arXiv subjects

Qingyao Ai

Publications and source records attributed to Qingyao Ai.

At least 127 records · Page 7Linked to original sources

arXiv2023

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.

cs.CL↗

arXiv2023

Vertical Allocation-based Fair Exposure Amortizing in Ranking

Result ranking often affects consumer satisfaction as well as the amount of exposure each item receives in the ranking services. Myopically maximizing customer satisfaction by ranking items only according to relevance will lead to unfair distribution of exposure for items, followed by unfair opportunities and economic gains for item producers/providers. Such unfairness will force providers to leave the system and discourage new providers from coming in. Eventually, fewer purchase options would be left for consumers, and the utilities of both consumers and providers would be harmed. Thus, to maintain a balance between ranking relevance and fairness is crucial for both parties. In this paper, we focus on the exposure fairness in ranking services. We demonstrate that existing methods for amortized fairness optimization could be suboptimal in terms of fairness-relevance tradeoff because they fail to utilize the prior knowledge of consumers. We further propose a novel algorithm named Vertical Allocation-based Fair Exposure Amortizing in Ranking, or VerFair, to reach a better balance between exposure fairness and ranking performance. Extensive experiments on three real-world datasets show that VerFair significantly outperforms state-of-the-art fair ranking algorithms in fairness-performance trade-offs from both the individual level and the group level.

cs.IR↗

arXiv2023

Investigating the Influence of Legal Case Retrieval Systems on Users' Decision Process

Given a specific query case, legal case retrieval systems aim to retrieve a set of case documents relevant to the case at hand. Previous studies on user behavior analysis have shown that information retrieval (IR) systems can significantly influence users' decisions by presenting results in varying orders and formats. However, whether such influence exists in legal case retrieval remains largely unknown. This study presents the first investigation into the influence of legal case retrieval systems on the decision-making process of legal users. We conducted an online user study involving more than ninety participants, and our findings suggest that the result distribution of legal case retrieval systems indeed affect users' judgements on the sentences in cases. Notably, when users are presented with biased results that involve harsher sentences, they tend to impose harsher sentences on the current case as well. This research highlights the importance of optimizing the unbiasedness of legal case retrieval systems.

cs.IR↗

arXiv2023

GNN4EEG: A Benchmark and Toolkit for Electroencephalography Classification with Graph Neural Network

Electroencephalography(EEG) classification is a crucial task in neuroscience, neural engineering, and several commercial applications. Traditional EEG classification models, however, have often overlooked or inadequately leveraged the brain's topological information. Recognizing this shortfall, there has been a burgeoning interest in recent years in harnessing the potential of Graph Neural Networks (GNN) to exploit the topological information by modeling features selected from each EEG channel in a graph structure. To further facilitate research in this direction, we introduce GNN4EEG, a versatile and user-friendly toolkit for GNN-based modeling of EEG signals. GNN4EEG comprises three components: (i)A large benchmark constructed with four EEG classification tasks based on EEG data collected from 123 participants. (ii)Easy-to-use implementations on various state-of-the-art GNN-based EEG classification models, e.g., DGCNN, RGNN, etc. (iii)Implementations of comprehensive experimental settings and evaluation protocols, e.g., data splitting protocols, and cross-validation protocols. GNN4EEG is publicly released at https://github.com/Miracle-2001/GNN4EEG.

cs.LG↗

arXiv2023

FARA: Future-aware Ranking Algorithm for Fairness Optimization

Ranking systems are the key components of modern Information Retrieval (IR) applications, such as search engines and recommender systems. Besides the ranking relevance to users, the exposure fairness to item providers has also been considered an important factor in ranking optimization. Many fair ranking algorithms have been proposed to jointly optimize both ranking relevance and fairness. However, we find that most existing fair ranking methods adopt greedy algorithms that only optimize rankings for the next immediate session or request. As shown in this paper, such a myopic paradigm could limit the upper bound of ranking optimization and lead to suboptimal performance in the long term. To this end, we propose \textbf{FARA}, a novel \textbf{F}uture-\textbf{A}ware \textbf{R}anking \textbf{A}lgorithm for ranking relevance and fairness optimization. Instead of greedily optimizing rankings for the next immediate session, FARA plans ahead by jointly optimizing multiple ranklists together and saving them for future sessions. Specifically, FARA first uses the Taylor expansion to investigate how future ranklists will influence the overall fairness of the system. Then, based on the analysis of the Taylor expansion, FARA adopts a two-phase optimization algorithm where we first solve an optimal future exposure planning problem and then construct the optimal ranklists according to the optimal future exposure planning. Theoretically, we show that FARA is optimal for ranking relevance and fairness joint optimization. Empirically, our extensive experiments on three semi-synthesized datasets show that FARA is efficient, effective, and can deliver significantly better ranking performance compared to state-of-the-art fair ranking methods. We make our implementation public at \href{https://github.com/Taosheng-ty/QP_fairness/}{https://github.com/Taosheng-ty/QP\_fairness/}.

