Daily Papers

Clinical machine learning research and AI driven clinical decision support models rely on clinically accurate labels. Manually extracting these labels with the help of clinical specialists is often time-consuming and expensive. This study tests the feasibility of automatic span- and document-level diagnosis extraction from unstructured Dutch echocardiogram reports. We included 115,692 unstructured echocardiogram reports from the UMCU a large university hospital in the Netherlands. A randomly selected subset was manually annotated for the occurrence and severity of eleven commonly described cardiac characteristics. We developed and tested several automatic labelling techniques at both span and document levels, using weighted and macro F1-score, precision, and recall for performance evaluation. We compared the performance of span labelling against document labelling methods, which included both direct document classifiers and indirect document classifiers that rely on span classification results. The SpanCategorizer and MedRoBERTa.nl models outperformed all other span and document classifiers, respectively. The weighted F1-score varied between characteristics, ranging from 0.60 to 0.93 in SpanCategorizer and 0.96 to 0.98 in MedRoBERTa.nl. Direct document classification was superior to indirect document classification using span classifiers. SetFit achieved competitive document classification performance using only 10\% of the training data. Utilizing a reduced label set yielded near-perfect document classification results. We recommend using our published SpanCategorizer and MedRoBERTa.nl models for span- and document-level diagnosis extraction from Dutch echocardiography reports. For settings with limited training data, SetFit may be a promising alternative for document classification.

Information extraction from handwritten documents involves traditionally three distinct steps: Document Layout Analysis, Handwritten Text Recognition, and Named Entity Recognition. Recent approaches have attempted to integrate these steps into a single process using fully end-to-end architectures. Despite this, these integrated approaches have not yet matched the performance of language models, when applied to information extraction in plain text. In this paper, we introduce DANIEL (Document Attention Network for Information Extraction and Labelling), a fully end-to-end architecture integrating a language model and designed for comprehensive handwritten document understanding. DANIEL performs layout recognition, handwriting recognition, and named entity recognition on full-page documents. Moreover, it can simultaneously learn across multiple languages, layouts, and tasks. For named entity recognition, the ontology to be applied can be specified via the input prompt. The architecture employs a convolutional encoder capable of processing images of any size without resizing, paired with an autoregressive decoder based on a transformer-based language model. DANIEL achieves competitive results on four datasets, including a new state-of-the-art performance on RIMES 2009 and M-POPP for Handwriting Text Recognition, and IAM NER for Named Entity Recognition. Furthermore, DANIEL is much faster than existing approaches. We provide the source code and the weights of the trained models at https://github.com/Shulk97/daniel.

The increased use of large language models (LLMs) across a variety of real-world applications calls for mechanisms to verify the factual accuracy of their outputs. In this work, we present a holistic end-to-end solution for annotating the factuality of LLM-generated responses, which encompasses a multi-stage annotation scheme designed to yield detailed labels concerning the verifiability and factual inconsistencies found in LLM outputs. We design and build an annotation tool to speed up the labelling procedure and ease the workload of raters. It allows flexible incorporation of automatic results in any stage, e.g. automatically-retrieved evidence. We further construct an open-domain document-level factuality benchmark in three-level granularity: claim, sentence and document. Preliminary experiments show that FacTool, FactScore and Perplexity.ai are struggling to identify false claims with the best F1=0.53. Annotation tool, benchmark and code are available at https://github.com/yuxiaw/Factcheck-GPT.

Visually-Rich Documents (VRDs), encompassing elements like charts, tables, and references, convey complex information across various fields. However, extracting information from these rich documents is labor-intensive, especially given their inconsistent formats and domain-specific requirements. While pretrained models for VRD Understanding have progressed, their reliance on large, annotated datasets limits scalability. This paper introduces the Domain Adaptive Visually-rich Document Understanding (DAViD) framework, which utilises machine-generated synthetic data for domain adaptation. DAViD integrates fine-grained and coarse-grained document representation learning and employs synthetic annotations to reduce the need for costly manual labelling. By leveraging pretrained models and synthetic data, DAViD achieves competitive performance with minimal annotated datasets. Extensive experiments validate DAViD's effectiveness, demonstrating its ability to efficiently adapt to domain-specific VRDU tasks.

Invoices and receipts submitted by employees are visually rich documents (VRDs) with textual, visual and layout information. To protect against the risk of fraud and abuse, it is crucial for organizations to efficiently extract desired information from submitted receipts. This helps in the assessment of key factors such as appropriateness of the expense claim, adherence to spending and transaction policies, the validity of the receipt, as well as downstream anomaly detection at various levels. These documents are heterogeneous, with multiple formats and languages, uploaded with different image qualities, and often do not contain ground truth labels for the efficient training of models. In this paper we propose Task Aware Instruction-based Labelling (TAIL), a method for synthetic label generation in VRD corpuses without labels, and fine-tune a multimodal Visually Rich Document Understanding Model (VRDU) on TAIL labels using response-based knowledge distillation without using the teacher model's weights or training dataset to conditionally generate annotations in the appropriate format. Using a benchmark external dataset where ground truth labels are available, we demonstrate conditions under which our approach performs at par with Claude 3 Sonnet through empirical studies. We then show that the resulting model performs at par or better on the internal expense documents of a large multinational organization than state-of-the-art LMM (large multimodal model) Claude 3 Sonnet while being 85% less costly and ~5X faster, and outperforms layout-aware baselines by more than 10% in Average Normalized Levenshtein Similarity (ANLS) scores due to its ability to reason and extract information from rare formats. Finally, we illustrate the usage of our approach in overpayment prevention.

In multi-label classification, each example in a dataset may be annotated as belonging to one or more classes (or none of the classes). Example applications include image (or document) tagging where each possible tag either applies to a particular image (or document) or not. With many possible classes to consider, data annotators are likely to make errors when labeling such data in practice. Here we consider algorithms for finding mislabeled examples in multi-label classification datasets. We propose an extension of the Confident Learning framework to this setting, as well as a label quality score that ranks examples with label errors much higher than those which are correctly labeled. Both approaches can utilize any trained classifier. After demonstrating that our methodology empirically outperforms other algorithms for label error detection, we apply our approach to discover many label errors in the CelebA image tagging dataset.

We present an elegant and effective approach for addressing limitations in existing multi-label classification models by incorporating interaction matching, a concept shown to be useful for ad-hoc search result ranking. By performing soft n-gram interaction matching, we match labels with natural language descriptions (which are common to have in most multi-labeling tasks). Our approach can be used to enhance existing multi-label classification approaches, which are biased toward frequently-occurring labels. We evaluate our approach on two challenging tasks: automatic medical coding of clinical notes and automatic labeling of entities from software tutorial text. Our results show that our method can yield up to an 11% relative improvement in macro performance, with most of the gains stemming labels that appear infrequently in the training set (i.e., the long tail of labels).

Document layout analysis is a known problem to the documents research community and has been vastly explored yielding a multitude of solutions ranging from text mining, and recognition to graph-based representation, visual feature extraction, etc. However, most of the existing works have ignored the crucial fact regarding the scarcity of labeled data. With growing internet connectivity to personal life, an enormous amount of documents had been available in the public domain and thus making data annotation a tedious task. We address this challenge using self-supervision and unlike, the few existing self-supervised document segmentation approaches which use text mining and textual labels, we use a complete vision-based approach in pre-training without any ground-truth label or its derivative. Instead, we generate pseudo-layouts from the document images to pre-train an image encoder to learn the document object representation and localization in a self-supervised framework before fine-tuning it with an object detection model. We show that our pipeline sets a new benchmark in this context and performs at par with the existing methods and the supervised counterparts, if not outperforms. The code is made publicly available at: https://github.com/MaitySubhajit/SelfDocSeg

Multi-Label Text Classification (MLTC) is a fundamental task in the field of Natural Language Processing (NLP) that involves the assignment of multiple labels to a given text. MLTC has gained significant importance and has been widely applied in various domains such as topic recognition, recommendation systems, sentiment analysis, and information retrieval. However, traditional machine learning and Deep neural network have not yet addressed certain issues, such as the fact that some documents are brief but have a large number of labels and how to establish relationships between the labels. It is imperative to additionally acknowledge that the significance of knowledge is substantiated in the realm of MLTC. To address this issue, we provide a novel approach known as Knowledge-enhanced Doc-Label Attention Network (KeNet). Specifically, we design an Attention Network that incorporates external knowledge, label embedding, and a comprehensive attention mechanism. In contrast to conventional methods, we use comprehensive representation of documents, knowledge and labels to predict all labels for each single text. Our approach has been validated by comprehensive research conducted on three multi-label datasets. Experimental results demonstrate that our method outperforms state-of-the-art MLTC method. Additionally, a case study is undertaken to illustrate the practical implementation of KeNet.

This paper highlights the need to bring document classification benchmarking closer to real-world applications, both in the nature of data tested (X: multi-channel, multi-paged, multi-industry; Y: class distributions and label set variety) and in classification tasks considered (f: multi-page document, page stream, and document bundle classification, ...). We identify the lack of public multi-page document classification datasets, formalize different classification tasks arising in application scenarios, and motivate the value of targeting efficient multi-page document representations. An experimental study on proposed multi-page document classification datasets demonstrates that current benchmarks have become irrelevant and need to be updated to evaluate complete documents, as they naturally occur in practice. This reality check also calls for more mature evaluation methodologies, covering calibration evaluation, inference complexity (time-memory), and a range of realistic distribution shifts (e.g., born-digital vs. scanning noise, shifting page order). Our study ends on a hopeful note by recommending concrete avenues for future improvements.}

Patent examiners need to solve a complex information retrieval task when they assess the novelty and inventive step of claims made in a patent application. Given a claim, they search for prior art, which comprises all relevant publicly available information. This time-consuming task requires a deep understanding of the respective technical domain and the patent-domain-specific language. For these reasons, we address the computer-assisted search for prior art by creating a training dataset for supervised machine learning called PatentMatch. It contains pairs of claims from patent applications and semantically corresponding text passages of different degrees from cited patent documents. Each pair has been labeled by technically-skilled patent examiners from the European Patent Office. Accordingly, the label indicates the degree of semantic correspondence (matching), i.e., whether the text passage is prejudicial to the novelty of the claimed invention or not. Preliminary experiments using a baseline system show that PatentMatch can indeed be used for training a binary text pair classifier on this challenging information retrieval task. The dataset is available online: https://hpi.de/naumann/s/patentmatch.

The RVL-CDIP benchmark is widely used for measuring performance on the task of document classification. Despite its widespread use, we reveal several undesirable characteristics of the RVL-CDIP benchmark. These include (1) substantial amounts of label noise, which we estimate to be 8.1% (ranging between 1.6% to 16.9% per document category); (2) presence of many ambiguous or multi-label documents; (3) a large overlap between test and train splits, which can inflate model performance metrics; and (4) presence of sensitive personally-identifiable information like US Social Security numbers (SSNs). We argue that there is a risk in using RVL-CDIP for benchmarking document classifiers, as its limited scope, presence of errors (state-of-the-art models now achieve accuracy error rates that are within our estimated label error rate), and lack of diversity make it less than ideal for benchmarking. We further advocate for the creation of a new document classification benchmark, and provide recommendations for what characteristics such a resource should include.

In this paper, we introduce a multi-label lazy learning approach to deal with automatic semantic indexing in large document collections in the presence of complex and structured label vocabularies with high inter-label correlation. The proposed method is an evolution of the traditional k-Nearest Neighbors algorithm which uses a large autoencoder trained to map the large label space to a reduced size latent space and to regenerate the predicted labels from this latent space. We have evaluated our proposal in a large portion of the MEDLINE biomedical document collection which uses the Medical Subject Headings (MeSH) thesaurus as a controlled vocabulary. In our experiments we propose and evaluate several document representation approaches and different label autoencoder configurations.

Large Language Model (LLM) pre-training exhausts an ever growing compute budget, yet recent research has demonstrated that careful document selection enables comparable model quality with only a fraction of the FLOPs. Inspired by efforts suggesting that domain-specific training document selection is in fact an interpretable process [Gunasekar et al., 2023], as well as research showing that instruction-finetuned LLMs are adept zero-shot data labelers [Gilardi et al.,2023], we explore a promising direction for scalable general-domain document selection; employing a prompted LLM as a document grader, we distill quality labels into a classifier model, which is applied at scale to a large, and already heavily-filtered, web-crawl-derived corpus autonomously. Following the guidance of this classifier, we drop 75% of the corpus and train LLMs on the remaining data. Results across multiple benchmarks show that: 1. Filtering allows us to quality-match a model trained on the full corpus across diverse benchmarks with at most 70% of the FLOPs, 2. More capable LLM labelers and classifier models lead to better results that are less sensitive to the labeler's prompt, 3. In-context learning helps to boost the performance of less-capable labeling models. In all cases we use open-source datasets, models, recipes, and evaluation frameworks, so that results can be reproduced by the community.

We consider Large-Scale Multi-Label Text Classification (LMTC) in the legal domain. We release a new dataset of 57k legislative documents from EURLEX, annotated with ~4.3k EUROVOC labels, which is suitable for LMTC, few- and zero-shot learning. Experimenting with several neural classifiers, we show that BIGRUs with label-wise attention perform better than other current state of the art methods. Domain-specific WORD2VEC and context-sensitive ELMO embeddings further improve performance. We also find that considering only particular zones of the documents is sufficient. This allows us to bypass BERT's maximum text length limit and fine-tune BERT, obtaining the best results in all but zero-shot learning cases.

Medical systematic reviews typically require assessing all the documents retrieved by a search. The reason is two-fold: the task aims for ``total recall''; and documents retrieved using Boolean search are an unordered set, and thus it is unclear how an assessor could examine only a subset. Screening prioritisation is the process of ranking the (unordered) set of retrieved documents, allowing assessors to begin the downstream processes of the systematic review creation earlier, leading to earlier completion of the review, or even avoiding screening documents ranked least relevant. Screening prioritisation requires highly effective ranking methods. Pre-trained language models are state-of-the-art on many IR tasks but have yet to be applied to systematic review screening prioritisation. In this paper, we apply several pre-trained language models to the systematic review document ranking task, both directly and fine-tuned. An empirical analysis compares how effective neural methods compare to traditional methods for this task. We also investigate different types of document representations for neural methods and their impact on ranking performance. Our results show that BERT-based rankers outperform the current state-of-the-art screening prioritisation methods. However, BERT rankers and existing methods can actually be complementary, and thus, further improvements may be achieved if used in conjunction.

Prompting is used to guide or steer a language model in generating an appropriate response that is consistent with the desired outcome. Chaining is a strategy used to decompose complex tasks into smaller, manageable components. In this study, we utilize prompt chaining for extensive legal document classification tasks, which present difficulties due to their intricate domain-specific language and considerable length. Our approach begins with the creation of a concise summary of the original document, followed by a semantic search for related exemplar texts and their corresponding annotations from a training corpus. Finally, we prompt for a label - based on the task - to assign, by leveraging the in-context learning from the few-shot prompt. We demonstrate that through prompt chaining, we can not only enhance the performance over zero-shot, but also surpass the micro-F1 score achieved by larger models, such as ChatGPT zero-shot, using smaller models.

