Jiaxin Mao

Jingtao Zhan, Qingyao Ai, Yiqun Liu et al. · tsinghua

Recent advance in Dense Retrieval (DR) techniques has significantly improved the effectiveness of first-stage retrieval. Trained with large-scale supervised data, DR models can encode queries and documents into a low-dimensional dense space and conduct effective semantic matching. However, previous studies have shown that the effectiveness of DR models would drop by a large margin when the trained DR models are adopted in a target domain that is different from the domain of the labeled data. One of the possible reasons is that the DR model has never seen the target corpus and thus might be incapable of mitigating the difference between the training and target domains. In practice, unfortunately, training a DR model for each target domain to avoid domain shift is often a difficult task as it requires additional time, storage, and domain-specific data labeling, which are not always available. To address this problem, in this paper, we propose a novel DR framework named Disentangled Dense Retrieval (DDR) to support effective and flexible domain adaptation for DR models. DDR consists of a Relevance Estimation Module (REM) for modeling domain-invariant matching patterns and several Domain Adaption Modules (DAMs) for modeling domain-specific features of multiple target corpora. By making the REM and DAMs disentangled, DDR enables a flexible training paradigm in which REM is trained with supervision once and DAMs are trained with unsupervised data. Comprehensive experiments in different domains and languages show that DDR significantly improves ranking performance compared to strong DR baselines and substantially outperforms traditional retrieval methods in most scenarios.

Jie Chen, Zhipeng Chen, Jiapeng Wang et al.

Continual pre-training (CPT) has been an important approach for adapting language models to specific domains or tasks. To make the CPT approach more traceable, this paper presents a technical report for continually pre-training Llama-3 (8B), which significantly enhances the Chinese language ability and scientific reasoning ability of the backbone model. To enhance the new abilities while retaining the original abilities, we design specific data mixture and curriculum strategies by utilizing existing datasets and synthesizing high-quality datasets. Specifically, we synthesize multidisciplinary scientific question and answer (QA) pairs based on related web pages, and subsequently incorporate these synthetic data to improve the scientific reasoning ability of Llama-3. We refer to the model after CPT as Llama-3-SynE (Synthetic data Enhanced Llama-3). We also present the tuning experiments with a relatively small model -- TinyLlama, and employ the derived findings to train the backbone model. Extensive experiments on a number of evaluation benchmarks show that our approach can largely improve the performance of the backbone models, including both the general abilities (+8.81 on C-Eval and +6.31 on CMMLU) and the scientific reasoning abilities (+12.00 on MATH and +4.13 on SciEval), without hurting the original capacities. Our model, data, and codes are available at https://github.com/RUC-GSAI/Llama-3-SynE.

Wenqiang Lei, Yao Zhang, Feifan Song et al. · pku

Proactive dialogue system is able to lead the conversation to a goal topic and has advantaged potential in bargain, persuasion and negotiation. Current corpus-based learning manner limits its practical application in real-world scenarios. To this end, we contribute to advance the study of the proactive dialogue policy to a more natural and challenging setting, i.e., interacting dynamically with users. Further, we call attention to the non-cooperative user behavior -- the user talks about off-path topics when he/she is not satisfied with the previous topics introduced by the agent. We argue that the targets of reaching the goal topic quickly and maintaining a high user satisfaction are not always converge, because the topics close to the goal and the topics user preferred may not be the same. Towards this issue, we propose a new solution named I-Pro that can learn Proactive policy in the Interactive setting. Specifically, we learn the trade-off via a learned goal weight, which consists of four factors (dialogue turn, goal completion difficulty, user satisfaction estimation, and cooperative degree). The experimental results demonstrate I-Pro significantly outperforms baselines in terms of effectiveness and interpretability.

Yunqiu Shao, Haitao Li, Yueyue Wu et al. · tsinghua

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.

Haitao Li, Qingyao Ai, Jingtao Zhan et al. · tsinghua

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.

Guosheng Dong, Da Pan, Yiding Sun et al.

The general capabilities of Large Language Models (LLM) highly rely on the composition and selection on extensive pretraining datasets, treated as commercial secrets by several institutions. To mitigate this issue, we open-source the details of a universally applicable data processing pipeline and validate its effectiveness and potential by introducing a competitive LLM baseline. Specifically, the data processing pipeline consists of broad collection to scale up and reweighting to improve quality. We then pretrain a 7B model BaichuanSEED with 3T tokens processed by our pipeline without any deliberate downstream task-related optimization, followed by an easy but effective supervised fine-tuning stage. BaichuanSEED demonstrates consistency and predictability throughout training and achieves comparable performance on comprehensive benchmarks with several commercial advanced large language models, such as Qwen1.5 and Llama3. We also conduct several heuristic experiments to discuss the potential for further optimization of downstream tasks, such as mathematics and coding.