cs.IR↗

arXiv2023

Information Retrieval Meets Large Language Models: A Strategic Report from Chinese IR Community

The research field of Information Retrieval (IR) has evolved significantly, expanding beyond traditional search to meet diverse user information needs. Recently, Large Language Models (LLMs) have demonstrated exceptional capabilities in text understanding, generation, and knowledge inference, opening up exciting avenues for IR research. LLMs not only facilitate generative retrieval but also offer improved solutions for user understanding, model evaluation, and user-system interactions. More importantly, the synergistic relationship among IR models, LLMs, and humans forms a new technical paradigm that is more powerful for information seeking. IR models provide real-time and relevant information, LLMs contribute internal knowledge, and humans play a central role of demanders and evaluators to the reliability of information services. Nevertheless, significant challenges exist, including computational costs, credibility concerns, domain-specific limitations, and ethical considerations. To thoroughly discuss the transformative impact of LLMs on IR research, the Chinese IR community conducted a strategic workshop in April 2023, yielding valuable insights. This paper provides a summary of the workshop's outcomes, including the rethinking of IR's core values, the mutual enhancement of LLMs and IR, the proposal of a novel IR technical paradigm, and open challenges.

cs.IR↗

arXiv2023

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.

cs.IR↗

arXiv2023

Unconfounded Propensity Estimation for Unbiased Ranking

The goal of unbiased learning to rank (ULTR) is to leverage implicit user feedback for optimizing learning-to-rank systems. Among existing solutions, automatic ULTR algorithms that jointly learn user bias models (i.e., propensity models) with unbiased rankers have received a lot of attention due to their superior performance and low deployment cost in practice. Despite their theoretical soundness, the effectiveness is usually justified under a weak logging policy, where the ranking model can barely rank documents according to their relevance to the query. However, when the logging policy is strong, e.g., an industry-deployed ranking policy, the reported effectiveness cannot be reproduced. In this paper, we first investigate ULTR from a causal perspective and uncover a negative result: existing ULTR algorithms fail to address the issue of propensity overestimation caused by the query-document relevance confounder. Then, we propose a new learning objective based on backdoor adjustment and highlight its differences from conventional propensity models, which reveal the prevalence of propensity overestimation. On top of that, we introduce a novel propensity model called Logging-Policy-aware Propensity (LPP) model and its distinctive two-step optimization strategy, which allows for the joint learning of LPP and ranking models within the automatic ULTR framework, and actualize the unconfounded propensity estimation for ULTR. Extensive experiments on two benchmarks demonstrate the effectiveness and generalizability of the proposed method.

cs.IR↗

arXiv2023

Mitigating Exploitation Bias in Learning to Rank with an Uncertainty-aware Empirical Bayes Approach

Ranking is at the core of many artificial intelligence (AI) applications, including search engines, recommender systems, etc. Modern ranking systems are often constructed with learning-to-rank (LTR) models built from user behavior signals. While previous studies have demonstrated the effectiveness of using user behavior signals (e.g., clicks) as both features and labels of LTR algorithms, we argue that existing LTR algorithms that indiscriminately treat behavior and non-behavior signals in input features could lead to suboptimal performance in practice. Particularly because user behavior signals often have strong correlations with the ranking objective and can only be collected on items that have already been shown to users, directly using behavior signals in LTR could create an exploitation bias that hurts the system performance in the long run. To address the exploitation bias, we propose EBRank, an empirical Bayes-based uncertainty-aware ranking algorithm. Specifically, to overcome exploitation bias brought by behavior features in ranking models, EBRank uses a sole non-behavior feature based prior model to get a prior estimation of relevance. In the dynamic training and serving of ranking systems, EBRank uses the observed user behaviors to update posterior relevance estimation instead of concatenating behaviors as features in ranking models. Besides, EBRank additionally applies an uncertainty-aware exploration strategy to explore actively, collect user behaviors for empirical Bayesian modeling and improve ranking performance. Experiments on three public datasets show that EBRank is effective, practical and significantly outperforms state-of-the-art ranking algorithms.

