Electronic Theses and Dissertations (ETDs) contain domain knowledge that can be used for many digital library tasks, such as analyzing citation networks and predicting research trends. Automatic metadata extraction is important to build scalable digital library search engines. Most existing methods are designed for born-digital documents, so they often fail to extract metadata from scanned documents such as for ETDs. Traditional sequence tagging methods mainly rely on text-based features. In this paper, we propose a conditional random field (CRF) model that combines text-based and visual features. To verify the robustness of our model, we extended an existing corpus and created a new ground truth corpus consisting of 500 ETD cover pages with human validated metadata. Our experiments show that CRF with visual features outperformed both a heuristic and a CRF model with only text-based features. The proposed model achieved 81.3%-96% F1 measure on seven metadata fields. The data and source code are publicly available on Google Drive (https://tinyurl.com/y8kxzwrp) and a GitHub repository (https://github.com/lamps-lab/ETDMiner/tree/master/etd_crf), respectively.
Extracting information from documents usually relies on natural language processing methods working on one-dimensional sequences of text. In some cases, for example, for the extraction of key information from semi-structured documents, such as invoice-documents, spatial and formatting information of text are crucial to understand the contextual meaning. Convolutional neural networks are already common in computer vision models to process and extract relationships in multidimensional data. Therefore, natural language processing models have already been combined with computer vision models in the past, to benefit from e.g. positional information and to improve performance of these key information extraction models. Existing models were either trained on unpublished data sets or on an annotated collection of receipts, which did not focus on PDF-like documents. Hence, in this research project a template-based document generator was created to compare state-of-the-art models for information extraction. An existing information extraction model "Chargrid" (Katti et al., 2019) was reconstructed and the impact of a bounding box regression decoder, as well as the impact of an NLP pre-processing step was evaluated for information extraction from documents. The results have shown that NLP based pre-processing is beneficial for model performance. However, the use of a bounding box regression decoder increases the model performance only for fields that do not follow a rectangular shape.
Recent grid-based document representations like BERTgrid allow the simultaneous encoding of the textual and layout information of a document in a 2D feature map so that state-of-the-art image segmentation and/or object detection models can be straightforwardly leveraged to extract key information from documents. However, such methods have not achieved comparable performance to state-of-the-art sequence- and graph-based methods such as LayoutLM and PICK yet. In this paper, we propose a new multi-modal backbone network by concatenating a BERTgrid to an intermediate layer of a CNN model, where the input of CNN is a document image and the BERTgrid is a grid of word embeddings, to generate a more powerful grid-based document representation, named ViBERTgrid. Unlike BERTgrid, the parameters of BERT and CNN in our multimodal backbone network are trained jointly. Our experimental results demonstrate that this joint training strategy improves significantly the representation ability of ViBERTgrid. Consequently, our ViBERTgrid-based key information extraction approach has achieved state-of-the-art performance on real-world datasets.
The relevance of the Key Information Extraction (KIE) task is increasingly important in natural language processing problems. But there are still only a few well-defined problems that serve as benchmarks for solutions in this area. To bridge this gap, we introduce two new datasets (Kleister NDA and Kleister Charity). They involve a mix of scanned and born-digital long formal English-language documents. In these datasets, an NLP system is expected to find or infer various types of entities by employing both textual and structural layout features. The Kleister Charity dataset consists of 2,788 annual financial reports of charity organizations, with 61,643 unique pages and 21,612 entities to extract. The Kleister NDA dataset has 540 Non-disclosure Agreements, with 3,229 unique pages and 2,160 entities to extract. We provide several state-of-the-art baseline systems from the KIE domain (Flair, BERT, RoBERTa, LayoutLM, LAMBERT), which show that our datasets pose a strong challenge to existing models. The best model achieved an 81.77% and an 83.57% F1-score on respectively the Kleister NDA and the Kleister Charity datasets. We share the datasets to encourage progress on more in-depth and complex information extraction tasks.
Key information extraction from document images is of paramount importance in office automation. Conventional template matching based approaches fail to generalize well to document images of unseen templates, and are not robust against text recognition errors. In this paper, we propose an end-to-end Spatial Dual-Modality Graph Reasoning method (SDMG-R) to extract key information from unstructured document images. We model document images as dual-modality graphs, nodes of which encode both the visual and textual features of detected text regions, and edges of which represent the spatial relations between neighboring text regions. The key information extraction is solved by iteratively propagating messages along graph edges and reasoning the categories of graph nodes. In order to roundly evaluate our proposed method as well as boost the future research, we release a new dataset named WildReceipt, which is collected and annotated tailored for the evaluation of key information extraction from document images of unseen templates in the wild. It contains 25 key information categories, a total of about 69000 text boxes, and is about 2 times larger than the existing public datasets. Extensive experiments validate that all information including visual features, textual features and spatial relations can benefit key information extraction. It has been shown that SDMG-R can effectively extract key information from document images of unseen templates, and obtain new state-of-the-art results on the recent popular benchmark SROIE and our WildReceipt. Our code and dataset will be publicly released.
