CA2077604C

CA2077604C - Method and apparatus for determining the frequency of words in a document without document image decoding

Info

Publication number: CA2077604C
Application number: CA002077604A
Authority: CA
Inventors: Todd A. Cass; Per-Kristian Halvorsen; Daniel P. Huttenlocher; Ronald M. Kaplan; M. Margaret Withgott; Ramana B. Rao
Original assignee: Xerox Corp
Current assignee: Xerox Corp
Priority date: 1991-11-19
Filing date: 1992-09-04
Publication date: 1999-07-06
Anticipated expiration: 2012-09-04
Also published as: EP0544430B1; JP3282860B2; DE69229468D1; DE69229468T2; US5325444A; JPH05282423A; EP0544430A2; EP0544430A3; CA2077604A1

Abstract

A method and apparatus for determining word frequency from a document without first converting the document to character codes. The method includes morphological image processing to determine word unit characteristics for placement into equivalence classes utilizing non-content based information. Word shape representations are preferably determined and compared to define equivalent word units.

Description

2~7760~
MET~OD AND APPARATUS FOR DETERMINING THE

WITHOUT DOCUMENT IMAGE DECODING

BACKGROUND OF THE INVENTION
1. Field of the Invention The invention relates to improvements in methods and apparatuses for document image processing, and more particularly to improvements for recognizing and determin-ing the frequency of words or images in a document without first decoding the words or images or referring to an external lexical reference.
2. Backqround In computer based electronic document processing, an attribute of the document(s) being processed which the operator often desires to know is the frequency with which some or all of the words occur. For example, Salton &
McGill, Introduction to Modern Information Retrieval, Chapter 2, pp. 30, 36, McGraw-Hill, Inc., 1983, indicates that in information retrieval contexts, the frequency of use of a given term may correlate with the importance of that term relative to the information content of the document. Word frequency information can thus be useful for automatic document summarization and/or annotation.
Word frequency information can also be used in locating, indexing, filing, sorting, or retrieving documents.
Another use for knowledge of word frequency is in text editing. For example, one text processing device has been proposed for preventing the frequent use of the same words in a text by categorizing and qisplaying frequently occurring words of the document. A list of selected words and the number of occurrences of each word is formulated for a given text location in a portion of the text, and the designated word and its location is displayed on a CRT.
Heretofore, though, such word frequency determina-tions have been performed on electronic texts in which the contents have been converted to a machine readable form, such as by decoding using some form of optical character recognition (oCR) in which bit mapped word unit images, or 2~7~0~

in some cases a number of characters within the word unit images, are deciphered and converted to coded representa-tions of the images based on reference to an external character library. The decoded words or character strings are then compared with dictionary terms in an associated lexicon. Disadvantages of such optical character recogni-tion techniques are that the intermediate optical charac-ter recognition step introduces a greater possibility of computational error and requires substantial time for processing, slowing the overall word unit identification _ process.

3. References European Patent Application No. 0-402-064 to Sakai et al. describes a text processing device in a computer system for counting the occurrence of words in a text and displaying a list of repetitive words on a CRT. The list includes the selected words together with their number of occurrences and their locations in the text. In a case where word repetition is undesirable, an operator may substitute synonyms or otherwise alter the text by using search, display, and editing actions.
European Patent Application No. 0-364-179 to Hawley describes a method and apparatus for extracting key words from text stored in a machine-readable format. The frequency of occurrence of each word in a file, as com-pared to the frequency of occurrence of other words in the file, is calculated. If the calculated frequency exceeds by a predetermined threshold the frequency of occurrence of that same word in a reference domain appropriate to the file, then the word is selected as a key word for that file.
European Patent Application No. 0-364-180 to Hawley describes a method and apparatus for automatically indexing and retrieving files in a large computer file system. Key words are automatically extracted from files to be indexed and used as the entries in an index file.
Each file having one of the index entries as a key word is associated in the index with that key word. If a file is ~7fi~

