=Paper=
{{Paper
|id=Vol-3283/Paper35
|storemode=property
|title=Investigating the Similarity of Court Decisions
|pdfUrl=https://ceur-ws.org/Vol-3283/Paper125.pdf
|volume=Vol-3283
|authors=Sarika Jain,Deepak Jaglan,Kapil Gupta
|dblpUrl=https://dblp.org/rec/conf/isic2/0001JG22
}}
==Investigating the Similarity of Court Decisions==
Investigating the Similarity of Court Decisions
Sarika Jain1 , Deepak Jaglan2,* and Kapil Gupta3
National Institute of Technology Kurukshetra, Department of Computer Applications, Kurukshetra, India
Abstract
The association between words, phrases, and documents is referred to as semantic similarity. Semantic
similarity has played a significant role in internet search engines regarding content ranking. It also has
wide applications in information retrieval, artificial intelligence, etc., to name a few. This paper reviews
the general architecture, categorization of approaches, and techniques and metrics for determining
semantic similarity between documents in a comprehensive way. We have conducted experiments on the
different statistical methods, viz., word vector-based techniques (TF-IDF, LDA, Word2Vec, Doc2Vec, Glove,
and fastText), and transformer-based techniques (Longformer-base, Sentence-BERT-large-nli, Sentence-
BERT-large-nli-stsb, and Sentence-RoBERTa-large-nli-stsb) over Indian Supreme Court decisions and
discussed the results. The Doc2Vec approach over the whole document is found to correlate the most
with the expert judgment.
Keywords
Semantic Similarity, Legal Document, Document Embedding, Cosine Similarity
1. Introduction
Semantic similarity can be well described as the relate-ability between words, sentences, and
documents. It is most likely a quantitative measure of information that has evolved into a core
technique that is now widely used in a variety of fields, including biological computing [1],
information retrieval [2], artificial intelligence [3], geoinformation [4], and natural language
processing [5], as well as other intelligent knowledge-based systems [6]. For the use case
scenario, identification of related literature assists legal professionals in obtaining relevant
literature. Some authors have studied similarity analysis of legal judgements [7]. We bring
relevant literature primarily based on text-based methods and deep learning approaches like
transformer models.
Our focus in this paper is to review the semantic similarity approaches exhaustively in context
to the legal case documents in particular. This approach is not restrictive to the legal case
documents. Instead, we may use this method in various other subjectsβ domains. Throughout
this article, we shall concentrate on the legal arena.
The requirement for an accurate and relatable legal information retrieval area is the most
pressing challenge in todayβs legal society. Because the Common Law System is one of the most
widely followed legal systems globally, the success or failure of a case is heavily influenced by
ACIβ22: Workshop on Advances in Computation Intelligence, its Concepts Applications at ISIC 2022, May 17-19, Savannah,
United States
*
Corresponding author.
$ jasarika@nitkkr.ac.in (S. Jain); deepakjaglan34@gmail.com (D. Jaglan); kapil@nitkkr.ac.in (K. Gupta)
Β© 2022 Copyright for this paper by its authors. Use permitted under Creative Commons License Attribution 4.0 International (CC BY 4.0).
CEUR
Workshop
Proceedings
http://ceur-ws.org
ISSN 1613-0073
CEUR Workshop Proceedings (CEUR-WS.org)
316
previous instances. The deluge of information on the internet has made it difficult for legal
practitioners to manually discover significant earlier examples that appropriately serve their
current case. As a result, a likely answer is found by comparing the similarity of the different
case documents, which various authors have recently studied [8, 9, 10]. Statistical methods, also
known as text-based methods, utilize the textual content of legal documents. These methods
include only primitive text-based similarity measures, such as TF-IDF-based approaches. In [10],
the authors have improved the text-based technique with the similarity measures such as topic
modeling and neural network models such as word embeddings and document embeddings.
Also, it has been shown that the word vector-based approaches perform better than other
approaches.
The present paper details the outlines of the review of different methods used in the text-based
category besides approximate validation of the experimental results. More precisely, we discuss:
1. The comprehensive details of the different semantic similarity approaches provide an
insight into the generalized architecture of the various techniques used in semantic
similarity.
2. In context to the legal domain, we confine ourselves to word vector-based and transformer-
based approaches and discuss the experimental results we obtain in each method in both
directions.
