Legal IR

Pre-trained language models advance patent classification and retrieval by encoding claims as flat token sequences, but they overlook the dependency hierarchy among claims. Incorporating this hierarchy into self-attention poses two challenges. First, claim dependencies include relation types with different levels of reliability, so treating them uniformly may allow noisy technical relations to interfere with more reliable legal citations. Second, claim dependencies are defined at the claim level, whereas Transformer attention operates over tokens, making direct structural injection nontrivial. We propose the Patent Heterogeneous Attention-Guided Graph Encoder (PHAGE), which constructs a typed claim graph that distinguishes legal citations from technical relations. PHAGE projects this claim-level topology into token-level attention through a connectivity mask and learnable relation-aware biases, and fine-tunes the encoder using a dual-granularity contrastive objective that combines inter-patent taxonomy with intra-patent topology. At inference, the graph-specific attention components are removed, allowing representations to be generated through a standard encoder forward pass without CDG construction. Experiments on patent classification, retrieval, and clustering show that PHAGE consistently outperforms domain-adapted and citation-aware baselines, demonstrating the value of claim-level structural guidance for graph-free patent representation learning.

Novelty assessment is a critical yet complex task in the examination process for patent acceptance, requiring examiners to determine whether an invention is disclosed in a prior art document. The process involves intricate matching between specific features of a patent claim and passages in the prior art. While prior work has approached novelty prediction primarily as a binary classification task at the claim level, we argue that this formulation is susceptible to spurious correlations and lacks the granularity required for practical application. In this work, we introduce FiNE-Patents (Fine-grained Novelty Examination of Patents), a novel dataset comprising 3,658 first patent claims annotated with fine-grained, feature-level prior art references extracted from European Search Opinion (ESOP) documents. We propose shifting the evaluation paradigm from simple binary classification to a joint retrieval and abstract reasoning task at the feature level, requiring models to identify specific passages from a prior art document that disclose individual claim features, and to identify which features of a claim make it novel. We implement and evaluate LLM-based workflows that decompose claims into features, analyze each feature against prior art, and finally derive a claim-level novelty prediction. Our experiments demonstrate that these workflows outperform embedding-based baselines on passage retrieval and novel feature identification. Furthermore, we show that unlike trained classifiers, LLMs are robust against spurious correlations present in the claim-level novelty classification task. We release the dataset and code to foster further research into transparent and granular patent analysis.

Transformer-based semantic encoders are effective for retrieval, but in many deployments the recurring bottleneck is online query encoding rather than offline corpus indexing. This paper studies whether, once a strong teacher representation space and corpus index are fixed, repeated neural query encoding can be replaced by a substantially lighter and analytically explicit estimator. We formulate fixed-teacher lexical-to-semantic encoding as a conditional-mean estimation problem in which the target semantic vector is represented as a noisy mixture of semantic prototypes weighted by posterior cluster probabilities. Kernel Affine Hull Machine (KAHM) geometry is used to estimate these posterior weights from inexpensive lexical features in an explicitly identified RKHS hypothesis space, and the semantic prototypes are refined by normalized least-mean-squares updates from noisy teacher embeddings. This yields a backpropagation-free query-side encoder together with an end-to-end error decomposition into posterior-approximation, finite-sample/generalization, and teacher-noise terms. We instantiate the approach on a controlled Austrian-law retrieval benchmark with 5,000 test queries, 84 candidate laws, and 10,762 aligned retrieval units, using law-specific encoders into a frozen Mixedbread embedding space. Among evaluation-matched learned adapters, KAHM achieves the strongest teacher-space reconstruction and the best rank-sensitive retrieval performance at all evaluated cutoffs. At k=20, it obtains MRR@20 = 0.504, Hit@20 = 0.694, and Top-1 Accuracy = 0.411, while reducing online per-query time by 8.53 relative to direct transformer query encoding in the reported CPU setting. The results support KAHMs as compute-efficient encoders for supervised fixed-representation deployment regimes.

The semantic gap between colloquial user queries and professional legal documents presents a fundamental challenge in Legal Case Retrieval (LCR). Existing dense retrieval methods typically treat LCR as a black-box semantic matching process, neglecting the explicit juridical logic that underpins legal relevance. To address this, we propose GLIER (Generative Legal Inference and Evidence Ranking), a framework that reformulates retrieval as an inference process over latent legal variables. GLIER decomposes the task into two interpretability-driven stages. First, a Joint Generative Inference module translates raw queries into latent legal indicators, including charges and legal elements, using a unified sequence-to-sequence strategy that jointly generates charges and elements to enforce logical consistency. Second, a Multi-View Evidence Fusion mechanism aggregates generative confidence with structural and lexical signals for precise ranking. Extensive experiments on LeCaRD and LeCaRDv2 demonstrate that GLIER outperforms strong baselines such as SAILER and KELLER. Notably, GLIER exhibits strong data efficiency, maintaining robust performance even when trained with only 10% of the data.

