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Clustering of Brazilian legal judgments about failures in air transport service: an evaluation of different approaches

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Abstract

The paper presents different clustering approaches in legal judgments from the Special Civil Court located at the Federal University of Santa Catarina (JEC/UFSC). The subject is Consumer Law, specifically cases in which consumers claim moral and material compensation from airlines for service failures. To identify patterns from the dataset, we apply four types of clustering algorithms: Hierarchical and Lingo (soft clustering), K-means and Affinity Propagation (hard clustering). We evaluate the results based on the following criteria: (1) entropy and purity; (2) algorithm's ability in providing labels; (3) legal expert’s evaluation; and (4) experimental complexity. The results demonstrate that the most advantageous approach is Hierarchical Clustering, since it has the best entropy and purity numbers, as well as the least difficulty for the expert to analyze the clusters, and the least experimental complexity. The main contribution of the paper is to show the advantages and disadvantages of each approach, especially to identify labels in unstructured and non-indexed legal texts.

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Availability of data and materials

This research used an open dataset, which is available to revisers and editors on request.

Notes

  1. In August 2020, the Brazilian Judiciary instituted "Datajud", a unified national database, and the courts are required to send data of all processes following pre-established standards (CNJ 2020b).

  2. Data available at request. Code is available at https://github.com/thiagordp/clustering_jec

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Acknowledgements

We acknowledge the financial support from Brazilian agencies, CNPq (National Council for Scientific and Technological Development) and CAPES (Coordination for the Improvement of Higher Education Personne). We also acknowledge Judge Vânia Petermann of the Special Civil Court located at the Federal University of Santa Catarina to enable the research dataset.

Funding

This research was supported by grants from CNPq (National Council for Scientific and Technological Development) and CAPES (Coordination for the Improvement of Higher Education Personne).

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Correspondence to Thiago Raulino Dal Pont.

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Appendices

Appendix 1: Clusters labeled of Hierarchical Clustering

Cluster labels (number of documents per cluster)

Number of documents in disagreement with the labels

C1. Permanent baggage loss/Well-founded or partly founded (6)

1

C2. Temporary baggage loss/Well-founded or partly founded (7)

1

C3. Permanent or temporary baggage loss/Well-founded or partly founded (19)

1

C4. Return flight cancellation due to no-show on the outbound flight/Well-founded or partly founded (7)

0

C5. Waiver of ticket by consumer/Discussion about abusive fine/Repayment problems/Not founded or partly founded (7)

2

C6. Right to regret/Well-founded or partly founded (20)

16

C7. Flight delay or cancellation/Well-founded or partly founded (15)

5

C8. Consumer unfair denied boarding/Well-founded (4)

0

C9. Flight delay or cancellation/Well-founded or partly founded (18)

10

C10. Promotional ticket offer not fulfilled by a specific airline/Well-founded or partly founded (6)

0

C11. Flight delay/Well-founded or partly founded (18)

0

C12. Late flight check-in (consumer fault)/Proven bad weather/Not founded (8)

3

C13. Flight delay by technical problems/Well-founded or partly founded (17)

6

C14. Unjustified flight change or cancellation/Return flight cancellation due to no-show on the outbound flight/Well-founded or partly founded (14)

5

C15. No reply from airline in the time required by law/Well-founded or partly founded (5)

0

C16. Theft of baggage items/Well-founded or partly founded (2)

2

C17. Permanent or temporary baggage loss/International flight/Well-founded or partly founded (17)

3

C18. Flight delay or cancellation/International flight/Well-founded or partly founded (17)

3

C19. Flight delay or cancellation/International flight/Cases subject to the Montreal and Warsaw Convention/Well-founded or partly founded (28)

11

C20. Flight delay or cancellation/International flight/Cases subject to the Montreal and Warsaw Convention/Well-founded or partly founded (35)

1

C21. Permanent or temporary baggage loss/Baggage damaged/International flight/Cases subject to the Montreal and Warsaw Convention/Well-founded or partly founded (21)

4

C22. Flight delay/Judgment by assistant judge/Well-founded or partly founded (5)

0

C23. Flight delay/Judgment by assistant judge/Well-founded or partly founded (4)

0

C24. Flight delay/Judgment by assistant judge/Well-founded or partly founded (10)