The layout of this paper is as follows: In the next section, we present the analytical discussion
comprising the general architecture for semantic similarity along with the different semantic
similarity approaches in detail. A brief discussion regarding the similarity measures followed
by evaluation measures is required for a comparative study in Section 3. Finally, in the same
section, we detail the experimental results obtained in the context of the legal domain, followed
by the underlying discussion. Section 4 deals with the conclusions.
2. Analytical Discussion
The main content of the present paper is depicted in the following flowchart (Figure 1), i.e., first
of all, we will discuss various document representations methods and document pre-processing.
After that, we will discuss the semantic similarity approaches followed by semantic measures
and evaluation measures. The meaning of these terminologies shall be transparent in their
respective discussions.
General Architecture
We feed the input as the unstructured text, and from it, we select the corpus to ob-
tain the representative text. After that, we initiate the data processing of the representative text
by first removing punctuations and stopwords and then stemming. Thus we get a clean text.
Now, we begin the data modeling of the clean text to extract the features of documents, i.e., the
word embeddings. For that, we employ semantic similarity techniques, viz., word vector-based
techniques (TF-IDF, LDA, Word2Vec, Doc2Vec, Glove, and fastText), and transformer-based
techniques (Longformer-base, Sentence-BERT-large-nli, Sentence-BERT-large-nli-stsb, and
317
Semantic Information
Sensitive
Data Preprocessing Apply Semantic
Unstructured Corpus Representative [Remove Punctuation, Corpus with Similarity Approaches
Text Selection
Text Stopwords; Perform Cleaned [Word Vector-Based,
Corpus [Whole Document]
Stemming] text Transformer Based]
Similarity
Calculate Similarity of
Evaluation Measures score
Performance Document Pairs
[Pearson Coefficient]
[Cosine Similarity]
Expert Similarity
Score
Figure 1: General Architecture for Semantic Similarity.
Sentence-RoBERTa-large-nli-stsb). We calculate the cosine similarity between these feature
documents to obtain the similarity scores. Data modeling and similarity measures can utilize
semantic information. Further, since we also have the similarity scores from the experts, we
will evaluate the Pearson coefficient between the similarity scores given by the expert with the
ones obtained by us. Hence, we quantify how well our methods perform when compared to the
similarity scores given by the experts.
2.1. Document Representation
There are various ways to document representation, viz., whole document, summary, paragraph,
and the reason for citations (RFCs).
In whole document representation, the whole of the document is taken under consideration,
while in summary, the important content is taken into consideration, leaving the redundant
part. A set of paragraphs is considered in paragraph document representation in such a way
that each paragraph of one document is compared to all the paragraphs of the other document
in the corpus. RFC method is a citation-based method, and it works on a similar note as the
paragraph-based method. In thematic representation, the theme of the document is taken into
consideration. After selecting meaningful representations from the text of the documents, their
similarity is measured.
2.2. Data Pre-processing
Data preprocessing is crucial in preparing the data since we deal with unstructured text data.
It transforms the text into a more digestible form. Now, we outline the steps involved in the
data preprocessing. Firstly, all of the letters are changed to small lowercase. Then based on
whitespaces, tokenization of the text into words is done. Except for terms containing the letters
hyphen, dot, and comma, all non-alphabetic words are filtered away. After that, standard English
stopwords are then removed from the list of words. Using Porter Stemmer, we finally perform
the overall word stemming. In this way, we obtain a better representation of our text.
318
2.3. Semantic Similarity Approaches and Measures
The main principles behind the existing approaches that we reproduce in this study are
described in this section. As previously indicated, existing approaches utilize various similarity
measures that are divided into three broad categories: (i) statistical similarity, (ii) graph-based
similarity, and (iii) document clustering-based similarity. We will present a detailed overview of
each category classified above.
Semantic Similarity
Approaches
Document
Statistical Based Graph Based
Clustering
Word Vector String Transformer Classification and Metric Citation Ontology
Hybrid Clustering Relational Hybrid
Based Based Based Based Based Based
Algorithms
Character Based Single Ontology Lexical
Similarity measure Based Resource
Term Based Similariy Cross Ontology Embedding
measure Based ontologies
Figure 2: Semantic Similarity Approaches.