to be retrieved, and its content, but not its name or location, is known, its key words are entered and its identifying information will be displayed (along with that of other files having that key word), facilitating its retrieval.
SUMMARY OF THE INVENTION
Accordingly, it is an object of the invention to provide a method and apparatus for determining the fre-quency of occurrence of words in a document based solely on the visual characteristics of the scanned document, and _ without reliance on an external lexical reference.
It is another object of the invention to provide a method and apparatus of the type described without any requirement that the words themselves be determined or decoded.
It is yet another object of the invention to provide a method and apparatus of the type described without first converting the document to optical character or ASCII codes.
It is yet another object of the invention to provide a method and apparatus of the type described that can be used to assist in key word recognition.
In accordance with one aspect of the invention, a method and apparatus are provided for determining word frequency in a document without first decoding the words in the document, or converting the document to optical character codes. The invention utilizes non-content image unit recognition, based on morphological image properties of the image unit, such as length, height, or other characteristics. Also, the invention is not limited to systems utilizing document scanning. Rather, other systems such as bitmap workstations (i.e., a workstation with a bitmap display) or a system using both bitmapping and scanning would work equally well for the implementa-tion of the methods and apparatus described herein.
In accordance with an embodiment of the method of the invention, the document is first input and segmented into image units. At least one significant morphological 2~776~

image characteristic of the image units is determined, and equivalence classes of the image units are identified into which image units having similar morphological image characteristics are clustered. The number of image units in an equivalence class determines the frequency of occurrence of the image unit.
The image units may be word units in a textual document, and a word unit is preferably evaluated by deriving a word shape representation of the word unit, which is either at least one, one-dimensional signal _ characterizing the shape of the word unit; or an image function defining a boundary enclosing the word unit, which image function has been augmented so that an edge function representing edges of the character string detected within the boundary is defined over its entire domain by a single independent variable within the closed boundary, without individually detecting and/or identify-ing the character or characters making up the word unit.
More particularly, a method and apparatus are provided for determining the frequency of words in a document directly from the stored bit mapped image of the document, without decoding the words, such as by convert-ing the words in the document image to character code representations, such as ASCII or other coded text. The technique, therefore, is essentially language independent, and, in fact, graphic patterns, coded and nonsense words, can easily be included and processed, and the possible introduction of unnecessary errors due to a intermediate interpretation processes such as optical character recog-nition (OCR) can be eliminated. The method also can takeadvantage of the naturally segmentable nature of the word unit images used throughout printed text.
The equivalence classes preferably are determined by comparing selected morphological image characteristics or combinations of characteristics, or the derived repre-sentations of the image unit shapes, with each other. The morphological image characteristics can include image unit length, width, font, typeface, cross-sectional ~ ~ ~ 7 6 ~ ~

characteristics, number of ascenders, number of descenders, or the like. The image units in each equiva-lence class are linked together, and mapped to enable the frequency of each to be determined.
In accordance with another aspect of the inven-tion, a method for performing data driven processing in a data processing system which comprises execution process-ing means for performing functions by executing program instructions in a predetermined manner and memory means containing a plurality of processing program modules is _ presented. The method includes identifying word units in the text images, and determining at least one morphologi-cal image characteristic of the word units. The word units with similar morphological image characteristics are then clustered, and the clustered word units are quanti-fied.
In accordance with still another aspect of the invention, an apparatus for processing a digital image of text on a document to determine word frequency in the text is presented. The apparatus includes word frequency determining means for computing frequencies of word units by utilizing non-content based word unit morphological image characteristics, and an output device. The word frequency determining means can be a programmed digital computer.
These and other objects, features and advantages of the invention will be apparent to those skilled in the art from the following detailed description of the inven-tion, when read in conjunction with the accompanying drawings and appended claims.
BRIEF DESCRIPTION OF THE DRAWINGS
The invention is illustrated in the accompanying drawings, in which:
Figure 1 shows a flow chart of a method according to a preferred embodiment of the invention for determining image unit or word frequencies in a document without first converting the document to character codes.
Figure 2 shows an apparatus according to a 2~77~