0

C25. Flight delay/Judgment by assistant judge/Well-founded or partly founded (4)

1

C26. Flight delay/Well-founded or partly founded (6)

0

C27. Temporary baggage loss/Well-founded or partly founded (4)

0

C28. Theft of baggage items/Well-founded (4)

2

C29. Ticket issued with incorrect personal data (5)

3

C30. Notice about the existence of a previous lawsuit that is identical or similar to the current one (lis pendens or connection) (2)

0

C31. No consumer relation/Not founded (1)

0

C32. Illegal act not proven/Not founded (3)

0

C33. Flight delay by technical problems/Lawsuits filed by members of the same family/Well-founded (2)

0

C34. Flight delay/Judgment by assistant judge/Well-founded (2)

0

C35. Flight delay/Judgment by voluntary judge/Well-founded (2)

0

C36. Under-four-hour flight delay/Not founded (2)

0

C37. Flight delay by technical problems/Well-founded or partly founded (6)

1

C38. Waiver of ticket by consumer/Repayment problems/Judgment by voluntary judge/Well-founded or partly founded (2)

0

C39. Flight cancellation/Repayment claim/Well-founded or partly founded (7)

3

C40. Problems with ticketing with loyalty program/Repayment claim/Well-founded or partly founded (4)

2

C41. Temporary baggage loss/Well-founded or partly founded (4)

1

C42. Temporary baggage loss/Well-founded or partly founded (4)

0

C43. No reply from airline in the time required by law/Well-founded or partly founded (4)

1

C44. Flight delay/Not proven bad weather/Well-founded or partly founded (7)

2

C45. Flight delay/Loss of workday or professional engagement/Well-founded (6)

2

C46. Booking cancellation due to airline system failure/Well-founded or partly founded (4)

1

C47. Under-four-hour flight delay/Not founded (8)

1

C48. Passenger who did not follow flight security standards/Not founded (4)

1

C49. Flight delay/Proven bad weather/Not founded (5)

2

C50. Late flight check-in (consumer fault)/Not founded (10)

5

C51. Permanent baggage loss/Well-founded or partly founded (4)

1

C52. Temporary baggage loss/Theft of baggage items/Partly founded (4)

2

C53. Theft of baggage items/Well-founded or partly founded (7)

0

C54. Temporary baggage loss/Well-founded or partly founded (6)

0

C55. Temporary baggage loss/Well-founded or partly founded (9)

1

C56. Waiver of ticket by consumer/Right to regret denied/Not founded (3)

0

C57. Flight cancellation or change at least seventy-two hours in advance/Not founded (7)

4

C58. Overbooking/Partly founded (7)

3

C59. Problems with ticketing with loyalty program/Well-founded or partly founded (4)

2

C60. Incorrect charging for overweight baggage/Partly founded (6)

2

C61. Preliminary judicial order granted (5)

2

C62. Waiver of ticket by consumer/Discussion about abusive fine/Repayment problems/Well-founded or partly founded (8)

1

C63. Problems with travel company and tour packages/Partly founded (2)

1

C64. Waiver of ticket by consumer/Discussion about abusive fine/Repayment problems/Well-founded or partly founded (7)

2

C65. Flight delay or cancellation/Well-founded or partly founded (8)

2

C66. Temporary baggage loss/Baggage damaged/Well-founded or partly founded (11)

4

C67. Return flight cancellation due to no-show on the outbound flight/Well-founded or partly founded (5)

0

C68. Flight change without notice/Well-founded or partly founded (16)

11

C69. Flight delay/Not proven bad weather/Well-founded or partly founded (18)

1

C70. Flight delay/Not proven bad weather/Well-founded or partly founded (24)

8

C71. Flight delay by technical problems/Well-founded or partly founded (8)

0

C72. Flight delay or cancellation by technical problems/Well-founded or partly founded (14)

0

C73. Flight delay or cancellation by airplane maintenance/Well-founded or partly founded (9)

4

C74. Flight delay or cancellation/No airline assistance or inadequate assistance/Well-founded or partly founded (20)

6

C75. Flight delay or cancellation/Airline assistance/Well-founded or partly founded (15)

1

C76. Flight delay or cancellation by airline employees' strike/Well-founded or partly founded (6)

2

Appendix 2: Clusters labeled of K-means

Cluster labels (number of documents per cluster)