2.3.1. Statistical Similarity
The statistical-based similarity approach is built on collecting texts either in written or spoken
forms. There are various ways to compare statistical similarities between legal documents,
viz., word vector-based, string-based, transformer-based, and hybrid-based. We confine our
experiments to the word vector-based and transformer-based techniques in this paper.
The meaning of the word vector-based method is clear from its very name, i.e., it defines the
vector representation of the documents. We enlist all the methods derived from word vector, viz.,
TF-IDF technique, LDA, Word2Vec, Doc2Vec, Glove, fastText. A single vector representation of
the given document (e.g., a legal document) is created in the TF-IDF approach. The computation
of the similarity score between vectors is done with the aid of the cosine similarity (see, e.g., [8]).
In contrast, as depicted in [10], the LDA technique is a topic modeling algorithm, and it captures
the semantics of the documents in an appropriate way. In the models, based on neural networks
such as Word2vec and Doc2vec, gives a vector for each distinct word (see, e.g., [11]) and each
document (see, e.g., [12]), respectively. Similar to word2vec method, the dense vectors are
constructed in both these GloVe (see, e.g., [13]) and fastText methods (see, e.g., [14]).
String-based similarity includes the character and term-based similarity measures. The
transformer-based similarity approach is built on the language models with deep contextual
text representations by incorporating the word positioning. The various transformer techniques
319
are given as Longformer-base, Sentence-BERT-large-nli, Sentence-BERT-large-nli-stsb, and
Sentence-RoBERTa-large-nli-stsb.
To address the constraints of the numerous statistically-based similarity approaches listed
above, a hybrid model was created by combining some or all of them in a suitable way to meet
at least all of the essential criteria of each feasible combination of methods. For more details in
the context of the hybrid method, the reader is referred to [15].
2.3.2. Document Clustering
Clustering is an unsupervised learning problem in which the goal is to arrange a set of objects in
such a way that the objects in the same cluster are more similar (in meaning) to each other than
the objects in the other cluster. Clustering may be used in various disciplines, with intelligent
text clustering being one of the most common. Traditional text clustering algorithms gathered
documents based on keyword matching, which meant that the texts were grouped without any
descriptive concepts. As a result, non-similar texts were grouped. The essential answer to this
challenge is group papers based on semantic similarity, which means grouping pages based on
meaning rather than keywords.
One of the most well-known methods for producing a single grouping is k-means, wherein
the number of clusters, π, must be determined beforehand. Initially, there are π clusters
specified, and after that, each document in the document collection is reassigned based
on the documentβs resemblance to the π clusters. The π clusters are then updated. After
that, the document setβs documents are all reassigned. This method is repeated until all π
clusters remain the same. Alternatively, from [16], bisecting π-means method is used to
cluster documents. Here, all items are thought to be part of a single cluster. A cluster is
broken into two every time. This process is continued until the desired number of clusters
has been achieved. The reader is referred to [17, 18, 19] for more details on clustering approaches.
2.3.3. Graph Based Similarity
The graph-based similarity approach is based on graphical methods. These methods are
further based on different techniques, ontology-based, relational-based, citation-based, and
hybrid-based. The prior-case citation network of the document is constructed to compute the
Precedent Citation Similarity. The vertices of the network are the case documents. A directed
edge exists between two vertices π and π if document π cites document π in its text. Consider an
example graph such that an edge exists from vertex A to E since A cites E. To build document
vectors, we investigate citation-based networks approaches in which documents are nodes and
edges correspond to citations.
The relational approach emphasizes measuring the relation between two words, unlike
measuring the degree of similarity. Using a predetermined pattern of vector frequencies from
a vast corpus, this approach determines the link between word pairs. It enhances current
ontologies and is utilized in document semantic annotation. The reader is referred to [20, 21, 22]
for more details on these three approaches.
The ontology-based approach is a graph-based semantic similarity approach, and it is
320
classified into three broad methods: single ontology-based, cross ontology-based, and lexical
resource. The path distance between concepts determines how similar the two concepts are.
The ontology or taxonomy structure is used to calculate similarity in this metric. A type relation
links essential linkages in this ontology or taxonomic structure. As a result, the shortest path is
used to compute similarity, and the length of the path defines the degree of similarity. The depth
relative measure is similar to the shortest path approach, but it takes into account the depth of
the edges linking the two concepts in the ontologyβs basic structure and determines the depth
between the root and the target concept. In the information-based approach, also known as the
corpus-based approach, the information previously contained in the ontologies or taxonomy
is supplemented with the knowledge given by the corpus. For comparing the concepts, the
hybrid and feature-based measures consider the knowledge derived from different sources and
features, respectively. We refer the reader to [23] for further details on the DeepWalk algorithm.