cs.IR↗

arXiv2023

THUIR@COLIEE 2023: Incorporating Structural Knowledge into Pre-trained Language Models for Legal Case Retrieval

Legal case retrieval techniques play an essential role in modern intelligent legal systems. As an annually well-known international competition, COLIEE is aiming to achieve the state-of-the-art retrieval model for legal texts. This paper summarizes the approach of the championship team THUIR in COLIEE 2023. To be specific, we design structure-aware pre-trained language models to enhance the understanding of legal cases. Furthermore, we propose heuristic pre-processing and post-processing approaches to reduce the influence of irrelevant messages. In the end, learning-to-rank methods are employed to merge features with different dimensions. Experimental results demonstrate the superiority of our proposal. Official results show that our run has the best performance among all submissions. The implementation of our method can be found at https://github.com/CSHaitao/THUIR-COLIEE2023.

cs.IR↗

arXiv2023

THUIR@COLIEE 2023: More Parameters and Legal Knowledge for Legal Case Entailment

This paper describes the approach of the THUIR team at the COLIEE 2023 Legal Case Entailment task. This task requires the participant to identify a specific paragraph from a given supporting case that entails the decision for the query case. We try traditional lexical matching methods and pre-trained language models with different sizes. Furthermore, learning-to-rank methods are employed to further improve performance. However, learning-to-rank is not very robust on this task. which suggests that answer passages cannot simply be determined with information retrieval techniques. Experimental results show that more parameters and legal knowledge contribute to the legal case entailment task. Finally, we get the third place in COLIEE 2023. The implementation of our method can be found at https://github.com/CSHaitao/THUIR-COLIEE2023.

cs.CL↗

arXiv2023

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.

cs.IR↗

arXiv2023

THUIR at WSDM Cup 2023 Task 1: Unbiased Learning to Rank

This paper introduces the approaches we have used to participate in the WSDM Cup 2023 Task 1: Unbiased Learning to Rank. In brief, we have attempted a combination of both traditional IR models and transformer-based cross-encoder architectures. To further enhance the ranking performance, we also considered a series of features for learning to rank. As a result, we won 2nd place on the final leaderboard.

cs.IR↗

arXiv2023

Constructing Tree-based Index for Efficient and Effective Dense Retrieval

Recent studies have shown that Dense Retrieval (DR) techniques can significantly improve the performance of first-stage retrieval in IR systems. Despite its empirical effectiveness, the application of DR is still limited. In contrast to statistic retrieval models that rely on highly efficient inverted index solutions, DR models build dense embeddings that are difficult to be pre-processed with most existing search indexing systems. To avoid the expensive cost of brute-force search, the Approximate Nearest Neighbor (ANN) algorithm and corresponding indexes are widely applied to speed up the inference process of DR models. Unfortunately, while ANN can improve the efficiency of DR models, it usually comes with a significant price on retrieval performance. To solve this issue, we propose JTR, which stands for Joint optimization of TRee-based index and query encoding. Specifically, we design a new unified contrastive learning loss to train tree-based index and query encoder in an end-to-end manner. The tree-based negative sampling strategy is applied to make the tree have the maximum heap property, which supports the effectiveness of beam search well. Moreover, we treat the cluster assignment as an optimization problem to update the tree-based index that allows overlapped clustering. We evaluate JTR on numerous popular retrieval benchmarks. Experimental results show that JTR achieves better retrieval performance while retaining high system efficiency compared with widely-adopted baselines. It provides a potential solution to balance efficiency and effectiveness in neural retrieval system designs.