Peiyuan Gong, Jiaxin Mao

Recently, natural language generation (NLG) evaluation has shifted from a single-aspect to a multi-aspect paradigm, allowing for a more accurate assessment. Large language models (LLMs) achieve superior performance on various NLG evaluation tasks. However, current work often employs the LLM to independently evaluate different aspects, which largely ignores the rich correlation between various aspects. To fill this research gap, in this work, we propose an NLG evaluation metric called CoAScore. Powered by LLMs, the CoAScore utilizes multi-aspect knowledge through a CoA (\textbf{C}hain-\textbf{o}f-\textbf{A}spects) prompting framework when assessing the quality of a certain aspect. Specifically, for a given aspect to evaluate, we first prompt the LLM to generate a chain of aspects that are relevant to the target aspect and could be useful for the evaluation. We then collect evaluation scores for each generated aspect, and finally, leverage the knowledge of these aspects to improve the evaluation of the target aspect. We evaluate CoAScore across five NLG evaluation tasks (e.g., summarization, dialog response generation, etc) and nine aspects (e.g., overall quality, relevance, coherence, etc). Our experimental findings highlight that, in comparison to individual aspect evaluation, CoAScore exhibits a higher correlation with human judgments. This improvement significantly outperforms existing unsupervised evaluation metrics, whether for assessing overall quality or other aspects. We also conducted extensive ablation studies to validate the effectiveness of the three stages within the CoAScore framework and conducted case studies to show how the LLM performs in these stages. Our code and scripts are available.

Yiqun Chen, Jiaxin Mao, Yi Zhang et al.

Search result diversification (SRD), which aims to ensure that documents in a ranking list cover a broad range of subtopics, is a significant and widely studied problem in Information Retrieval and Web Search. Existing methods primarily utilize a paradigm of "greedy selection", i.e., selecting one document with the highest diversity score at a time or optimize an approximation of the objective function. These approaches tend to be inefficient and are easily trapped in a suboptimal state. To address these challenges, we introduce Multi-Agent reinforcement learning (MARL) for search result DIVersity, which called MA4DIV. In this approach, each document is an agent and the search result diversification is modeled as a cooperative task among multiple agents. By modeling the SRD ranking problem as a cooperative MARL problem, this approach allows for directly optimizing the diversity metrics, such as $α$-NDCG, while achieving high training efficiency. We conducted experiments on public TREC datasets and a larger scale dataset in the industrial setting. The experiemnts show that MA4DIV achieves substantial improvements in both effectiveness and efficiency than existing baselines, especially on the industrial dataset. The code of MA4DIV can be seen on https://github.com/chenyiqun/MA4DIV.

Yiqun Chen, Erhan Zhang, Lingyong Yan et al. · baidu

In question-answering (QA) systems, Retrieval-Augmented Generation (RAG) has become pivotal in enhancing response accuracy and reducing hallucination issues. The architecture of RAG systems varies significantly, encompassing single-round RAG, iterative RAG, and reasoning RAG, each tailored to address different types of queries. Due to the varying complexity of real-world queries, a fixed RAG pipeline often struggles to balance performance and cost efficiency across different queries. To address this challenge, we propose an adaptive RAG framework called MAO-ARAG, which leverages multi-agent orchestration. Our adaptive RAG is conceived as a multi-turn framework. Specifically, we define multiple executor agents, representing typical RAG modules such as query reformulation agents, document selection agent, and generation agents. A planner agent intelligently selects and integrates the appropriate agents from these executors into a suitable workflow tailored for each query, striving for high-quality answers while maintaining reasonable costs. During each turn, the planner agent is trained using reinforcement learning, guided by an outcome-based reward (F1 score) and a cost-based penalty, continuously improving answer quality while keeping costs within a reasonable range. Experiments conducted on multiple QA datasets demonstrate that our approach, which dynamically plans workflows for each query, not only achieves high answer quality but also maintains both cost and latency within acceptable limits.The code of MAO-ARAG is on https://github.com/chenyiqun/Agentic-RAG.

Weihang Su, Anzhe Xie, Qingyao Ai et al.

The rapid growth of academic literature makes the manual creation of scientific surveys increasingly infeasible. While large language models show promise for automating this process, progress in this area is hindered by the absence of standardized benchmarks and evaluation protocols. To bridge this critical gap, we introduce SurGE (Survey Generation Evaluation), a new benchmark for scientific survey generation in computer science. SurGE consists of (1) a collection of test instances, each including a topic description, an expert-written survey, and its full set of cited references, and (2) a large-scale academic corpus of over one million papers. In addition, we propose an automated evaluation framework that measures the quality of generated surveys across four dimensions: comprehensiveness, citation accuracy, structural organization, and content quality. Our evaluation of diverse LLM-based methods demonstrates a significant performance gap, revealing that even advanced agentic frameworks struggle with the complexities of survey generation and highlighting the need for future research in this area. We have open-sourced all the code, data, and models at: https://github.com/oneal2000/SurGE

Qi Liu, Bo Wang, Nan Wang et al.

