Tree-Based Text Retrieval via Hierarchical Clustering in RAGFrameworks: Application on Taiwanese Regulations

Traditional Retrieval-Augmented Generation (RAG) systems employ brute-force inner product search to retrieve the top-k most similar documents, then combined with the user query and passed to a language model. This allows the model to access external knowledge and reduce hallucinations. However, selecting an appropriate k value remains a significant challenge in practical applications: a small k may fail to retrieve sufficient information, while a large k can introduce excessive and irrelevant content. To address this, we propose a hierarchical clustering-based retrieval method that eliminates the need to predefine k. Our approach maintains the accuracy and relevance of system responses while adaptively selecting semantically relevant content. In the experiment stage, we applied our method to a Taiwanese legal dataset with expert-graded queries. The results show that our approach achieves superior performance in expert evaluations and maintains high precision while eliminating the need to predefine k, demonstrating improved accuracy and interpretability in legal text retrieval tasks. Our framework is simple to implement and easily integrates with existing RAG pipelines, making it a practical solution for real-world applications under limited resources.

DFIR-Metric: A Benchmark Dataset for Evaluating Large Language Models in Digital Forensics and Incident Response

Digital Forensics and Incident Response (DFIR) involves analyzing digital evidence to support legal investigations. Large Language Models (LLMs) offer new opportunities in DFIR tasks such as log analysis and memory forensics, but their susceptibility to errors and hallucinations raises concerns in high-stakes contexts. Despite growing interest, there is no comprehensive benchmark to evaluate LLMs across both theoretical and practical DFIR domains. To address this gap, we present DFIR-Metric, a benchmark with three components: (1) Knowledge Assessment: a set of 700 expert-reviewed multiple-choice questions sourced from industry-standard certifications and official documentation; (2) Realistic Forensic Challenges: 150 CTF-style tasks testing multi-step reasoning and evidence correlation; and (3) Practical Analysis: 500 disk and memory forensics cases from the NIST Computer Forensics Tool Testing Program (CFTT). We evaluated 14 LLMs using DFIR-Metric, analyzing both their accuracy and consistency across trials. We also introduce a new metric, the Task Understanding Score (TUS), designed to more effectively evaluate models in scenarios where they achieve near-zero accuracy. This benchmark offers a rigorous, reproducible foundation for advancing AI in digital forensics. All scripts, artifacts, and results are available on the project website at https://github.com/DFIR-Metric.

AppealCase: A Dataset and Benchmark for Civil Case Appeal Scenarios

Recent advances in LegalAI have primarily focused on individual case judgment analysis, often overlooking the critical appellate process within the judicial system. Appeals serve as a core mechanism for error correction and ensuring fair trials, making them highly significant both in practice and in research. To address this gap, we present the AppealCase dataset, consisting of 10,000 pairs of real-world, matched first-instance and second-instance documents across 91 categories of civil cases. The dataset also includes detailed annotations along five dimensions central to appellate review: judgment reversals, reversal reasons, cited legal provisions, claim-level decisions, and whether there is new information in the second instance. Based on these annotations, we propose five novel LegalAI tasks and conduct a comprehensive evaluation across 20 mainstream models. Experimental results reveal that all current models achieve less than 50% F1 scores on the judgment reversal prediction task, highlighting the complexity and challenge of the appeal scenario. We hope that the AppealCase dataset will spur further research in LegalAI for appellate case analysis and contribute to improving consistency in judicial decision-making.

A document processing pipeline for the construction of a dataset for topic modeling based on the judgments of the Italian Supreme Court

Topic modeling in Italian legal research is hindered by the lack of public datasets, limiting the analysis of legal themes in Supreme Court judgments. To address this, we developed a document processing pipeline that produces an anonymized dataset optimized for topic modeling. The pipeline integrates document layout analysis (YOLOv8x), optical character recognition, and text anonymization. The DLA module achieved a mAP@50 of 0.964 and a mAP@50-95 of 0.800. The OCR detector reached a mAP@50-95 of 0.9022, and the text recognizer (TrOCR) obtained a character error rate of 0.0047 and a word error rate of 0.0248. Compared to OCR-only methods, our dataset improved topic modeling with a diversity score of 0.6198 and a coherence score of 0.6638. We applied BERTopic to extract topics and used large language models to generate labels and summaries. Outputs were evaluated against domain expert interpretations. Claude Sonnet 3.7 achieved a BERTScore F1 of 0.8119 for labeling and 0.9130 for summarization.

BR-TaxQA-R: A Dataset for Question Answering with References for Brazilian Personal Income Tax Law, including case law

This paper presents BR-TaxQA-R, a novel dataset designed to support question answering with references in the context of Brazilian personal income tax law. The dataset contains 715 questions from the 2024 official Q\&A document published by Brazil's Internal Revenue Service, enriched with statutory norms and administrative rulings from the Conselho Administrativo de Recursos Fiscais (CARF). We implement a Retrieval-Augmented Generation (RAG) pipeline using OpenAI embeddings for searching and GPT-4o-mini for answer generation. We compare different text segmentation strategies and benchmark our system against commercial tools such as ChatGPT and Perplexity.ai using RAGAS-based metrics. Results show that our custom RAG pipeline outperforms commercial systems in Response Relevancy, indicating stronger alignment with user queries, while commercial models achieve higher scores in Factual Correctness and fluency. These findings highlight a trade-off between legally grounded generation and linguistic fluency. Crucially, we argue that human expert evaluation remains essential to ensure the legal validity of AI-generated answers in high-stakes domains such as taxation. BR-TaxQA-R is publicly available at https://huggingface.co/datasets/unicamp-dl/BR-TaxQA-R.