Previously mentioned semantic similarity measurements are intended for a single ontology.
With the expansion of online information sources, metrics are needed to calculate the similarity
between concepts belonging to different ontologies. The methods that quantify the comparison
of the terms from various ontologies are known as cross ontology measures.
To compute the semantic similarity, one employs WordNet and Wikipedia as Lexical
resources. The wordNet technique is based on Directed Acyclic Graphs (DAG) theory. The
semantic distance and DAG information compute the semantic similarity between the words or
concepts. We refer the reader to [24] and [25] for further details on DAG.
The hybrid methods can be a combination of statistical, ontology, and relational approaches.
We refer the reader to [26] for more details on such approaches.
3. Experimental Results and Discussion
This section compares these scores to those assigned by domain experts to see if they are
consistent. We have taken the data sets of legal documents, viz., Indian Supreme Court case
decisions (gold standard pairs) (see 3.1), for legal document similarity.
3.1. Dataset
The dataset contains all Indian Supreme Court case decisions in text format spanning 67
years (from 1950 to 2016). Each text begins with an optional headnote (a summary of a
legal case that incorporates several legal concerns and specifies the written laws employed
throughout the litigation process) and continues with the caseβs whole litigation procedure.
We crawled the texts from the Legal Information Institute of Indiaβs (LIIofIndia) website
(http://www.liiofindia.org/ in/cases/cen/INSC/), a website that maintains several legal databases.
A gold standard comprising legal expert judgments on how similar two documents are, is
essential to compare and evaluate our methods. We have analyzed the 47 pairs of the case
documents of the Indian Supreme Court, as our gold standard, along the lines of [8] and [10].
The expert annotations ranging from 0 (lowest similarity) to 10 (highest similarity) were sought
for each of these pairs.
321
3.2. Evaluation Measure
We calculate the similarity scores using each of our techniques for each of the 47 test pairings
to assess our techniques. Then, for each strategy, we find the Pearson Correlation Coefficient
between the 47 scores obtained by the techniques to those provided by the experts.
3.2.1. Calculate Similarity between pairs
Finding similarities among documents is vital from the perspective of Information Retrieval
and allied fields. The approaches create for two documents a vector representation with the
dimensions being the terms in the documents, word embeddings, or semantic notions. As a
result, we obtained the vectors of the document pairs. Finally, we apply cosine similarity to find
the angle between the resultant vectors.
Cosine Similarity: It is a similarity measure of two non-zero vectors of an inner prod-
uct space, which finds the cosine of the angle between them. The cosine similarity of two
vectors having the same orientation is 1, and vectors that are orthogonal have the similarity of
0.The cosine similarity cos(π) of two vectors π΄ and π΅ is
π΄Β·π΅
cos(π) = ,
||π΄|| ||π΅||
where, (Β·) represents the vector dot product.
3.2.2. Performance
The Pearsonβs correlation coefficient is used to measure how well our approaches work
compared to expert similarity scores. The correlation between the obtained scores and those
offered by legal experts is then calculated.
Correlation coefficient (π): It is the ratio of the two variablesβ covariance and standard
deviations. Mathematically, let P and Q be two variables, then correlation coefficient (π) is
defined below as
πππ£(π, π)
π= ,
ππ ππ
where πππ£(π, π) represents the covariance between π and π, and ππ and ππ represent the
standard deviations of variables π and π. Also, we have the inequality that β1 β€ π β€ 1. The
value π = β1 signifies that the variables are anti-correlated whereas π = 1 signifies that they
are highly correlated.
3.3. Results and Discussion
Table (1) enlists the column headings, viz., Case Pairs, Expert Scores, and Similarity scores using
word vector-based and transformer-based approaches. This table shows different similarity
322
scores-given (1) by legal experts and (2) by those that we obtained from the experiment by using
word vector-based and transformer-based techniques. To find the similarity scores between
the pairs, we used the case of word vector-based the following approaches: TFIDF, Doc2vec,
GloVe, and fastText methods, while in transformer-based, we employed Longformer-base,
Sentence-BERT-large-nli-stsb, and Sentence-RoBERTa-large-nli-stsb.
