=Paper=
{{Paper
|id=Vol-2036/T3-1
|storemode=property
|title=Overview of the FIRE 2017 IRLeD Track: Information Retrieval from Legal Documents
|pdfUrl=https://ceur-ws.org/Vol-2036/T3-1.pdf
|volume=Vol-2036
|authors=Arpan Mandal,Kripabandhu Ghosh,Arnab Bhattacharya,Arindam Pal,Saptarshi Ghosh
|dblpUrl=https://dblp.org/rec/conf/fire/MandalGBPG17
}}
==Overview of the FIRE 2017 IRLeD Track: Information Retrieval from Legal Documents==
Overview of the FIRE 2017 IRLeD Track: Information Retrieval from Legal Documents Arpan Mandal Kripabandhu Ghosh Arnab Bhattacharya IIEST Shibpur IIT Kanpur IIT Kanpur India India India Arindam Pal Saptarshi Ghosh TCS Research IIT Kharagpur; IIEST Shibpur India India ABSTRACT relevant cases are retrieved. So, apart from a precedence retrieval The FIRE 2017 IRLeD Track focused on creating a framework for system, it is also essential for legal practitioners to have a concise evaluating different methods of Information Retrieval from legal representation of the core legal issues described in a legal text [10]. documents. There were two tasks for this track: (i) Catchphrase Ex- One way to list the core legal issues is by keywords or key phrases, traction task, and (ii) Precedence Retrieval task. In the catchphrase which are known as ‘catchphrases’ in the legal domain [6]. extraction task, the participants had to extract catchphrases (legal Motivated by the requirements described above, The IRLeD track keywords) from Indian Supreme Court case documents. In the sec- focused on the following two tasks: Catchphrase extraction, Prece- ond task of Precedence Retrieval, the participants were to retrieve dence retrieval. relevant or cite-able documents for particular Indian Supreme Court cases from a set of prior case documents. 1.1 Task 1: Catchphrase Extraction Catchphrases are short phrases from within the text of the docu- CCS CONCEPTS ment. Catchphrases can be extracted by selecting certain portions •Information systems →Information retrieval; from the text of the document. In this task, a set of 400 legal documents (Indian Supreme Court KEYWORDS case documents) was provided to the participants. For 100 of these Legal Information Retrieval, Prior Case Retrieval, Legal Catchphrase documents (training set), gold standard catchphrases were provided Extraction — these gold standard catchphrases were obtained from a well- known legal search system Manupatra (https://www.manupatra. com/), which employs legal experts to manually annotate case doc- 1 INTRODUCTION uments with catchphrases. The rest 300 documents were used as In a Common Law System1 , great importance is given to prior cases. the test set. The participants were expected to extract the catch- A prior case (also called a precedent) is an older court case related phrases for the documents in the test set. to the current case, which discusses similar issue(s) and which can be used as reference in the current case. A prior case is treated as important as any law written in the law book (called statutes). 1.2 Task 2: Precedence Retrieval This is to ensure that a similar situation is treated similarly in every For this task, two sets of documents were provided: case. If an ongoing case has any related/relevant legal issue(s) that (1) Current cases: A set of 200 Indian Supreme Court cases, for has already been decided, then the court is expected to follow the which the prior cases were to be retrieved. interpretations made in the prior case. For this purpose, it is critical (2) Prior cases: For each current case, we obtained a set of prior for legal practitioners to find and study previous court cases, so as cases that were actually cited in the case decision. 1000 such cited to examine how the ongoing issues were interpreted in the older prior cases were present in the second set of documents, along with cases. other 1000 documents which were not cited from any document in With the recent developments in information technology, the the ‘current cases’ set. number of digitally available legal documents has rapidly increased. For each document d in the first set (current cases), the partic- It is, hence, imperative for legal practitioners to have an automatic ipants were to return a ranked list of documents from the second precedent retrieval system. The task of precedence retrieval can be set (prior cases), in a way that the cases that were actually cited modeled as a task of information retrieval, where the current case from d are ranked higher than the other documents (that were not document (or a description of the current situation) will be used cited from d). as the query, and the system should return relevant prior cases as results. 