We present TextMonkey, a large multimodal model (LMM) tailored for text-centric tasks. Our approach introduces enhancement across several dimensions: By adopting Shifted Window Attention with zero-initialization, we achieve cross-window connectivity at higher input resolutions and stabilize early training; We hypothesize that images may contain redundant tokens, and by using similarity to filter out significant tokens, we can not only streamline the token length but also enhance the model's performance. Moreover, by expanding our model's capabilities to encompass text spotting and grounding, and incorporating positional information into responses, we enhance interpretability. It also learns to perform screenshot tasks through finetuning. Evaluation on 12 benchmarks shows notable improvements: 5.2% in Scene Text-Centric tasks (including STVQA, TextVQA, and OCRVQA), 6.9% in Document-Oriented tasks (such as DocVQA, InfoVQA, ChartVQA, DeepForm, Kleister Charity, and WikiTableQuestions), and 2.8% in Key Information Extraction tasks (comprising FUNSD, SROIE, and POIE). It outperforms in scene text spotting with a 10.9\% increase and sets a new standard on OCRBench, a comprehensive benchmark consisting of 29 OCR-related assessments, with a score of 561, surpassing previous open-sourced large multimodal models for document understanding. Code will be released at https://github.com/Yuliang-Liu/Monkey.
Entity and relationship extraction is a crucial component in natural language processing tasks such as knowledge graph construction, question answering system design, and semantic analysis. Most of the information of the Yishui school of traditional Chinese Medicine (TCM) is stored in the form of unstructured classical Chinese text. The key information extraction of TCM texts plays an important role in mining and studying the academic schools of TCM. In order to solve these problems efficiently using artificial intelligence methods, this study constructs a word segmentation and entity relationship extraction model based on conditional random fields under the framework of natural language processing technology to identify and extract the entity relationship of traditional Chinese medicine texts, and uses the common weighting technology of TF-IDF information retrieval and data mining to extract important key entity information in different ancient books. The dependency syntactic parser based on neural network is used to analyze the grammatical relationship between entities in each ancient book article, and it is represented as a tree structure visualization, which lays the foundation for the next construction of the knowledge graph of Yishui school and the use of artificial intelligence methods to carry out the research of TCM academic schools.
Recent advances in training large language models (LLMs) using massive amounts of solely textual data lead to strong generalization across many domains and tasks, including document-specific tasks. Opposed to that there is a trend to train multi-modal transformer architectures tailored for document understanding that are designed specifically to fuse textual inputs with the corresponding document layout. This involves a separate fine-tuning step for which additional training data is required. At present, no document transformers with comparable generalization to LLMs are available That raises the question which type of model is to be preferred for document understanding tasks. In this paper we investigate the possibility to use purely text-based LLMs for document-specific tasks by using layout enrichment. We explore drop-in modifications and rule-based methods to enrich purely textual LLM prompts with layout information. In our experiments we investigate the effects on the commercial ChatGPT model and the open-source LLM Solar. We demonstrate that using our approach both LLMs show improved performance on various standard document benchmarks. In addition, we study the impact of noisy OCR and layout errors, as well as the limitations of LLMs when it comes to utilizing document layout. Our results indicate that layout enrichment can improve the performance of purely text-based LLMs for document understanding by up to 15% compared to just using plain document text. In conclusion, this approach should be considered for the best model choice between text-based LLM or multi-modal document transformers.
Named Entity Recognition (NER) is a key information extraction task with a long-standing tradition. While recent studies address and aim to correct annotation errors via re-labeling efforts, little is known about the sources of human label variation, such as text ambiguity, annotation error, or guideline divergence. This is especially the case for high-quality datasets and beyond English CoNLL03. This paper studies disagreements in expert-annotated named entity datasets for three languages: English, Danish, and Bavarian. We show that text ambiguity and artificial guideline changes are dominant factors for diverse annotations among high-quality revisions. We survey student annotations on a subset of difficult entities and substantiate the feasibility and necessity of manifold annotations for understanding named entity ambiguities from a distributional perspective.