QBD-RankedDataGen: Generating Custom Ranked Datasets for Improving Query-By-Document Search Using LLM-Reranking with Reduced Human Effort

The Query-By-Document (QBD) problem is an information retrieval problem where the query is a document, and the retrieved candidates are documents that match the query document, often in a domain or query specific manner. This can be crucial for tasks such as patent matching, legal or compliance case retrieval, and academic literature review. Existing retrieval methods, including keyword search and document embeddings, can be optimized with domain-specific datasets to improve QBD search performance. However, creating these domain-specific datasets is often costly and time-consuming. Our work introduces a process to generate custom QBD-search datasets and compares a set of methods to use in this problem, which we refer to as QBD-RankedDatagen. We provide a comparative analysis of our proposed methods in terms of cost, speed, and the human interface with the domain experts. The methods we compare leverage Large Language Models (LLMs) which can incorporate domain expert input to produce document scores and rankings, as well as explanations for human review. The process and methods for it that we present can significantly reduce human effort in dataset creation for custom domains while still obtaining sufficient expert knowledge for tuning retrieval models. We evaluate our methods on QBD datasets from the Text Retrieval Conference (TREC) and finetune the parameters of the BM25 model -- which is used in many industrial-strength search engines like OpenSearch -- using the generated data.

Labeling Case Similarity based on Co-Citation of Legal Articles in Judgment Documents with Empirical Dispute-Based Evaluation

This report addresses the challenge of limited labeled datasets for developing legal recommender systems, particularly in specialized domains like labor disputes. We propose a new approach leveraging the co-citation of legal articles within cases to establish similarity and enable algorithmic annotation. This method draws a parallel to the concept of case co-citation, utilizing cited precedents as indicators of shared legal issues. To evaluate the labeled results, we employ a system that recommends similar cases based on plaintiffs' accusations, defendants' rebuttals, and points of disputes. The evaluation demonstrates that the recommender, with finetuned text embedding models and a reasonable BiLSTM module can recommend labor cases whose similarity was measured by the co-citation of the legal articles. This research contributes to the development of automated annotation techniques for legal documents, particularly in areas with limited access to comprehensive legal databases.

SynLexLM: Scaling Legal LLMs with Synthetic Data and Curriculum Learning

Large Language Models (LLMs) are powerful but often require extensive fine-tuning and large datasets for specialized domains like law. General-purpose pre-training may not capture legal nuances, and acquiring sufficient legal data is challenging. We introduce SynLexLM, a novel approach to efficiently pre-train a legal LLM. Our method employs curriculum learning, progressing from simple to complex legal texts and queries, combined with synthetic data augmentation using models like Gemini Pro to address data scarcity. We aim to achieve improved performance on legal benchmarks (BigLaw-Bench, EUR-Lex-Sum) compared to traditional models and fine-tuned versions. Preliminary work involves generating synthetic QA pairs reflecting legal reasoning. This work aims to enhance legal document analysis and research tools, potentially democratizing access to advanced legal AI.

Unchecked and Overlooked: Addressing the Checkbox Blind Spot in Large Language Models with CheckboxQA

Checkboxes are critical in real-world document processing where the presence or absence of ticks directly informs data extraction and decision-making processes. Yet, despite the strong performance of Large Vision and Language Models across a wide range of tasks, they struggle with interpreting checkable content. This challenge becomes particularly pressing in industries where a single overlooked checkbox may lead to costly regulatory or contractual oversights. To address this gap, we introduce the CheckboxQA dataset, a targeted resource designed to evaluate and improve model performance on checkbox-related tasks. It reveals the limitations of current models and serves as a valuable tool for advancing document comprehension systems, with significant implications for applications in sectors such as legal tech and finance. The dataset is publicly available at: https://github.com/Snowflake-Labs/CheckboxQA

Improving the Accuracy and Efficiency of Legal Document Tagging with Large Language Models and Instruction Prompts

Legal multi-label classification is a critical task for organizing and accessing the vast amount of legal documentation. Despite its importance, it faces challenges such as the complexity of legal language, intricate label dependencies, and significant label imbalance. In this paper, we propose Legal-LLM, a novel approach that leverages the instruction-following capabilities of Large Language Models (LLMs) through fine-tuning. We reframe the multi-label classification task as a structured generation problem, instructing the LLM to directly output the relevant legal categories for a given document. We evaluate our method on two benchmark datasets, POSTURE50K and EURLEX57K, using micro-F1 and macro-F1 scores. Our experimental results demonstrate that Legal-LLM outperforms a range of strong baseline models, including traditional methods and other Transformer-based approaches. Furthermore, ablation studies and human evaluations validate the effectiveness of our approach, particularly in handling label imbalance and generating relevant and accurate legal labels.