DAT: Dynamic Alpha Tuning for Hybrid Retrieval in Retrieval-Augmented Generation

Hybrid retrieval techniques in Retrieval-Augmented Generation (RAG) systems enhance information retrieval by combining dense and sparse (e.g., BM25-based) retrieval methods. However, existing approaches struggle with adaptability, as fixed weighting schemes fail to adjust to different queries. To address this, we propose DAT (Dynamic Alpha Tuning), a novel hybrid retrieval framework that dynamically balances dense retrieval and BM25 for each query. DAT leverages a large language model (LLM) to evaluate the effectiveness of the top-1 results from both retrieval methods, assigning an effectiveness score to each. It then calibrates the optimal weighting factor through effectiveness score normalization, ensuring a more adaptive and query-aware weighting between the two approaches. Empirical results show that DAT consistently significantly outperforms fixed-weighting hybrid retrieval methods across various evaluation metrics. Even on smaller models, DAT delivers strong performance, highlighting its efficiency and adaptability.

KAP: MLLM-assisted OCR Text Enhancement for Hybrid Retrieval in Chinese Non-Narrative Documents

We propose Knowledge-Aware Preprocessing (KAP), a two-stage preprocessing framework tailored for Traditional Chinese non-narrative documents, designed to enhance retrieval accuracy in Hybrid Retrieval systems. Hybrid Retrieval, which integrates Sparse Retrieval (e.g., BM25) and Dense Retrieval (e.g., vector embeddings), has become a widely adopted approach for improving search effectiveness. However, its performance heavily depends on the quality of input text, which is often degraded when dealing with non-narrative documents such as PDFs containing financial statements, contractual clauses, and tables. KAP addresses these challenges by integrating Multimodal Large Language Models (MLLMs) with LLM-driven post-OCR processing, refining extracted text to reduce OCR noise, restore table structures, and optimize text format. By ensuring better compatibility with Hybrid Retrieval, KAP improves the accuracy of both Sparse and Dense Retrieval methods without modifying the retrieval architecture itself.