Traditional document similarity measures provide a coarse-grained distinction between similar and dissimilar documents. Typically, they do not consider in what aspects two documents are similar. This limits the granularity of applications like recommender systems that rely on document similarity. In this paper, we extend similarity with aspect information by performing a pairwise document classification task. We evaluate our aspect-based document similarity for research papers. Paper citations indicate the aspect-based similarity, i.e., the section title in which a citation occurs acts as a label for the pair of citing and cited paper. We apply a series of Transformer models such as RoBERTa, ELECTRA, XLNet, and BERT variations and compare them to an LSTM baseline. We perform our experiments on two newly constructed datasets of 172,073 research paper pairs from the ACL Anthology and CORD-19 corpus. Our results show SciBERT as the best performing system. A qualitative examination validates our quantitative results. Our findings motivate future research of aspect-based document similarity and the development of a recommender system based on the evaluated techniques. We make our datasets, code, and trained models publicly available.

Scientific document classification is a critical task and often involves many classes. However, collecting human-labeled data for many classes is expensive and usually leads to label-scarce scenarios. Moreover, recent work has shown that sentence embedding model fine-tuning for few-shot classification is efficient, robust, and effective. In this work, we propose FusionSent (Fusion-based Sentence Embedding Fine-tuning), an efficient and prompt-free approach for few-shot classification of scientific documents with many classes. FusionSent uses available training examples and their respective label texts to contrastively fine-tune two different sentence embedding models. Afterward, the parameters of both fine-tuned models are fused to combine the complementary knowledge from the separate fine-tuning steps into a single model. Finally, the resulting sentence embedding model is frozen to embed the training instances, which are then used as input features to train a classification head. Our experiments show that FusionSent significantly outperforms strong baselines by an average of 6.0 F_{1} points across multiple scientific document classification datasets. In addition, we introduce a new dataset for multi-label classification of scientific documents, which contains 183,565 scientific articles and 130 classes from the arXiv category taxonomy. Code and data are available at https://github.com/sebischair/FusionSent.

A visually rich document (VRD) utilizes visual features along with linguistic cues to disseminate information. Training a custom extractor that identifies named entities from a document requires a large number of instances of the target document type annotated at textual and visual modalities. This is an expensive bottleneck in enterprise scenarios, where we want to train custom extractors for thousands of different document types in a scalable way. Pre-training an extractor model on unlabeled instances of the target document type, followed by a fine-tuning step on human-labeled instances does not work in these scenarios, as it surpasses the maximum allowable training time allocated for the extractor. We address this scenario by proposing a Noise-Aware Training method or NAT in this paper. Instead of acquiring expensive human-labeled documents, NAT utilizes weakly labeled documents to train an extractor in a scalable way. To avoid degradation in the model's quality due to noisy, weakly labeled samples, NAT estimates the confidence of each training sample and incorporates it as uncertainty measure during training. We train multiple state-of-the-art extractor models using NAT. Experiments on a number of publicly available and in-house datasets show that NAT-trained models are not only robust in performance -- it outperforms a transfer-learning baseline by up to 6% in terms of macro-F1 score, but it is also more label-efficient -- it reduces the amount of human-effort required to obtain comparable performance by up to 73%.

Reviewing contracts is a time-consuming procedure that incurs large expenses to companies and social inequality to those who cannot afford it. In this work, we propose "document-level natural language inference (NLI) for contracts", a novel, real-world application of NLI that addresses such problems. In this task, a system is given a set of hypotheses (such as "Some obligations of Agreement may survive termination.") and a contract, and it is asked to classify whether each hypothesis is "entailed by", "contradicting to" or "not mentioned by" (neutral to) the contract as well as identifying "evidence" for the decision as spans in the contract. We annotated and release the largest corpus to date consisting of 607 annotated contracts. We then show that existing models fail badly on our task and introduce a strong baseline, which (1) models evidence identification as multi-label classification over spans instead of trying to predict start and end tokens, and (2) employs more sophisticated context segmentation for dealing with long documents. We also show that linguistic characteristics of contracts, such as negations by exceptions, are contributing to the difficulty of this task and that there is much room for improvement.

The extreme multi-label classification (XMC) task aims at tagging content with a subset of labels from an extremely large label set. The label vocabulary is typically defined in advance by domain experts and assumed to capture all necessary tags. However in real world scenarios this label set, although large, is often incomplete and experts frequently need to refine it. To develop systems that simplify this process, we introduce the task of open vocabulary XMC (OXMC): given a piece of content, predict a set of labels, some of which may be outside of the known tag set. Hence, in addition to not having training data for some labels - as is the case in zero-shot classification - models need to invent some labels on-the-fly. We propose GROOV, a fine-tuned seq2seq model for OXMC that generates the set of labels as a flat sequence and is trained using a novel loss independent of predicted label order. We show the efficacy of the approach, experimenting with popular XMC datasets for which GROOV is able to predict meaningful labels outside the given vocabulary while performing on par with state-of-the-art solutions for known labels.

Automatically understanding the rhetorical roles of sentences in a legal case judgement is an important problem to solve, since it can help in several downstream tasks like summarization of legal judgments, legal search, and so on. The task is challenging since legal case documents are usually not well-structured, and these rhetorical roles may be subjective (as evident from variation of opinions between legal experts). In this paper, we address this task for judgments from the Supreme Court of India. We label sentences in 50 documents using multiple human annotators, and perform an extensive analysis of the human-assigned labels. We also attempt automatic identification of the rhetorical roles of sentences. While prior approaches towards this task used Conditional Random Fields over manually handcrafted features, we explore the use of deep neural models which do not require hand-crafting of features. Experiments show that neural models perform much better in this task than baseline methods which use handcrafted features.

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.

Mathematical symbols and descriptions appear in various forms across document section boundaries without explicit markup. In this paper, we present a new large-scale dataset that emphasizes extracting symbols and descriptions in scientific documents. Symlink annotates scientific papers of 5 different domains (i.e., computer science, biology, physics, mathematics, and economics). Our experiments on Symlink demonstrate the challenges of the symbol-description linking task for existing models and call for further research effort in this area. We will publicly release Symlink to facilitate future research.

Scientific documents record research findings and valuable human knowledge, comprising a vast corpus of high-quality data. Leveraging multi-modality data extracted from these documents and assessing large models' abilities to handle scientific document-oriented tasks is therefore meaningful. Despite promising advancements, large models still perform poorly on multi-page scientific document extraction and understanding tasks, and their capacity to process within-document data formats such as charts and equations remains under-explored. To address these issues, we present DocGenome, a structured document benchmark constructed by annotating 500K scientific documents from 153 disciplines in the arXiv open-access community, using our custom auto-labeling pipeline. DocGenome features four key characteristics: 1) Completeness: It is the first dataset to structure data from all modalities including 13 layout attributes along with their LaTeX source codes. 2) Logicality: It provides 6 logical relationships between different entities within each scientific document. 3) Diversity: It covers various document-oriented tasks, including document classification, visual grounding, document layout detection, document transformation, open-ended single-page QA and multi-page QA. 4) Correctness: It undergoes rigorous quality control checks conducted by a specialized team. We conduct extensive experiments to demonstrate the advantages of DocGenome and objectively evaluate the performance of large models on our benchmark.

In this paper, we consider the task of retrieving documents with predefined topics from an unlabeled document dataset using an unsupervised approach. The proposed unsupervised approach requires only a small number of keywords describing the respective topics and no labeled document. Existing approaches either heavily relied on a large amount of additionally encoded world knowledge or on term-document frequencies. Contrariwise, we introduce a method that learns jointly embedded document and word vectors solely from the unlabeled document dataset in order to find documents that are semantically similar to the topics described by the keywords. The proposed method requires almost no text preprocessing but is simultaneously effective at retrieving relevant documents with high probability. When successively retrieving documents on different predefined topics from publicly available and commonly used datasets, we achieved an average area under the receiver operating characteristic curve value of 0.95 on one dataset and 0.92 on another. Further, our method can be used for multiclass document classification, without the need to assign labels to the dataset in advance. Compared with an unsupervised classification baseline, we increased F1 scores from 76.6 to 82.7 and from 61.0 to 75.1 on the respective datasets. For easy replication of our approach, we make the developed Lbl2Vec code publicly available as a ready-to-use tool under the 3-Clause BSD license.

Transforming unstructured text into structured and meaningful forms, organized by useful category labels, is a fundamental step in text mining for downstream analysis and application. However, most existing methods for producing label taxonomies and building text-based label classifiers still rely heavily on domain expertise and manual curation, making the process expensive and time-consuming. This is particularly challenging when the label space is under-specified and large-scale data annotations are unavailable. In this paper, we address these challenges with Large Language Models (LLMs), whose prompt-based interface facilitates the induction and use of large-scale pseudo labels. We propose TnT-LLM, a two-phase framework that employs LLMs to automate the process of end-to-end label generation and assignment with minimal human effort for any given use-case. In the first phase, we introduce a zero-shot, multi-stage reasoning approach which enables LLMs to produce and refine a label taxonomy iteratively. In the second phase, LLMs are used as data labelers that yield training samples so that lightweight supervised classifiers can be reliably built, deployed, and served at scale. We apply TnT-LLM to the analysis of user intent and conversational domain for Bing Copilot (formerly Bing Chat), an open-domain chat-based search engine. Extensive experiments using both human and automatic evaluation metrics demonstrate that TnT-LLM generates more accurate and relevant label taxonomies when compared against state-of-the-art baselines, and achieves a favorable balance between accuracy and efficiency for classification at scale. We also share our practical experiences and insights on the challenges and opportunities of using LLMs for large-scale text mining in real-world applications.

Documents are a core part of many businesses in many fields such as law, finance, and technology among others. Automatic understanding of documents such as invoices, contracts, and resumes is lucrative, opening up many new avenues of business. The fields of natural language processing and computer vision have seen tremendous progress through the development of deep learning such that these methods have started to become infused in contemporary document understanding systems. In this survey paper, we review different techniques for document understanding for documents written in English and consolidate methodologies present in literature to act as a jumping-off point for researchers exploring this area.

We introduce Docling, an easy-to-use, self-contained, MIT-licensed, open-source toolkit for document conversion, that can parse several types of popular document formats into a unified, richly structured representation. It is powered by state-of-the-art specialized AI models for layout analysis (DocLayNet) and table structure recognition (TableFormer), and runs efficiently on commodity hardware in a small resource budget. Docling is released as a Python package and can be used as a Python API or as a CLI tool. Docling's modular architecture and efficient document representation make it easy to implement extensions, new features, models, and customizations. Docling has been already integrated in other popular open-source frameworks (e.g., LangChain, LlamaIndex, spaCy), making it a natural fit for the processing of documents and the development of high-end applications. The open-source community has fully engaged in using, promoting, and developing for Docling, which gathered 10k stars on GitHub in less than a month and was reported as the No. 1 trending repository in GitHub worldwide in November 2024.

Major scandals in corporate history have urged the need for regulatory compliance, where organizations need to ensure that their controls (processes) comply with relevant laws, regulations, and policies. However, keeping track of the constantly changing legislation is difficult, thus organizations are increasingly adopting Regulatory Technology (RegTech) to facilitate the process. To this end, we introduce regulatory information retrieval (REG-IR), an application of document-to-document information retrieval (DOC2DOC IR), where the query is an entire document making the task more challenging than traditional IR where the queries are short. Furthermore, we compile and release two datasets based on the relationships between EU directives and UK legislation. We experiment on these datasets using a typical two-step pipeline approach comprising a pre-fetcher and a neural re-ranker. Experimenting with various pre-fetchers from BM25 to k nearest neighbors over representations from several BERT models, we show that fine-tuning a BERT model on an in-domain classification task produces the best representations for IR. We also show that neural re-rankers under-perform due to contradicting supervision, i.e., similar query-document pairs with opposite labels. Thus, they are biased towards the pre-fetcher's score. Interestingly, applying a date filter further improves the performance, showcasing the importance of the time dimension.

The iMet 2020 dataset is a valuable resource in the space of fine-grained art attribution recognition, but we believe it has yet to reach its true potential. We document the unique properties of the dataset and observe that many of the attribute labels are noisy, more than is implied by the dataset description. Oftentimes, there are also semantic relationships between the labels (e.g., identical, mutual exclusion, subsumption, overlap with uncertainty) which we believe are underutilized. We propose an approach to cleaning and structuring the iMet 2020 labels, and discuss the implications and value of doing so. Further, we demonstrate the benefits of our proposed approach through several experiments. Our code and cleaned labels are available at https://github.com/sunniesuhyoung/iMet2020cleaned.

Document AI aims to automatically analyze documents by leveraging natural language processing and computer vision techniques. One of the major tasks of Document AI is document layout analysis, which structures document pages by interpreting the content and spatial relationships of layout, image, and text. This task can be image-centric, wherein the aim is to identify and label various regions such as authors and paragraphs, or text-centric, where the focus is on classifying individual words in a document. Although there are increasingly sophisticated methods for improving layout analysis, doubts remain about the extent to which their findings can be generalized to a broader context. Specifically, prior work developed systems based on very different architectures, such as transformer-based, graph-based, and CNNs. However, no work has mentioned the effectiveness of these models in a comparative analysis. Moreover, while language-independent Document AI models capable of knowledge transfer have been developed, it remains to be investigated to what degree they can effectively transfer knowledge. In this study, we aim to fill these gaps by conducting a comparative evaluation of state-of-the-art models in document layout analysis and investigating the potential of cross-lingual layout analysis by utilizing machine translation techniques.

Document layout analysis usually relies on computer vision models to understand documents while ignoring textual information that is vital to capture. Meanwhile, high quality labeled datasets with both visual and textual information are still insufficient. In this paper, we present DocBank, a benchmark dataset that contains 500K document pages with fine-grained token-level annotations for document layout analysis. DocBank is constructed using a simple yet effective way with weak supervision from the documents available on the arXiv.com. With DocBank, models from different modalities can be compared fairly and multi-modal approaches will be further investigated and boost the performance of document layout analysis. We build several strong baselines and manually split train/dev/test sets for evaluation. Experiment results show that models trained on DocBank accurately recognize the layout information for a variety of documents. The DocBank dataset is publicly available at https://github.com/doc-analysis/DocBank.

We introduce a new dataset named WikiVitals which contains a large graph of 48k mutually referred Wikipedia articles classified into 32 categories and connected by 2.3M edges. Our aim is to rigorously evaluate the contributions of three distinct sources of information to the label prediction in a semi-supervised node classification setting, namely the content of the articles, their connections with each other and the correlations among their labels. We perform this evaluation using a Graph Markov Neural Network which provides a theoretically principled model for this task and we conduct a detailed evaluation of the contributions of each sources of information using a clear separation of model selection and model assessment. One interesting observation is that including the effect of label dependencies is more relevant for sparse train sets than it is for dense train sets.

The continually increasing number of documents produced each year necessitates ever improving information processing methods for searching, retrieving, and organizing text. Central to these information processing methods is document classification, which has become an important application for supervised learning. Recently the performance of these traditional classifiers has degraded as the number of documents has increased. This is because along with this growth in the number of documents has come an increase in the number of categories. This paper approaches this problem differently from current document classification methods that view the problem as multi-class classification. Instead we perform hierarchical classification using an approach we call Hierarchical Deep Learning for Text classification (HDLTex). HDLTex employs stacks of deep learning architectures to provide specialized understanding at each level of the document hierarchy.

