Model scaling is becoming the default choice for many language tasks due to the success of large language models (LLMs). However, it can fall short in specific scenarios where simple customized methods excel. In this paper, we delve into the patent approval prediction task and unveil that simple domain-specific graph methods outperform enlarging the model, using the intrinsic dependencies within the patent data. Specifically, we first extend the embedding-based state-of-the-art (SOTA) by scaling up its backbone model with various sizes of open-source LLMs, then explore prompt-based methods to harness proprietary LLMs’ potential, but find the best results close to random guessing, underlining the ineffectiveness of model scaling-up. Hence, we propose a novel Fine-grained cLAim depeNdency (FLAN) Graph through meticulous patent data analyses, capturing the inherent dependencies across segments of the patent text. As it is model-agnostic, we apply cost-effective graph models to our FLAN Graph to obtain representations for approval prediction. Extensive experiments and detailed analyses prove that incorporating FLAN Graph via various graph models consistently outperforms all LLM baselines significantly. We hope that our observations and analyses in this paper can bring more attention to this challenging task and prompt further research into the limitations of LLMs.

Predicting the approval chance of a patent application is a challenging problem involving multiple facets. The most crucial facet is arguably the novelty — 35 U.S. Code § 102 rejects more recent applications that have very similar prior arts. Such novelty evaluations differ the patent approval prediction from conventional document classification — Successful patent applications may share similar writing patterns; however, too-similar newer applications would receive the opposite label, thus confusing standard document classifiers (e.g., BERT). To address this issue, we propose a novel framework that unifies the document classifier with handcrafted features, particularly time-dependent novelty scores. Specifically, we formulate the novelty scores by comparing each application with millions of prior arts using a hybrid of efficient filters and a neural bi-encoder. Moreover, we impose a new regularization term into the classification objective to enforce the monotonic change of approval prediction w.r.t. novelty scores. From extensive experiments on a large-scale USPTO dataset, we find that standard BERT fine-tuning can partially learn the correct relationship between novelty and approvals from inconsistent data. However, our time-dependent novelty features offer a boost on top of it. Also, our monotonic regularization, while shrinking the search space, can drive the optimizer to better local optima, yielding a further small performance gain.

Fine-tuning pre-trained language models is a common practice in building NLP models for various tasks, including the case with less supervision. We argue that under the few-shot setting, formulating fine-tuning closer to the pre-training objective shall be able to unleash more benefits from the pre-trained language models. In this work, we take few-shot named entity recognition (NER) for a pilot study, where existing fine-tuning strategies are much different from pre-training. We propose a novel few-shot fine-tuning framework for NER, FFF-NER. Specifically, we introduce three new types of tokens, “is-entity”, “which-type” and “bracket”, so we can formulate the NER fine-tuning as (masked) token prediction or generation, depending on the choice of the pre-training objective. In our experiments, we apply to fine-tune both BERT and BART for few-shot NER on several benchmark datasets and observe significant improvements over existing fine-tuning strategies, including sequence labeling, prototype meta-learning, and prompt-based approaches. We further perform a series of ablation studies, showing few-shot NER performance is strongly correlated with the similarity between fine-tuning and pre-training.