Patent retrieval underpins critical decisions in innovation, examination, and IP strategy, yet progress has been hampered by the absence of benchmarks that reflect the diversity of real world search scenarios. We address this gap with two contributions. First, we introduce Sophiabench, a large-scale patent retrieval benchmark comprising 10,000 queries and 75,000 corpus documents stratified across ten years, eight IPC technology sections, and twelve filing jurisdictions. Unlike prior benchmarks, Sophia-bench tests retrieval using 12 different query types-from structured patent fields to AI-generated summaries-and evaluates results against citation-based ground truth enhanced with a novel domain-relevance metric (InScope). Together, these enable systematic measurement of how well models perform across query types, technology domains, and jurisdictions. Second, we introduce QaECTER, a 344M-parameter embedding model trained on patent citation graphs and multi-view self-alignment. Despite its compact size, QaECTER establishes a new state of the art for patent retrieval. It outperforms the #1 model on the English retrieval text embedding benchmark (RTEB), a model 23x larger, as well as all existing patent specific models across every query type, IPC section, and jurisdiction on Sophia-bench, with gains of up to 7.2% average NDCG@10 over the next-best model. These results are confirmed on an independent external benchmark, where QaECTER surpasses all prior models without requiring task-specific instruction prompts. Both the benchmark and the model are designed for practical deployment in large-scale patent search systems.

We study self-supervised patent representation learning with contrastive objectives. A standard baseline constructs positives by encoding the same text twice under independent dropout masks, but applying this recipe to long, structured patent documents requires careful calibration. We show that dropout-only training can be substantially strengthened by tuning temperature and dropout rate, yet its best configuration is evaluation-dependent and does not transfer uniformly from title--abstract retrieval to claim-to-disclosure retrieval. We propose mixed dropout--section positives, a patent-specific view construction strategy in which each positive pair links the title--abstract view of a patent either to a dropout re-encoding of itself or to another section of the same patent, such as claims, summary, background, drawings, or description. This uses patent-internal structure as a training-time signal without IPC labels, citations, or relevance annotations. We evaluate on graded EPO search-report retrieval, DAPFAM, a recently proposed family-level patent retrieval benchmark, and IPC subclass classification. Section-based positives improve over calibrated dropout-only and generic title--abstract augmentation baselines, are competitive with citation-informed patent encoders and a general-purpose embedding model, and perform strongly on the out-of-domain split of DAPFAM. Additional cross-section alignment diagnostics show that section-pair training improves compatibility among abstracts, claims, and descriptions of the same invention. These results indicate that patent sections provide effective self-supervised positive views for learning dense patent representations.

Statutory corpora and judicial decisions are growing faster than legal professionals can read them, while individual judgments often exceed the context limits of standard encoder models. Transformer architectures dominate legal NLP benchmarks, but their quadratic attention complexity can require truncating or fragmenting documents that demand whole-document reasoning. Selective state-space models (SSMs), such as Mamba, offer linear-time sequence modeling and are a promising alternative for long legal documents, yet their performance on legal classification and retrieval remains underexplored. We present a preliminary benchmark comparing Mamba and SSD-Mamba with BERT, DeBERTa, and Longformer across four legal classification tasks (ECtHR, EUR-Lex, SCOTUS, and ILDC/ILC) and two case-retrieval tasks (ECtHR and ILDC), using a shared windowing and aggregation pipeline. The strongest SSM performs within approximately 1.3 percentage points of the strongest transformer across tasks and metrics. SSD-Mamba achieves the best results on most metrics for ECtHR classification, ILDC classification, and ECtHR retrieval, while processing approximately 3 times more tokens per second than DeBERTa and 4 times more than Longformer. DeBERTa remains strongest on SCOTUS and EUR-Lex F1. These results are preliminary because they do not include variance estimates across random seeds or statistical significance testing. Rather than presenting a definitive ranking, we use these findings to motivate further evaluation with repeated-seed experiments, statistical testing, and controls for model capacity and computational efficiency.