Empirical Study of Deep Learning for Text Classification in Legal Document Review

Predictive coding has been widely used in legal matters to find relevant or privileged documents in large sets of electronically stored information. It saves the time and cost significantly. Logistic Regression (LR) and Support Vector Machines (SVM) are two popular machine learning algorithms used in predictive coding. Recently, deep learning received a lot of attentions in many industries. This paper reports our preliminary studies in using deep learning in legal document review. Specifically, we conducted experiments to compare deep learning results with results obtained using a SVM algorithm on the four datasets of real legal matters. Our results showed that CNN performed better with larger volume of training dataset and should be a fit method in the text classification in legal industry.Comment: 2018 IEEE International Conference on Big Data (Big Data

Explainable Text Classification in Legal Document Review A Case Study of Explainable Predictive Coding

In today's legal environment, lawsuits and regulatory investigations require companies to embark upon increasingly intensive data-focused engagements to identify, collect and analyze large quantities of data. When documents are staged for review the process can require companies to dedicate an extraordinary level of resources, both with respect to human resources, but also with respect to the use of technology-based techniques to intelligently sift through data. For several years, attorneys have been using a variety of tools to conduct this exercise, and most recently, they are accepting the use of machine learning techniques like text classification to efficiently cull massive volumes of data to identify responsive documents for use in these matters. In recent years, a group of AI and Machine Learning researchers have been actively researching Explainable AI. In an explainable AI system, actions or decisions are human understandable. In typical legal `document review' scenarios, a document can be identified as responsive, as long as one or more of the text snippets in a document are deemed responsive. In these scenarios, if predictive coding can be used to locate these responsive snippets, then attorneys could easily evaluate the model's document classification decision. When deployed with defined and explainable results, predictive coding can drastically enhance the overall quality and speed of the document review process by reducing the time it takes to review documents. The authors of this paper propose the concept of explainable predictive coding and simple explainable predictive coding methods to locate responsive snippets within responsive documents. We also report our preliminary experimental results using the data from an actual legal matter that entailed this type of document review.Comment: 2018 IEEE International Conference on Big Dat

An Empirical Study of the Application of Machine Learning and Keyword Terms Methodologies to Privilege-Document Review Projects in Legal Matters

Protecting privileged communications and data from disclosure is paramount for legal teams. Unrestricted legal advice, such as attorney-client communications or litigation strategy. are vital to the legal process and are exempt from disclosure in litigations or regulatory events. To protect this information from being disclosed, companies and outside counsel must review vast amounts of documents to determine those that contain privileged material. This process is extremely costly and time consuming. As data volumes increase, legal counsel employ methods to reduce the number of documents requiring review while balancing the need to ensure the protection of privileged information. Keyword searching is relied upon as a method to target privileged information and reduce document review populations. Keyword searches are effective at casting a wide net but return over inclusive results -- most of which do not contain privileged information -- and without detailed knowledge of the data, keyword lists cannot be crafted to find all privilege material. Overly-inclusive keyword searching can also be problematic, because even while it drives up costs, it also can cast `too far of a net' and thus produce unreliable results.To overcome these weaknesses of keyword searching, legal teams are using a new method to target privileged information called predictive modeling. Predictive modeling can successfully identify privileged material but little research has been published to confirm its effectiveness when compared to keyword searching. This paper summarizes a study of the effectiveness of keyword searching and predictive modeling when applied to real-world data. With this study, this group of collaborators wanted to examine and understand the benefits and weaknesses of both approaches to legal teams with identifying privilege material in document populations.Comment: 2018 IEEE International Conference on Big Data (Big Data

The Role of Document Structure and Citation Analysis in Literature Information Retrieval

Literature Information Retrieval (IR) is the task of searching relevant publications given a particular information need expressed as a set of queries. With the staggering growth of scientific literature, it is critical to design effective retrieval solutions to facilitate efficient access to them. We hypothesize that particular genre specific characteristics of scientific literature such as metadata and citations are potentially helpful for enhancing scientific literature search. We conducted systematic and extensive IR experiments on open information retrieval test collections to investigate their roles in enhancing literature information retrieval effectiveness. This thesis consists of three major parts of studies. First, we examined the role of document structure in literature search through comprehensive studies on the retrieval effectiveness of a set of structure-aware retrieval models on ad hoc scientific literature search tasks. Second, under the language modeling retrieval framework, we studied exploiting citation and co-citation analysis results as sources of evidence for enhancing literature search. Specifically, we examined relevant document distribution patterns over partitioned clusters of document citation and co-citation graphs; we examined seven ways of modeling document prior probabilities of being relevant based on document citation and co-citation analysis; we studied the effectiveness of boosting retrieved documents with scores of their neighborhood documents in terms co-citation counts, co-citation similarities and Howard White's pennant scores. Third, we combined both structured retrieval features and citation related features in developing machine learned retrieval models for literatures search and assessed the effectiveness of learning to rank algorithms and various literature-specific features. Our major findings are as follows. State-of-the-art structure-ware retrieval models though reportedly perform well in known item finding tasks do not significantly outperform non-fielded baseline retrieval models in ad hoc literature information retrieval. Though relevant document distributions over citation and co-citation network graph partitions reveal favorable pattern, citation and co-citation analysis results on the current iSearch test collection only modestly improve retrieval effectiveness. However, priors derived from co-citation analysis outperform that derived from citation analysis, and pennant score for document expansion outperforms raw co-citation count or cosine similarity of co-citation counts. Our learning to rank experiments show that in a heterogeneous collection setting, citation related features can significantly outperform baselines.Ph.D., Information Studies -- Drexel University, 201