benchmarks demonstrate that CaseEncoder significantly outperforms both existing general pre-training models and legal-specific pre-training models in zero-shot legal case retrieval.

Diverse legal case search

In last decades, legal case search has received more and more attention. Legal practitioners need to work or enhance their efficiency by means of class case search. In the process of searching, legal practitioners often need the search results under several different causes of cases as reference. However, existing work tends to focus on the relevance of the judgments themselves, without considering the connection between the causes of action. Several well-established diversity search techniques already exist in open-field search efforts. However, these techniques do not take into account the specificity of legal search scenarios, e.g., the subtopic may not be independent of each other, but somehow connected. Therefore, we construct a diversity legal retrieval model. This model takes into account both diversity and relevance, and is well adapted to this scenario. At the same time, considering the lack of dataset with diversity labels, we constructed a diversity legal retrieval dataset and obtained labels by manual labeling. experiments confirmed that our model is effective.