Existing methods for Visual Information Extraction (VIE) from form-like documents typically fragment the process into separate subtasks, such as key information extraction, key-value pair extraction, and choice group extraction. However, these approaches often overlook the hierarchical structure of form documents, including hierarchical key-value pairs and hierarchical choice groups. To address these limitations, we present a new perspective, reframing VIE as a relation prediction problem and unifying labels of different tasks into a single label space. This unified approach allows for the definition of various relation types and effectively tackles hierarchical relationships in form-like documents. In line with this perspective, we present UniVIE, a unified model that addresses the VIE problem comprehensively. UniVIE functions using a coarse-to-fine strategy. It initially generates tree proposals through a tree proposal network, which are subsequently refined into hierarchical trees by a relation decoder module. To enhance the relation prediction capabilities of UniVIE, we incorporate two novel tree constraints into the relation decoder: a tree attention mask and a tree level embedding. Extensive experimental evaluations on both our in-house dataset HierForms and a publicly available dataset SIBR, substantiate that our method achieves state-of-the-art results, underscoring the effectiveness and potential of our unified approach in advancing the field of VIE.
Document pair extraction aims to identify key and value entities as well as their relationships from visually-rich documents. Most existing methods divide it into two separate tasks: semantic entity recognition (SER) and relation extraction (RE). However, simply concatenating SER and RE serially can lead to severe error propagation, and it fails to handle cases like multi-line entities in real scenarios. To address these issues, this paper introduces a novel framework, PEneo (Pair Extraction new decoder option), which performs document pair extraction in a unified pipeline, incorporating three concurrent sub-tasks: line extraction, line grouping, and entity linking. This approach alleviates the error accumulation problem and can handle the case of multi-line entities. Furthermore, to better evaluate the model's performance and to facilitate future research on pair extraction, we introduce RFUND, a re-annotated version of the commonly used FUNSD and XFUND datasets, to make them more accurate and cover realistic situations. Experiments on various benchmarks demonstrate PEneo's superiority over previous pipelines, boosting the performance by a large margin (e.g., 19.89%-22.91% F1 score on RFUND-EN) when combined with various backbones like LiLT and LayoutLMv3, showing its effectiveness and generality. Codes and the new annotations are available at https://github.com/ZeningLin/PEneo.
This paper introduces DONUT-hole, a sparse OCR-free visual document understanding (VDU) model that addresses the limitations of its predecessor model, dubbed DONUT. The DONUT model, leveraging a transformer architecture, overcoming the challenges of separate optical character recognition (OCR) and visual semantic understanding (VSU) components. However, its deployment in production environments and edge devices is hindered by high memory and computational demands, particularly in large-scale request services. To overcome these challenges, we propose an optimization strategy based on knowledge distillation and model pruning. Our paradigm to produce DONUT-hole, reduces the model denisty by 54\% while preserving performance. We also achieve a global representational similarity index between DONUT and DONUT-hole based on centered kernel alignment (CKA) metric of 0.79. Moreover, we evaluate the effectiveness of DONUT-hole in the document image key information extraction (KIE) task, highlighting its potential for developing more efficient VDU systems for logistic companies.
Key information extraction (KIE) from scanned documents has gained increasing attention because of its applications in various domains. Although promising results have been achieved by some recent KIE approaches, they are usually built based on discriminative models, which lack the ability to handle optical character recognition (OCR) errors and require laborious token-level labelling. In this paper, we propose a novel generative end-to-end model, named GenKIE, to address the KIE task. GenKIE is a sequence-to-sequence multimodal generative model that utilizes multimodal encoders to embed visual, layout and textual features and a decoder to generate the desired output. Well-designed prompts are leveraged to incorporate the label semantics as the weakly supervised signals and entice the generation of the key information. One notable advantage of the generative model is that it enables automatic correction of OCR errors. Besides, token-level granular annotation is not required. Extensive experiments on multiple public real-world datasets show that GenKIE effectively generalizes over different types of documents and achieves state-of-the-art results. Our experiments also validate the model's robustness against OCR errors, making GenKIE highly applicable in real-world scenarios.