Referring image segmentation, the task of segmenting any arbitrary entities described in free-form texts, opens up a variety of vision applications. However, manual labeling of training data for this task is prohibitively costly, leading to lack of labeled data for training. We address this issue by a weakly supervised learning approach using text descriptions of training images as the only source of supervision. To this end, we first present a new model that discovers semantic entities in input image and then combines such entities relevant to text query to predict the mask of the referent. We also present a new loss function that allows the model to be trained without any further supervision. Our method was evaluated on four public benchmarks for referring image segmentation, where it clearly outperformed the existing method for the same task and recent open-vocabulary segmentation models on all the benchmarks.

Text clustering remains valuable in real-world applications where manual labeling is cost-prohibitive. It facilitates efficient organization and analysis of information by grouping similar texts based on their representations. However, implementing this approach necessitates fine-tuned embedders for downstream data and sophisticated similarity metrics. To address this issue, this study presents a novel framework for text clustering that effectively leverages the in-context learning capacity of Large Language Models (LLMs). Instead of fine-tuning embedders, we propose to transform the text clustering into a classification task via LLM. First, we prompt LLM to generate potential labels for a given dataset. Second, after integrating similar labels generated by the LLM, we prompt the LLM to assign the most appropriate label to each sample in the dataset. Our framework has been experimentally proven to achieve comparable or superior performance to state-of-the-art clustering methods that employ embeddings, without requiring complex fine-tuning or clustering algorithms. We make our code available to the public for utilization at https://anonymous.4open.science/r/Text-Clustering-via-LLM-E500.

Automatic coding of International Classification of Diseases (ICD) is a multi-label text categorization task that involves extracting disease or procedure codes from clinical notes. Despite the application of state-of-the-art natural language processing (NLP) techniques, there are still challenges including limited availability of data due to privacy constraints and the high variability of clinical notes caused by different writing habits of medical professionals and various pathological features of patients. In this work, we investigate the semi-structured nature of clinical notes and propose an automatic algorithm to segment them into sections. To address the variability issues in existing ICD coding models with limited data, we introduce a contrastive pre-training approach on sections using a soft multi-label similarity metric based on tree edit distance. Additionally, we design a masked section training strategy to enable ICD coding models to locate sections related to ICD codes. Extensive experimental results demonstrate that our proposed training strategies effectively enhance the performance of existing ICD coding methods.

Annotated data has become the most important bottleneck in training accurate machine learning models, especially for areas that require domain expertise. A recent approach to deal with the above issue proposes using natural language explanations instead of labeling individual data points, thereby increasing human annotators' efficiency as well as decreasing costs substantially. This paper focuses on the task of turning these natural language descriptions into Python labeling functions by following a novel approach to semantic parsing with pre-trained text-to-text Transformers. In a series of experiments our approach achieves a new state of the art on the semantic parsing benchmark CoNaLa, surpassing the previous best approach by 3.7 BLEU points. Furthermore, on a manually constructed dataset of natural language descriptions-labeling functions pairs we achieve a BLEU of 0.39. Our approach can be regarded as a stepping stone towards models that are taught how to label in natural language, instead of being provided specific labeled samples. Our code, constructed dataset and models are available at https://github.com/ypapanik/t5-for-code-generation.

Information in industry, research, and the public sector is widely stored as rendered documents (e.g., PDF files, scans). Hence, to enable downstream tasks, systems are needed that map rendered documents onto a structured hierarchical format. However, existing systems for this task are limited by heuristics and are not end-to-end trainable. In this work, we introduce the Document Structure Generator (DSG), a novel system for document parsing that is fully end-to-end trainable. DSG combines a deep neural network for parsing (i) entities in documents (e.g., figures, text blocks, headers, etc.) and (ii) relations that capture the sequence and nested structure between entities. Unlike existing systems that rely on heuristics, our DSG is trained end-to-end, making it effective and flexible for real-world applications. We further contribute a new, large-scale dataset called E-Periodica comprising real-world magazines with complex document structures for evaluation. Our results demonstrate that our DSG outperforms commercial OCR tools and, on top of that, achieves state-of-the-art performance. To the best of our knowledge, our DSG system is the first end-to-end trainable system for hierarchical document parsing.

While analyzing scanned documents, handwritten text can overlap with printed text. This overlap causes difficulties during the optical character recognition (OCR) and digitization process of documents, and subsequently, hurts downstream NLP tasks. Prior research either focuses solely on the binary classification of handwritten text or performs a three-class segmentation of the document, i.e., recognition of handwritten, printed, and background pixels. This approach results in the assignment of overlapping handwritten and printed pixels to only one of the classes, and thus, they are not accounted for in the other class. Thus, in this research, we develop novel approaches to address the challenges of handwritten and printed text segmentation. Our objective is to recover text from different classes in their entirety, especially enhancing the segmentation performance on overlapping sections. To support this task, we introduce a new dataset, SignaTR6K, collected from real legal documents, as well as a new model architecture for the handwritten and printed text segmentation task. Our best configuration outperforms prior work on two different datasets by 17.9% and 7.3% on IoU scores. The SignaTR6K dataset is accessible for download via the following link: https://forms.office.com/r/2a5RDg7cAY.

The advent of multimodal learning has brought a significant improvement in document AI. Documents are now treated as multimodal entities, incorporating both textual and visual information for downstream analysis. However, works in this space are often focused on the textual aspect, using the visual space as auxiliary information. While some works have explored pure vision based techniques for document image understanding, they require OCR identified text as input during inference, or do not align with text in their learning procedure. Therefore, we present a novel image-text alignment technique specially designed for leveraging the textual information in document images to improve performance on visual tasks. Our document encoder model DoPTA - trained with this technique demonstrates strong performance on a wide range of document image understanding tasks, without requiring OCR during inference. Combined with an auxiliary reconstruction objective, DoPTA consistently outperforms larger models, while using significantly lesser pre-training compute. DoPTA also sets new state-of-the art results on D4LA, and FUNSD, two challenging document visual analysis benchmarks.

Information Retrieval (IR) methods aim to identify relevant documents in response to a given query, which have gained remarkable attention due to their successful application in various natural language tasks. However, existing approaches typically consider only the textual information within the documents, which overlooks the fact that documents can contain multiple modalities, including texts, images, and tables. Further, they often segment each long document into multiple discrete passages for embedding, preventing them from capturing the overall document context and interactions between paragraphs. We argue that these two limitations lead to suboptimal document representations for retrieval. In this work, to address them, we aim to produce more comprehensive and nuanced document representations by holistically embedding documents interleaved with different modalities. Specifically, we achieve this by leveraging the capability of recent vision-language models that enable the processing and integration of text, images, and tables into a unified format and representation. Moreover, to mitigate the information loss from segmenting documents into passages, instead of representing and retrieving passages individually, we further merge the representations of segmented passages into one single document representation, while we additionally introduce a reranking strategy to decouple and identify the relevant passage within the document if necessary. Then, through extensive experiments on diverse information retrieval scenarios considering both the textual and multimodal queries, we show that our approach substantially outperforms relevant baselines, thanks to the consideration of the multimodal information interleaved within the documents in a unified way.

Abstractive summarization is the task of compressing a long document into a coherent short document while retaining salient information. Modern abstractive summarization methods are based on deep neural networks which often require large training datasets. Since collecting summarization datasets is an expensive and time-consuming task, practical industrial settings are usually low-resource. In this paper, we study a challenging low-resource setting of summarizing long legal briefs with an average source document length of 4268 words and only 120 available (document, summary) pairs. To account for data scarcity, we used a modern pretrained abstractive summarizer BART (Lewis et al., 2020), which only achieves 17.9 ROUGE-L as it struggles with long documents. We thus attempt to compress these long documents by identifying salient sentences in the source which best ground the summary, using a novel algorithm based on GPT-2 (Radford et al., 2019) language model perplexity scores, that operates within the low resource regime. On feeding the compressed documents to BART, we observe a 6.0 ROUGE-L improvement. Our method also beats several competitive salience detection baselines. Furthermore, the identified salient sentences tend to agree with an independent human labeling by domain experts.

Accurate document layout analysis is a key requirement for high-quality PDF document conversion. With the recent availability of public, large ground-truth datasets such as PubLayNet and DocBank, deep-learning models have proven to be very effective at layout detection and segmentation. While these datasets are of adequate size to train such models, they severely lack in layout variability since they are sourced from scientific article repositories such as PubMed and arXiv only. Consequently, the accuracy of the layout segmentation drops significantly when these models are applied on more challenging and diverse layouts. In this paper, we present DocLayNet, a new, publicly available, document-layout annotation dataset in COCO format. It contains 80863 manually annotated pages from diverse data sources to represent a wide variability in layouts. For each PDF page, the layout annotations provide labelled bounding-boxes with a choice of 11 distinct classes. DocLayNet also provides a subset of double- and triple-annotated pages to determine the inter-annotator agreement. In multiple experiments, we provide baseline accuracy scores (in mAP) for a set of popular object detection models. We also demonstrate that these models fall approximately 10\% behind the inter-annotator agreement. Furthermore, we provide evidence that DocLayNet is of sufficient size. Lastly, we compare models trained on PubLayNet, DocBank and DocLayNet, showing that layout predictions of the DocLayNet-trained models are more robust and thus the preferred choice for general-purpose document-layout analysis.

Multi-modal document retrieval is designed to identify and retrieve various forms of multi-modal content, such as figures, tables, charts, and layout information from extensive documents. Despite its significance, there is a notable lack of a robust benchmark to effectively evaluate the performance of systems in multi-modal document retrieval. To address this gap, this work introduces a new benchmark, named as MMDocIR, encompassing two distinct tasks: page-level and layout-level retrieval. The former focuses on localizing the most relevant pages within a long document, while the latter targets the detection of specific layouts, offering a more fine-grained granularity than whole-page analysis. A layout can refer to a variety of elements such as textual paragraphs, equations, figures, tables, or charts. The MMDocIR benchmark comprises a rich dataset featuring expertly annotated labels for 1,685 questions and bootstrapped labels for 173,843 questions, making it a pivotal resource for advancing multi-modal document retrieval for both training and evaluation. Through rigorous experiments, we reveal that (i) visual retrievers significantly outperform their text counterparts, (ii) MMDocIR train set can effectively benefit the training process of multi-modal document retrieval and (iii) text retrievers leveraging on VLM-text perform much better than those using OCR-text. These findings underscores the potential advantages of integrating visual elements for multi-modal document retrieval.

Documents are visually rich structures that convey information through text, as well as tables, figures, page layouts, or fonts. While modern document retrieval systems exhibit strong performance on query-to-text matching, they struggle to exploit visual cues efficiently, hindering their performance on practical document retrieval applications such as Retrieval Augmented Generation. To benchmark current systems on visually rich document retrieval, we introduce the Visual Document Retrieval Benchmark ViDoRe, composed of various page-level retrieving tasks spanning multiple domains, languages, and settings. The inherent shortcomings of modern systems motivate the introduction of a new retrieval model architecture, ColPali, which leverages the document understanding capabilities of recent Vision Language Models to produce high-quality contextualized embeddings solely from images of document pages. Combined with a late interaction matching mechanism, ColPali largely outperforms modern document retrieval pipelines while being drastically faster and end-to-end trainable.

We consider the task of Extreme Multi-Label Text Classification (XMTC) in the legal domain. We release a new dataset of 57k legislative documents from EURLEX, the European Union's public document database, annotated with concepts from EUROVOC, a multidisciplinary thesaurus. The dataset is substantially larger than previous EURLEX datasets and suitable for XMTC, few-shot and zero-shot learning. Experimenting with several neural classifiers, we show that BIGRUs with self-attention outperform the current multi-label state-of-the-art methods, which employ label-wise attention. Replacing CNNs with BIGRUs in label-wise attention networks leads to the best overall performance.

In populous countries, pending legal cases have been growing exponentially. There is a need for developing techniques for processing and organizing legal documents. In this paper, we introduce a new corpus for structuring legal documents. In particular, we introduce a corpus of legal judgment documents in English that are segmented into topical and coherent parts. Each of these parts is annotated with a label coming from a list of pre-defined Rhetorical Roles. We develop baseline models for automatically predicting rhetorical roles in a legal document based on the annotated corpus. Further, we show the application of rhetorical roles to improve performance on the tasks of summarization and legal judgment prediction. We release the corpus and baseline model code along with the paper.

Name tagging is a key component of Information Extraction (IE), particularly in scientific domains such as biomedicine and chemistry, where large language models (LLMs), e.g., ChatGPT, fall short. We investigate the applicability of transfer learning for enhancing a name tagging model trained in the biomedical domain (the source domain) to be used in the chemical domain (the target domain). A common practice for training such a model in a few-shot learning setting is to pretrain the model on the labeled source data, and then, to finetune it on a hand-full of labeled target examples. In our experiments we observed that such a model is prone to mis-labeling the source entities, which can often appear in the text, as the target entities. To alleviate this problem, we propose a model to transfer the knowledge from the source domain to the target domain, however, at the same time, to project the source entities and target entities into separate regions of the feature space. This diminishes the risk of mis-labeling the source entities as the target entities. Our model consists of two stages: 1) entity grouping in the source domain, which incorporates knowledge from annotated events to establish relations between entities, and 2) entity discrimination in the target domain, which relies on pseudo labeling and contrastive learning to enhance discrimination between the entities in the two domains. We carry out our extensive experiments across three source and three target datasets, and demonstrate that our method outperforms the baselines, in some scenarios by 5\% absolute value.

Enterprise documents such as forms, invoices, receipts, reports, contracts, and other similar records, often carry rich semantics at the intersection of textual and spatial modalities. The visual cues offered by their complex layouts play a crucial role in comprehending these documents effectively. In this paper, we present DocLLM, a lightweight extension to traditional large language models (LLMs) for reasoning over visual documents, taking into account both textual semantics and spatial layout. Our model differs from existing multimodal LLMs by avoiding expensive image encoders and focuses exclusively on bounding box information to incorporate the spatial layout structure. Specifically, the cross-alignment between text and spatial modalities is captured by decomposing the attention mechanism in classical transformers to a set of disentangled matrices. Furthermore, we devise a pre-training objective that learns to infill text segments. This approach allows us to address irregular layouts and heterogeneous content frequently encountered in visual documents. The pre-trained model is fine-tuned using a large-scale instruction dataset, covering four core document intelligence tasks. We demonstrate that our solution outperforms SotA LLMs on 14 out of 16 datasets across all tasks, and generalizes well to 4 out of 5 previously unseen datasets.

Large ground-truth datasets and recent advances in deep learning techniques have been useful for layout detection. However, because of the restricted layout diversity of these datasets, training on them requires a sizable number of annotated instances, which is both expensive and time-consuming. As a result, differences between the source and target domains may significantly impact how well these models function. To solve this problem, domain adaptation approaches have been developed that use a small quantity of labeled data to adjust the model to the target domain. In this research, we introduced a synthetic document dataset called RanLayNet, enriched with automatically assigned labels denoting spatial positions, ranges, and types of layout elements. The primary aim of this endeavor is to develop a versatile dataset capable of training models with robustness and adaptability to diverse document formats. Through empirical experimentation, we demonstrate that a deep layout identification model trained on our dataset exhibits enhanced performance compared to a model trained solely on actual documents. Moreover, we conduct a comparative analysis by fine-tuning inference models using both PubLayNet and IIIT-AR-13K datasets on the Doclaynet dataset. Our findings emphasize that models enriched with our dataset are optimal for tasks such as achieving 0.398 and 0.588 mAP95 score in the scientific document domain for the TABLE class.