Number of documents in disagreement with the labels

C1. Different law events (243)

Flight delay/Flight cancellation/Flight change/Overbooking/Return flight cancellation due to no-show/Well-founded or partly founded

Baggage irregularities (permanent and temporary loss, damage, theft)/Well-founded or partly founded

Incorrect charging for cancellation fine/Incorrect charging for overweight baggage/Well-founded or partly founded

Under-four-hour flight delay/Not founded

34

C2. Different law events (60)

Baggage irregularities (permanent and temporary loss, damage, theft)/International flight/Cases subject to the Montreal and Warsaw Convention/Well-founded or partly founded

Flight delay/Flight cancellation/Flight change/International flight/Cases subject to the Montreal and Warsaw Convention/Well-founded or partly founded

6

C3. Different law events (275)

Flight delay/Flight cancellation/Flight change/Overbooking/Return flight cancellation due to no-show/Well-founded or partly founded

Baggage irregularities (permanent and temporary loss, damage, theft)/Well-founded or partly founded

Waiver of ticket by consumer/Discussion about abusive fine/Repayment problems/Well-founded or partly founded

Problems with ticketing/Booking not completed due to error in airline system

Promotional ticket offer not fulfilled/Well-founded or partly founded

Flight delay/Proven bad weather/Airport closures/Not founded

Late flight check-in (consumer fault)/Not founded

25

C4. Flight delay or cancellation/Judgment by assistant judge/Well-founded or partly founded (12)

0

C5. Flight delay or cancellation/International flight/Cases subject to the Montreal and Warsaw Convention/Well-founded or partly founded (31)

11

C6. Different law events (44)

Baggage irregularities (permanent and temporary loss, damage, theft)/International flight/Cases subject to the Montreal and Warsaw Convention/Well-founded or partly founded

Flight delay/Flight cancellation/Flight change/International flight/Cases subject to the Montreal and Warsaw Convention/Well-founded or partly founded

3

Appendix 3: Clusters labeled of Lingo

To make these results understandable, we organize the table as follows: the first column contains the exact labels generated by Lingo (kept in Portuguese); the second contains the translation or the expert's explanation of what it means; the third contains the score of each cluster, by which the table is ordered. Personal names are suppressed and replaced with “***”.

Cluster labels in Portuguese (number of documents per cluster)

What it means in English or to which law event it refers

Lingo Score

C1. Ré *** (61)

Airline “A” as defendant

51,18

C2. Três dias (62)

The baggage took three days to be delivered to the passenger

50,48

C3. Empresas rés (66)

Two or more airlines as defendant

47,98

C4. Novos horários voos (65)

Flight change

45,06

C5. Centavos procedente (69)

Cases well-founded

44,94

C6. Realizado *** (64)

Airline “B” as defendant

41,80

C7. Reserva passagens (67)

Ticket booking

40,22

C8. *** (51)

Airline “C” as defendant

39,90

C9. Empresa Air (83)

Airline with the prefix “air” in their name as defendant

38,70

C10. Quatro dias viagem (68)

Four-day trip

38,46

C11. *** (119)

Airline “D” as defendant

37,85

C12. Entrega malas (65)

Baggage delivery

37,19

C13. Manutenção aeronave fl (88)

Airplane maintenance

36,40

C14. Período embarque (66)

Boarding time

34,88

C15. Referida alteração (70)

Flight change

34,70

C16. Cancelamento pela (67)

Flight cancellation

33,41

C17. Havia comprado passagem (115)

Ticket purchase

32,97

C18. Requerida reembolsar (87)

Repayment claim

32,55

C19. Empresa *** (90)

Airline “E” as defendant

30,98

C20. Voltou operar (64)

The airline returned to operation (flight delay)

29,87

C21. Sessão plenária (44)

Plenary session (Superior Court)

29,87

C22. Vinte cinco (68)

Twenty-five (refers to a compensation value)

29,66

C23. Dias após extravio (67)

Temporary baggage loss

29,48

C24. Peso bagagem (69)

Baggage weight

29,06

C25. Técnicos manutenção aeronave (91)

Airplane maintenance and technical problems

27,79

C26. Duas horas atraso (80)

Two-hour flight delay

27,40

C27. Aeroporto Rio de Janeiro (68)

Rio de Janeiro airport

27,27

C28. Horário embarque alterado (39)