preferred embodiment of the invention for determining image unit or word frequencies in a document without first decoding the image units or words or converting the image units or words in the document to character codes.
DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENT
A preferred embodiment of the method of the invention is illustrated in the flow chart of Figure 1, and apparatus for performing the method of Fig. 1 is shown in Figure 2. For the sake of clarity, the invention will be described with reference to the processing of a single _ document. However, it will be appreciated that the invention is applicable to the processing of a corpus of documents containing a plurality of documents.
With reference first to Figure 2, the method is performed on an electronic image of an original document 5, which may include lines of text 7, titles, drawings, figures 8, or the like, contained in one or more sheets or pages of paper 10 or other tangible form. The electronic document image to be processed is created in any conven-tional manner, for example, by input means, such as an optical scanner 12 and sensor 13 as shown, a copier m~chine scanner, a Braille reading machine scanner, a bitmap workstation, an electronic beam scanner or the like. Such input means are well known in the art, and thus are not described in detail herein. An output derived from, for example, a scanner sensor 13 is digi-tized to produce bit mapped image data representing the document image for each page of the document, which data is stored, for example, in a memory 15 of a special or general purpose digital computer 16. The digital computer 16 can be of the type that performs data driven processing in a data processing system which comprises execution processing means for performing functions by executing program instructions in a predetermined manner, such computers now being well known in the art. The output from the computer 16 is delivered to an output device, such as, for example, a memory or other form of storage unit, or an output display 17 as illustrated, which may _ 7 _ ~ ~ 77 B ~ 4 be, for instance, a photocopier, CRT display, printer, facsimile machine, or the like.
With reference now to Figure 1, the first phase of the image processing technique of the invention involves a low level document image analysis in which the document image for each page is segmented into undecoded information containing image units (step 20) using conventional image analysis techniques; or, in the case of text documents, using a bounding box method.
One method for finding word boxes is to close the image with a horizontal SE that joins characters but not words, followed by an operation that labels the bounding boxes of the connected image components (which in this case are words). The process can be greatly accelerated by using 1 or more threshold reductions (with threshold value 1), that have the effect both of reducing the image and of closing the spacing between the characters. The threshold reduction(s) are typically followed by a closing with a small horizontal SE. The connected component labeling operation is also done at the reduced scale, and the results are scaled up to full size.
The disadvantage of operating at reduced scale is that the word bounding boxes are only approximate; however, for many applications the accuracy is sufficient. The described method works fairly well for arbitrary text fonts, but in extreme cases, such as large fixed width fonts that have large inter-character separation or small variable width fonts that have small inter-word separation, mistakes can occur. The most robust method chooses a SE for closing based on a measurement of specific image characteristics. This requires adding the following two steps:
(1) Order the image components in the original or reduced (but not closed) image in line order, left to ~77fi~