Learning scientific document representations can be substantially improved through contrastive learning objectives, where the challenge lies in creating positive and negative training samples that encode the desired similarity semantics. Prior work relies on discrete citation relations to generate contrast samples. However, discrete citations enforce a hard cut-off to similarity. This is counter-intuitive to similarity-based learning, and ignores that scientific papers can be very similar despite lacking a direct citation - a core problem of finding related research. Instead, we use controlled nearest neighbor sampling over citation graph embeddings for contrastive learning. This control allows us to learn continuous similarity, to sample hard-to-learn negatives and positives, and also to avoid collisions between negative and positive samples by controlling the sampling margin between them. The resulting method SciNCL outperforms the state-of-the-art on the SciDocs benchmark. Furthermore, we demonstrate that it can train (or tune) models sample-efficiently, and that it can be combined with recent training-efficient methods. Perhaps surprisingly, even training a general-domain language model this way outperforms baselines pretrained in-domain.

State-of-the-art information extraction methods are limited by OCR errors. They work well for printed text in form-like documents, but unstructured, handwritten documents still remain a challenge. Adapting existing models to domain-specific training data is quite expensive, because of two factors, 1) limited availability of the domain-specific documents (such as handwritten prescriptions, lab notes, etc.), and 2) annotations become even more challenging as one needs domain-specific knowledge to decode inscrutable handwritten document images. In this work, we focus on the complex problem of extracting medicine names from handwritten prescriptions using only weakly labeled data. The data consists of images along with the list of medicine names in it, but not their location in the image. We solve the problem by first identifying the regions of interest, i.e., medicine lines from just weak labels and then injecting a domain-specific medicine language model learned using only synthetically generated data. Compared to off-the-shelf state-of-the-art methods, our approach performs >2.5x better in medicine names extraction from prescriptions.

This paper introduces a deep learning model tailored for document information analysis, emphasizing document classification, entity relation extraction, and document visual question answering. The proposed model leverages transformer-based models to encode all the information present in a document image, including textual, visual, and layout information. The model is pre-trained and subsequently fine-tuned for various document image analysis tasks. The proposed model incorporates three additional tasks during the pre-training phase, including reading order identification of different layout segments in a document image, layout segments categorization as per PubLayNet, and generation of the text sequence within a given layout segment (text block). The model also incorporates a collective pre-training scheme where losses of all the tasks under consideration, including pre-training and fine-tuning tasks with all datasets, are considered. Additional encoder and decoder blocks are added to the RoBERTa network to generate results for all tasks. The proposed model achieved impressive results across all tasks, with an accuracy of 95.87% on the RVL-CDIP dataset for document classification, F1 scores of 0.9306, 0.9804, 0.9794, and 0.8742 on the FUNSD, CORD, SROIE, and Kleister-NDA datasets respectively for entity relation extraction, and an ANLS score of 0.8468 on the DocVQA dataset for visual question answering. The results highlight the effectiveness of the proposed model in understanding and interpreting complex document layouts and content, making it a promising tool for document analysis tasks.

Many applications require grouping instances contained in diverse document datasets into classes. Most widely used methods do not employ deep learning and do not exploit the inherently multimodal nature of documents. Notably, record linkage is typically conceptualized as a string-matching problem. This study develops CLIPPINGS, (Contrastively Linking Pooled Pre-trained Embeddings), a multimodal framework for record linkage. CLIPPINGS employs end-to-end training of symmetric vision and language bi-encoders, aligned through contrastive language-image pre-training, to learn a metric space where the pooled image-text representation for a given instance is close to representations in the same class and distant from representations in different classes. At inference time, instances can be linked by retrieving their nearest neighbor from an offline exemplar embedding index or by clustering their representations. The study examines two challenging applications: constructing comprehensive supply chains for mid-20th century Japan through linking firm level financial records - with each firm name represented by its crop in the document image and the corresponding OCR - and detecting which image-caption pairs in a massive corpus of historical U.S. newspapers came from the same underlying photo wire source. CLIPPINGS outperforms widely used string matching methods by a wide margin and also outperforms unimodal methods. Moreover, a purely self-supervised model trained on only image-OCR pairs also outperforms popular string-matching methods without requiring any labels.

The field of visually rich document understanding (VRDU) aims to solve a multitude of well-researched NLP tasks in a multi-modal domain. Several datasets exist for research on specific tasks of VRDU such as document classification (DC), key entity extraction (KEE), entity linking, visual question answering (VQA), inter alia. These datasets cover documents like invoices and receipts with sparse annotations such that they support one or two co-related tasks (e.g., entity extraction and entity linking). Unfortunately, only focusing on a single specific of documents or task is not representative of how documents often need to be processed in the wild - where variety in style and requirements is expected. In this paper, we introduce BuDDIE (Business Document Dataset for Information Extraction), the first multi-task dataset of 1,665 real-world business documents that contains rich and dense annotations for DC, KEE, and VQA. Our dataset consists of publicly available business entity documents from US state government websites. The documents are structured and vary in their style and layout across states and types (e.g., forms, certificates, reports, etc.). We provide data variety and quality metrics for BuDDIE as well as a series of baselines for each task. Our baselines cover traditional textual, multi-modal, and large language model approaches to VRDU.

The growing complexity of legal cases has lead to an increasing interest in legal information retrieval systems that can effectively satisfy user-specific information needs. However, such downstream systems typically require documents to be properly formatted and segmented, which is often done with relatively simple pre-processing steps, disregarding topical coherence of segments. Systems generally rely on representations of individual sentences or paragraphs, which may lack crucial context, or document-level representations, which are too long for meaningful search results. To address this issue, we propose a segmentation system that can predict topical coherence of sequential text segments spanning several paragraphs, effectively segmenting a document and providing a more balanced representation for downstream applications. We build our model on top of popular transformer networks and formulate structural text segmentation as topical change detection, by performing a series of independent classifications that allow for efficient fine-tuning on task-specific data. We crawl a novel dataset consisting of roughly 74,000 online Terms-of-Service documents, including hierarchical topic annotations, which we use for training. Results show that our proposed system significantly outperforms baselines, and adapts well to structural peculiarities of legal documents. We release both data and trained models to the research community for future work.https://github.com/dennlinger/TopicalChange

With large language models (LLMs) poised to become embedded in our daily lives, questions are starting to be raised about the data they learned from. These questions range from potential bias or misinformation LLMs could retain from their training data to questions of copyright and fair use of human-generated text. However, while these questions emerge, developers of the recent state-of-the-art LLMs become increasingly reluctant to disclose details on their training corpus. We here introduce the task of document-level membership inference for real-world LLMs, i.e. inferring whether the LLM has seen a given document during training or not. First, we propose a procedure for the development and evaluation of document-level membership inference for LLMs by leveraging commonly used data sources for training and the model release date. We then propose a practical, black-box method to predict document-level membership and instantiate it on OpenLLaMA-7B with both books and academic papers. We show our methodology to perform very well, reaching an AUC of 0.856 for books and 0.678 for papers. We then show our approach to outperform the sentence-level membership inference attacks used in the privacy literature for the document-level membership task. We further evaluate whether smaller models might be less sensitive to document-level inference and show OpenLLaMA-3B to be approximately as sensitive as OpenLLaMA-7B to our approach. Finally, we consider two mitigation strategies and find the AUC to slowly decrease when only partial documents are considered but to remain fairly high when the model precision is reduced. Taken together, our results show that accurate document-level membership can be inferred for LLMs, increasing the transparency of technology poised to change our lives.

This paper presents a new challenging information extraction task in the domain of materials science. We develop an annotation scheme for marking information on experiments related to solid oxide fuel cells in scientific publications, such as involved materials and measurement conditions. With this paper, we publish our annotation guidelines, as well as our SOFC-Exp corpus consisting of 45 open-access scholarly articles annotated by domain experts. A corpus and an inter-annotator agreement study demonstrate the complexity of the suggested named entity recognition and slot filling tasks as well as high annotation quality. We also present strong neural-network based models for a variety of tasks that can be addressed on the basis of our new data set. On all tasks, using BERT embeddings leads to large performance gains, but with increasing task complexity, adding a recurrent neural network on top seems beneficial. Our models will serve as competitive baselines in future work, and analysis of their performance highlights difficult cases when modeling the data and suggests promising research directions.

Large multi-label text classification is a challenging Natural Language Processing (NLP) problem that is concerned with text classification for datasets with thousands of labels. We tackle this problem in the legal domain, where datasets, such as JRC-Acquis and EURLEX57K labeled with the EuroVoc vocabulary were created within the legal information systems of the European Union. The EuroVoc taxonomy includes around 7000 concepts. In this work, we study the performance of various recent transformer-based models in combination with strategies such as generative pretraining, gradual unfreezing and discriminative learning rates in order to reach competitive classification performance, and present new state-of-the-art results of 0.661 (F1) for JRC-Acquis and 0.754 for EURLEX57K. Furthermore, we quantify the impact of individual steps, such as language model fine-tuning or gradual unfreezing in an ablation study, and provide reference dataset splits created with an iterative stratification algorithm.

Optical Character Recognition (OCR) technology is widely used to extract text from images of documents, facilitating efficient digitization and data retrieval. However, merely extracting text is insufficient when dealing with complex documents. Fully comprehending such documents requires an understanding of their structure -- including formatting, formulas, tables, and the reading order of multiple blocks and columns across multiple pages -- as well as semantic information for detecting elements like footnotes and image captions. This comprehensive understanding is crucial for downstream tasks such as retrieval, document question answering, and data curation for training Large Language Models (LLMs) and Vision Language Models (VLMs). To address this, we introduce \'Eclair, a general-purpose text-extraction tool specifically designed to process a wide range of document types. Given an image, \'Eclair is able to extract formatted text in reading order, along with bounding boxes and their corresponding semantic classes. To thoroughly evaluate these novel capabilities, we introduce our diverse human-annotated benchmark for document-level OCR and semantic classification. \'Eclair achieves state-of-the-art accuracy on this benchmark, outperforming other methods across key metrics. Additionally, we evaluate \'Eclair on established benchmarks, demonstrating its versatility and strength across several evaluation standards.

This paper proposes LayoutLLM, a more flexible document analysis method for understanding imaged documents. Visually Rich Document Understanding tasks, such as document image classification and information extraction, have gained significant attention due to their importance. Existing methods have been developed to enhance document comprehension by incorporating pre-training awareness of images, text, and layout structure. However, these methods require fine-tuning for each task and dataset, and the models are expensive to train and operate. To overcome this limitation, we propose a new LayoutLLM that integrates these with large-scale language models (LLMs). By leveraging the strengths of existing research in document image understanding and LLMs' superior language understanding capabilities, the proposed model, fine-tuned with multimodal instruction datasets, performs an understanding of document images in a single model. Our experiments demonstrate improvement over the baseline model in various document analysis tasks.

We consider the problem of translating high-level textual descriptions to formal representations in technical documentation as part of an effort to model the meaning of such documentation. We focus specifically on the problem of learning translational correspondences between text descriptions and grounded representations in the target documentation, such as formal representation of functions or code templates. Our approach exploits the parallel nature of such documentation, or the tight coupling between high-level text and the low-level representations we aim to learn. Data is collected by mining technical documents for such parallel text-representation pairs, which we use to train a simple semantic parsing model. We report new baseline results on sixteen novel datasets, including the standard library documentation for nine popular programming languages across seven natural languages, and a small collection of Unix utility manuals.

Current tasks and methods in Document Understanding aims to process documents as single elements. However, documents are usually organized in collections (historical records, purchase invoices), that provide context useful for their interpretation. To address this problem, we introduce Document Collection Visual Question Answering (DocCVQA) a new dataset and related task, where questions are posed over a whole collection of document images and the goal is not only to provide the answer to the given question, but also to retrieve the set of documents that contain the information needed to infer the answer. Along with the dataset we propose a new evaluation metric and baselines which provide further insights to the new dataset and task.

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 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 https://aka.ms/layoutlm.

We present the contribution of the Unbabel team to the WMT 2020 Shared Task on Metrics. We intend to participate on the segment-level, document-level and system-level tracks on all language pairs, as well as the 'QE as a Metric' track. Accordingly, we illustrate results of our models in these tracks with reference to test sets from the previous year. Our submissions build upon the recently proposed COMET framework: We train several estimator models to regress on different human-generated quality scores and a novel ranking model trained on relative ranks obtained from Direct Assessments. We also propose a simple technique for converting segment-level predictions into a document-level score. Overall, our systems achieve strong results for all language pairs on previous test sets and in many cases set a new state-of-the-art.

Data quality is crucial for training Large Language Models (LLMs). Traditional heuristic filters often miss low-quality text or mistakenly remove valuable content. In this paper, we introduce an LLM-based line-level filtering method to enhance training data quality. We use GPT-4o mini to label a 20,000-document sample from FineWeb at the line level, allowing the model to create descriptive labels for low-quality lines. These labels are grouped into nine main categories, and we train a DeBERTa-v3 classifier to scale the filtering to a 10B-token subset of FineWeb. To test the impact of our filtering, we train GPT-2 models on both the original and the filtered datasets. The results show that models trained on the filtered data achieve higher accuracy on the HellaSwag benchmark and reach their performance targets faster, even with up to 25\% less data. This demonstrates that LLM-based line-level filtering can significantly improve data quality and training efficiency for LLMs. We release our quality-annotated dataset, FinerWeb-10BT, and the codebase to support further work in this area.

With the increasing prevalence of text generated by large language models (LLMs), there is a growing concern about distinguishing between LLM-generated and human-written texts in order to prevent the misuse of LLMs, such as the dissemination of misleading information and academic dishonesty. Previous research has primarily focused on classifying text as either entirely human-written or LLM-generated, neglecting the detection of mixed texts that contain both types of content. This paper explores LLMs' ability to identify boundaries in human-written and machine-generated mixed texts. We approach this task by transforming it into a token classification problem and regard the label turning point as the boundary. Notably, our ensemble model of LLMs achieved first place in the 'Human-Machine Mixed Text Detection' sub-task of the SemEval'24 Competition Task 8. Additionally, we investigate factors that influence the capability of LLMs in detecting boundaries within mixed texts, including the incorporation of extra layers on top of LLMs, combination of segmentation loss, and the impact of pretraining. Our findings aim to provide valuable insights for future research in this area.

Document embeddings and similarity measures underpin content-based recommender systems, whereby a document is commonly represented as a single generic embedding. However, similarity computed on single vector representations provides only one perspective on document similarity that ignores which aspects make two documents alike. To address this limitation, aspect-based similarity measures have been developed using document segmentation or pairwise multi-class document classification. While segmentation harms the document coherence, the pairwise classification approach scales poorly to large scale corpora. In this paper, we treat aspect-based similarity as a classical vector similarity problem in aspect-specific embedding spaces. We represent a document not as a single generic embedding but as multiple specialized embeddings. Our approach avoids document segmentation and scales linearly w.r.t.the corpus size. In an empirical study, we use the Papers with Code corpus containing 157,606 research papers and consider the task, method, and dataset of the respective research papers as their aspects. We compare and analyze three generic document embeddings, six specialized document embeddings and a pairwise classification baseline in the context of research paper recommendations. As generic document embeddings, we consider FastText, SciBERT, and SPECTER. To compute the specialized document embeddings, we compare three alternative methods inspired by retrofitting, fine-tuning, and Siamese networks. In our experiments, Siamese SciBERT achieved the highest scores. Additional analyses indicate an implicit bias of the generic document embeddings towards the dataset aspect and against the method aspect of each research paper. Our approach of aspect-based document embeddings mitigates potential risks arising from implicit biases by making them explicit.