Scanned receipts OCR and key information extraction (SROIE) represent the processeses of recognizing text from scanned receipts and extracting key texts from them and save the extracted tests to structured documents. SROIE plays critical roles for many document analysis applications and holds great commercial potentials, but very little research works and advances have been published in this area. In recognition of the technical challenges, importance and huge commercial potentials of SROIE, we organized the ICDAR 2019 competition on SROIE. In this competition, we set up three tasks, namely, Scanned Receipt Text Localisation (Task 1), Scanned Receipt OCR (Task 2) and Key Information Extraction from Scanned Receipts (Task 3). A new dataset with 1000 whole scanned receipt images and annotations is created for the competition. In this report we will presents the motivation, competition datasets, task definition, evaluation protocol, submission statistics, performance of submitted methods and results analysis.
Pre-training of text and layout has proved effective in a variety of visually-rich document understanding tasks due to its effective model architecture and the advantage of large-scale unlabeled scanned/digital-born documents. We propose LayoutLMv2 architecture with new pre-training tasks to model the interaction among text, layout, and image in a single multi-modal framework. Specifically, with a two-stream multi-modal Transformer encoder, LayoutLMv2 uses not only the existing masked visual-language modeling task but also the new text-image alignment and text-image matching tasks, which make it better capture the cross-modality interaction in the pre-training stage. Meanwhile, it also integrates a spatial-aware self-attention mechanism into the Transformer architecture so that the model can fully understand the relative positional relationship among different text blocks. Experiment results show that LayoutLMv2 outperforms LayoutLM by a large margin and achieves new state-of-the-art results on a wide variety of downstream visually-rich document understanding tasks, including FUNSD (0.7895 $\to$ 0.8420), CORD (0.9493 $\to$ 0.9601), SROIE (0.9524 $\to$ 0.9781), Kleister-NDA (0.8340 $\to$ 0.8520), RVL-CDIP (0.9443 $\to$ 0.9564), and DocVQA (0.7295 $\to$ 0.8672). We made our model and code publicly available at \url{https://aka.ms/layoutlmv2}.
Computer vision with state-of-the-art deep learning models has achieved huge success in the field of Optical Character Recognition (OCR) including text detection and recognition tasks recently. However, Key Information Extraction (KIE) from documents as the downstream task of OCR, having a large number of use scenarios in real-world, remains a challenge because documents not only have textual features extracting from OCR systems but also have semantic visual features that are not fully exploited and play a critical role in KIE. Too little work has been devoted to efficiently make full use of both textual and visual features of the documents. In this paper, we introduce PICK, a framework that is effective and robust in handling complex documents layout for KIE by combining graph learning with graph convolution operation, yielding a richer semantic representation containing the textual and visual features and global layout without ambiguity. Extensive experiments on real-world datasets have been conducted to show that our method outperforms baselines methods by significant margins. Our code is available at https://github.com/wenwenyu/PICK-pytorch.
We introduce a simple new approach to the problem of understanding documents where non-trivial layout influences the local semantics. To this end, we modify the Transformer encoder architecture in a way that allows it to use layout features obtained from an OCR system, without the need to re-learn language semantics from scratch. We only augment the input of the model with the coordinates of token bounding boxes, avoiding, in this way, the use of raw images. This leads to a layout-aware language model which can then be fine-tuned on downstream tasks. The model is evaluated on an end-to-end information extraction task using four publicly available datasets: Kleister NDA, Kleister Charity, SROIE and CORD. We show that our model achieves superior performance on datasets consisting of visually rich documents, while also outperforming the baseline RoBERTa on documents with flat layout (NDA \(F_{1}\) increase from 78.50 to 80.42). Our solution ranked first on the public leaderboard for the Key Information Extraction from the SROIE dataset, improving the SOTA \(F_{1}\)-score from 97.81 to 98.17.
Pre-training techniques have been verified successfully in a variety of NLP tasks in recent years. Despite the widespread use of pre-training models for NLP applications, they almost exclusively focus on text-level manipulation, while neglecting layout and style information that is vital for document image understanding. In this paper, we propose the \textbf{LayoutLM} to jointly model interactions between text and layout information across scanned document images, which is beneficial for a great number of real-world document image understanding tasks such as information extraction from scanned documents. Furthermore, we also leverage image features to incorporate words' visual information into LayoutLM. To the best of our knowledge, this is the first time that text and layout are jointly learned in a single framework for document-level pre-training. It achieves new state-of-the-art results in several downstream tasks, including form understanding (from 70.72 to 79.27), receipt understanding (from 94.02 to 95.24) and document image classification (from 93.07 to 94.42). The code and pre-trained LayoutLM models are publicly available at \url{https://aka.ms/layoutlm}.