Retrieval-Augmented Classification of Environmental Mitigations in Hydropower Licensing Documents

Document classification in regulated industries is constrained by data residency, limited cold-start labels, scarce review capacity, and costly model-governance procedures. We present HIRA, a training-free, on-premises retrieval-augmented cascade for document classification in regulated deployments that combines BM25 over OCR text, dense text embeddings, and image-level representations through validation-calibrated weighted reciprocal-rank fusion. Confident documents are classified directly by retrieval; uncertain or visually confusable documents are passed to a locally hosted LLM verifier, which receives the OCR text, retrieved exemplars, label descriptions, and confusion-specific terms. When the verifier remains uncertain, the document is sent to human review. Each correction is stored as a margin-weighted retrieval exemplar and updates a Dirichlet-smoothed confusion graph, letting the system improve without updating model weights. On a private 80-class trade-finance corpus, HIRA processes the full 30,233-document production stream while requesting human correction for only 1,945 documents (6.4%), improving Macro-F1 from 0.6218 to 0.8548. On the corrected Tobacco-3482 benchmark, HIRA reaches 0.9423 Macro-F1 with a locally hosted DeepSeek-R1-Distill-Qwen-32B verifier, 17.4 percentage points above the zero-shot LLM baseline, while invoking the verifier for only about 40% of documents and reducing LLM calls by approximately 60%. With 518 human corrections (24.8% of the pool), HIRA matches the fully labelled pool oracle, in which all 2,086 pool documents are indexed with their ground-truth labels. These results show that selective human feedback and retrieval-memory adaptation can be a practical alternative to repeated model retraining for long-tail document classification in regulated deployments.

Retrieval-augmented generation (RAG) pipelines are typically assembled from independently-chosen components -- a document parser, a chunking strategy, and an embedding model -- yet these choices are rarely evaluated jointly, and evaluations that do combine them are usually run on a single document or corpus. We present a controlled factorial study of 3 parsers, 3 chunking strategies, and 5 dense embedding models, together with a sparse BM25 baseline, evaluated against 800 question instances, each with one or more required evidence strings, with evidence strings automatically validated against source text and a 10% random sample manually reviewed, across four structurally distinct Indian central-government regulatory documents. We fit linear mixed-effects models with document-query-level random intercepts to the resulting 72,000-row result set, run Holm-corrected paired comparisons between matched dense and sparse configurations, and report clustered bootstrap confidence intervals for all 54 unique retriever configurations. We find that no single retriever family dominates across documents; parser and chunker choice interact significantly; MPNet-base is a consistent underperformer with a severe failure mode on table-derived questions; and the corpus exhibits a near-saturated evidence-preservation ceiling above 98%, indicating that retrieval differences are driven primarily by ranking quality rather than information loss during ingestion. We additionally report embedding-dimension and chunk-size/overlap ablations and an efficiency/quality Pareto analysis. We release our full evaluation harness, corpus manifest, and 800-question benchmark.

Industrial multi-label document understanding pipelines score candidate labels and threshold or rank them to form a label set per document. This early selection step directly affects the accuracy of downstream information extraction from the document, as well as the associated verification effort. In practice, OCR noise, label imbalance, instance-dependent label cardinality, and asymmetric error costs make global score thresholds brittle and hard to maintain as document formats evolve. We present RAPT, a deployment-oriented retrieval-augmented score thresholding wrapper, applied post-hoc to improve label set selection without retraining the underlying classifier. RAPT is a model-agnostic wrapper: any predictor that provides document representations for similarity search and per label confidence scores can be used, including metric learning encoders and fine-tuned transformer classifiers. For each query document, given a classifier's score vector, RAPT retrieves similar document thresholding situations (cases) and adapts the query's label set selection threshold using their outcomes. The adaptation selects the final label set by locally aggregating neighbour solutions (e.g. average label count, cutoff calibration). Evaluation compared multi-label classifiers (metric learners and transformers) combined with RAPT against global and label-wise thresholding baselines, and against few-shot LLMs. Across an industrial dataset and six public benchmarks, RAPT consistently outperformed global and label-wise static thresholding baselines. In the industrial setting, RAPT achieved its best predictive performance with metric learners, reaching 0.87 Macro-F1, while fine-tuned transformer variants on average achieved 0.775 Macro-F1, outperforming fewshot LLM baselines (K = 5) by 2x and requiring at least 115x less inference time and 13.5x less GPU memory.