right and top to bottom.
(2) Build a histogram of the horizontal inter-component spacing. This histogram should naturally divide into the small inter-character spacing and the larger inter-word spacings. Then use the valley between these peaks to determine the size of SE to use for closing the image to merge characters but not join words.
After the bounding boxes or word boxes have been determined, locations of and spatial relationships between the image units on a page are determined (step 25). For _ example, an English language document image can be seg-mented into word image units based on the relative differ-ence in spacing between characters within a word and the spacing between words. Sentence and paragraph boundaries can be similarly ascertained. Additional region segmenta-tion image analysis can be performed to generate a physi-cal document structure description that divides page images into labelled regions corresponding to auxiliary document elements like figures, tables, footnotes and the like. Figure regions can be distinguished from text regions based on the relative lack of image units arranged in a line within the region, for example. Using this segmentation, knowledge of how the documents being pro-cessed are arranged (e.g., left-to-right, top-to-bottom), and, optionally, other inputted information such as document style, a "reading order" sequence for word images can also be generated. The term "image unit" is thus used herein to denote an identifiable segment of an image such as a number, character, glyph, symbol, word, phrase or other unit that can be reliably extracted. Advanta-geously, for purposes of document review and evaluation, the document image is segmented into sets of signs, symbols or other elements, such as words, which together form a single unit of understanding. Such single units of understanding are generally characterized in an image as being separated by a spacing greater than that which separates the elements forming a unit, or by some prede-termined graphical emphasis, such as, for example, a 9 ao 77 ~ ~ 4 surrounding box image or other graphical separator, which distinguishes one or more image units from other image units in the document image. Such image units representing single units of understanding will be referred to hereinafter as "word units."
Advantageously, a discrimination step 30 is next performed to identify the image units which have insufficient information content to be useful in evaluating the subject matter content of the document being processed. One preferred method is to use morphological function or stop word detection techniques.
Next, in step 40, selected image units, e.g., the image units not discriminated in step 30, are evaluated, without decoding the image units being classified or reference to decoded image data, based on an evaluation of predetermined image characteristics of the image units. The evaluation entails a determination (step 41) of the image characteristics and a comparison (step 42) of the determined image characteristics for each image unit with the determined image characteristics of the other image units.
One preferred method for defining the image unit morphological image characteristics to be evaluated is to use the word shape derivation techniques. In particular at least one, one-dimensional signal characterizing the shape of a word unit is derived; or an image function is derived defining a boundary enclosing the word unit, and the image function is augmented so that an edge function representing edges of the character string detected within the boundary is ~ 77 ~ ~ 4 defined over its entire domain by a single independent variable within the closed boundary, without individually detecting andtor identifying the character or characters making up the word unit.
The determined image characteristic(s) e.g., the derived image unit shape representations of each selected image unit are compared, as noted above (step 41), with the determined image characteristic(s)/derived image unit shape representations of the other selected image units for the purpose of identifying equivalence classes of image units (step 50), such that each equivalence class contains most or all of the instances of a given word in the document. The equivalence classes are thus formed by clustering the image units in the document based on the similarity of image unit classifiers, without actually decoding the contents of the image units, such as by conversion of the word images to character codes or other higher-level interpretation. Any of a number of different methods of comparison can be used. One technique that can be used, for example, is by correlating the raster images of the extracted image units using decision networks, such technique being described for characters in a Research Report entitled "Unsupervised Construction of Decision networks for Pattern Classification" by Casey et al., IBM
Research Report, 1984.
Preferred techniques that can be used to identify equivalence classes of word units are the word shape comparison techniques.
Depending on the particular application, and the relative importance of processing speed versus accuracy, for example, comparisons of different degrees of precision 2~77f~
can be performed. For example, useful comparisons can be based on length, width or some other measurement dimension of the image unit (or derived image unit shape representa-tion e.g., the largest figure in a document image); the S location of the image unit in the document (including any selected figure or paragraph of a document image, e.g., headings, initial figures, one or more paragraphs or figures), font, typeface, cross-section (a cross-section being a sequence of pixels of similar state in an image unit); the number of ascenders; the number of descenders;
_ the average pixel density; the length of a top line contour, including peaks and troughs; the length of a base contour, including peaks and troughs; and combinations of such classifiers.
15In instances in which multiple page documents are processed, each page is processed and the data held in the memory 15 (see Figure 1), as described above. The entirety of the data can then be processed.
One way in which the image units can be conven-iently compared and classified into equivalence classes isby comparing each image unit or image unit shape represen-tation when it is formed with previously processed image units/shape representations, and if a match is obtained, the associated image unit is identified with the matching equivalence class. This can be done, for example, by providing a signal indicating a match and incrementing a counter or a register associated with the matching equiva-lence class. If the present image unit does not match with any previously processed image unit, then a new equivalence class is created for the present image unit.
Alternatively, as shown (step 50) the image units in each equivalence class can be linked together, and mapped to an equivalence class label that is determined for each equivalence class. The number of entries for each equivalence class can then be merely counted.
Thus, after the entire document image, or a portion of interest, has been processed, a number of equivalence classes will have been identified, each having 12 2û77ti0~
an associated number indicting the number of times a image unit was identified having similar morphological charac-teristics, or classifiers, thus determining the image unit frequency.
A salient feature provided by the technique of the invention is the processing, identification, comparison, or manipulation of image units without an accompanying requirement that the content of the image units be decoded, even for output. More particularly, image units are determined, processed and delivered for output without _ decoding, so that in essence, the actual content of the image units is never required to be determined. Thus, for example, in such applications as copier machines or electronic printers that can print or reproduce images directly from one document to another without regard to ASCII or other encoding/decoding requirements, image units can be identified, and processed using one or more morpho-logical characteristic or property of the image unit. In the comparison process described, for instance, each image unit, of undetermined content, in the area of the document image of interest is compared with other image units in the document also of undetermined content. Selected image units, still of undetermined content, can then be optically or electronically delivered for output, for example, to an image reproducing apparatus of a copier machine, an electronic memory, a visual display, or the like, for example in producing a list of significant "words", or image units in order of frequency of appearance in the document image.
The technique described above can be used to determine the significance of the image units of a docu-ment, based upon the criterion of frequency of occurrence of a particular image unit. Thus, for example, the number of times an image unit appears in its respective equiva-lence class can be used to construct a hierarchy of words, such hierarchy being useful for many purposes, such as for example, generating document summaries and annotations.
It is noted, however, that the classifiers are determined ~776~)~