Recent studies have demonstrated the effectiveness of using large language language models (LLMs) in passage ranking. The listwise approaches, such as RankGPT, have become new state-of-the-art in this task. However, the efficiency of RankGPT models is limited by the maximum context length and relatively high latency of LLM inference. To address these issues, in this paper, we propose PE-Rank, leveraging the single passage embedding as a good context compression for efficient listwise passage reranking. By treating each passage as a special token, we can directly input passage embeddings into LLMs, thereby reducing input length. Additionally, we introduce an inference method that dynamically constrains the decoding space to these special tokens, accelerating the decoding process. For adapting the model to reranking, we employ listwise learning to rank loss for training. Evaluation results on multiple benchmarks demonstrate that PE-Rank significantly improves efficiency in both prefilling and decoding, while maintaining competitive ranking effectiveness. The Code is available at https://github.com/liuqi6777/pe_rank.

Yiqun Chen, Qi Liu, Yi Zhang et al.

Large Language Models (LLMs) are increasingly employed in zero-shot documents ranking, yielding commendable results. However, several significant challenges still persist in LLMs for ranking: (1) LLMs are constrained by limited input length, precluding them from processing a large number of documents simultaneously; (2) The output document sequence is influenced by the input order of documents, resulting in inconsistent ranking outcomes; (3) Achieving a balance between cost and ranking performance is challenging. To tackle these issues, we introduce a novel documents ranking method called TourRank, which is inspired by the sport tournaments, such as FIFA World Cup. Specifically, we 1) overcome the limitation in input length and reduce the ranking latency by incorporating a multi-stage grouping strategy similar to the parallel group stage of sport tournaments; 2) improve the ranking performance and robustness to input orders by using a points system to ensemble multiple ranking results. We test TourRank with different LLMs on the TREC DL datasets and the BEIR benchmark. The experimental results demonstrate that TourRank delivers state-of-the-art performance at a modest cost. The code of TourRank can be seen on https://github.com/chenyiqun/TourRank.

Erhan Zhang, Xingzhu Wang, Peiyuan Gong et al.

Due to the advantages in the cost-efficiency and reproducibility, user simulation has become a promising solution to the user-centric evaluation of information retrieval systems. Nonetheless, accurately simulating user search behaviors has long been a challenge, because users' actions in search are highly complex and driven by intricate cognitive processes such as learning, reasoning, and planning. Recently, Large Language Models (LLMs) have demonstrated remarked potential in simulating human-level intelligence and have been used in building autonomous agents for various tasks. However, the potential of using LLMs in simulating search behaviors has not yet been fully explored. In this paper, we introduce a LLM-based user search behavior simulator, USimAgent. The proposed simulator can simulate users' querying, clicking, and stopping behaviors during search, and thus, is capable of generating complete search sessions for specific search tasks. Empirical investigation on a real user behavior dataset shows that the proposed simulator outperforms existing methods in query generation and is comparable to traditional methods in predicting user clicks and stopping behaviors. These results not only validate the effectiveness of using LLMs for user simulation but also shed light on the development of a more robust and generic user simulators. The code and data are accessible at https://github.com/Meow-E/USimAgent.

Yiqun Chen, Lingyong Yan, Weiwei Sun et al.

Retrieval-augmented generation (RAG) is widely utilized to incorporate external knowledge into large language models, thereby enhancing factuality and reducing hallucinations in question-answering (QA) tasks. A standard RAG pipeline consists of several components, such as query rewriting, document retrieval, document filtering, and answer generation. However, these components are typically optimized separately through supervised fine-tuning, which can lead to misalignments between the objectives of individual components and the overarching aim of generating accurate answers. Although recent efforts have explored using reinforcement learning (RL) to optimize specific RAG components, these approaches often focus on simple pipelines with only two components or do not adequately address the complex interdependencies and collaborative interactions among the modules. To overcome these limitations, we propose treating the complex RAG pipeline with multiple components as a multi-agent cooperative task, in which each component can be regarded as an RL agent. Specifically, we present MMOA-RAG, Multi-Module joint Optimization Algorithm for RAG, which employs multi-agent reinforcement learning to harmonize all agents' goals toward a unified reward, such as the F1 score of the final answer. Experiments conducted on various QA benchmarks demonstrate that MMOA-RAG effectively boost the overall performance of the pipeline and outperforms existing baselines. Furthermore, comprehensive ablation studies validate the contributions of individual components and demonstrate MMOA-RAG can be adapted to different RAG pipelines and benchmarks.

Shengjie Ma, Qi Chu, Jiaxin Mao et al.