2 DATASET Additionally, legal texts (e.g., court case descriptions) are gen- We have developed two datasets corresponding to the two tasks: erally long and have complex structures [4]. This nature makes their thorough reading time-consuming and strenuous, even after (1) Data for Task 1: A collection of legal case documents with 1 https://en.wikipedia.org/wiki/Common_law/ as seen on 6th November, 2017. their catchphrases: We built a dataset containing 400 court case Case Id Catchphrases 1953.INSC.24 Actual Delivery, Advocate-General, Alternative Remedy, Appropriate, Assessment, Car- http://liiofindia.org/in/cases/cen/ rier, Carrying on Business, Cause of Action, Commencement of the Constitution, Com- INSC/1953/24.html petent Legislature, Consignment, Constitution of India, Constitutional Validity, Consump- tion, Contract, Contract of Sale, Contravention, Cost, Dealer, Declared by Parliament, De- duction, Definition, Delegate, Demand Notice, Despatch, Discrimination, Discriminatory, Double Taxation, Existing Law, Export, Federal Court, Freedom of Trade 1991.INSC.12 Advisory Board, Allowance, Appropriate Government, Arrest, Constitutional Obligation, http://liiofindia.org/in/cases/cen/ Constitutional Question, Constitutional Safeguard, Detaining Authority, Detention, De- INSC/1991/12.html tenu, Duty of the State, Earliest Opportunity, General Clauses Act, Grounds of Detention, Guarantee, Legal Obligation, Liberty, Order of Detention 1983.INSC.27 Commutation, Confinement, Conspiracy, Constitution of India, Death Sentence, Funda- http://liiofindia.org/in/cases/cen/ mental Right, Imposition of Death Sentence, Judicial Proceeding, Life Imprisonment, Soli- INSC/1983/37.html tary Confinement, Speedy Trial, Transportation for Life Table 1: Examples of Indian Supreme Court cases and catchphrases taken from the Manupatra legal expert system (reproduced from [6]) documents of the Indian Supreme Court, along with their catch- algorithm was chosen with primary features such as POS phrases. The texts and their catchphrases were obtained from a (part-of-speech) and custom NER (Named Entity Recog- well-known legal search system Manupatra which uses human le- nition) tags and numerous secondary features represent- gal experts to annotate court case documents with catchphrases. ing the context. They first tokensied the texts into tokens All decisions and the corresponding Catchphrases are available in using NLTK3 tokenizer. Then they applied POS (part-of- text format. A few example Catchphrases are shown in Table 1 speech) tags to each of the tokens again using the NLTK (reproduced from [6]). toolkit. These features along with several other features The collection provided for the track consisted of 400 Indian were used to train a model of CRF, which was then used Supreme Court case documents. Out of these, 100 documents were to predict the catchphrases. provided along with their gold standard catchphrases (training set) • UBIRLED: This team participated from the University of while the participants were expected to find the catchphrases for Botswana, Computer Science Department. They submit- the rest 300 documents (test set). ted two runs. For this they have used two recently devel- oped catchphrase extraction tools: (1) Data for Task 2: A collection of legal case documents, (1) RAKE (Rapid Automatic Keyword Extraction): and prior cases cited from them: We crawled a large number an unsupervised algorithm for keyword extraction [13]. of case documents of cases judged at the Supreme Court of In- (2) MAUI: a supervised algorithm for keyword extrac- dia, from the site LIIofIndia (www.liiofindia.org/).2 The documents tion [8]. were downloaded in HTML, and the downloaded HTML files were • AMRITA_CEN_NLP: This team participated from Am- then parsed to get the final texts. rita Vishwa Vidhyappetham, India and submitted a super- The dataset for the task contained 1000 current (query) cases vised and fully automatic run. For this they have first de- that were judged after the year 2000, and 2000 prior cases that were termined a set of candidate catchphrases and hence repre- judged prior to the year 2000 (as described in the Introduction). sented the documents and candidate catchphrases as vec- All filenames were anonymized, and all citation markers from the tors. They used Doc2Vec[5] for representing the texts as current/prior cases were replaced with a special marker. vectors. Hence the scoring of candidate catchphrases was simply done by measuring the cosine similarity of their 3 