This paper presents a comprehensive evaluation of the Optical Character Recognition (OCR) capabilities of the recently released GPT-4V(ision), a Large Multimodal Model (LMM). We assess the model's performance across a range of OCR tasks, including scene text recognition, handwritten text recognition, handwritten mathematical expression recognition, table structure recognition, and information extraction from visually-rich document. The evaluation reveals that GPT-4V performs well in recognizing and understanding Latin contents, but struggles with multilingual scenarios and complex tasks. Specifically, it showed limitations when dealing with non-Latin languages and complex tasks such as handwriting mathematical expression recognition, table structure recognition, and end-to-end semantic entity recognition and pair extraction from document image. Based on these observations, we affirm the necessity and continued research value of specialized OCR models. In general, despite its versatility in handling diverse OCR tasks, GPT-4V does not outperform existing state-of-the-art OCR models. How to fully utilize pre-trained general-purpose LMMs such as GPT-4V for OCR downstream tasks remains an open problem. The study offers a critical reference for future research in OCR with LMMs. Evaluation pipeline and results are available at https://github.com/SCUT-DLVCLab/GPT-4V_OCR.
Extracting structured information from videos is critical for numerous downstream applications in the industry. In this paper, we define a significant task of extracting hierarchical key information from visual texts on videos. To fulfill this task, we decouple it into four subtasks and introduce two implementation solutions called PipVKIE and UniVKIE. PipVKIE sequentially completes the four subtasks in continuous stages, while UniVKIE is improved by unifying all the subtasks into one backbone. Both PipVKIE and UniVKIE leverage multimodal information from vision, text, and coordinates for feature representation. Extensive experiments on one well-defined dataset demonstrate that our solutions can achieve remarkable performance and efficient inference speed.
Recent advances in multimodal pre-trained models have significantly improved information extraction from visually-rich documents (VrDs), in which named entity recognition (NER) is treated as a sequence-labeling task of predicting the BIO entity tags for tokens, following the typical setting of NLP. However, BIO-tagging scheme relies on the correct order of model inputs, which is not guaranteed in real-world NER on scanned VrDs where text are recognized and arranged by OCR systems. Such reading order issue hinders the accurate marking of entities by BIO-tagging scheme, making it impossible for sequence-labeling methods to predict correct named entities. To address the reading order issue, we introduce Token Path Prediction (TPP), a simple prediction head to predict entity mentions as token sequences within documents. Alternative to token classification, TPP models the document layout as a complete directed graph of tokens, and predicts token paths within the graph as entities. For better evaluation of VrD-NER systems, we also propose two revised benchmark datasets of NER on scanned documents which can reflect real-world scenarios. Experiment results demonstrate the effectiveness of our method, and suggest its potential to be a universal solution to various information extraction tasks on documents.
In this paper, we introduce strategies for developing private Key Information Extraction (KIE) systems by leveraging large pretrained document foundation models in conjunction with differential privacy (DP), federated learning (FL), and Differentially Private Federated Learning (DP-FL). Through extensive experimentation on six benchmark datasets (FUNSD, CORD, SROIE, WildReceipts, XFUND, and DOCILE), we demonstrate that large document foundation models can be effectively fine-tuned for the KIE task under private settings to achieve adequate performance while maintaining strong privacy guarantees. Moreover, by thoroughly analyzing the impact of various training and model parameters on model performance, we propose simple yet effective guidelines for achieving an optimal privacy-utility trade-off for the KIE task under global DP. Finally, we introduce FeAm-DP, a novel DP-FL algorithm that enables efficiently upscaling global DP from a standalone context to a multi-client federated environment. We conduct a comprehensive evaluation of the algorithm across various client and privacy settings, and demonstrate its capability to achieve comparable performance and privacy guarantees to standalone DP, even when accommodating an increasing number of participating clients. Overall, our study offers valuable insights into the development of private KIE systems, and highlights the potential of document foundation models for privacy-preserved Document AI applications. To the best of authors' knowledge, this is the first work that explores privacy preserved document KIE using document foundation models.