Determining which legal cases are relevant to a given query involves navigating lengthy texts and applying nuanced legal reasoning. Traditionally, this task has demanded significant time and domain expertise to identify key Legal Facts and reach sound juridical conclusions. In addition, existing data with legal case similarities often lack interpretability, making it difficult to understand the rationale behind relevance judgments. With the growing capabilities of large language models (LLMs), researchers have begun investigating their potential in this domain. Nonetheless, the method of employing a general large language model for reliable relevance judgments in legal case retrieval remains largely unexplored. To address this gap in research, we propose a novel few-shot approach where LLMs assist in generating expert-aligned interpretable relevance judgments. The proposed approach decomposes the judgment process into several stages, mimicking the workflow of human annotators and allowing for the flexible incorporation of expert reasoning to improve the accuracy of relevance judgments. Importantly, it also ensures interpretable data labeling, providing transparency and clarity in the relevance assessment process. Through a comparison of relevance judgments made by LLMs and human experts, we empirically demonstrate that the proposed approach can yield reliable and valid relevance assessments. Furthermore, we demonstrate that with minimal expert supervision, our approach enables a large language model to acquire case analysis expertise and subsequently transfers this ability to a smaller model via annotation-based knowledge distillation.

Yiding Sun, Feng Wang, Yutao Zhu et al.

The ability of the foundation models heavily relies on large-scale, diverse, and high-quality pretraining data. In order to improve data quality, researchers and practitioners often have to manually curate datasets from difference sources and develop dedicated data cleansing pipeline for each data repository. Lacking a unified data processing framework, this process is repetitive and cumbersome. To mitigate this issue, we propose a data processing framework that integrates a Processing Module which consists of a series of operators at different granularity levels, and an Analyzing Module which supports probing and evaluation of the refined data. The proposed framework is easy to use and highly flexible. In this demo paper, we first introduce how to use this framework with some example use cases and then demonstrate its effectiveness in improving the data quality with an automated evaluation with ChatGPT and an end-to-end evaluation in pretraining the GPT-2 model. The code and demonstration videos are accessible on GitHub.

Changxin Tian, Jiapeng Wang, Qian Zhao et al.

Recent advances in learning rate (LR) scheduling have demonstrated the effectiveness of decay-free approaches that eliminate the traditional decay phase while maintaining competitive performance. Model merging techniques have emerged as particularly promising solutions in this domain. We present Warmup-Stable and Merge (WSM), a general framework that establishes a formal connection between learning rate decay and model merging. WSM provides a unified theoretical foundation for emulating various decay strategies-including cosine decay, linear decay and inverse square root decay-as principled model averaging schemes, while remaining fully compatible with diverse optimization methods. Through extensive experiments, we identify merge duration-the training window for checkpoint aggregation-as the most critical factor influencing model performance, surpassing the importance of both checkpoint interval and merge quantity. Our framework consistently outperforms the widely-adopted Warmup-Stable-Decay (WSD) approach across multiple benchmarks, achieving significant improvements of +3.5% on MATH, +2.9% on HumanEval, and +5.5% on MMLU-Pro. The performance advantages extend to supervised fine-tuning scenarios, highlighting WSM's potential for long-term model refinement.

Zechun Niu, Zhilin Zhang, Jiaxin Mao et al.

Counterfactual learning to rank (CLTR) has attracted extensive attention in the IR community for its ability to leverage massive logged user interaction data to train ranking models. While the CLTR models can be theoretically unbiased when the user behavior assumption is correct and the propensity estimation is accurate, their effectiveness is usually empirically evaluated via simulation-based experiments due to a lack of widely available, large-scale, real click logs. However, many previous simulation-based experiments are somewhat limited because they may have one or more of the following deficiencies: 1) using a weak production ranker to generate initial ranked lists, 2) relying on a simplified user simulation model to simulate user clicks, and 3) generating a fixed number of synthetic click logs. As a result, the robustness of CLTR models in complex and diverse situations is largely unknown and needs further investigation. To address this problem, in this paper, we aim to investigate the robustness of existing CLTR models in a reproducibility study with extensive simulation-based experiments that (1) use production rankers with different ranking performance, (2) leverage multiple user simulation models with different user behavior assumptions, and (3) generate different numbers of synthetic sessions for the training queries. We find that the IPS-DCM, DLA-PBM, and UPE models show better robustness under various simulation settings than other CLTR models. Moreover, existing CLTR models often fail to outperform naive click baselines when the production ranker is strong and the number of training sessions is limited, indicating a pressing need for new CLTR algorithms tailored to these conditions.

Qi Liu, Yanzhao Zhang, Mingxin Li et al.