Boarding time changed

25,67

C29. Decolagem aeronave (59)

Airplane take-off

24,76

C30. Extravio mala (102)

Baggage loss

24,73

C31. Estabelecido Convenção (124)

Montreal and Warsaw Convention rules

24,79

C32. Forneceu assistência (61)

The airline provided assistance to the consumer during the period of flight delay

24,26

C33. Seis horas atraso (99)

Six-hour flight delay

24,07

C34. Privado pertences (66)

Baggage loss on the outbound flight

23,94

C35. Precedente TJSC Recurso Inominado (68)

A State Court precedent cited in the judgment

22,80

C36. Produção outras provas além (78)

Evidence presented in the case

22,36

C37. Tanto viagem ida (70)

Outward and return flights

21,75

C38. Fls 29 (68)

Page 29 (refers to procedural file)

20,99

C39. Alteração destino final (63)

Change of final destination

20,73

C40. Sistema requerida (69)

Airline system failure

20,58

C41. Bens extraviados (71)

Baggage loss

19,94

C42. Cancelamento voo questão (75)

Flight cancellation

19,60

C43. Ida volta respectivamente (80)

Outward and return flights

18,62

C44. Cinco centavos assim (97)

Five cents (refers to a compensation value)

18,55

C45. Sentença de improcedência (66)

Cases not founded

17,91

C46. Repercussão geral (143)

A Superior Court precedent cited in the judgment

17,88

C47. Ida volta considerando (134)

Outward and return flights

16,20

C48. Produção provas audiência inicialmente (83)

Evidence presented in the case

15,48

C49. Desprovido sentença mantida (71)

Appeal dismissed and judgment upheld

13,56

C50. Fl 17 ademais (53)

Page 17 (refers to procedural file)

13,11

C51. Itens bagagem (65)

Theft of baggage items

12,82

C52. Trinta quatro (64)

Thirty-four (refers to a compensation value)

12,71

C53. Limitando se argumentar (71)

The defendant has not proven its allegations

12,35

C54. Limite peso (72)

Baggage weight limit

12,30

C55. Produção outras provas (162)

Evidence presented in the case

11,99

C56. Sete horas após (79)

Seven-hour flight delay

11,99

C57. Bagagem deixou comprovar (64)

Allegations not proven about a baggage irregularity

11,39

C58. Condições climáticas aeroporto (68)

Weather conditions

10,98

C59. Presente Convenção (71)

Montreal and Warsaw Convention rules

10,83

C60. Provimento ao recurso (60)

Appeal granted

8,67

C61. Atrasou cerca hora (43)

Flight delay

8,01

C62. *** (67)

Refers to a common name (e.g., Bob) that can be party, lawyer, judge

4,84

C63. Other topics (11)

 

0

Appendix 4: Clusters labeled of Affinity Propagation

Cluster labels (number of documents per cluster)

Number of documents in disagreement with the labels

C1. Rerouting/Downgrade (change to an inferior class)/Well-founded (1)

0

C2. Return flight cancellation due to no-show on the outbound flight/Judgment by assistant judge/Partly founded (1)

0

C3. Return flight cancellation due to no-show on the outbound flight/Judgment by assistant judge/Partly founded (1)

0

C4. Permanent baggage loss/Judgment by assistant judge/Partly founded (1)

0

C5. Permanent baggage loss/Judgment by assistant judge/Partly founded (1)

0

C6. Permanent baggage loss/Judgment by assistant judge/Well-founded (1)

0

C7. Long flight delay/International flight/Cases subject to the Montreal and Warsaw Convention/Judgment by assistant judge/Partly founded (1)

0

C8. Long flight delay/Judgment by assistant judge/Well-founded or partly founded (2)

0

C9. Flight delay/Passenger stayed locked inside the airplane/Judgment by assistant judge/Well-founded (1)

0

C10. Flight cancellation/International flight/Cases subject to the Montreal and Warsaw Convention/Judgment by assistant judge/Partly founded (1)

0

C11. Temporary baggage loss/International flight/Cases subject to the Montreal and Warsaw Convention/Judgment by assistant judge/Partly founded (2)

0

C12. Flight delay or cancellation by technical problems/Partly founded (4)

0

C13. Theft of baggage items/Partly founded (3)