without actually decoding the content of the image unit;
only the selected classifiers of the image unit itself are used. The method can be applied, of course, to documents of multiple page length in a similar manner to that described above.
Although the invention has been described and illustrated with a certain degree of particularity, it is understood that the present disclosure has been made only by way of example, and that numerous changes in the combination and arrangement of parts can be resorted to by _ those skilled in the art without departing from the spirit and scope of the invention, as hereinafter claimed.
/

Claims

1. A method for determining a frequency of occurrence of image units in an electronic document image having an undecoded content, comprising the steps of:
segmenting the document image into image units without decoding the document image content;
determining at least one significant morphological image characteristic of selected image units in the document image;
identifying equivalence classes of the selected image units in the document image by clustering the ones of the selected image units with similar morphological image characteristics; and quantifying the image units in each equivalence class.

2. The method of claim 1 wherein said step of identifying equivalence classes of image units comprises correlating image unit morphological image characteristics using a decision network.

3. The method of claim 1 wherein said document image comprises words, and said image units are word units.

4. The method of claim 3 wherein said step of identifying equivalence classes comprises comparing word unit shapes.

5. The method of claim 4 wherein said word unit shapes are determined by deriving at least one, one-dimensional signal characterizing the word unit shapes.

6. The method of claim 4 wherein said word unit shapes are determined by deriving an image function defining a boundary enclosing the word unit, and augmenting the image function so that an edge function representing edges of a character string detected within the boundary is defined over its entire domain by a single independent variable within the closed boundary, without individually detecting or identifying the character or characters making up the word unit.

7. The method of claim 1 wherein said step of quantifying the image units in each equivalence class comprises linking image units together.

8. The method of claim 7 wherein said step of linking image units together comprises determining an equivalence class label for each image unit, and mapping each image unit to the determined equivalence class label.

9. The method of claim 1 wherein said step of determining at least one significant morphological characteristic of said image units comprises determining at least one of a dimension, font, typeface, number of ascender elements, number of descender elements, pixel density, pixel cross-sectional characteristic and contour characteristic of said selected image units.

10. The method of claim 1 comprising the step of optically scanning a document to form said document image.

11. The method of claim 1 wherein said steps of segmenting the document image into image units, determining at least one significant morphological characteristic of the image units, identifying equivalence classes of image units, clustering image units, and quantifying the image units are performed by operating a programmed digital computer.

12. In a method for electronically processing an electronic document comprising text images, the steps of:
identifying word units in said text images;
determining at least one morphological image characteristic of said word units;
clustering word units with similar morphological image characteristics; and quantifying the number of clustered word units.

13. An apparatus for processing a digital image of text on a document to determine word frequency in the text, comprising:
means for segmenting the digital image into word units;
means for determining at least one morphological image characteristic of selected ones of said word units;
means for comparing the at least one morphological image characteristic of each of said selected word units to identify equivalent word units; and an output device for producing an output responsive to the relative frequencies of occurrence of the selected word units identified as being equivalent.

14. The apparatus of claim 13 wherein said morphological image characteristic determining means comprises means for deriving at least one, one-dimensional signal characterizing a shape of the word units.

15. The apparatus of claim 13 wherein said morphological image characteristic determining means comprises means for deriving an image function defining a boundary enclosing the word unit, and augmenting the image function so that an edge function representing edges of a character string detected within the boundary is defined over its entire domain by a single independent variable within the closed boundary, without individually detecting or identifying the character or characters making up the word unit.