Text embedding models serve as a fundamental component in real-world search applications. By mapping queries and documents into a shared embedding space, they deliver competitive retrieval performance with high efficiency. However, their ranking fidelity remains limited compared to dedicated rerankers, especially recent LLM-based listwise rerankers, which capture fine-grained query-document and document-document interactions. In this paper, we propose a simple yet effective unified framework E2Rank, means Efficient Embedding-based Ranking (also means Embedding-to-Rank), which extends a single text embedding model to perform both high-quality retrieval and listwise reranking through continued training under a listwise ranking objective, thereby achieving strong effectiveness with remarkable efficiency. By applying cosine similarity between the query and document embeddings as a unified ranking function, the listwise ranking prompt, which is constructed from the original query and its candidate documents, serves as an enhanced query enriched with signals from the top-K documents, akin to pseudo-relevance feedback (PRF) in traditional retrieval models. This design preserves the efficiency and representational quality of the base embedding model while significantly improving its reranking performance. Empirically, E2Rank achieves state-of-the-art results on the BEIR reranking benchmark and demonstrates competitive performance on the reasoning-intensive BRIGHT benchmark, with very low reranking latency. We also show that the ranking training process improves embedding performance on the MTEB benchmark. Our findings indicate that a single embedding model can effectively unify retrieval and reranking, offering both computational efficiency and competitive ranking accuracy.

Peiyuan Gong, Feiran Zhu, Yaqi Yin et al.

Short-video platforms have rapidly become a new generation of information retrieval systems, where users formulate queries to access desired videos. However, user queries, especially long-tail ones, often suffer from spelling errors, incomplete phrasing, and ambiguous intent, resulting in mismatches between user expectations and retrieved results. While large language models (LLMs) have shown success in long-tail query rewriting within e-commerce, they struggle on short-video platforms, where proprietary content such as short videos, live streams, micro dramas, and user social networks falls outside their training distribution. To address this challenge, we introduce \textbf{CardRewriter}, an LLM-based framework that incorporates domain-specific knowledge to enhance long-tail query rewriting. For each query, our method aggregates multi-source knowledge relevant to the query and summarizes it into an informative and query-relevant knowledge card. This card then guides the LLM to better capture user intent and produce more effective query rewrites. We optimize CardRewriter using a two-stage training pipeline: supervised fine-tuning followed by group relative policy optimization, with a tailored reward system balancing query relevance and retrieval effectiveness. Offline experiments show that CardRewriter substantially improves rewriting quality for queries targeting proprietary content. Online A/B testing further confirms significant gains in long-view rate (LVR) and click-through rate (CTR), along with a notable reduction in initiative query reformulation rate (IQRR). Since September 2025, CardRewriter has been deployed on Kuaishou, one of China's largest short-video platforms, serving hundreds of millions of users daily.

Jiapeng Wang, Changxin Tian, Kunlong Chen et al.

Reliable evaluation is fundamental to the progress of Large Language Models (LLMs), yet the evaluation process during pre-training is plagued by significant instability that obscures true learning dynamics. In this work, we systematically diagnose this instability, attributing it to two distinct sources: \textit{Parameter Instability} from training stochasticity and \textit{Evaluation Instability} from noisy measurement protocols. To counteract both sources of noise, we introduce \textbf{MaP}, a dual-pronged framework that synergistically integrates checkpoint \underline{M}erging \underline{a}nd the \underline{P}ass@k metric. Checkpoint merging smooths the parameter space by averaging recent model weights, while Pass@k provides a robust, low-variance statistical estimate of model capability. Extensive experiments show that MaP yields significantly smoother performance curves, reduces inter-run variance, and ensures more consistent model rankings. Ultimately, MaP provides a more reliable and faithful lens for observing LLM training dynamics, laying a crucial empirical foundation for LLM research.

Feng Wang, Yiding Sun, Jiaxin Mao et al.

Large language models (LLMs) have demonstrated remarkable capabilities across various professional domains, with their performance typically evaluated through standardized benchmarks. In the financial field, the stringent demands for professional accuracy and real-time data processing often necessitate the use of retrieval-augmented generation (RAG) techniques. However, the development of financial RAG benchmarks has been constrained by data confidentiality issues and the lack of dynamic data integration. To address this issue, we introduce FinS-Pilot, a novel benchmark for evaluating RAG systems in online financial applications. Constructed from real-world financial assistant interactions, our benchmark incorporates both real-time API data and text data, organized through an intent classification framework covering critical financial domains. The benchmark enables comprehensive evaluation of financial assistants' capabilities in handling both static knowledge and time-sensitive market information.Through systematic experiments with multiple Chinese leading LLMs, we demonstrate FinS-Pilot's effectiveness in identifying models suitable for financial applications while addressing the current gap in specialized evaluation tools for the financial domain. Our work contributes both a practical evaluation framework and a curated dataset to advance research in financial NLP systems. The code and dataset are accessible on GitHub.

Zihan Zhou, Ziyi Zeng, Wenhao Jiang et al.