METHODOLOGIES FOR TASK 1: vector with the document vector. CATCHPHRASE EXTRACTION • HLJIT2017: This team participated from the Heilongjiang Institute of Technology, China. They have submitted three For the first task of Catchphrase extraction, we received a total of runs in total. In all the three methods, they have approached ten runs from seven participating teams. All the runs were super- the task as a classification problem and have used super- vised in nature except the run UBIRLeD_1, as described in Table 2. vised fully automatic techniques. We briefly describe below the methodologies used by each team in For the first two runs they used bagging techniques. each of their runs. Here, the training set is divided into different sampling • rightstepspune: This team participated from Right Steps sets. Then these sampling sets are hence used to train a Consultancy, Pune. In the method in their only run, the base classifier. They considered the base classifier as Deci- problem of catchphrase detection was modeled as sequen- sion tree[11] in one run and Random forest[3] in another tial probabilistic labeling problem rather than a simple lin- run. In the third run they have used RankSVM 4 which ear classification problem. Conditional Random Fields (CRF) 3 http://www.nltk.org/ 2 4 urlhttp://www.cs.cornell.edu/People/tj/svm_light/svm_rank.html LIIofIndia is a website hosted by the Legal Information Institute of India. 2 Run_ID R-Prec Prec@10 Recall@100MAP Overall Method Summary Recall rightstepspune_1_task1 0.215 0.281 0.248 0.479 0.248 CRF, POS, NER UBIRLeD_2 0.190 0.254 0.305 0.370 0.326 MAUI[8] AMRITA_CEN_NLP_RBG1_1 0.168 0.144 0.535 0.200 0.652 Doc2Vec HLJIT2017_IRLeD_Task1_3 0.086 0.122 0.151 0.165 0.152 RankSVM bphc_withPOS_1 0.066 0.102 0.137 0.161 0.165 TF, POS tags HLJIT2017_IRLeD_Task1_1 0.030 0.058 0.033 0.140 0.033 Decision Tree HLJIT2017_IRLeD_Task1_2 0.034 0.060 0.044 0.124 0.044 Random Forest Bits_Pilani_1 0.030 0.049 0.080 0.093 0.100 LSTM network FIRE_2017_SR 0.026 0.025 0.087 0.062 0.161 POS, Deep Neural Network UBIRLeD_1 0.023 0.014 0.172 0.046 0.499 RAKE[13] Table 2: Evaluation of runs for Task 1: Catchphrase Extraction. Runs are sorted in descending order of the Mean Average Precision. uses Support Vector Machines (SVM) to solve the ranking fully automatic in nature and their performance is as shown in problem of ranking the catchphrases. Table 3. Described below are the methodologies used by each team • bphc_withPOS_1: This team participated from Birla In- in each of their runs. stitute of Technology & Science, Pilani, India. They mainly • flt_ielab: This team participated from Queensland Uni- concentrated on the preprocessing part and term scoring versity of Technology, Australia. They submitted a total methods rather than phrase scoring methods. Their method of three runs each of which use fully automatic methods. extracts words rather than phrases. After a series of basic For each of the query documents they have formed a set of pre-processing, for scoring different unigrams they con- queries from the positions where the actual citations were sidered the frequency of occurrence within the document. present5 . Now the query formation was differently done Also, they have given a POS based weightage by checking in the three runs as described below: which POS tags were more likely to be present within a (1) flt_ielab_para: Here, the query was formed by con- catchphrase. sidering a paragraph around the citation marker. • BITS_Pilani: This team has participated from Birla Insti- (2) flt_ielab_idf: Here, only 50% of the words were con- tute of Technology and Science, Pilani, India. They have sidered after weighing the terms by their idf (inverse submitted a supervised and fully automatic approach for document frequency). extracting catchphrases. (3) flt_ielab_plm: Here, only 50% of the words given by The problem is formulated as a classification task and flt_ielab_idf were considered by its probability from the objective is to learn a classifier using LSTM network. a parsimonious language model. The proposed methodology involves a pipelined approach Before applying the above filters to get the query terms, and is divided into four phases: all terms were cleaned by removing stopwords and punc- – Pre-processing tuation marks. Once the query terms were ready, they – Candidate phrase generation were used to retrieve prior cases using BM25[12] algorithm. – Creating vector representations for the phrases As, a single query document has multiple citation mark- – Training a LSTM network ers. So, the final set of retrieved