0

C14. Flight delay/International flight/Cases subject to the Montreal and Warsaw Convention/Well-founded or partly founded (17)

3

C15. Long delays on both outbound and return flights/International flight/Cases subject to the Montreal and Warsaw Convention/Partly founded (1)

0

C16. Flight cancellation/Passenger lost public contest exam/Partly founded (2)

0

C17. Flight delay by air traffic/Judgment by assistant judge/Partly founded (6)

0

C18. Theft of baggage items/Judgment by assistant judge/Well-founded (1)

0

C19. Not founded/Dismissed without prejudice (36)

19

C20. Flight delay/Loss of a family engagement/International flight/Cases subject to the Montreal and Warsaw Convention/Judgment by assistant judge/Well-founded (1)

0

C21. Flight delay/Loss of a family engagement/Judgment by assistant judge/Well-founded (2)

0

C22. Flight delay/Loss of a family engagement/International flight/Cases subject to the Montreal and Warsaw Convention/Judgment by assistant judge/Partly founded (1)

0

C23. Flight delay/Loss of a family engagement/Judgment by assistant judge/Partly founded (1)

0

C24. Flight delay by technical problems/Lawsuits filed by members of the same family/Well-founded (2)

0

C25. Temporary baggage loss/International flight/Cases subject to the Montreal and Warsaw Convention/Partly founded (2)

0

C26. Flight delay/Loss of a family engagement/Judgment by assistant judge/Well-founded (2)

0

C27. Overbooking/Temporary baggage loss/Judgment by assistant judge/Partly founded (1)

0

C28. Flight delay or cancellation/Well-founded or partly founded (22)

6

C29. Baggage damaged/International flight/Cases subject to the Montreal and Warsaw Convention/Partly founded (2)

0

C30. Problems with ticketing with loyalty program/Failed trip/Partly founded (1)

0

C31. Long flight delay/International flight/Cases subject to the Montreal and Warsaw Convention/Partly founded (1)

0

C32. Waiver of ticket by consumer/ Discussion about abusive fine/Partly founded (3)

0

C33. Flight delay or cancellation/International flight/Cases subject to the Montreal and Warsaw Convention/Well-founded or partly founded (23)

0

C34. Flight delay or cancellation/International flight/Cases subject to the Montreal and Warsaw Convention/Well-founded or partly founded (10)

0

C35. Right to regret/Well-founded (1)

0

C36. Change of final destination/Partly founded (3)

1

C37. Flight delay or cancellation/Bad weather not proven/International flight/Cases subject to the Montreal and Warsaw Convention/Well-founded or partly founded (10)

0

C38. Not founded (39)

16

C39. Flight delay by technical problems/Well-founded or partly founded (11)

0

C40. Flight cancellation by crew rescheduling/Partly founded (3)

1

C41. Change of departure airport/Passenger failed to board/Partly founded (2)

0

C42. Flight cancellation by airline network restructuring/Partly founded (3)

0

C43. Flight delay or cancellation/International flight/Partly founded (9)

1

C44. Temporary baggage loss/ Baggage damaged/Partly founded (7)

2

C45. Waiver of ticket by consumer/ Discussion about abusive fine/Partly founded (2)

0

C46. Temporary loss of children's baggage/International flight/Cases subject to the Montreal and Warsaw Convention/Partly founded (1)

0

C47. Temporary baggage loss/ International flight/Well-founded or partly founded (15)

4

C48. Right to regret/Well-founded (1)

0

C49. Flight delay/International flight/Cases subject to the Montreal and Warsaw Convention/Well-founded or partly founded (8)

0

C50. Flight delay or cancellation by technical problems/Well-founded or partly founded (8)

0

C51. Flight delay or cancellation/Bad weather not proven/Well-founded or partly founded (25)

5

C52. Right to regret denied/Not founded (3)

0

C53. Ticket cancellation due to suspected registration fraud/Consumer unfair denied boarding/Partly founded (1)

0

C54. Incorrect charge for ticket cancelled by consumer/Partly founded (1)

0

C55. Baggage irregularities (permanent and temporary loss, damage, stolen)/Well-founded or partly founded (21)

8

C56. Incorrect charging for overweight baggage/Judgment by assistant judge/Partly founded (1)

0

C57. Long delay on both outbound and return flights/International flight/Partly founded (1)