As social changes accelerate, the incidence of psychosomatic disorders has significantly increased, becoming a major challenge in global health issues. This necessitates an innovative knowledge system and analytical methods to aid in diagnosis and treatment. Here, we establish the ontology model and entity types, using the BERT model and LoRA-tuned LLM for named entity recognition, constructing the knowledge graph with 9668 triples. Next, by analyzing the network distances between disease, symptom, and drug modules, it was found that closer network distances among diseases can predict greater similarities in their clinical manifestations, treatment approaches, and psychological mechanisms, and closer distances between symptoms indicate that they are more likely to co-occur. Lastly, by comparing the proximity d and proximity z score, it was shown that symptom-disease pairs in primary diagnostic relationships have a stronger association and are of higher referential value than those in diagnostic relationships. The research results revealed the potential connections between diseases, co-occurring symptoms, and similarities in treatment strategies, providing new perspectives for the diagnosis and treatment of psychosomatic disorders and valuable information for future mental health research and practice.

Jingtao Zhan, Qingyao Ai, Yiqun Liu et al.

For text-to-image generation, automatically refining user-provided natural language prompts into the keyword-enriched prompts favored by systems is essential for the user experience. Such a prompt refinement process is analogous to translating the prompt from "user languages" into "system languages". However, the scarcity of such parallel corpora makes it difficult to train a prompt refinement model. Inspired by zero-shot machine translation techniques, we introduce Prompt Refinement with Image Pivot (PRIP). PRIP innovatively uses the latent representation of a user-preferred image as an intermediary "pivot" between the user and system languages. It decomposes the refinement process into two data-rich tasks: inferring representations of user-preferred images from user languages and subsequently translating image representations into system languages. Thus, it can leverage abundant data for training. Extensive experiments show that PRIP substantially outperforms a wide range of baselines and effectively transfers to unseen systems in a zero-shot manner.

Chongming Gao, Shijun Li, Wenqiang Lei et al.

The progress of recommender systems is hampered mainly by evaluation as it requires real-time interactions between humans and systems, which is too laborious and expensive. This issue is usually approached by utilizing the interaction history to conduct offline evaluation. However, existing datasets of user-item interactions are partially observed, leaving it unclear how and to what extent the missing interactions will influence the evaluation. To answer this question, we collect a fully-observed dataset from Kuaishou's online environment, where almost all 1,411 users have been exposed to all 3,327 items. To the best of our knowledge, this is the first real-world fully-observed data with millions of user-item interactions. With this unique dataset, we conduct a preliminary analysis of how the two factors - data density and exposure bias - affect the evaluation results of multi-round conversational recommendation. Our main discoveries are that the performance ranking of different methods varies with the two factors, and this effect can only be alleviated in certain cases by estimating missing interactions for user simulation. This demonstrates the necessity of the fully-observed dataset. We release the dataset and the pipeline implementation for evaluation at https://kuairec.com

Jingtao Zhan, Jiaxin Mao, Yiqun Liu et al.

Dense Retrieval (DR) reaches state-of-the-art results in first-stage retrieval, but little is known about the mechanisms that contribute to its success. Therefore, in this work, we conduct an interpretation study of recently proposed DR models. Specifically, we first discretize the embeddings output by the document and query encoders. Based on the discrete representations, we analyze the attribution of input tokens. Both qualitative and quantitative experiments are carried out on public test collections. Results suggest that DR models pay attention to different aspects of input and extract various high-level topic representations. Therefore, we can regard the representations learned by DR models as a mixture of high-level topics.

Jingtao Zhan, Jiaxin Mao, Yiqun Liu et al.

Dense Retrieval (DR) has achieved state-of-the-art first-stage ranking effectiveness. However, the efficiency of most existing DR models is limited by the large memory cost of storing dense vectors and the time-consuming nearest neighbor search (NNS) in vector space. Therefore, we present RepCONC, a novel retrieval model that learns discrete Representations via CONstrained Clustering. RepCONC jointly trains dual-encoders and the Product Quantization (PQ) method to learn discrete document representations and enables fast approximate NNS with compact indexes. It models quantization as a constrained clustering process, which requires the document embeddings to be uniformly clustered around the quantization centroids and supports end-to-end optimization of the quantization method and dual-encoders. We theoretically demonstrate the importance of the uniform clustering constraint in RepCONC and derive an efficient approximate solution for constrained clustering by reducing it to an instance of the optimal transport problem. Besides constrained clustering, RepCONC further adopts a vector-based inverted file system (IVF) to support highly efficient vector search on CPUs. Extensive experiments on two popular ad-hoc retrieval benchmarks show that RepCONC achieves better ranking effectiveness than competitive vector quantization baselines under different compression ratio settings. It also substantially outperforms a wide range of existing retrieval models in terms of retrieval effectiveness, memory efficiency, and time efficiency.

Zeyang Liu, Ke Zhou, Jiaxin Mao et al.