documents was chosen to • FIRE_2017_SR: This team has participated from Indian be the top-scored 1000 documents from the union of re- Institute of Engineering Science and Technology, Shibpur, trieved documents by all these queries. India. They have submitted one fully automatic super- • HLJIT2017_IRLeD_Task2: This team from Heilongjiang vised run. They used a deep neural network to train on Institute of Technology, China submitted three runs. Al a number of different features of the actual phrases. For of the runs were fully automatic in nature. The runs are extraction of catchphrases, a set of candidate phrases are described as follows: first selected using POS (part-of-speech) tags of the known – run_1: In this run they have used a language model catchwords. Once the candidate phrases are obtained. These based on Dirichlet Prior Smoothing[14]. candidate phrases are then classified using the deep neural – run_2: For the second search model they chose BM25 network already trained. algorithm[12], which is a well-known probability based model. 4 METHODOLOGIES FOR TASK 2: PRIOR – run_3: In the third run they used lucene[7] which CASE RETRIEVAL implements a vector space model to estimate the rel- In the second task of Precedence Retrieval, we received twenty one evance of query and document. runs in total from nine participating teams. All of these runs were 5 Note that the positions of the actual citations were marked using a marker in all the text documents. 3 • SSN_NLP: This team participated from SSN College of En- was the basic query formulation. For this, they have tok- gineering, India. They submitted three fully automatic enized the text and removed all stopwords and stemmed runs as described below: them using Porter Stemmer. The nest steps for each run – run_1: They considered the TF-IDF vectors of each is described below: document by using the TF-IDF vectorizer tool imple- – run_1: Using the formulated queries, they have de- mented in scikit-learn6 . While considering the TF- ployed the parameter-free DPH term weighting model IDF vectors they have considered only the nouns in from the Divergence from Randomness (DFR) framework[2] the document. Now, cosine similarity between the IR platform as our baseline system to score and rank query document and the set of prior cases are calcu- the prior cases. lated and hence sorted to present the top scored doc- – run_2: They used the first run as the baseline sys- uments. tem. In addition, they deployed the Sequential De- – run_2: This is very similar to the first run except that pendence (SD) variant of the Markov Random Fields while calculating the TF-IDF vectors, verbs were also for term dependence. Sequential Dependence only considered in addition to nouns. assumes a dependence between neighbouring query – run_3: This run considers Word2Vec vectors for each terms [9, 15]. In this work, they used a default win- document in addition to the TF-IDF vectors as de- dow size of 2 as provided in Terrier-4.2.8 scribed in the second run. – run_3: They used the first run as the baseline system. • rightstepspune_1_task2: This team participated from In addition, they deployed a simple pseudo-relevance RightSteps Consultancy, India. They submitted one fully feedback on the local collection. They used the Bo1 automatic run. For measuring the similarity score between model [1] for query expansion to select the 10 most a pair of cases, they have used a weighed average of three informative terms from the top 3 ranked documents different methods: after the first pass retrieval (on the local collection). – Regular Expression based: Here, different legal statutes They performed a second pass retrieval on this local (such as Articles) referred within the text were cap- collection with the new expanded query. tured by using pattern matching. Once the list of • UBIRLeD: This is another team participating from Uni- statutes have been obtained for a given query doc- versity of Botswana, Botswana. They have submitted three ument, the same is attempted for every prior cases. runs all of them being fully automatic in nature. For each All prior cases that has any statutes in common are of the runs they have retrieved 1000 ranked prior case retrieved. judgments. – Topic Modeling based: In this method they employ For the second and third runs they have parsed the the implementation of Latent Dirichlet Allocation (LDA) prior case documents into two parts. To identify the most as in the gensim package.7 Hence, score of similarity informative terms they have used topic modeling, specifi- is calculated based on ratio of