In Table (2), for each technique, viz., word vector based and transformer-based, we compute
the Pearson correlation coefficient for each method with respect to the expert scores. The
highest correlation value obtained for both the approaches is in the italic font, i.e., Doc2Vec and
Sentence-RoBERTa-large-nli-stsb.
The methods corresponding to which the detailed similarity scores between each pair are
computed in the Table (1) are represented by the bold font in the Table (2). When the expert
scores are assigned low, the word vector-based technique is closer to the expert scores than
the transformer-based technique. Whereas, when the expert scores are assigned as high, the
transformer-based approach is closer to the expert scores than the word vector-based. The
Pearson correlation coefficient in the transformer-based method is lesser than that of the word
vector-based. This trend can also be seen in [15] where the authors obtain that the evaluation
parameters are lesser in transformer-based methods as compared to word vector-based methods
in the context of the US Supreme Court decisions. The higher the value of the correlation, the
better the corresponding methodβs performance. Doc2vec obtains the highest correlation value
with the expertsβ score (is computed as 0.685) and Sentence-RoBERTa-large-nli-stsb (is computed
as 0.401) methods, respectively, in the word vector-based technique and the transformer-based
technique. Overall, Doc2vec provides the highest correlation value with the expertsβ scores.
4. Conclusion
This paper presents a comprehensive review of the semantic similarity, i.e., categorization,
and techniques and metrics for determining semantic similarity. We then discuss exclusively
the semantic similarity of the legal court case documents wherein we confine ourselves to
word-vector-based and transformer-based techniques in the context of the experiments. Finally,
we discuss the results we obtained while computing semantic similarity among legal documents
with different techniques, viz., word vector-based techniques (TF-IDF, LDA, Word2Vec, Doc2Vec,
Glove, and fastText), and transformer-based techniques (Longformer-base, Sentence-BERT-large-
nli, Sentence-BERT-large-nli-stsb, and Sentence-RoBERTa-large-nli-stsb). We observed that the
Doc2vec similarity correlates the most with expert judgment from both the techniques, viz.,
word vector-based and transformer-based techniques.
5. Acknowledgment
This work is supported by the IHUB-ANUBHUTI-IIITD FOUNDATION set up under the NM-
ICPS scheme of the Department of Science and Technology, India.
323
Table 1
Similarity scores for all the gold standard pairs of Indian supreme Court decisions, using word vector
base and transformer based approaches.
Similarity Scores
Sr. Expert
No. Case Pairs Word Vector Based Transformer Based
Score
TFIDF Doc2vec GloVe fastText Longformer BERT RoBERTa
1 1992_47 & 1992_76 0 0.168 0.160 0.864 0.347 0.993 0.443 0.351
2 1992_76 & 1992_182 0 0.143 0.146 0.838 0.386 0.993 0.449 0.378
3 1972_11 & 1984_115 0 0.127 0.084 0.838 0.179 0.986 0.643 0.466
4 1969_57 & 1980_91 0 0.282 0.271 0.910 0.521 0.989 0.565 0.625
5 1959_151 & 1982_28 0 0.237 0.238 0.895 0.527 0.990 0.677 0.492
6 1976_200 & 1959_151 0 0.218 0.051 0.904 0.304 0.990 0.674 0.424