Document layout analysis has a wide range of requirements across various domains, languages, and business scenarios. However, most current state-of-the-art algorithms are language-dependent, with architectures that rely on transformer encoders or language-specific text encoders, such as BERT, for feature extraction. These approaches are limited in their ability to handle very long documents due to input sequence length constraints and are closely tied to language-specific tokenizers. Additionally, training a cross-language text encoder can be challenging due to the lack of labeled multilingual document datasets that consider privacy. Furthermore, some layout tasks require a clean separation between different layout components without overlap, which can be difficult for image segmentation-based algorithms to achieve. In this paper, we present Paragraph2Graph, a language-independent graph neural network (GNN)-based model that achieves competitive results on common document layout datasets while being adaptable to business scenarios with strict separation. With only 19.95 million parameters, our model is suitable for industrial applications, particularly in multi-language scenarios.

As a step toward better document-level understanding, we explore classification of a sequence of sentences into their corresponding categories, a task that requires understanding sentences in context of the document. Recent successful models for this task have used hierarchical models to contextualize sentence representations, and Conditional Random Fields (CRFs) to incorporate dependencies between subsequent labels. In this work, we show that pretrained language models, BERT (Devlin et al., 2018) in particular, can be used for this task to capture contextual dependencies without the need for hierarchical encoding nor a CRF. Specifically, we construct a joint sentence representation that allows BERT Transformer layers to directly utilize contextual information from all words in all sentences. Our approach achieves state-of-the-art results on four datasets, including a new dataset of structured scientific abstracts.

The adoption of Deep Neural Networks (DNNs) has greatly benefited Natural Language Processing (NLP) during the past decade. However, the demands of long document analysis are quite different from those of shorter texts, while the ever increasing size of documents uploaded on-line renders automated understanding of lengthy texts a critical issue. Relevant applications include automated Web mining, legal document review, medical records analysis, financial reports analysis, contract management, environmental impact assessment, news aggregation, etc. Despite the relatively recent development of efficient algorithms for analyzing long documents, practical tools in this field are currently flourishing. This article serves as an entry point into this dynamic domain and aims to achieve two objectives. Firstly, it provides an overview of the relevant neural building blocks, serving as a concise tutorial for the field. Secondly, it offers a brief examination of the current state-of-the-art in long document NLP, with a primary focus on two key tasks: document classification and document summarization. Sentiment analysis for long texts is also covered, since it is typically treated as a particular case of document classification. Consequently, this article presents an introductory exploration of document-level analysis, addressing the primary challenges, concerns, and existing solutions. Finally, the article presents publicly available annotated datasets that can facilitate further research in this area.

This handbook is a hands-on guide on how to approach text annotation tasks. It provides a gentle introduction to the topic, an overview of theoretical concepts as well as practical advice. The topics covered are mostly technical, but business, ethical and regulatory issues are also touched upon. The focus lies on readability and conciseness rather than completeness and scientific rigor. Experience with annotation and knowledge of machine learning are useful but not required. The document may serve as a primer or reference book for a wide range of professions such as team leaders, project managers, IT architects, software developers and machine learning engineers.

We present a contrasting learning approach with data augmentation techniques to learn document representations in an unsupervised manner. Inspired by recent contrastive self-supervised learning algorithms used for image and NLP pretraining, we hypothesize that high-quality document embedding should be invariant to diverse paraphrases that preserve the semantics of the original document. With different backbones and contrastive learning frameworks, our study reveals the enormous benefits of contrastive augmentation for document representation learning with two additional insights: 1) including data augmentation in a contrastive way can substantially improve the embedding quality in unsupervised document representation learning, and 2) in general, stochastic augmentations generated by simple word-level manipulation work much better than sentence-level and document-level ones. We plug our method into a classifier and compare it with a broad range of baseline methods on six benchmark datasets. Our method can decrease the classification error rate by up to 6.4% over the SOTA approaches on the document classification task, matching or even surpassing fully-supervised methods.

As structured data are often insufficient, labels need to be extracted from free text in electronic health records when developing models for clinical information retrieval and decision support systems. One of the most important contextual properties in clinical text is negation, which indicates the absence of findings. We aimed to improve large scale extraction of labels by comparing three methods for negation detection in Dutch clinical notes. We used the Erasmus Medical Center Dutch Clinical Corpus to compare a rule-based method based on ContextD, a biLSTM model using MedCAT and (finetuned) RoBERTa-based models. We found that both the biLSTM and RoBERTa models consistently outperform the rule-based model in terms of F1 score, precision and recall. In addition, we systematically categorized the classification errors for each model, which can be used to further improve model performance in particular applications. Combining the three models naively was not beneficial in terms of performance. We conclude that the biLSTM and RoBERTa-based models in particular are highly accurate accurate in detecting clinical negations, but that ultimately all three approaches can be viable depending on the use case at hand.

The spread of misinformation is a prominent problem in today's society, and many researchers in academia and industry are trying to combat it. Due to the vast amount of misinformation that is created every day, it is unrealistic to leave this task to human fact-checkers. Data scientists and researchers have been working on automated misinformation detection for years, and it is still a challenging problem today. The goal of our research is to add a new level to automated misinformation detection; classifying segments of text with persuasive writing techniques in order to produce interpretable reasoning for why an article can be marked as misinformation. To accomplish this, we present a novel annotation scheme containing many common persuasive writing tactics, along with a dataset with human annotations accordingly. For this task, we make use of a RoBERTa model for text classification, due to its high performance in NLP. We develop several language model-based baselines and present the results of our persuasive strategy label predictions as well as the improvements these intermediate labels make in detecting misinformation and producing interpretable results.

Despite Portuguese being one of the most spoken languages in the world, there is a lack of high-quality information retrieval datasets in that language. We present Quati, a dataset specifically designed for the Brazilian Portuguese language. It comprises a collection of queries formulated by native speakers and a curated set of documents sourced from a selection of high-quality Brazilian Portuguese websites. These websites are frequented more likely by real users compared to those randomly scraped, ensuring a more representative and relevant corpus. To label the query-document pairs, we use a state-of-the-art LLM, which shows inter-annotator agreement levels comparable to human performance in our assessments. We provide a detailed description of our annotation methodology to enable others to create similar datasets for other languages, providing a cost-effective way of creating high-quality IR datasets with an arbitrary number of labeled documents per query. Finally, we evaluate a diverse range of open-source and commercial retrievers to serve as baseline systems. Quati is publicly available at https://huggingface.co/datasets/unicamp-dl/quati and all scripts at https://github.com/unicamp-dl/quati .

Document parsing is essential for converting unstructured and semi-structured documents-such as contracts, academic papers, and invoices-into structured, machine-readable data. Document parsing extract reliable structured data from unstructured inputs, providing huge convenience for numerous applications. Especially with recent achievements in Large Language Models, document parsing plays an indispensable role in both knowledge base construction and training data generation. This survey presents a comprehensive review of the current state of document parsing, covering key methodologies, from modular pipeline systems to end-to-end models driven by large vision-language models. Core components such as layout detection, content extraction (including text, tables, and mathematical expressions), and multi-modal data integration are examined in detail. Additionally, this paper discusses the challenges faced by modular document parsing systems and vision-language models in handling complex layouts, integrating multiple modules, and recognizing high-density text. It emphasizes the importance of developing larger and more diverse datasets and outlines future research directions.

HTML documents are an important medium for disseminating information on the Web for human consumption. An HTML document presents information in multiple text formats including unstructured text, structured key-value pairs, and tables. Effective representation of these documents is essential for machine understanding to enable a wide range of applications, such as Question Answering, Web Search, and Personalization. Existing work has either represented these documents using visual features extracted by rendering them in a browser, which is typically computationally expensive, or has simply treated them as plain text documents, thereby failing to capture useful information presented in their HTML structure. We argue that the text and HTML structure together convey important semantics of the content and therefore warrant a special treatment for their representation learning. In this paper, we introduce a novel representation learning approach for web pages, dubbed DOM-LM, which addresses the limitations of existing approaches by encoding both text and DOM tree structure with a transformer-based encoder and learning generalizable representations for HTML documents via self-supervised pre-training. We evaluate DOM-LM on a variety of webpage understanding tasks, including Attribute Extraction, Open Information Extraction, and Question Answering. Our extensive experiments show that DOM-LM consistently outperforms all baselines designed for these tasks. In particular, DOM-LM demonstrates better generalization performance both in few-shot and zero-shot settings, making it attractive for making it suitable for real-world application settings with limited labeled data.

Fusing sentences containing disparate content is a remarkable human ability that helps create informative and succinct summaries. Such a simple task for humans has remained challenging for modern abstractive summarizers, substantially restricting their applicability in real-world scenarios. In this paper, we present an investigation into fusing sentences drawn from a document by introducing the notion of points of correspondence, which are cohesive devices that tie any two sentences together into a coherent text. The types of points of correspondence are delineated by text cohesion theory, covering pronominal and nominal referencing, repetition and beyond. We create a dataset containing the documents, source and fusion sentences, and human annotations of points of correspondence between sentences. Our dataset bridges the gap between coreference resolution and summarization. It is publicly shared to serve as a basis for future work to measure the success of sentence fusion systems. (https://github.com/ucfnlp/points-of-correspondence)

Structure information is critical for understanding the semantics of text-rich images, such as documents, tables, and charts. Existing Multimodal Large Language Models (MLLMs) for Visual Document Understanding are equipped with text recognition ability but lack general structure understanding abilities for text-rich document images. In this work, we emphasize the importance of structure information in Visual Document Understanding and propose the Unified Structure Learning to boost the performance of MLLMs. Our Unified Structure Learning comprises structure-aware parsing tasks and multi-grained text localization tasks across 5 domains: document, webpage, table, chart, and natural image. To better encode structure information, we design a simple and effective vision-to-text module H-Reducer, which can not only maintain the layout information but also reduce the length of visual features by merging horizontal adjacent patches through convolution, enabling the LLM to understand high-resolution images more efficiently. Furthermore, by constructing structure-aware text sequences and multi-grained pairs of texts and bounding boxes for publicly available text-rich images, we build a comprehensive training set DocStruct4M to support structure learning. Finally, we construct a small but high-quality reasoning tuning dataset DocReason25K to trigger the detailed explanation ability in the document domain. Our model DocOwl 1.5 achieves state-of-the-art performance on 10 visual document understanding benchmarks, improving the SOTA performance of MLLMs with a 7B LLM by more than 10 points in 5/10 benchmarks. Our codes, models, and datasets are publicly available at https://github.com/X-PLUG/mPLUG-DocOwl/tree/main/DocOwl1.5.

Accurate diagnostic coding of medical notes is crucial for enhancing patient care, medical research, and error-free billing in healthcare organizations. Manual coding is a time-consuming task for providers, and diagnostic codes often exhibit low sensitivity and specificity, whereas the free text in medical notes can be a more precise description of a patients status. Thus, accurate automated diagnostic coding of medical notes has become critical for a learning healthcare system. Recent developments in long-document transformer architectures have enabled attention-based deep-learning models to adjudicate medical notes. In addition, contrastive loss functions have been used to jointly pre-train large language and image models with noisy labels. To further improve the automated adjudication of medical notes, we developed an approach based on i) models for ICD-10 diagnostic code sequences using a large real-world data set, ii) large language models for medical notes, and iii) contrastive pre-training to build an integrated model of both ICD-10 diagnostic codes and corresponding medical text. We demonstrate that a contrastive approach for pre-training improves performance over prior state-of-the-art models for the MIMIC-III-50, MIMIC-III-rare50, and MIMIC-III-full diagnostic coding tasks.

What would it take for a natural language model to understand a novel, such as The Lord of the Rings? Among other things, such a model must be able to: (a) identify and record new characters (entities) and their attributes as they are introduced in the text, and (b) identify subsequent references to the characters previously introduced and update their attributes. This problem of entity tracking is essential for language understanding, and thus, useful for a wide array of downstream applications in NLP such as question-answering, summarization. In this thesis, we focus on two key problems in relation to facilitating the use of entity tracking models: (i) scaling entity tracking models to long documents, such as a novel, and (ii) integrating entity tracking into language models. Applying language technologies to long documents has garnered interest recently, but computational constraints are a significant bottleneck in scaling up current methods. In this thesis, we argue that computationally efficient entity tracking models can be developed by representing entities with rich, fixed-dimensional vector representations derived from pretrained language models, and by exploiting the ephemeral nature of entities. We also argue for the integration of entity tracking into language models as it will allow for: (i) wider application given the current ubiquitous use of pretrained language models in NLP applications, and (ii) easier adoption since it is much easier to swap in a new pretrained language model than to integrate a separate standalone entity tracking model.

We present a new scientific document similarity model based on matching fine-grained aspects of texts. To train our model, we exploit a naturally-occurring source of supervision: sentences in the full-text of papers that cite multiple papers together (co-citations). Such co-citations not only reflect close paper relatedness, but also provide textual descriptions of how the co-cited papers are related. This novel form of textual supervision is used for learning to match aspects across papers. We develop multi-vector representations where vectors correspond to sentence-level aspects of documents, and present two methods for aspect matching: (1) A fast method that only matches single aspects, and (2) a method that makes sparse multiple matches with an Optimal Transport mechanism that computes an Earth Mover's Distance between aspects. Our approach improves performance on document similarity tasks in four datasets. Further, our fast single-match method achieves competitive results, paving the way for applying fine-grained similarity to large scientific corpora. Code, data, and models available at: https://github.com/allenai/aspire

The ability to understand and answer questions over documents can be useful in many business and practical applications. However, documents often contain lengthy and diverse multimodal contents such as texts, figures, and tables, which are very time-consuming for humans to read thoroughly. Hence, there is an urgent need to develop effective and automated methods to aid humans in this task. In this work, we introduce M-LongDoc, a benchmark of 851 samples, and an automated framework to evaluate the performance of large multimodal models. We further propose a retrieval-aware tuning approach for efficient and effective multimodal document reading. Compared to existing works, our benchmark consists of more recent and lengthy documents with hundreds of pages, while also requiring open-ended solutions and not just extractive answers. To our knowledge, our training framework is the first to directly address the retrieval setting for multimodal long documents. To enable tuning open-source models, we construct a training corpus in a fully automatic manner for the question-answering task over such documents. Experiments show that our tuning approach achieves a relative improvement of 4.6% for the correctness of model responses, compared to the baseline open-source models. Our data, code, and models are available at https://multimodal-documents.github.io.

Web-scale visual entity recognition, the task of associating images with their corresponding entities within vast knowledge bases like Wikipedia, presents significant challenges due to the lack of clean, large-scale training data. In this paper, we propose a novel methodology to curate such a dataset, leveraging a multimodal large language model (LLM) for label verification, metadata generation, and rationale explanation. Instead of relying on the multimodal LLM to directly annotate data, which we found to be suboptimal, we prompt it to reason about potential candidate entity labels by accessing additional contextually relevant information (such as Wikipedia), resulting in more accurate annotations. We further use the multimodal LLM to enrich the dataset by generating question-answer pairs and a grounded finegrained textual description (referred to as "rationale") that explains the connection between images and their assigned entities. Experiments demonstrate that models trained on this automatically curated data achieve state-of-the-art performance on web-scale visual entity recognition tasks (e.g. +6.9% improvement in OVEN entity task), underscoring the importance of high-quality training data in this domain.