matching topic-words cally Latent Dirichlet Allocation (LDA). The terms identi- to the total. fied using LDA were then used to parse prior cases into – Using Document Vector: To generate the document documents with two fields: vectors the following steps were followed: (1) LDA_TEXT - A field containing words that have been (1) Got every case as cleaned text, split it to form identified as most informative words for the collec- list of words/tokens, for both, current and prior tion of prior case judgments. cases. (2) OTHER_TEXT - A field containing other words that (2) Created gensim TaggedDocument for each case have not been identified as most informative words. text, giving filename as tag. The runs are as described below: (3) A Map of tag to the content i.e. word-list for – run_1: A Baseline run where they have used the orig- each cases were generated and saved for reuse. inal dataset, only parsing it to TREC format, the runs (4) LDA model was built and saved. It was used were obtained using BM25 with default settings. to generate document vectors for both current – run_2: This is the run for a field based retrieval ap- and prior cases. proach where the weight of LDA_TEXT was set to be A similarity matrix was generated where current cases far lower than the weight of OTHER_TEXT, specifi- are rows and prior cases as columns with values as cally they have used BM25F weighting model, param- cosine similarity between document vectors of the eter settings for the weight assigned to LDA_TEXT current-prior case pair (row-column). The values act and OTHER_TEXT is 0.2 : 1.0 in Terrier respectively, as score for this particular approach. all other parameters were left as default. • UB_Botswana_Legal_Task2: This team participated from – run_3: This is the run for a field based retrieval ap- University of Botswana, Botswana. They submitted three proach where the weight of LDA_TEXT was set to be fully automatic runs. One common part in all the runs 8 Terrier is an open source Information Retrieval platform available at http://terrier. 6 A open source library in python available at: http://scikit-learn.org/stable/ org/. 7 gensim is a python package available at https://radimrehurek.com/gensim/. 4 far bigger than the weight of OTHER_TEXT, specifi- (4) Application of Latent Semantic Analysis, LSA cally they have used BM25F weighting model, param- to get semantic relationships of nouns eter settings for the weight assigned to LDA_TEXT (5) Similarity Calculation and OTHER_TEXT is 2.0 : 1.0 in terrier respectively, In the preprocessing part the following steps were fol- all other parameters were left as default. lowed: • bphcTask2IRLeD: This team has participated from Birla Case Conversion, Special Character Removal, Num- Institute of Technology & Sciences, Pilani, India. They ber Removal, Stopword Removal, Legal Stopword Re- have submitted one run that is fully Automatic in nature. moval (Words that appear commonly in all judgments), Here, they have considered a minimized set of words by and Document Stemming. considering only 5000 such words whose combined score The citation context retrieval deals with retaining only of POS (part-of-speech) occurrence probability and IDF those parts of the document that are around the cita- (inverse document frequency) score is higher than the rest tion markers. The similarity calculation is done by of the words. Using this focused subset of words they have measuring the cosine similarity among the two docu- formed document vectors for each of the documents (both ment vectors (one of the current case another of the prior cases and current cases). Each vector is of size 5000, prior case). Only the top 50 of the prior cases are re- where each field corresponds to each word in the focused ported. set. Now a vector for a document is so formed that if a word in the focused set is present then its value in the 5 RESULTS corresponding field is the combination of its TF (term fre- Table 2 compares the different runs for Task 1. RAKE being the quency), IDF, and POS occurrence probability. Now, the only unsupervised methods has scored significantly lower than similarity score between two document vectors are mea- other supervised methods. Although CRF with POS and NER per- sured by simply finding the dot product of the two. For forms well it is to be noted that their overall recall is not very good. each Query Case, the similarity is calculated for between Whereas,the method using Doc2Vec gives better overall recall. this and all prior cases. Then the top ranked prior cases In Table 3, we have different runs of Task 2 