7 1985_114 & 1959_151 0 0.291 0.263 0.899 0.572 0.990 0.777 0.683
8 1966_236 & 1967_267 0 0.236 0.353 0.903 0.688 0.983 0.563 0.611
9 1961_34 & 1979_110 0 0.303 0.322 0.935 0.635 0.995 0.689 0.556
10 1961_34 & 1987_37 0 0.151 0.193 0.885 0.447 0.992 0.671 0.615
11 1992_47 & 1987_315 0 0.388 0.358 0.898 0.712 0.991 0.689 0.613
12 1984_115 & 1987_315 0 0.489 0.459 0.960 0.796 0.991 0.712 0.498
13 1992_47 & 1992_76 0 0.168 0.160 0.864 0.347 0.993 0.443 0.351
14 1984_115 & 1987_315 0 0.246 0.238 0.842 0.502 0.990 0.708 0.556
15 1983_129 & 1983_27 1 0.590 0.561 0.959 0.723 0.995 0.745 0.657
16 1979_110 & 1953_28 2 0.481 0.178 0.957 0.583 0.989 0.534 0.458
17 1963_170 & 1979_158 2 0.512 0.492 0.951 0.648 0.993 0.793 0.744
18 1983_27 & 1983_37 2 0.640 0.527 0.960 0.809 0.995 0.784 0.774
19 1983_27 & 1979_33 2 0.672 0.581 0.957 0.685 0.994 0.739 0.725
20 1984_115 & 1981_49 2 0.520 0.500 0.963 0.788 0.992 0.733 0.598
21 1979_110 & 1989_233 3 0.368 0.351 0.935 0.551 0.991 0.648 0.663
22 1983_129 & 1976_176 5 0.428 0.266 0.954 0.703 0.992 0.651 0.573
23 1971_111 & 1972_291 5 0.445 0.393 0.931 0.566 0.993 0.656 0.513
24 1990_171 & 1988_88 5 0.275 0.297 0.893 0.602 0.993 0.658 0.558
25 1972_31 & 1984_115 5 0.533 0.536 0.947 0.754 0.991 0.694 0.581
26 1984_118 & 1971_336 5 0.479 0.356 0.960 0.681 0.991 0.808 0.609
27 1987_154 & 1964_144 5 0.501 0.492 0.954 0.846 0.991 0.665 0.527
28 1973_186 & 1986_218 5 0.392 0.393 0.926 0.586 0.989 0.645 0.498
29 1990_96 & 1990_171 5 0.325 0.439 0.932 0.724 0.992 0.689 0.732
30 1958_3 & 1992_144 5 0.399 0.372 0.909 0.551 0.992 0.664 0.476
31 1979_158 & 1965_111 7 0.586 0.529 0.964 0.755 0.994 0.670 0.606
32 1962_303 & 1972_291 7 0.394 0.540 0.931 0.672 0.988 0.745 0.613
33 1987_37 & 1989_233 7 0.169 0.234 0.903 0.560 0.992 0.565 0.530
34 1953_40 & 1953_24 7 0.867 0.836 0.989 0.931 0.996 0.763 0.700
35 1966_154 & 1976_43 7 0.434 0.431 0.947 0.745 0.989 0.588 0.663
36 1953_24 & 1957_52 7 0.259 0.177 0.883 0.357 0.985 0.437 0.418
37 1984_115 & 1971_49 7 0.489 0.482 0.942 0.817 0.993 0.714 0.662
38 1980_221 & 1984_115 8 0.489 0.539 0.944 0.727 0.988 0.726 0.615
39 1980_39 & 1969_324 8 0.663 0.648 0.973 0.933 0.992 0.652 0.575
40 1991_48 & 1987_189 9 0.517 0.537 0.943 0.858 0.993 0.635 0.634
41 1979_104 & 1979_110 9 0.793 0.695 0.974 0.922 0.994 0.831 0.802
42 1985_113 & 1969_324 9 0.690 0.619 0.972 0.941 0.981 0.561 0.518
43 1979_33 & 1979_110 9 0.815 0.838 0.990 0.949 0.995 0.776 0.799
44 1968_197 & 1972_62 10 0.425 0.584 0.914 0.687 0.993 0.806 0.764
45 1992_47 & 1984_115 10 0.518 0.540 0.945 0.725 0.993 0.733 0.688
46 1991_12 & 1985_113 10 0.755 0.725 0.980 0.952 0.990 0.615 0.601
47 1983_37 & 1979_33 10 0.754 0.750 0.978 0.884 0.993 0.679 0.721
324
Table 2
Pearson correlation coefficient for the word vector based and transformer based methods on Indian
Supreme Court decisions (Gold standard pairs).
Sr. No. Methods Pearson Correlation Coefficient
Word Vector Based
1 TF-IDF 0.614
2 Word2Vec 0.601
3 Doc2Vec 0.685
4 LDA 0.424
5 fastText 0.625
6 GloVe 0.567
Transformer Based
7 Longformer-base 0.057
8 Sentence-BERT-large-nli 0.148
9 Sentence-BERT-large-nli-stsb 0.199
10 Sentence-RoBERTa-large-nli-stsb 0.401
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