We extend our previous work on Inductive Conformal Prediction (ICP) for multi-label text classification and present a novel approach for addressing the computational inefficiency of the Label Powerset (LP) ICP, arrising when dealing with a high number of unique labels. We present experimental results using the original and the proposed efficient LP-ICP on two English and one Czech language data-sets. Specifically, we apply the LP-ICP on three deep Artificial Neural Network (ANN) classifiers of two types: one based on contextualised (bert) and two on non-contextualised (word2vec) word-embeddings. In the LP-ICP setting we assign nonconformity scores to label-sets from which the corresponding p-values and prediction-sets are determined. Our approach deals with the increased computational burden of LP by eliminating from consideration a significant number of label-sets that will surely have p-values below the specified significance level. This reduces dramatically the computational complexity of the approach while fully respecting the standard CP guarantees. Our experimental results show that the contextualised-based classifier surpasses the non-contextualised-based ones and obtains state-of-the-art performance for all data-sets examined. The good performance of the underlying classifiers is carried on to their ICP counterparts without any significant accuracy loss, but with the added benefits of ICP, i.e. the confidence information encapsulated in the prediction sets. We experimentally demonstrate that the resulting prediction sets can be tight enough to be practically useful even though the set of all possible label-sets contains more than 1e+16 combinations. Additionally, the empirical error rates of the obtained prediction-sets confirm that our outputs are well-calibrated.

Given the clinical notes written in electronic health records (EHRs), it is challenging to predict the diagnostic codes which is formulated as a multi-label classification task. The large set of labels, the hierarchical dependency, and the imbalanced data make this prediction task extremely hard. Most existing work built a binary prediction for each label independently, ignoring the dependencies between labels. To address this problem, we propose a two-stage framework to improve automatic ICD coding by capturing the label correlation. Specifically, we train a label set distribution estimator to rescore the probability of each label set candidate generated by a base predictor. This paper is the first attempt at learning the label set distribution as a reranking module for medical code prediction. In the experiments, our proposed framework is able to improve upon best-performing predictors on the benchmark MIMIC datasets. The source code of this project is available at https://github.com/MiuLab/ICD-Correlation.

Recently, leveraging large language models (LLMs) or multimodal large language models (MLLMs) for document understanding has been proven very promising. However, previous works that employ LLMs/MLLMs for document understanding have not fully explored and utilized the document layout information, which is vital for precise document understanding. In this paper, we propose LayoutLLM, an LLM/MLLM based method for document understanding. The core of LayoutLLM is a layout instruction tuning strategy, which is specially designed to enhance the comprehension and utilization of document layouts. The proposed layout instruction tuning strategy consists of two components: Layout-aware Pre-training and Layout-aware Supervised Fine-tuning. To capture the characteristics of document layout in Layout-aware Pre-training, three groups of pre-training tasks, corresponding to document-level, region-level and segment-level information, are introduced. Furthermore, a novel module called layout chain-of-thought (LayoutCoT) is devised to enable LayoutLLM to focus on regions relevant to the question and generate accurate answers. LayoutCoT is effective for boosting the performance of document understanding. Meanwhile, it brings a certain degree of interpretability, which could facilitate manual inspection and correction. Experiments on standard benchmarks show that the proposed LayoutLLM significantly outperforms existing methods that adopt open-source 7B LLMs/MLLMs for document understanding. The training data of the LayoutLLM is publicly available at https://github.com/AlibabaResearch/AdvancedLiterateMachinery/tree/main/DocumentUnderstanding/LayoutLLM

We introduce MULTI-EURLEX, a new multilingual dataset for topic classification of legal documents. The dataset comprises 65k European Union (EU) laws, officially translated in 23 languages, annotated with multiple labels from the EUROVOC taxonomy. We highlight the effect of temporal concept drift and the importance of chronological, instead of random splits. We use the dataset as a testbed for zero-shot cross-lingual transfer, where we exploit annotated training documents in one language (source) to classify documents in another language (target). We find that fine-tuning a multilingually pretrained model (XLM-ROBERTA, MT5) in a single source language leads to catastrophic forgetting of multilingual knowledge and, consequently, poor zero-shot transfer to other languages. Adaptation strategies, namely partial fine-tuning, adapters, BITFIT, LNFIT, originally proposed to accelerate fine-tuning for new end-tasks, help retain multilingual knowledge from pretraining, substantially improving zero-shot cross-lingual transfer, but their impact also depends on the pretrained model used and the size of the label set.

The task of information retrieval is an important component of many natural language processing systems, such as open domain question answering. While traditional methods were based on hand-crafted features, continuous representations based on neural networks recently obtained competitive results. A challenge of using such methods is to obtain supervised data to train the retriever model, corresponding to pairs of query and support documents. In this paper, we propose a technique to learn retriever models for downstream tasks, inspired by knowledge distillation, and which does not require annotated pairs of query and documents. Our approach leverages attention scores of a reader model, used to solve the task based on retrieved documents, to obtain synthetic labels for the retriever. We evaluate our method on question answering, obtaining state-of-the-art results.

Contrastive pretraining techniques for text classification has been largely studied in an unsupervised setting. However, oftentimes labeled data from related tasks which share label semantics with current task is available. We hypothesize that using this labeled data effectively can lead to better generalization on current task. In this paper, we propose a novel way to effectively utilize labeled data from related tasks with a graph based supervised contrastive learning approach. We formulate a token-graph by extrapolating the supervised information from examples to tokens. Our formulation results in an embedding space where tokens with high/low probability of belonging to same class are near/further-away from one another. We also develop detailed theoretical insights which serve as a motivation for our method. In our experiments with 13 datasets, we show our method outperforms pretraining schemes by 2.5% and also example-level contrastive learning based formulation by 1.8% on average. In addition, we show cross-domain effectiveness of our method in a zero-shot setting by 3.91% on average. Lastly, we also demonstrate our method can be used as a noisy teacher in a knowledge distillation setting to significantly improve performance of transformer based models in low labeled data regime by 4.57% on average.

We present a new formulation for structured information extraction (SIE) from visually rich documents. It aims to address the limitations of existing IOB tagging or graph-based formulations, which are either overly reliant on the correct ordering of input text or struggle with decoding a complex graph. Instead, motivated by anchor-based object detectors in vision, we represent an entity as an anchor word and a bounding box, and represent entity linking as the association between anchor words. This is more robust to text ordering, and maintains a compact graph for entity linking. The formulation motivates us to introduce 1) a DOCument TRansformer (DocTr) that aims at detecting and associating entity bounding boxes in visually rich documents, and 2) a simple pre-training strategy that helps learn entity detection in the context of language. Evaluations on three SIE benchmarks show the effectiveness of the proposed formulation, and the overall approach outperforms existing solutions.

NLP benchmarks rely on standardized datasets for training and evaluating models and are crucial for advancing the field. Traditionally, expert annotations ensure high-quality labels; however, the cost of expert annotation does not scale well with the growing demand for larger datasets required by modern models. While crowd-sourcing provides a more scalable solution, it often comes at the expense of annotation precision and consistency. Recent advancements in large language models (LLMs) offer new opportunities to enhance the annotation process, particularly for detecting label errors in existing datasets. In this work, we consider the recent approach of LLM-as-a-judge, leveraging an ensemble of LLMs to flag potentially mislabeled examples. Through a case study of four datasets from the TRUE benchmark, covering different tasks and domains, we empirically analyze the labeling quality of existing datasets, and compare expert, crowd-sourced, and our LLM-based annotations in terms of agreement, label quality, and efficiency, demonstrating the strengths and limitations of each annotation method. Our findings reveal a substantial number of label errors, which, when corrected, induce a significant upward shift in reported model performance. This suggests that many of the LLMs so-called mistakes are due to label errors rather than genuine model failures. Additionally, we discuss the implications of mislabeled data and propose methods to mitigate them in training to improve model performance.

Large-scale datasets are essential to modern day deep learning. Advocates argue that understanding these methods requires dataset transparency (e.g. "dataset curation, motivation, composition, collection process, etc..."). However, almost no one has suggested the release of the detailed definitions and visual category examples provided to annotators - information critical to understanding the structure of the annotations present in each dataset. These labels are at the heart of public datasets, yet few datasets include the instructions that were used to generate them. We introduce a new task, Labeling Instruction Generation, to address missing publicly available labeling instructions. In Labeling Instruction Generation, we take a reasonably annotated dataset and: 1) generate a set of examples that are visually representative of each category in the dataset; 2) provide a text label that corresponds to each of the examples. We introduce a framework that requires no model training to solve this task and includes a newly created rapid retrieval system that leverages a large, pre-trained vision and language model. This framework acts as a proxy to human annotators that can help to both generate a final labeling instruction set and evaluate its quality. Our framework generates multiple diverse visual and text representations of dataset categories. The optimized instruction set outperforms our strongest baseline across 5 folds by 7.06 mAP for NuImages and 12.9 mAP for COCO.

Hierarchical text classification (HTC) is the task of assigning labels to a text within a structured space organized as a hierarchy. Recent works treat HTC as a conventional multilabel classification problem, therefore evaluating it as such. We instead propose to evaluate models based on specifically designed hierarchical metrics and we demonstrate the intricacy of metric choice and prediction inference method. We introduce a new challenging dataset and we evaluate fairly, recent sophisticated models, comparing them with a range of simple but strong baselines, including a new theoretically motivated loss. Finally, we show that those baselines are very often competitive with the latest models. This highlights the importance of carefully considering the evaluation methodology when proposing new methods for HTC. Code implementation and dataset are available at https://github.com/RomanPlaud/revisitingHTC.

Hierarchical Text Classification (HTC) is a natural language processing task with the objective to classify text documents into a set of classes from a structured class hierarchy. Many HTC approaches have been proposed which attempt to leverage the class hierarchy information in various ways to improve classification performance. Machine learning-based classification approaches require large amounts of training data and are most-commonly compared through three established benchmark datasets, which include the Web Of Science (WOS), Reuters Corpus Volume 1 Version 2 (RCV1-V2) and New York Times (NYT) datasets. However, apart from the RCV1-V2 dataset which is well-documented, these datasets are not accompanied with detailed description methodologies. In this paper, we introduce three new HTC benchmark datasets in the domain of research publications which comprise the titles and abstracts of papers from the Web of Science publication database. We first create two baseline datasets which use existing journal-and citation-based classification schemas. Due to the respective shortcomings of these two existing schemas, we propose an approach which combines their classifications to improve the reliability and robustness of the dataset. We evaluate the three created datasets with a clustering-based analysis and show that our proposed approach results in a higher quality dataset where documents that belong to the same class are semantically more similar compared to the other datasets. Finally, we provide the classification performance of four state-of-the-art HTC approaches on these three new datasets to provide baselines for future studies on machine learning-based techniques for scientific publication classification.

Retrieving relevant documents from a corpus is typically based on the semantic similarity between the document content and query text. The inclusion of structural relationship between documents can benefit the retrieval mechanism by addressing semantic gaps. However, incorporating these relationships requires tractable mechanisms that balance structure with semantics and take advantage of the prevalent pre-train/fine-tune paradigm. We propose here a holistic approach to learning document representations by integrating intra-document content with inter-document relations. Our deep metric learning solution analyzes the complex neighborhood structure in the relationship network to efficiently sample similar/dissimilar document pairs and defines a novel quintuplet loss function that simultaneously encourages document pairs that are semantically relevant to be closer and structurally unrelated to be far apart in the representation space. Furthermore, the separation margins between the documents are varied flexibly to encode the heterogeneity in relationship strengths. The model is fully fine-tunable and natively supports query projection during inference. We demonstrate that it outperforms competing methods on multiple datasets for document retrieval tasks.

Document Layout Analysis is crucial for real-world document understanding systems, but it encounters a challenging trade-off between speed and accuracy: multimodal methods leveraging both text and visual features achieve higher accuracy but suffer from significant latency, whereas unimodal methods relying solely on visual features offer faster processing speeds at the expense of accuracy. To address this dilemma, we introduce DocLayout-YOLO, a novel approach that enhances accuracy while maintaining speed advantages through document-specific optimizations in both pre-training and model design. For robust document pre-training, we introduce the Mesh-candidate BestFit algorithm, which frames document synthesis as a two-dimensional bin packing problem, generating the large-scale, diverse DocSynth-300K dataset. Pre-training on the resulting DocSynth-300K dataset significantly improves fine-tuning performance across various document types. In terms of model optimization, we propose a Global-to-Local Controllable Receptive Module that is capable of better handling multi-scale variations of document elements. Furthermore, to validate performance across different document types, we introduce a complex and challenging benchmark named DocStructBench. Extensive experiments on downstream datasets demonstrate that DocLayout-YOLO excels in both speed and accuracy. Code, data, and models are available at https://github.com/opendatalab/DocLayout-YOLO.

Data annotation is the labeling or tagging of raw data with relevant information, essential for improving the efficacy of machine learning models. The process, however, is labor-intensive and expensive. The emergence of advanced Large Language Models (LLMs), exemplified by GPT-4, presents an unprecedented opportunity to revolutionize and automate the intricate process of data annotation. While existing surveys have extensively covered LLM architecture, training, and general applications, this paper uniquely focuses on their specific utility for data annotation. This survey contributes to three core aspects: LLM-Based Data Annotation, Assessing LLM-generated Annotations, and Learning with LLM-generated annotations. Furthermore, the paper includes an in-depth taxonomy of methodologies employing LLMs for data annotation, a comprehensive review of learning strategies for models incorporating LLM-generated annotations, and a detailed discussion on primary challenges and limitations associated with using LLMs for data annotation. As a key guide, this survey aims to direct researchers and practitioners in exploring the potential of the latest LLMs for data annotation, fostering future advancements in this critical domain. We provide a comprehensive papers list at https://github.com/Zhen-Tan-dmml/LLM4Annotation.git.

In computational social science (CSS), researchers analyze documents to explain social and political phenomena. In most scenarios, CSS researchers first obtain labels for documents and then explain labels using interpretable regression analyses in the second step. One increasingly common way to annotate documents cheaply at scale is through large language models (LLMs). However, like other scalable ways of producing annotations, such surrogate labels are often imperfect and biased. We present a new algorithm for using imperfect annotation surrogates for downstream statistical analyses while guaranteeing statistical properties -- like asymptotic unbiasedness and proper uncertainty quantification -- which are fundamental to CSS research. We show that direct use of surrogate labels in downstream statistical analyses leads to substantial bias and invalid confidence intervals, even with high surrogate accuracy of 80-90%. To address this, we build on debiased machine learning to propose the design-based supervised learning (DSL) estimator. DSL employs a doubly-robust procedure to combine surrogate labels with a smaller number of high-quality, gold-standard labels. Our approach guarantees valid inference for downstream statistical analyses, even when surrogates are arbitrarily biased and without requiring stringent assumptions, by controlling the probability of sampling documents for gold-standard labeling. Both our theoretical analysis and experimental results show that DSL provides valid statistical inference while achieving root mean squared errors comparable to existing alternatives that focus only on prediction without inferential guarantees.