Structured documents analysis and recognition are essential for modern online on-boarding processes, and document localization is a crucial step to achieve reliable key information extraction. While deep-learning has become the standard technique used to solve document analysis problems, real-world applications in industry still face the limited availability of labelled data and of computational resources when training or fine-tuning deep-learning models. To tackle these challenges, we propose SDL-Net: a novel U-Net like encoder-decoder architecture for the localization of structured documents. Our approach allows pre-training the encoder of SDL-Net on a generic dataset containing samples of various document classes, and enables fast and data-efficient fine-tuning of decoders to support the localization of new document classes. We conduct extensive experiments on a proprietary dataset of structured document images to demonstrate the effectiveness and the generalization capabilities of the proposed approach.
The extraction of key information from receipts is a complex task that involves the recognition and extraction of text from scanned receipts. This process is crucial as it enables the retrieval of essential content and organizing it into structured documents for easy access and analysis. In this paper, we present AMuRD, a novel multilingual human-annotated dataset specifically designed for information extraction from receipts. This dataset comprises $47,720$ samples and addresses the key challenges in information extraction and item classification - the two critical aspects of data analysis in the retail industry. Each sample includes annotations for item names and attributes such as price, brand, and more. This detailed annotation facilitates a comprehensive understanding of each item on the receipt. Furthermore, the dataset provides classification into $44$ distinct product categories. This classification feature allows for a more organized and efficient analysis of the items, enhancing the usability of the dataset for various applications. In our study, we evaluated various language model architectures, e.g., by fine-tuning LLaMA models on the AMuRD dataset. Our approach yielded exceptional results, with an F1 score of 97.43\% and accuracy of 94.99\% in information extraction and classification, and an even higher F1 score of 98.51\% and accuracy of 97.06\% observed in specific tasks. The dataset and code are publicly accessible for further researchhttps://github.com/Update-For-Integrated-Business-AI/AMuRD.
Key Information Extraction (KIE) is a challenging multimodal task that aims to extract structured value semantic entities from visually rich documents. Although significant progress has been made, there are still two major challenges that need to be addressed. Firstly, the layout of existing datasets is relatively fixed and limited in the number of semantic entity categories, creating a significant gap between these datasets and the complex real-world scenarios. Secondly, existing methods follow a two-stage pipeline strategy, which may lead to the error propagation problem. Additionally, they are difficult to apply in situations where unseen semantic entity categories emerge. To address the first challenge, we propose a new large-scale human-annotated dataset named Complex Layout form for key information EXtraction (CLEX), which consists of 5,860 images with 1,162 semantic entity categories. To solve the second challenge, we introduce Parallel Pointer-based Network (PPN), an end-to-end model that can be applied in zero-shot and few-shot scenarios. PPN leverages the implicit clues between semantic entities to assist extracting, and its parallel extraction mechanism allows it to extract multiple results simultaneously and efficiently. Experiments on the CLEX dataset demonstrate that PPN outperforms existing state-of-the-art methods while also offering a much faster inference speed.
We propose end-to-end document classification and key information extraction (KIE) for automating document processing in forms. Through accurate document classification we harness known information from templates to enhance KIE from forms. We use text and layout encoding with a cosine similarity measure to classify visually-similar documents. We then demonstrate a novel application of mixed integer programming by using assignment optimization to extract key information from documents. Our approach is validated on an in-house dataset of noisy scanned forms. The best performing document classification approach achieved 0.97 f1 score. A mean f1 score of 0.94 for the KIE task suggests there is significant potential in applying optimization techniques. Abation results show that the method relies on document preprocessing techniques to mitigate Type II errors and achieve optimal performance.
