Information Retrieval Models: Vector Space Models

1. Information Retrieval Models:Vector Space Models ChengXiang Zhai Department of Computer Science University of Illinois, Urbana-Champaign

2. Empirical IR vs. Model-based IR • Empirical IR: • heuristic approaches • solely rely on empirical evaluation • assumptions not always clearly stated • findings: empirical observations; may or may not generalize well • Model-based IR: • theoretical approaches • rely more on mathematics • assumptions are explicitly stated • findings: principles, models that may work well or not work well; generalize better • Boundary may not be clear and a combination is generally necessary

3. History of Research on IR Models • 1960: First probabilistic model [Maron & Kuhns 60] • 1970s: Active research on retrieval models started • Vector-space model [Salton et al. 75] • Classic probabilistic model [Robertson & Sparck Jones 76] • Probability Ranking Principle [Robertson 77] • 1980s: Further development of different models • Non-classic logic model [Rijsbergen 86] • Extended Boolean [Salton et al. 83] • Early work on learning to rank [Fuhr 89]

4. History of Research on IR Models (cont.) • 1990s: retrieval model research driven by TREC • Inference network [Turtle & Croft 91] • BM25/Okapi [Robertson et al. 94] • Pivoted length normalization [Singhal et al. 96] • Language model [Ponte & Croft 98] • 2000s-present: retrieval model influenced by machine learning and Web search • Further development of language models [Zhai & Lafferty 01, Lavrenko & Croft 01] • Divergence from randomness [Amati et al. 02] • Axiomatic model [Fang et al. 04] • Markov Random Field [Metzler & Croft 05] • Further development of Learning to rank [Joachimes 02, Burges et al. 05]

5. Relevance P(d q) or P(q d) Probabilistic inference (Rep(q), Rep(d)) Similarity P(r=1|q,d) r {0,1} Probability of Relevance Regression Model (Fuhr 89) Generative Model Different inference system Different rep & similarity Query generation Doc generation … Inference network model (Turtle & Croft, 91) Prob. concept space model (Wong & Yao, 95) Vector space model (Salton et al., 75) Prob. distr. model (Wong & Yao, 89) Classical prob. Model (Robertson & Sparck Jones, 76) LM approach (Ponte & Croft, 98) (Lafferty & Zhai, 01a) Modeling Relevance: Raodmap for Retrieval Models Relevance constraints [Fang et al. 04] Div. from Randomness (Amati & Rijsbergen 02) Learn. To Rank (Joachims 02, Berges et al. 05)

6. 1. Vector Space Models

7. One Possible Answer If document A uses more query words than document B (Word usage in document A is more similar to that in query) The Basic Question Given a query, how do we know if document A is more relevant than B?

8. Relevance = Similarity • Assumptions • Query and document are represented similarly • A query can be regarded as a “document” • Relevance(d,q)  similarity(d,q) • R(q) = {dC|f(d,q)>}, f(q,d)=(Rep(q), Rep(d)) • Key issues • How to represent query/document? • How to define the similarity measure ?

9. Vector Space Model • Represent a doc/query by a term vector • Term: basic concept, e.g., word or phrase • Each term defines one dimension • N terms define a high-dimensional space • Element of vector corresponds to term weight • E.g., d=(x1,…,xN), xi is “importance” of term i • Measure relevance by the distance between the query vector and document vector in the vector space

10. Starbucks ? ? D2 D9 ? ? D11 D5 D3 D10 D4 D6 Java Query D7 D1 D8 Microsoft ?? VS Model: illustration

11. What the VS model doesn’t say • How to define/select the “basic concept” • Concepts are assumed to be orthogonal • How to assign weights • Weight in query indicates importance of term • Weight in doc indicates how well the term characterizes the doc • How to define the similarity/distance measure

12. What’s a good “basic concept”? • Orthogonal • Linearly independent basis vectors • “Non-overlapping” in meaning • No ambiguity • Weights can be assigned automatically and hopefully accurately • Many possibilities: Words, stemmed words, phrases, “latent concept”, … • “Bag of words” representation works “surprisingly” well!