Automatically highlighting words that cause semantic differences between two documents could be useful for a wide range of applications. We formulate recognizing semantic differences (RSD) as a token-level regression task and study three unsupervised approaches that rely on a masked language model. To assess the approaches, we begin with basic English sentences and gradually move to more complex, cross-lingual document pairs. Our results show that an approach based on word alignment and sentence-level contrastive learning has a robust correlation to gold labels. However, all unsupervised approaches still leave a large margin of improvement. Code to reproduce our experiments is available at https://github.com/ZurichNLP/recognizing-semantic-differences

Recent approaches based on artificial neural networks (ANNs) have shown promising results for named-entity recognition (NER). In order to achieve high performances, ANNs need to be trained on a large labeled dataset. However, labels might be difficult to obtain for the dataset on which the user wants to perform NER: label scarcity is particularly pronounced for patient note de-identification, which is an instance of NER. In this work, we analyze to what extent transfer learning may address this issue. In particular, we demonstrate that transferring an ANN model trained on a large labeled dataset to another dataset with a limited number of labels improves upon the state-of-the-art results on two different datasets for patient note de-identification.

This paper presents a new state-of-the-art for document image classification and retrieval, using features learned by deep convolutional neural networks (CNNs). In object and scene analysis, deep neural nets are capable of learning a hierarchical chain of abstraction from pixel inputs to concise and descriptive representations. The current work explores this capacity in the realm of document analysis, and confirms that this representation strategy is superior to a variety of popular hand-crafted alternatives. Experiments also show that (i) features extracted from CNNs are robust to compression, (ii) CNNs trained on non-document images transfer well to document analysis tasks, and (iii) enforcing region-specific feature-learning is unnecessary given sufficient training data. This work also makes available a new labelled subset of the IIT-CDIP collection, containing 400,000 document images across 16 categories, useful for training new CNNs for document analysis.

Skill Classification (SC) is the task of classifying job competences from job postings. This work is the first in SC applied to Danish job vacancy data. We release the first Danish job posting dataset: Kompetencer (en: competences), annotated for nested spans of competences. To improve upon coarse-grained annotations, we make use of The European Skills, Competences, Qualifications and Occupations (ESCO; le Vrang et al., 2014) taxonomy API to obtain fine-grained labels via distant supervision. We study two setups: The zero-shot and few-shot classification setting. We fine-tune English-based models and RemBERT (Chung et al., 2020) and compare them to in-language Danish models. Our results show RemBERT significantly outperforms all other models in both the zero-shot and the few-shot setting.

Labeled data are critical to modern machine learning applications, but obtaining labels can be expensive. To mitigate this cost, machine learning methods, such as transfer learning, semi-supervised learning and active learning, aim to be label-efficient: achieving high predictive performance from relatively few labeled examples. While obtaining the best label-efficiency in practice often requires combinations of these techniques, existing benchmark and evaluation frameworks do not capture a concerted combination of all such techniques. This paper addresses this deficiency by introducing LabelBench, a new computationally-efficient framework for joint evaluation of multiple label-efficient learning techniques. As an application of LabelBench, we introduce a novel benchmark of state-of-the-art active learning methods in combination with semi-supervised learning for fine-tuning pretrained vision transformers. Our benchmark demonstrates better label-efficiencies than previously reported in active learning. LabelBench's modular codebase is open-sourced for the broader community to contribute label-efficient learning methods and benchmarks. The repository can be found at: https://github.com/EfficientTraining/LabelBench.

What sorts of structure might enable a learner to discover classes from unlabeled data? Traditional approaches rely on feature-space similarity and heroic assumptions on the data. In this paper, we introduce unsupervised learning under Latent Label Shift (LLS), where we have access to unlabeled data from multiple domains such that the label marginals p_d(y) can shift across domains but the class conditionals p(x|y) do not. This work instantiates a new principle for identifying classes: elements that shift together group together. For finite input spaces, we establish an isomorphism between LLS and topic modeling: inputs correspond to words, domains to documents, and labels to topics. Addressing continuous data, we prove that when each label's support contains a separable region, analogous to an anchor word, oracle access to p(d|x) suffices to identify p_d(y) and p_d(y|x) up to permutation. Thus motivated, we introduce a practical algorithm that leverages domain-discriminative models as follows: (i) push examples through domain discriminator p(d|x); (ii) discretize the data by clustering examples in p(d|x) space; (iii) perform non-negative matrix factorization on the discrete data; (iv) combine the recovered p(y|d) with the discriminator outputs p(d|x) to compute p_d(y|x) ; forall d. With semi-synthetic experiments, we show that our algorithm can leverage domain information to improve upon competitive unsupervised classification methods. We reveal a failure mode of standard unsupervised classification methods when feature-space similarity does not indicate true groupings, and show empirically that our method better handles this case. Our results establish a deep connection between distribution shift and topic modeling, opening promising lines for future work.

Identifying named entities such as a person, location or organization, in documents can highlight key information to readers. Training Named Entity Recognition (NER) models requires an annotated data set, which can be a time-consuming labour-intensive task. Nevertheless, there are publicly available NER data sets for general English. Recently there has been interest in developing NER for legal text. However, prior work and experimental results reported here indicate that there is a significant degradation in performance when NER methods trained on a general English data set are applied to legal text. We describe a publicly available legal NER data set, called E-NER, based on legal company filings available from the US Securities and Exchange Commission's EDGAR data set. Training a number of different NER algorithms on the general English CoNLL-2003 corpus but testing on our test collection confirmed significant degradations in accuracy, as measured by the F1-score, of between 29.4\% and 60.4\%, compared to training and testing on the E-NER collection.

Traditional banks face increasing competition from FinTechs in the rapidly evolving financial ecosystem. Raising operational efficiency is vital to address this challenge. Our study aims to improve the efficiency of document-intensive business processes in banking. To that end, we first review the landscape of business documents in the retail segment. Banking documents often contain text, layout, and visuals, suggesting that document analytics and process automation require more than plain natural language processing (NLP). To verify this and assess the incremental value of visual cues when processing business documents, we compare a recently proposed multimodal model called LayoutXLM to powerful text classifiers (e.g., BERT) and large language models (e.g., GPT) in a case study related to processing company register extracts. The results confirm that incorporating layout information in a model substantially increases its performance. Interestingly, we also observed that more than 75% of the best model performance (in terms of the F1 score) can be achieved with as little as 30% of the training data. This shows that the demand for data labeled data to set up a multi-modal model can be moderate, which simplifies real-world applications of multimodal document analytics. Our study also sheds light on more specific practices in the scope of calibrating a multimodal banking document classifier, including the need for fine-tuning. In sum, the paper contributes original empirical evidence on the effectiveness and efficiency of multi-model models for document processing in the banking business and offers practical guidance on how to unlock this potential in day-to-day operations.

Following recent successes in applying BERT to question answering, we explore simple applications to ad hoc document retrieval. This required confronting the challenge posed by documents that are typically longer than the length of input BERT was designed to handle. We address this issue by applying inference on sentences individually, and then aggregating sentence scores to produce document scores. Experiments on TREC microblog and newswire test collections show that our approach is simple yet effective, as we report the highest average precision on these datasets by neural approaches that we are aware of.

Retrieval Augmented Generation (RAG) systems are a widespread application of Large Language Models (LLMs) in the industry. While many tools exist empowering developers to build their own systems, measuring their performance locally, with datasets reflective of the system's use cases, is a technological challenge. Solutions to this problem range from non-specific and cheap (most public datasets) to specific and costly (generating data from local documents). In this paper, we show that using public question and answer (Q&A) datasets to assess retrieval performance can lead to non-optimal systems design, and that common tools for RAG dataset generation can lead to unbalanced data. We propose solutions to these issues based on the characterization of RAG datasets through labels and through label-targeted data generation. Finally, we show that fine-tuned small LLMs can efficiently generate Q&A datasets. We believe that these observations are invaluable to the know-your-data step of RAG systems development.

Representation learning on text-attributed graphs (TAGs) has become a critical research problem in recent years. A typical example of a TAG is a paper citation graph, where the text of each paper serves as node attributes. Initial graph neural network (GNN) pipelines handled these text attributes by transforming them into shallow or hand-crafted features, such as skip-gram or bag-of-words features. Recent efforts have focused on enhancing these pipelines with language models (LMs), which typically demand intricate designs and substantial computational resources. With the advent of powerful large language models (LLMs) such as GPT or Llama2, which demonstrate an ability to reason and to utilize general knowledge, there is a growing need for techniques which combine the textual modelling abilities of LLMs with the structural learning capabilities of GNNs. Hence, in this work, we focus on leveraging LLMs to capture textual information as features, which can be used to boost GNN performance on downstream tasks. A key innovation is our use of explanations as features: we prompt an LLM to perform zero-shot classification, request textual explanations for its decision-making process, and design an LLM-to-LM interpreter to translate these explanations into informative features for downstream GNNs. Our experiments demonstrate that our method achieves state-of-the-art results on well-established TAG datasets, including Cora, PubMed, ogbn-arxiv, as well as our newly introduced dataset, tape-arxiv23. Furthermore, our method significantly speeds up training, achieving a 2.88 times improvement over the closest baseline on ogbn-arxiv. Lastly, we believe the versatility of the proposed method extends beyond TAGs and holds the potential to enhance other tasks involving graph-text data. Our codes and datasets are available at: https://github.com/XiaoxinHe/TAPE.

In populous countries, pending legal cases have been growing exponentially. There is a need for developing NLP-based techniques for processing and automatically understanding legal documents. To promote research in the area of Legal NLP we organized the shared task LegalEval - Understanding Legal Texts at SemEval 2023. LegalEval task has three sub-tasks: Task-A (Rhetorical Roles Labeling) is about automatically structuring legal documents into semantically coherent units, Task-B (Legal Named Entity Recognition) deals with identifying relevant entities in a legal document and Task-C (Court Judgement Prediction with Explanation) explores the possibility of automatically predicting the outcome of a legal case along with providing an explanation for the prediction. In total 26 teams (approx. 100 participants spread across the world) submitted systems paper. In each of the sub-tasks, the proposed systems outperformed the baselines; however, there is a lot of scope for improvement. This paper describes the tasks, and analyzes techniques proposed by various teams.

Funnelling (Fun) is a recently proposed method for cross-lingual text classification (CLTC) based on a two-tier learning ensemble for heterogeneous transfer learning (HTL). In this ensemble method, 1st-tier classifiers, each working on a different and language-dependent feature space, return a vector of calibrated posterior probabilities (with one dimension for each class) for each document, and the final classification decision is taken by a metaclassifier that uses this vector as its input. The metaclassifier can thus exploit class-class correlations, and this (among other things) gives Fun an edge over CLTC systems in which these correlations cannot be brought to bear. In this paper we describe Generalized Funnelling (gFun), a generalization of Fun consisting of an HTL architecture in which 1st-tier components can be arbitrary view-generating functions, i.e., language-dependent functions that each produce a language-independent representation ("view") of the (monolingual) document. We describe an instance of gFun in which the metaclassifier receives as input a vector of calibrated posterior probabilities (as in Fun) aggregated to other embedded representations that embody other types of correlations, such as word-class correlations (as encoded by Word-Class Embeddings), word-word correlations (as encoded by Multilingual Unsupervised or Supervised Embeddings), and word-context correlations (as encoded by multilingual BERT). We show that this instance of gFun substantially improves over Fun and over state-of-the-art baselines, by reporting experimental results obtained on two large, standard datasets for multilingual multilabel text classification. Our code that implements gFun is publicly available.

Table extraction from document images is a challenging AI problem, and labelled data for many content domains is difficult to come by. Existing table extraction datasets often focus on scientific tables due to the vast amount of academic articles that are readily available, along with their source code. However, there are significant layout and typographical differences between tables found across scientific, financial, and other domains. Current datasets often lack the words, and their positions, contained within the tables, instead relying on unreliable OCR to extract these features for training modern machine learning models on natural language processing tasks. Therefore, there is a need for a more general method of obtaining labelled data. We present SynFinTabs, a large-scale, labelled dataset of synthetic financial tables. Our hope is that our method of generating these synthetic tables is transferable to other domains. To demonstrate the effectiveness of our dataset in training models to extract information from table images, we create FinTabQA, a layout large language model trained on an extractive question-answering task. We test our model using real-world financial tables and compare it to a state-of-the-art generative model and discuss the results. We make the dataset, model, and dataset generation code publicly available.

Geometric Deep Learning has recently attracted significant interest in a wide range of machine learning fields, including document analysis. The application of Graph Neural Networks (GNNs) has become crucial in various document-related tasks since they can unravel important structural patterns, fundamental in key information extraction processes. Previous works in the literature propose task-driven models and do not take into account the full power of graphs. We propose Doc2Graph, a task-agnostic document understanding framework based on a GNN model, to solve different tasks given different types of documents. We evaluated our approach on two challenging datasets for key information extraction in form understanding, invoice layout analysis and table detection. Our code is freely accessible on https://github.com/andreagemelli/doc2graph.

Document visual question answering (DocVQA) pipelines that answer questions from documents have broad applications. Existing methods focus on handling single-page documents with multi-modal language models (MLMs), or rely on text-based retrieval-augmented generation (RAG) that uses text extraction tools such as optical character recognition (OCR). However, there are difficulties in applying these methods in real-world scenarios: (a) questions often require information across different pages or documents, where MLMs cannot handle many long documents; (b) documents often have important information in visual elements such as figures, but text extraction tools ignore them. We introduce M3DocRAG, a novel multi-modal RAG framework that flexibly accommodates various document contexts (closed-domain and open-domain), question hops (single-hop and multi-hop), and evidence modalities (text, chart, figure, etc.). M3DocRAG finds relevant documents and answers questions using a multi-modal retriever and an MLM, so that it can efficiently handle single or many documents while preserving visual information. Since previous DocVQA datasets ask questions in the context of a specific document, we also present M3DocVQA, a new benchmark for evaluating open-domain DocVQA over 3,000+ PDF documents with 40,000+ pages. In three benchmarks (M3DocVQA/MMLongBench-Doc/MP-DocVQA), empirical results show that M3DocRAG with ColPali and Qwen2-VL 7B achieves superior performance than many strong baselines, including state-of-the-art performance in MP-DocVQA. We provide comprehensive analyses of different indexing, MLMs, and retrieval models. Lastly, we qualitatively show that M3DocRAG can successfully handle various scenarios, such as when relevant information exists across multiple pages and when answer evidence only exists in images.

The scientific claim verification task requires an NLP system to label scientific documents which Support or Refute an input claim, and to select evidentiary sentences (or rationales) justifying each predicted label. In this work, we present MultiVerS, which predicts a fact-checking label and identifies rationales in a multitask fashion based on a shared encoding of the claim and full document context. This approach accomplishes two key modeling goals. First, it ensures that all relevant contextual information is incorporated into each labeling decision. Second, it enables the model to learn from instances annotated with a document-level fact-checking label, but lacking sentence-level rationales. This allows MultiVerS to perform weakly-supervised domain adaptation by training on scientific documents labeled using high-precision heuristics. Our approach outperforms two competitive baselines on three scientific claim verification datasets, with particularly strong performance in zero / few-shot domain adaptation experiments. Our code and data are available at https://github.com/dwadden/multivers.

Document clustering and topic modeling are two closely related tasks which can mutually benefit each other. Topic modeling can project documents into a topic space which facilitates effective document clustering. Cluster labels discovered by document clustering can be incorporated into topic models to extract local topics specific to each cluster and global topics shared by all clusters. In this paper, we propose a multi-grain clustering topic model (MGCTM) which integrates document clustering and topic modeling into a unified framework and jointly performs the two tasks to achieve the overall best performance. Our model tightly couples two components: a mixture component used for discovering latent groups in document collection and a topic model component used for mining multi-grain topics including local topics specific to each cluster and global topics shared across clusters.We employ variational inference to approximate the posterior of hidden variables and learn model parameters. Experiments on two datasets demonstrate the effectiveness of our model.