Conversational search systems, such as Google Assistant and Microsoft Cortana, provide a new search paradigm where users are allowed, via natural language dialogues, to communicate with search systems. Evaluating such systems is very challenging since search results are presented in the format of natural language sentences. Given the unlimited number of possible responses, collecting relevance assessments for all the possible responses is infeasible. In this paper, we propose POSSCORE, a simple yet effective automatic evaluation method for conversational search. The proposed embedding-based metric takes the influence of part of speech (POS) of the terms in the response into account. To the best knowledge, our work is the first to systematically demonstrate the importance of incorporating syntactic information, such as POS labels, for conversational search evaluation. Experimental results demonstrate that our metrics can correlate with human preference, achieving significant improvements over state-of-the-art baseline metrics.

Jingtao Zhan, Jiaxin Mao, Yiqun Liu et al.

Recently, Information Retrieval community has witnessed fast-paced advances in Dense Retrieval (DR), which performs first-stage retrieval with embedding-based search. Despite the impressive ranking performance, previous studies usually adopt brute-force search to acquire candidates, which is prohibitive in practical Web search scenarios due to its tremendous memory usage and time cost. To overcome these problems, vector compression methods have been adopted in many practical embedding-based retrieval applications. One of the most popular methods is Product Quantization (PQ). However, although existing vector compression methods including PQ can help improve the efficiency of DR, they incur severely decayed retrieval performance due to the separation between encoding and compression. To tackle this problem, we present JPQ, which stands for Joint optimization of query encoding and Product Quantization. It trains the query encoder and PQ index jointly in an end-to-end manner based on three optimization strategies, namely ranking-oriented loss, PQ centroid optimization, and end-to-end negative sampling. We evaluate JPQ on two publicly available retrieval benchmarks. Experimental results show that JPQ significantly outperforms popular vector compression methods. Compared with previous DR models that use brute-force search, JPQ almost matches the best retrieval performance with 30x compression on index size. The compressed index further brings 10x speedup on CPU and 2x speedup on GPU in query latency.

Jingtao Zhan, Jiaxin Mao, Yiqun Liu et al.

Ranking has always been one of the top concerns in information retrieval researches. For decades, the lexical matching signal has dominated the ad-hoc retrieval process, but solely using this signal in retrieval may cause the vocabulary mismatch problem. In recent years, with the development of representation learning techniques, many researchers turn to Dense Retrieval (DR) models for better ranking performance. Although several existing DR models have already obtained promising results, their performance improvement heavily relies on the sampling of training examples. Many effective sampling strategies are not efficient enough for practical usage, and for most of them, there still lacks theoretical analysis in how and why performance improvement happens. To shed light on these research questions, we theoretically investigate different training strategies for DR models and try to explain why hard negative sampling performs better than random sampling. Through the analysis, we also find that there are many potential risks in static hard negative sampling, which is employed by many existing training methods. Therefore, we propose two training strategies named a Stable Training Algorithm for dense Retrieval (STAR) and a query-side training Algorithm for Directly Optimizing Ranking pErformance (ADORE), respectively. STAR improves the stability of DR training process by introducing random negatives. ADORE replaces the widely-adopted static hard negative sampling method with a dynamic one to directly optimize the ranking performance. Experimental results on two publicly available retrieval benchmark datasets show that either strategy gains significant improvements over existing competitive baselines and a combination of them leads to the best performance.

Yunqiu Shao, Bulou Liu, Jiaxin Mao et al.

In this paper, we present our methodologies for tackling the challenges of legal case retrieval and entailment in the Competition on Legal Information Extraction / Entailment 2020 (COLIEE-2020). We participated in the two case law tasks, i.e., the legal case retrieval task and the legal case entailment task. Task 1 (the retrieval task) aims to automatically identify supporting cases from the case law corpus given a new case, and Task 2 (the entailment task) to identify specific paragraphs that entail the decision of a new case in a relevant case. In both tasks, we employed the neural models for semantic understanding and the traditional retrieval models for exact matching. As a result, our team (TLIR) ranked 2nd among all of the teams in Task 1 and 3rd among teams in Task 2. Experimental results suggest that combing models of semantic understanding and exact matching benefits the legal case retrieval task while the legal case entailment task relies more on semantic understanding.

Jingtao Zhan, Jiaxin Mao, Yiqun Liu et al.

Ranking has always been one of the top concerns in information retrieval research. For decades, lexical matching signal has dominated the ad-hoc retrieval process, but it also has inherent defects, such as the vocabulary mismatch problem. Recently, Dense Retrieval (DR) technique has been proposed to alleviate these limitations by capturing the deep semantic relationship between queries and documents. The training of most existing Dense Retrieval models relies on sampling negative instances from the corpus to optimize a pairwise loss function. Through investigation, we find that this kind of training strategy is biased and fails to optimize full retrieval performance effectively and efficiently. To solve this problem, we propose a Learning To Retrieve (LTRe) training technique. LTRe constructs the document index beforehand. At each training iteration, it performs full retrieval without negative sampling and then updates the query representation model parameters. Through this process, it teaches the DR model how to retrieve relevant documents from the entire corpus instead of how to rerank a potentially biased sample of documents. Experiments in both passage retrieval and document retrieval tasks show that: 1) in terms of effectiveness, LTRe significantly outperforms all competitive sparse and dense baselines. It even gains better performance than the BM25-BERT cascade system under reasonable latency constraints. 2) in terms of training efficiency, compared with the previous state-of-the-art DR method, LTRe provides more than 170x speed-up in the training process. Training with a compressed index further saves computing resources with minor performance loss.