13. How to Assign Weights? • Very very important! • Why weighting • Query side: Not all terms are equally important • Doc side: Some terms carry more information about contents • How? • Two basic heuristics • TF (Term Frequency) = Within-doc-frequency • IDF (Inverse Document Frequency) • Document length normalization

14. TF Weighting • Idea: A term is more important if it occurs more frequently in a document • Formulas: Let f(t,d) be the frequency count of term t in doc d • Raw TF: TF(t,d) = f(t,d) • Log TF: TF(t,d)=log ( f(t,d) +1) • Maximum frequency normalization: TF(t,d) = 0.5 +0.5*f(t,d)/MaxFreq(d) • “Okapi/BM25 TF”: TF(t,d) = k f(t,d)/(f(t,d)+k(1-b+b*doclen/avgdoclen)) • Normalization of TF is very important!

15. TF Normalization • Why? • Document length variation • “Repeated occurrences” are less informative than the “first occurrence” • Two views of document length • A doc is long because it uses more words • A doc is long because it has more contents • Generally penalize long doc, but avoid over-penalizing (e.g., pivoted normalization)

16. TF Normalization (cont.) Norm. TF Raw TF “Pivoted normalization”: Using avg. doc length to regularize normalization 1-b+b*doclen/avgdoclen b varies from 0 to 1 Normalization interacts with the similarity measure

17. IDF Weighting • Idea: A term is more discriminative/important if it occurs only in fewer documents • Formula: IDF(t) = 1+ log(n/k) n – total number of docs k -- # docs with term t (doc freq) • Other variants: • IDF(t) = log((n+1)/k) • IDF(t)=log ((n+1)/(k+0.5)) • What are the maximum and minimum values of IDF?

18. Non-Linear Transformation in IDF IDF(t) IDF(t) = 1+ log(n/k) 1+log(n) Linear penalization k (doc freq) 1 N =totoal number of docs in collection Is this transformation optimal?

19. TF-IDF Weighting • TF-IDF weighting : weight(t,d)=TF(t,d)*IDF(t) • Common in doc  high tf  high weight • Rare in collection high idf high weight • Imagine a word count profile, what kind of terms would have high weights?

20. Empirical distribution of words • There are stable language-independent patterns in how people use natural languages • A few words occur very frequently; most occur rarely. E.g., in news articles, • Top 4 words: 10~15% word occurrences • Top 50 words: 35~40% word occurrences • The most frequent word in one corpus may be rare in another

21. Zipf’s Law Word Freq. High entropy words Word Rank (by Freq) Generalized Zipf’s law: Applicable in many domains • rank * frequency  constant

22. How to Measure Similarity? How about Euclidean?

23. Error What Works the Best? • Use single words • Use stat. phrases • Remove stop words • Stemming • Others(?) [ ] (Singhal 2001; Singhal et al. 1996)

24. Relevance Feedback in VS • Basic setting: Learn from examples • Positive examples: docs known to be relevant • Negative examples: docs known to be non-relevant • How do you learn from this to improve performance? • General method: Query modification • Adding new (weighted) terms • Adjusting weights of old terms • Doing both • The most well-known and effective approach is Rocchio [Rocchio 1971]

25. qm Rocchio Feedback: Illustration Centroid of non-relevant documents Centroid of relevant documents - - - - - - + + + - + - + - - - - + q - - + + + + + - - - - + + + + + - + + + - - - - - - - -

26. Rocchio Feedback: Formula Parameters New query Origial query Rel docs Non-rel docs

27. Rocchio in Practice • How can we optimize the parameters? • Can it be used for both relevance feedback and pseudo feedback? • How does Rocchio feedback affect the efficiency of scoring documents? How can we improve the efficiency?

28. Advantages of VS Model • Empirically effective! (Top TREC performance) • Intuitive • Easy to implement • Well-studied/Most evaluated • The Smart system • Developed at Cornell: 1960-1999 • Still widely used • Warning: Many variants of TF-IDF!

29. Disadvantages of VS Model • Assume term independence • Assume query and document to be the same • Lack of “predictive adequacy” • Arbitrary term weighting • Arbitrary similarity measure • Lots of parameter tuning!

30. What You Should Know • Basic idea of the vector space model • TF-IDF weighting • Pivoted length normalization (read [Singhal et al. 1996] to know more) • BM25/Okapi retrieval function (particularly TF weighting) • How Rocchio feedback works