The patent domain is a very important source of scientific information that is currently not used to its full potential. Searching for relevant patents is a complex task because the number of existing patents is very high and grows quickly, patent text is extremely complicated, and standard vocabulary is not used consistently or doesn’t even exist. As a consequence, pure keyword searches often fail to return satisfying results in the patent domain. Major companies employ patent professionals who are able to search patents effectively, but even they have to invest a lot of time and effort into their search. Academic scientists on the other hand do not have access to such resources and therefore often do not search patents at all, but they risk missing up-to-date information that will not be published in scientific publications until much later, if it is published at all. Document search on PubMed, the pre-eminent database for biomedical literature, relies on the annotation of its documents with relevant terms from the Medical Subject Headings ontology (MeSH) for improving recall through query expansion. Similarly, professional patent searches expand beyond keywords by including class codes from various patent classification systems. However, classification-based searches can only be performed effectively if the user has very detailed knowledge of the system, which is usually not the case for academic scientists. Consequently, we investigated methods to automatically identify relevant classes that can then be suggested to the user to expand their query. Since every patent is assigned at least one class code, it should be possible for these assignments to be used in a similar way as the MeSH annotations in PubMed. In order to develop a system for this task, it is necessary to have a good understanding of the properties of both classification systems. In order to gain such knowledge, we perform an in-depth comparative analysis of MeSH and the main patent classification system, the International Patent Classification (IPC). We investigate the hierarchical structures as well as the properties of the terms/classes respectively, and we compare the assignment of IPC codes to patents with the annotation of PubMed documents with MeSH terms. Our analysis shows that the hierarchies are structurally similar, but terms and annotations differ significantly. The most important differences concern the considerably higher complexity of the IPC class definitions compared to MeSH terms and the far lower number of class assignments to the average patent compared to the number of MeSH terms assigned to PubMed documents. As a result of these differences, problems are caused both for unexperienced patent searchers and professionals. On the one hand, the complex term system makes it very difficult for members of the former group to find any IPC classes that are relevant for their search task. On the other hand, the low number of IPC classes per patent points to incomplete class assignments by the patent office, therefore limiting the recall of the classification-based searches that are frequently performed by the latter group. We approach these problems from two directions: First, by automatically assigning additional patent classes to make up for the missing assignments, and second, by automatically retrieving relevant keywords and classes that are proposed to the user so they can expand their initial search. For the automated assignment of additional patent classes, we adapt an approach to the patent domain that was successfully used for the assignment of MeSH terms to PubMed abstracts. Each document is assigned a set of IPC classes by a large set of binary Maximum-Entropy classifiers. Our evaluation shows good performance by individual classifiers (precision/recall between 0:84 and 0:90), making the retrieval of additional relevant documents for specific IPC classes feasible. The assignment of additional classes to specific documents is more problematic, since the precision of our classifiers is not high enough to avoid false positives. However, we propose filtering methods that can help solve this problem. For the guided patent search, we demonstrate various methods to expand a user’s initial query. Our methods use both keywords and class codes that the user enters to retrieve additional relevant keywords and classes that are then suggested to the user. These additional query components are extracted from different sources such as patent text, IPC definitions, external vocabularies and co-occurrence data. The suggested expansions can help unexperienced users refine their queries with relevant IPC classes, and professionals can compose their complete query faster and more easily. We also present GoPatents, a patent retrieval prototype that incorporates some of our proposals and makes faceted browsing of a patent corpus possible.

The patent domain is a very important source of scientific information that is currently not used to its full potential. Searching for relevant patents is a complex task because the number of existing patents is very high and grows quickly, patent text is extremely complicated, and standard vocabulary is not used consistently or doesn’t even exist. As a consequence, pure keyword searches often fail to return satisfying results in the patent domain. Major companies employ patent professionals who are able to search patents effectively, but even they have to invest a lot of time and effort into their search. Academic scientists on the other hand do not have access to such resources and therefore often do not search patents at all, but they risk missing up-to-date information that will not be published in scientific publications until much later, if it is published at all. Document search on PubMed, the pre-eminent database for biomedical literature, relies on the annotation of its documents with relevant terms from the Medical Subject Headings ontology (MeSH) for improving recall through query expansion. Similarly, professional patent searches expand beyond keywords by including class codes from various patent classification systems. However, classification-based searches can only be performed effectively if the user has very detailed knowledge of the system, which is usually not the case for academic scientists. Consequently, we investigated methods to automatically identify relevant classes that can then be suggested to the user to expand their query. Since every patent is assigned at least one class code, it should be possible for these assignments to be used in a similar way as the MeSH annotations in PubMed. In order to develop a system for this task, it is necessary to have a good understanding of the properties of both classification systems. In order to gain such knowledge, we perform an in-depth comparative analysis of MeSH and the main patent classification system, the International Patent Classification (IPC). We investigate the hierarchical structures as well as the properties of the terms/classes respectively, and we compare the assignment of IPC codes to patents with the annotation of PubMed documents with MeSH terms. Our analysis shows that the hierarchies are structurally similar, but terms and annotations differ significantly. The most important differences concern the considerably higher complexity of the IPC class definitions compared to MeSH terms and the far lower number of class assignments to the average patent compared to the number of MeSH terms assigned to PubMed documents. As a result of these differences, problems are caused both for unexperienced patent searchers and professionals. On the one hand, the complex term system makes it very difficult for members of the former group to find any IPC classes that are relevant for their search task. On the other hand, the low number of IPC classes per patent points to incomplete class assignments by the patent office, therefore limiting the recall of the classification-based searches that are frequently performed by the latter group. We approach these problems from two directions: First, by automatically assigning additional patent classes to make up for the missing assignments, and second, by automatically retrieving relevant keywords and classes that are proposed to the user so they can expand their initial search. For the automated assignment of additional patent classes, we adapt an approach to the patent domain that was successfully used for the assignment of MeSH terms to PubMed abstracts. Each document is assigned a set of IPC classes by a large set of binary Maximum-Entropy classifiers. Our evaluation shows good performance by individual classifiers (precision/recall between 0:84 and 0:90), making the retrieval of additional relevant documents for specific IPC classes feasible. The assignment of additional classes to specific documents is more problematic, since the precision of our classifiers is not high enough to avoid false positives. However, we propose filtering methods that can help solve this problem. For the guided patent search, we demonstrate various methods to expand a user’s initial query. Our methods use both keywords and class codes that the user enters to retrieve additional relevant keywords and classes that are then suggested to the user. These additional query components are extracted from different sources such as patent text, IPC definitions, external vocabularies and co-occurrence data. The suggested expansions can help unexperienced users refine their queries with relevant IPC classes, and professionals can compose their complete query faster and more easily. We also present GoPatents, a patent retrieval prototype that incorporates some of our proposals and makes faceted browsing of a patent corpus possible.