Shaoyun Shi, Hanxiong Chen, Weizhi Ma et al.

Recent years have witnessed the success of deep neural networks in many research areas. The fundamental idea behind the design of most neural networks is to learn similarity patterns from data for prediction and inference, which lacks the ability of cognitive reasoning. However, the concrete ability of reasoning is critical to many theoretical and practical problems. On the other hand, traditional symbolic reasoning methods do well in making logical inference, but they are mostly hard rule-based reasoning, which limits their generalization ability to different tasks since difference tasks may require different rules. Both reasoning and generalization ability are important for prediction tasks such as recommender systems, where reasoning provides strong connection between user history and target items for accurate prediction, and generalization helps the model to draw a robust user portrait over noisy inputs. In this paper, we propose Logic-Integrated Neural Network (LINN) to integrate the power of deep learning and logic reasoning. LINN is a dynamic neural architecture that builds the computational graph according to input logical expressions. It learns basic logical operations such as AND, OR, NOT as neural modules, and conducts propositional logical reasoning through the network for inference. Experiments on theoretical task show that LINN achieves significant performance on solving logical equations and variables. Furthermore, we test our approach on the practical task of recommendation by formulating the task into a logical inference problem. Experiments show that LINN significantly outperforms state-of-the-art recommendation models in Top-K recommendation, which verifies the potential of LINN in practice.

Jingtao Zhan, Jiaxin Mao, Yiqun Liu et al.

Although exact term match between queries and documents is the dominant method to perform first-stage retrieval, we propose a different approach, called RepBERT, to represent documents and queries with fixed-length contextualized embeddings. The inner products of query and document embeddings are regarded as relevance scores. On MS MARCO Passage Ranking task, RepBERT achieves state-of-the-art results among all initial retrieval techniques. And its efficiency is comparable to bag-of-words methods.

Qingyao Ai, Tao Yang, Huazheng Wang et al.

How to obtain an unbiased ranking model by learning to rank with biased user feedback is an important research question for IR. Existing work on unbiased learning to rank (ULTR) can be broadly categorized into two groups -- the studies on unbiased learning algorithms with logged data, namely the \textit{offline} unbiased learning, and the studies on unbiased parameters estimation with real-time user interactions, namely the \textit{online} learning to rank. While their definitions of \textit{unbiasness} are different, these two types of ULTR algorithms share the same goal -- to find the best models that rank documents based on their intrinsic relevance or utility. However, most studies on offline and online unbiased learning to rank are carried in parallel without detailed comparisons on their background theories and empirical performance. In this paper, we formalize the task of unbiased learning to rank and show that existing algorithms for offline unbiased learning and online learning to rank are just the two sides of the same coin. We evaluate six state-of-the-art ULTR algorithms and find that most of them can be used in both offline settings and online environments with or without minor modifications. Further, we analyze how different offline and online learning paradigms would affect the theoretical foundation and empirical effectiveness of each algorithm on both synthetic and real search data. Our findings could provide important insights and guideline for choosing and deploying ULTR algorithms in practice.

Xiaohui Xie, Jiaxin Mao, Maarten de Rijke et al.

User interaction behavior is a valuable source of implicit relevance feedback. In Web image search a different type of search result presentation is used than in general Web search, which leads to different interaction mechanisms and user behavior. For example, image search results are self-contained, so that users do not need to click the results to view the landing page as in general Web search, which generates sparse click data. Also, two-dimensional result placement instead of a linear result list makes browsing behaviors more complex. Thus, it is hard to apply standard user behavior models (e.g., click models) developed for general Web search to Web image search. In this paper, we conduct a comprehensive image search user behavior analysis using data from a lab-based user study as well as data from a commercial search log. We then propose a novel interaction behavior model, called grid-based user browsing model (GUBM), whose design is motivated by observations from our data analysis. GUBM can both capture users' interaction behavior, including cursor hovering, and alleviate position bias. The advantages of GUBM are two-fold: (1) It is based on an unsupervised learning method and does not need manually annotated data for training. (2) It is based on user interaction features on search engine result pages (SERPs) and is easily transferable to other scenarios that have a grid-based interface such as video search engines. We conduct extensive experiments to test the performance of our model using a large-scale commercial image search log. Experimental results show that in terms of behavior prediction (perplexity), and topical relevance and image quality (normalized discounted cumulative gain (NDCG)), GUBM outperforms state-of-the-art baseline models as well as the original ranking. We make the implementation of GUBM and related datasets publicly available for future studies.