and their evaluation are reported. scores. It is to be noted that, using citation context(text around • AMRITA_CEN_NLP_RBG: This team has participated the citation markers in the query case), greatly improves perfor- from Amrita Vishwa Vidhyappetham, India and have sub- mance for the top three methods. Other mentionable well perform- mitted a fully automatic run. For this they have first repre- ers would be Dirichlet Prior Smoothing and, TF-IDF vectors over sented the set of prior and current cases as vectors. To do nouns and verbs. These, if used in conjunction with citation con- so, they have used the Doc2Vec algorithm as implemented text, might as well perform better. in the gensim package of python. Once the vectors are ob- Although, the runs are sorted according to their MAP scores, tained the similarity between a query case document and it is to be noted that, in the legal context the Overall Recall is of a prior case is simply calculated as the cosine similarity special importance. As, in real-life, legal practitioners might even between the two vectors. The top ranked prior cases are consider going through a hundred documents rather than going reported for each of the current cases. through just ten of them while missing out some important poten- • christfire_2017: This team participated from Christ Uni- tial citations. So, a good evaluation technique would be a combi- versity, Bangalore, India. They submitted three runs in to- nation of MAP and Overall Recall. tal and all were fully automatic in nature. The three runs are as described below: 6 CONCLUDING DISCUSSION – run_1: The following steps are followed. The FIRE 2017 IRLeD track has successfully created a benchmark (1) Data cleaning and citation context retrieval collection of Legal Case Statements and their Catchphrases by which (2) Linguistic Preprocessing and creation of Docu- we can compare the performances of various Catchphrase extrac- ment Term Matrix tion methods over the legal domain. Also it has created a bench- (3) Application of Latent Dirichlet Allocation,LDA mark citation graph which can be used to evaluate methods for (4) Similarity Calculation the prior case retrieval tasks. It can be noted that the highest MAP – run_2: The following steps are followed: score is 0.390 in Table 3, which reveals the challenge in prior case (1) Data cleaning and citation context retrieval retrieval. (2) Linguistic Preprocessing and creation of Docu- In future, we plan to conduct other tracks as well, where the ment term Matrix following can be considered: (i) Adding supervision to the prece- (3) Application of Latent Semantic Analysis, LSA dence retrieval task, e.g., by providing a citation network for the (4) Similarity Calculation documents in the set of prior cases, and (ii) adding new tasks such – run_3: The following steps were followed: as document clustering/classification. (1) Data cleaning and citation context retrieval (2) Retaining only nouns from the data ACKNOWLEDGEMENTS (3) Linguistic Preprocessing and creation of Docu- The track organizers thank all the participants for their interest in ment term Matrix this track. We also thank the FIRE 2017 organizers for their support in organizing the track. 5 Run_id MAP MRR Prec@10 Rec@100 Method Summary flt_ielab_idf 0.390 0.719 0.781 0.236 IDF, citation context flt_ielab_plm 0.386 0.710 0.771 0.237 Parsimonious language model, ci- tation context flt_ielab_para 0.364 0.702 0.221 0.749 Citation context HLJIT2017_IRLeD_Task2_1 0.329 0.633 0.218 0.681 Dirichlet Prior Smoothing [14] SSN_NLP_2 0.268 0.546 0.178 0.669 TF-IDF(nouns+verbs) SSN_NLP_1 0.263 0.518 0.180 0.681 TF-IDF(nouns) HLJIT2017_IRLeD_Task2_3 0.248 0.525 0.167 0.671 lucene rightstepspune_1_task2 0.202 0.451 0.135 0.564 RegEx, LDA, Doc2Vec HLJIT2017_IRLeD_Task2_2 0.178 0.407 0.129 0.595 BM25 UB_Botswana_Legal_Task2_R3 0.167 0.348 0.123 0.559 DPH-DFR [2] , BoI model[1] UB_Botswana_Legal_Task2_R1 0.149 0.351 0.112 0.546 DPH-DFR [2] UB_Botswana_Legal_Task2_R2 0.108 0.302 0.079 0.43 DPH-DFR [2] , Sequential Depen- dence[9, 15] SSN_NLP_3 0.101 0.277 0.076 0.435 Word2Vec(nouns+verbs) UBIRLeD_2 0.098 0.190 0.069 0.380 LDA UBIRLeD_3 0.090 0.170 0.062 0.373 LDA UBIRLeD_1 0.072 0.142 0.049 0.299 BM25 bphcTASK2IRLeD 0.071 0.198 0.060 0.280 POS tags, TF, IDF AMRITA_CEN_NLP_RBG1_1 0.006 0.015 0.003 0.058 Doc2Vec christfire_2017_3 0.005 0.011 0.003 0.033 LSA(nouns only) christfire_2017_2 0.003 0.010 0.002 0.044 LSA christfire_2017_1 0.002 0.006 0.003 0.016 LDA Table 3: Evaluation of runs for Task 2: Precedence Retrieval. 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