0

C58. Misguided passenger who missed his connecting flight/Judgment by assistant judge/Partly founded (1)

0

C59. Flight delay/No airline assistance/Judgment by assistant judge/Well-founded (2)

0

C60. Flight delay or cancellation/Overbooking/Return flight cancellation due to no-show on the outbound flight/Well-founded or partly founded (52)

11

C61. Promotional ticket offer not fulfilled/Well-founded or partly founded (6)

0

C62. Return flight cancellation due to no-show on the outbound flight/Well-founded or partly founded (7)

0

C63. Flight delay or cancellation/Well-founded or partly founded (14)

0

C64. Temporary baggage loss with medicines/Passenger with diabetes and heart disease/Partly founded (1)

0

C65. Flight delay/Flight cancellation/Flight change/Well-founded or partly founded (29)

6

C66. Permanent or temporary baggage loss/Well-founded or partly founded (21)

0

C67. Permanent baggage loss/Well-founded or partly founded (6)

1

C68. Flight delay or cancellation by airplane maintenance/Well-founded or partly founded (8)

3

C69. Temporary baggage loss/ International flight/Cases subject to the Montreal and Warsaw Convention/Partly founded (4)

0

C70. Temporary baggage loss/ Judgment by voluntary judge/Partly founded (1)

0

C71. Different law events (49)

 Not founded

 Tour package problems/Well-founded or partly founded

 Baggage irregularities (permanent and temporary loss, damage, stolen)/Well-founded or partly founded

 Waiver of ticket by consumer/ Right to regret/Discussion about abusive fine/Well-founded or partly founded

 Flight delay or cancellation/Overbooking/Well-founded or partly founded

4

C72. Temporary baggage loss/Well-founded or partly founded (5)

0

C73. Flight delay/Well-founded (6)

0

C74. Ticketing error/Booking not completed/Well-founded or partly founded (16)

10

C75. Flight cancellation/Well-founded or partly founded (8)

0

C76. Temporary baggage loss/International flight/ Well-founded or partly founded (3)

0

C77. Ticket cancellation not requested by consumer/International flight/Well-founded (1)

0

C78. Flight delay/Well-founded or partly founded (24)

0

C79. Flight delay/Well-founded or partly founded (22)

0

C80. Theft of baggage items/Well-founded or partly founded (4)

0

C81. Temporary baggage loss/ Partly founded (6)

1

C82. Promotional ticket offer not fulfilled/Partly founded (1)

0

C83. Flight cancellation without notice/Partly founded (3)

0

C84. Flight delay/Consumer responsible for a group of passengers/International flight/Partly founded (1)

0

C85. Flight cancellation/Consumer had to purchase ticket from another airline/International flight/Cases subject to the Montreal and Warsaw Convention/Well-founded or partly founded (2)

0

C86. Return flight cancellation due to no-show on the outbound flight/Partly founded (2)

0

C87. Daughter of consumer prevented from boarding/Improper document requirement/Partly founded (1)

0

C88. Flight rebooking by consumer/Discussion about abusive fine/Partly founded (1)

0

C89. Flight rebooking by consumer/Discussion about abusive fine/Baggage damaged/Partly founded (1)

0

C90. Flight delay/No airline assistance/International flight/Cases subject to the Montreal and Warsaw Convention/Judgment by assistant judge/ Partly founded (1)

0

C91. Waiver of ticket by consumer/ Public tender cancelled due to truckers' strike in Brazil/Discussion about abusive fine/Judgment by assistant judge/Partly founded (1)

0

C92. Flight rebooking by consumer/Incorrect charging for overweight baggage/Judgment by assistant judge/Partly founded (1)

0

C93. Flight change without notice/International flight/Cases subject to the Montreal and Warsaw Convention/Judgment by assistant judge/ Partly founded (1)

0

C94. Flight delay or cancellation/Well-founded or partly founded (13)

0

C95. Temporary baggage loss/International flight/Cases subject to the Montreal and Warsaw Convention/Judgment by assistant judge/ Well-founded (1)

0

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Sabo, I.C., Dal Pont, T.R., Wilton, P.E.V. et al. Clustering of Brazilian legal judgments about failures in air transport service: an evaluation of different approaches. Artif Intell Law 30, 21–57 (2022). https://doi.org/10.1007/s10506-021-09287-3

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