Visually-rich Document Understanding (VrDU) has attracted much research attention over the past years. Pre-trained models on a large number of document images with transformer-based backbones have led to significant performance gains in this field. The major challenge is how to fusion the different modalities (text, layout, and image) of the documents in a unified model with different pre-training tasks. This paper focuses on improving text-layout interactions and proposes a novel multi-modal pre-training model, LayoutMask. LayoutMask uses local 1D position, instead of global 1D position, as layout input and has two pre-training objectives: (1) Masked Language Modeling: predicting masked tokens with two novel masking strategies; (2) Masked Position Modeling: predicting masked 2D positions to improve layout representation learning. LayoutMask can enhance the interactions between text and layout modalities in a unified model and produce adaptive and robust multi-modal representations for downstream tasks. Experimental results show that our proposed method can achieve state-of-the-art results on a wide variety of VrDU problems, including form understanding, receipt understanding, and document image classification.
Visual document understanding is a complex task that involves analyzing both the text and the visual elements in document images. Existing models often rely on manual feature engineering or domain-specific pipelines, which limit their generalization ability across different document types and languages. In this paper, we propose DUBLIN, which is pretrained on web pages using three novel objectives: Masked Document Text Generation Task, Bounding Box Task, and Rendered Question Answering Task, that leverage both the spatial and semantic information in the document images. Our model achieves competitive or state-of-the-art results on several benchmarks, such as Web-Based Structural Reading Comprehension, Document Visual Question Answering, Key Information Extraction, Diagram Understanding, and Table Question Answering. In particular, we show that DUBLIN is the first pixel-based model to achieve an EM of 77.75 and F1 of 84.25 on the WebSRC dataset. We also show that our model outperforms the current pixel-based SOTA models on DocVQA, InfographicsVQA, OCR-VQA and AI2D datasets by 4.6%, 6.5%, 2.6% and 21%, respectively. We also achieve competitive performance on RVL-CDIP document classification. Moreover, we create new baselines for text-based datasets by rendering them as document images to promote research in this direction.
Large models have recently played a dominant role in natural language processing and multimodal vision-language learning. However, their effectiveness in text-related visual tasks remains relatively unexplored. In this paper, we conducted a comprehensive evaluation of Large Multimodal Models, such as GPT4V and Gemini, in various text-related visual tasks including Text Recognition, Scene Text-Centric Visual Question Answering (VQA), Document-Oriented VQA, Key Information Extraction (KIE), and Handwritten Mathematical Expression Recognition (HMER). To facilitate the assessment of Optical Character Recognition (OCR) capabilities in Large Multimodal Models, we propose OCRBench, a comprehensive evaluation benchmark. OCRBench contains 29 datasets, making it the most comprehensive OCR evaluation benchmark available. Furthermore, our study reveals both the strengths and weaknesses of these models, particularly in handling multilingual text, handwritten text, non-semantic text, and mathematical expression recognition. Most importantly, the baseline results presented in this study could provide a foundational framework for the conception and assessment of innovative strategies targeted at enhancing zero-shot multimodal techniques. The evaluation pipeline and benchmark are available at https://github.com/Yuliang-Liu/MultimodalOCR.
Advances in the Visually-rich Document Understanding (VrDU) field and particularly the Key-Information Extraction (KIE) task are marked with the emergence of efficient Transformer-based approaches such as the LayoutLM models. Despite the good performance of KIE models when fine-tuned on public benchmarks, they still struggle to generalize on complex real-life use-cases lacking sufficient document annotations. Our research highlighted that KIE standard benchmarks such as SROIE and FUNSD contain significant similarity between training and testing documents and can be adjusted to better evaluate the generalization of models. In this work, we designed experiments to quantify the information redundancy in public benchmarks, revealing a 75% template replication in SROIE official test set and 16% in FUNSD. We also proposed resampling strategies to provide benchmarks more representative of the generalization ability of models. We showed that models not suited for document analysis struggle on the adjusted splits dropping on average 10,5% F1 score on SROIE and 3.5% on FUNSD compared to multi-modal models dropping only 7,5% F1 on SROIE and 0.5% F1 on FUNSD.