cs.IR↗

arXiv2023

SAILER: Structure-aware Pre-trained Language Model for Legal Case Retrieval

Legal case retrieval, which aims to find relevant cases for a query case, plays a core role in the intelligent legal system. Despite the success that pre-training has achieved in ad-hoc retrieval tasks, effective pre-training strategies for legal case retrieval remain to be explored. Compared with general documents, legal case documents are typically long text sequences with intrinsic logical structures. However, most existing language models have difficulty understanding the long-distance dependencies between different structures. Moreover, in contrast to the general retrieval, the relevance in the legal domain is sensitive to key legal elements. Even subtle differences in key legal elements can significantly affect the judgement of relevance. However, existing pre-trained language models designed for general purposes have not been equipped to handle legal elements. To address these issues, in this paper, we propose SAILER, a new Structure-Aware pre-traIned language model for LEgal case Retrieval. It is highlighted in the following three aspects: (1) SAILER fully utilizes the structural information contained in legal case documents and pays more attention to key legal elements, similar to how legal experts browse legal case documents. (2) SAILER employs an asymmetric encoder-decoder architecture to integrate several different pre-training objectives. In this way, rich semantic information across tasks is encoded into dense vectors. (3) SAILER has powerful discriminative ability, even without any legal annotation data. It can distinguish legal cases with different charges accurately. Extensive experiments over publicly available legal benchmarks demonstrate that our approach can significantly outperform previous state-of-the-art methods in legal case retrieval.

cs.IR↗

arXiv2023

Reward-free Policy Imitation Learning for Conversational Search

Existing conversational search studies mainly focused on asking better clarifying questions and/or improving search result quality. These works aim at retrieving better responses according to the search context, and their performances are evaluated on either single-turn tasks or multi-turn tasks under naive conversation policy settings. This leaves some questions about their applicability in real-world multi-turn conversations where realistically, each and every action needs to be made by the system itself, and search session efficiency is often an important concern of conversational search systems. While some recent works have identified the need for improving search efficiency in conversational search, they mostly require extensive data annotations and use hand-crafted rewards or heuristics to train systems that can achieve reasonable performance in a restricted number of turns, which has limited generalizability in practice. In this paper, we propose a reward-free conversation policy imitation learning framework, which can train a conversation policy without annotated conversation data or manually designed rewards. The trained conversation policy can be used to guide the conversational retrieval models to balance conversational search quality and efficiency. To evaluate the proposed conversational search system, we propose a new multi-turn-multi-response conversational evaluation metric named Expected Conversational Reciprocal Rank (ECRR). ECRR is designed to evaluate entire multi-turn conversational search sessions towards comprehensively evaluating both search result quality and search efficiency.

cs.IR↗

arXiv2023

Metric-agnostic Ranking Optimization

Ranking is at the core of Information Retrieval. Classic ranking optimization studies often treat ranking as a sorting problem with the assumption that the best performance of ranking would be achieved if we rank items according to their individual utility. Accordingly, considerable ranking metrics have been developed and learning-to-rank algorithms that have been designed to optimize these simple performance metrics have been widely used in modern IR systems. As applications evolve, however, people's need for information retrieval have shifted from simply retrieving relevant documents to more advanced information services that satisfy their complex working and entertainment needs. Thus, more complicated and user-centric objectives such as user satisfaction and engagement have been adopted to evaluate modern IR systems today. Those objectives, unfortunately, are difficult to be optimized under existing learning-to-rank frameworks as they are subject to great variance and complicated structures that cannot be explicitly explained or formulated with math equations like those simple performance metrics. This leads to the following research question -- how to optimize result ranking for complex ranking metrics without knowing their internal structures? To address this question, we conduct formal analysis on the limitation of existing ranking optimization techniques and describe three research tasks in \textit{Metric-agnostic Ranking Optimization}. Through the discussion of potential solutions to these tasks, we hope to encourage more people to look into the problem of ranking optimization in complex search and recommendation scenarios.

cs.IR↗

arXiv2023

Towards Better Web Search Performance: Pre-training, Fine-tuning and Learning to Rank

This paper describes the approach of the THUIR team at the WSDM Cup 2023 Pre-training for Web Search task. This task requires the participant to rank the relevant documents for each query. We propose a new data pre-processing method and conduct pre-training and fine-tuning with the processed data. Moreover, we extract statistical, axiomatic, and semantic features to enhance the ranking performance. After the feature extraction, diverse learning-to-rank models are employed to merge those features. The experimental results show the superiority of our proposal. We finally achieve second place in this competition.

cs.IR↗