JURIX 2007 presentation on our research on automatic categorisation of norms in legal texts

1. Categorisation of Norms
Emile de Maat
Radboud Winkels

2. Ultimate Goal
Structured
text with Model of Integrated
NL text individual model of
explicit and
typed refs provisions meaning
Semantic Network CLIME
(ICAIL 2005; JURIX 2006) E-POWER
ESTRELLA
Computer support! …
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3. Ultimate Goal
Structured
text with Model of Integrated
NL text individual model of
explicit and
typed refs provisions meaning
Semantic Network E-POWER
(ICAIL 2005; JURIX 2006) ESTRELLA
Recognizing Model
and fragment
classifying suggestions
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4. Steps
 Structure of Legislation
 Types of sentences
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5. Structure of Law: Basic Rules
 The law sets rules for the people living in a
country
 The rules tell them what their rights and
duties are
General Child Benefit Law, article 7, sub 1
Conform the stipulations of this law, the insured has a right to
child benefit for an own child, a stepchild and a foster child
which:
a. is younger than 16 years of age and belongs to his household;
or
b. is younger than 18 years of age and is maintained by him for a
significant amount.
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6. Structure of Law: Additional Rules
 Laws contain additional rules
General Child Benefit Law, article 24b
By Ministerial Decree additional rules can be set regarding the articles
24, sub 1, 2, 3, 4, 5 and 6, and 24a.
 Hart: Secondary rules
 Rules of recognition
 Rules of change
 Rules of adjudication
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7. Structure of Law: More Additional Rules
General Child Benefit Law, article 14, sub 2
A request is made by means of an application form, which is provided by
the Social Insurance Bank.
 A duty: the form must be used when making a
request
 Not a “core” rule, but a “follow-up” on another
rules
 Somewhat different from a primary rule, but not a
secondary rule
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8. Structure of Law: Layers
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9. Structure of Law: Definitions
 Defining sentences
 Not a primary rule, nor a secondary rule
 Sometimes not even a rule, but merely a tool
to make the text more readable (abbreviations)
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10. Structure of Law: Layers and Definitions
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11. Layers and Systems
 Layering is visible in most existing systems
(or their underlying models)
 Usually, only one or two layers are present
in a model
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12. Possible Ideal Situation
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13. Additional Benefits
 Most models do not have a (complete)
mapping to the original legal text
(isomorphic representation)
 Rules are omitted
 Terms are specified
 Different legal constructs are mapped in the
same way in the model
 An integral “base” model can maintain
isomorphism more easily
 Easier to maintain
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14. Approach: Mapping sentences to model fragments
 In Dutch Law, most norms are contained in
a single sentence
 In order to come to an isomorphic
representation, model each sentence
individually, and then integrate them
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15. Core rules
 Right or duty
Passport Law, article 9
Every Dutchman has, within the limits as determined in this law, a right
to a national passport, valid for five years and for all countries.
 Using signal words (right, must) or
“statement of fact”
Funeral Law, article 46, sub 1
No bodies are interred on a closed cemetery.
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16. Core Rules: Definitions
 Definitions
General Administrative Law, article 1:4, sub 1
By administrative judge is understood: an impartial body that is
appointed by law and charged with administrative judicial settlement.
 Extensions
 Deeming Provisions
Income Tax Law, article 3.2.2.9, sub 5
For the application of this article, a ship that is permanently tied to one
spot is also considered to be a house.
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17. Core rules: Support by definitions
 The (sentences containing) core rules are
supported by the different defining
sentences
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18. Core rules: Application provision
 Specifies additional conditions under which
a norm does (or does not) apply
Securities Market Supervision Act , article 46b, sub 2
Sub 1 does not apply to a partnership as meant in the Civil Code, book 2,
article 76a.
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19. Core rules: Exceptions
 An exception is a norm that takes
precedence over another norm
 Announced by the phrase “In deviation of”
 Similar to an application provision: the
other norm does not apply
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20. Core rules: Sanctions
 Some normative sentences include
sanctions
Penal code, article 111
Intentionally insulting the King is punished with a prison sentence of at
most five years or a monetary fine of the fourth category.
 Determination crime/misdemeanour
Foreign Ships Act, article 11, sub 3
The facts marked as punishable under sub 1 are crimes. The facts
marked as punishable under sub 2 are misdemeanours.
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21. Core Rules: Complete Structure
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22. Procedural Norms
 Procedural Norms follow the same
structure as core norms
Electoral Law, article J 25, sub 1
The voter hands his polling card to the chairman of the polling station.
 Meaning is different, however:
 Consequences
 Context (order)
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23. Creating Norms
 Imply the duty to create and maintain
something
Electoral Law, article A 1
A voting council exists, which resides in The Hague.
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24. Delegation
 Confer norm-issuing powers
Telecommunication Law, article 7.6, sub 2
By administrative order, rules will be posed to which the subscriber
information service should conform.
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25. Modification, enactment, repeal
 Modify existing laws
Lease Law, article 189
Retracted are:
a. the Lease Law (Stb. 1937, 205); henceforth, she will be referred to as
Lease Law 1937;
b. the Crisis Lease Law 1932.
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26. Multiple Norms in One Sentence
 Two main clauses
Bailiff Law, article 3a, sub 3, second sentence
Because of required speed, the notice may be given orally, in which case
it is immediately confirmed in writing.
 Two sides
Customs Law, article 13, sub 1
During the investigation, as meant in article 12, only civil
servants of the Tax Administration, that have been selected by
the inspector, may enter a house without the inhabitant’s
permission.
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27. Conclusions (1)
 Several layers of provisions can be
distinguished
 They operate on different domains,
subjects or tasks, but do have overlap
 Domain and task specific models often
focus on only one or two layers
 Domain and task specific models often
extract only the rules needed for their
goals, losing isomorphy
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28. Conclusions (2)
 Making a model of the complete law
retains isomorphism, facilitates
maintenance when the law changes
 Only useful if the law changes often, and if
more than one domain model is generated
from it
 Additional use in checking a bill for
consistency and effects
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29. Conclusions (3)
 Dutch Law:
 Provisions usually match one sentence
 Several types of sentences can be easily
distinguished
 Max 5 language constructs per type
 Automatic recognition and classification seems
doable
 Types not specific for Dutch law
(cf. Tiscornia e.a. for Italian law)
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30. Next steps
 Parser/classifier for sentences in
legislation
 Design model fragments for types
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