The task of Legal Statute Identification (LSI) aims to identify the legal statutes that are relevant to a given description of Facts or evidence of a legal case. Existing methods only utilize the textual content of Facts and legal articles to guide such a task. However, the citation network among case documents and legal statutes is a rich source of additional information, which is not considered by existing models. In this work, we take the first step towards utilising both the text and the legal citation network for the LSI task. We curate a large novel dataset for this task, including Facts of cases from several major Indian Courts of Law, and statutes from the Indian Penal Code (IPC). Modeling the statutes and training documents as a heterogeneous graph, our proposed model LeSICiN can learn rich textual and graphical features, and can also tune itself to correlate these features. Thereafter, the model can be used to inductively predict links between test documents (new nodes whose graphical features are not available to the model) and statutes (existing nodes). Extensive experiments on the dataset show that our model comfortably outperforms several state-of-the-art baselines, by exploiting the graphical structure along with textual features. The dataset and our codes are available at https://github.com/Law-AI/LeSICiN.

This work presents DocPedia, a novel large multimodal model (LMM) for versatile OCR-free document understanding, capable of parsing images up to 2,560times2,560 resolution. Unlike existing work either struggle with high-resolution documents or give up the large language model thus vision or language ability constrained, our DocPedia directly processes visual input in the frequency domain rather than the pixel space. The unique characteristic enables DocPedia to capture a greater amount of visual and textual information using a limited number of visual tokens. To consistently enhance both perception and comprehension abilities of our model, we develop a dual-stage training strategy and enrich instructions/annotations of all training tasks covering multiple document types. Extensive quantitative and qualitative experiments conducted on various publicly available benchmarks confirm the mutual benefits of jointly learning perception and comprehension tasks. The results provide further evidence of the effectiveness and superior performance of our DocPedia over other methods.

Conventional multi-label recognition methods often focus on label confidence, frequently overlooking the pivotal role of partial order relations consistent with human preference. To resolve these issues, we introduce a novel method for multimodal label relevance ranking, named Label Relevance Ranking with Proximal Policy Optimization (LR2PPO), which effectively discerns partial order relations among labels. LR2PPO first utilizes partial order pairs in the target domain to train a reward model, which aims to capture human preference intrinsic to the specific scenario. Furthermore, we meticulously design state representation and a policy loss tailored for ranking tasks, enabling LR2PPO to boost the performance of label relevance ranking model and largely reduce the requirement of partial order annotation for transferring to new scenes. To assist in the evaluation of our approach and similar methods, we further propose a novel benchmark dataset, LRMovieNet, featuring multimodal labels and their corresponding partial order data. Extensive experiments demonstrate that our LR2PPO algorithm achieves state-of-the-art performance, proving its effectiveness in addressing the multimodal label relevance ranking problem. Codes and the proposed LRMovieNet dataset are publicly available at https://github.com/ChazzyGordon/LR2PPO.

Multimodal AI has the potential to significantly enhance document-understanding tasks, such as processing receipts, understanding workflows, extracting data from documents, and summarizing reports. Code generation tasks that require long-structured outputs can also be enhanced by multimodality. Despite this, their use in commercial applications is often limited due to limited access to training data and restrictive licensing, which hinders open access. To address these limitations, we introduce BigDocs-7.5M, a high-quality, open-access dataset comprising 7.5 million multimodal documents across 30 tasks. We use an efficient data curation process to ensure our data is high-quality and license-permissive. Our process emphasizes accountability, responsibility, and transparency through filtering rules, traceable metadata, and careful content analysis. Additionally, we introduce BigDocs-Bench, a benchmark suite with 10 novel tasks where we create datasets that reflect real-world use cases involving reasoning over Graphical User Interfaces (GUI) and code generation from images. Our experiments show that training with BigDocs-Bench improves average performance up to 25.8% over closed-source GPT-4o in document reasoning and structured output tasks such as Screenshot2HTML or Image2Latex generation. Finally, human evaluations showed a preference for outputs from models trained on BigDocs over GPT-4o. This suggests that BigDocs can help both academics and the open-source community utilize and improve AI tools to enhance multimodal capabilities and document reasoning. The project is hosted at https://bigdocs.github.io .

Content metadata plays a very important role in movie recommender systems as it provides valuable information about various aspects of a movie such as genre, cast, plot synopsis, box office summary, etc. Analyzing the metadata can help understand the user preferences to generate personalized recommendations and item cold starting. In this talk, we will focus on one particular type of metadata - genre labels. Genre labels associated with a movie or a TV series help categorize a collection of titles into different themes and correspondingly setting up the audience expectation. We present some of the challenges associated with using genre label information and propose a new way of examining the genre information that we call as the Genre Spectrum. The Genre Spectrum helps capture the various nuanced genres in a title and our offline and online experiments corroborate the effectiveness of the approach. Furthermore, we also talk about applications of LLMs in augmenting content metadata which could eventually be used to achieve effective organization of recommendations in user's 2-D home-grid.

Dense retrieval has achieved impressive advances in first-stage retrieval from a large-scale document collection, which is built on bi-encoder architecture to produce single vector representation of query and document. However, a document can usually answer multiple potential queries from different views. So the single vector representation of a document is hard to match with multi-view queries, and faces a semantic mismatch problem. This paper proposes a multi-view document representation learning framework, aiming to produce multi-view embeddings to represent documents and enforce them to align with different queries. First, we propose a simple yet effective method of generating multiple embeddings through viewers. Second, to prevent multi-view embeddings from collapsing to the same one, we further propose a global-local loss with annealed temperature to encourage the multiple viewers to better align with different potential queries. Experiments show our method outperforms recent works and achieves state-of-the-art results.

Document Layout Analysis, which is the task of identifying different semantic regions inside of a document page, is a subject of great interest for both computer scientists and humanities scholars as it represents a fundamental step towards further analysis tasks for the former and a powerful tool to improve and facilitate the study of the documents for the latter. However, many of the works currently present in the literature, especially when it comes to the available datasets, fail to meet the needs of both worlds and, in particular, tend to lean towards the needs and common practices of the computer science side, leading to resources that are not representative of the humanities real needs. For this reason, the present paper introduces U-DIADS-Bib, a novel, pixel-precise, non-overlapping and noiseless document layout analysis dataset developed in close collaboration between specialists in the fields of computer vision and humanities. Furthermore, we propose a novel, computer-aided, segmentation pipeline in order to alleviate the burden represented by the time-consuming process of manual annotation, necessary for the generation of the ground truth segmentation maps. Finally, we present a standardized few-shot version of the dataset (U-DIADS-BibFS), with the aim of encouraging the development of models and solutions able to address this task with as few samples as possible, which would allow for more effective use in a real-world scenario, where collecting a large number of segmentations is not always feasible.

Multimodal pre-training with text, layout, and image has made significant progress for Visually Rich Document Understanding (VRDU), especially the fixed-layout documents such as scanned document images. While, there are still a large number of digital documents where the layout information is not fixed and needs to be interactively and dynamically rendered for visualization, making existing layout-based pre-training approaches not easy to apply. In this paper, we propose MarkupLM for document understanding tasks with markup languages as the backbone, such as HTML/XML-based documents, where text and markup information is jointly pre-trained. Experiment results show that the pre-trained MarkupLM significantly outperforms the existing strong baseline models on several document understanding tasks. The pre-trained model and code will be publicly available at https://aka.ms/markuplm.

It is desirable to coarsely classify short scientific texts, such as grant or publication abstracts, for strategic insight or research portfolio management. These texts efficiently transmit dense information to experts possessing a rich body of knowledge to aid interpretation. Yet this task is remarkably difficult to automate because of brevity and the absence of context. To address this gap, we have developed a novel approach to generate and appropriately assign coarse domain-specific labels. We show that a Large Language Model (LLM) can provide metadata essential to the task, in a process akin to the augmentation of supplemental knowledge representing human intuition, and propose a workflow. As a pilot study, we use a corpus of award abstracts from the National Aeronautics and Space Administration (NASA). We develop new assessment tools in concert with established performance metrics.

Many existing FL methods assume clients with fully-labeled data, while in realistic settings, clients have limited labels due to the expensive and laborious process of labeling. Limited labeled local data of the clients often leads to their local model having poor generalization abilities to their larger unlabeled local data, such as having class-distribution mismatch with the unlabeled data. As a result, clients may instead look to benefit from the global model trained across clients to leverage their unlabeled data, but this also becomes difficult due to data heterogeneity across clients. In our work, we propose FedLabel where clients selectively choose the local or global model to pseudo-label their unlabeled data depending on which is more of an expert of the data. We further utilize both the local and global models' knowledge via global-local consistency regularization which minimizes the divergence between the two models' outputs when they have identical pseudo-labels for the unlabeled data. Unlike other semi-supervised FL baselines, our method does not require additional experts other than the local or global model, nor require additional parameters to be communicated. We also do not assume any server-labeled data or fully labeled clients. For both cross-device and cross-silo settings, we show that FedLabel outperforms other semi-supervised FL baselines by 8-24%, and even outperforms standard fully supervised FL baselines (100% labeled data) with only 5-20% of labeled data.

Recently, the advent of Large Visual-Language Models (LVLMs) has received increasing attention across various domains, particularly in the field of visual document understanding (VDU). Different from conventional vision-language tasks, VDU is specifically concerned with text-rich scenarios containing abundant document elements. Nevertheless, the importance of fine-grained features remains largely unexplored within the community of LVLMs, leading to suboptimal performance in text-rich scenarios. In this paper, we abbreviate it as the fine-grained feature collapse issue. With the aim of filling this gap, we propose a contrastive learning framework, termed Document Object COntrastive learning (DoCo), specifically tailored for the downstream tasks of VDU. DoCo leverages an auxiliary multimodal encoder to obtain the features of document objects and align them to the visual features generated by the vision encoder of LVLM, which enhances visual representation in text-rich scenarios. It can represent that the contrastive learning between the visual holistic representations and the multimodal fine-grained features of document objects can assist the vision encoder in acquiring more effective visual cues, thereby enhancing the comprehension of text-rich documents in LVLMs. We also demonstrate that the proposed DoCo serves as a plug-and-play pre-training method, which can be employed in the pre-training of various LVLMs without inducing any increase in computational complexity during the inference process. Extensive experimental results on multiple benchmarks of VDU reveal that LVLMs equipped with our proposed DoCo can achieve superior performance and mitigate the gap between VDU and generic vision-language tasks.

Large language models have improved zero-shot text classification by allowing the transfer of semantic knowledge from the training data in order to classify among specific label sets in downstream tasks. We propose a simple way to further improve zero-shot accuracies with minimal effort. We curate small finetuning datasets intended to describe the labels for a task. Unlike typical finetuning data, which has texts annotated with labels, our data simply describes the labels in language, e.g., using a few related terms, dictionary/encyclopedia entries, and short templates. Across a range of topic and sentiment datasets, our method is more accurate than zero-shot by 15-17% absolute. It is also more robust to choices required for zero-shot classification, such as patterns for prompting the model to classify and mappings from labels to tokens in the model's vocabulary. Furthermore, since our data merely describes the labels but does not use input texts, finetuning on it yields a model that performs strongly on multiple text domains for a given label set, even improving over few-shot out-of-domain classification in multiple settings.

The robustness of a model for real-world deployment is decided by how well it performs on unseen data and distinguishes between in-domain and out-of-domain samples. Visual document classifiers have shown impressive performance on in-distribution test sets. However, they tend to have a hard time correctly classifying and differentiating out-of-distribution examples. Image-based classifiers lack the text component, whereas multi-modality transformer-based models face the token serialization problem in visual documents due to their diverse layouts. They also require a lot of computing power during inference, making them impractical for many real-world applications. We propose, GVdoc, a graph-based document classification model that addresses both of these challenges. Our approach generates a document graph based on its layout, and then trains a graph neural network to learn node and graph embeddings. Through experiments, we show that our model, even with fewer parameters, outperforms state-of-the-art models on out-of-distribution data while retaining comparable performance on the in-distribution test set.

Several recent deep learning (DL) based techniques perform considerably well on image-based multilingual text detection. However, their performance relies heavily on the availability and quality of training data. There are numerous types of page-level document images consisting of information in several modalities, languages, fonts, and layouts. This makes text detection a challenging problem in the field of computer vision (CV), especially for low-resource or handwritten languages. Furthermore, there is a scarcity of word-level labeled data for text detection, especially for multilingual settings and Indian scripts that incorporate both printed and handwritten text. Conventionally, Indian script text detection requires training a DL model on plenty of labeled data, but to the best of our knowledge, no relevant datasets are available. Manual annotation of such data requires a lot of time, effort, and expertise. In order to solve this problem, we propose TEXTRON, a Data Programming-based approach, where users can plug various text detection methods into a weak supervision-based learning framework. One can view this approach to multilingual text detection as an ensemble of different CV-based techniques and DL approaches. TEXTRON can leverage the predictions of DL models pre-trained on a significant amount of language data in conjunction with CV-based methods to improve text detection in other languages. We demonstrate that TEXTRON can improve the detection performance for documents written in Indian languages, despite the absence of corresponding labeled data. Further, through extensive experimentation, we show improvement brought about by our approach over the current State-of-the-art (SOTA) models, especially for handwritten Devanagari text. Code and dataset has been made available at https://github.com/IITB-LEAP-OCR/TEXTRON

The vast majority of existing datasets for Named Entity Recognition (NER) are built primarily on news, research papers and Wikipedia with a few exceptions, created from historical and literary texts. What is more, English is the main source for data for further labelling. This paper aims to fill in multiple gaps by creating a novel dataset "Razmecheno", gathered from the diary texts of the project "Prozhito" in Russian. Our dataset is of interest for multiple research lines: literary studies of diary texts, transfer learning from other domains, low-resource or cross-lingual named entity recognition. Razmecheno comprises 1331 sentences and 14119 tokens, sampled from diaries, written during the Perestroika. The annotation schema consists of five commonly used entity tags: person, characteristics, location, organisation, and facility. The labelling is carried out on the crowdsourcing platfrom Yandex.Toloka in two stages. First, workers selected sentences, which contain an entity of particular type. Second, they marked up entity spans. As a result 1113 entities were obtained. Empirical evaluation of Razmecheno is carried out with off-the-shelf NER tools and by fine-tuning pre-trained contextualized encoders. We release the annotated dataset for open access.

Vision-language pretraining models have achieved great success in supporting multimedia applications by understanding the alignments between images and text. While existing vision-language pretraining models primarily focus on understanding single image associated with a single piece of text, they often ignore the alignment at the intra-document level, consisting of multiple sentences with multiple images. In this work, we propose DocumentCLIP, a salience-aware contrastive learning framework to enforce vision-language pretraining models to comprehend the interaction between images and longer text within documents. Our model is beneficial for the real-world multimodal document understanding like news article, magazines, product descriptions, which contain linguistically and visually richer content. To the best of our knowledge, we are the first to explore multimodal intra-document links by contrastive learning. In addition, we collect a large Wikipedia dataset for pretraining, which provides various topics and structures. Experiments show DocumentCLIP not only outperforms the state-of-the-art baselines in the supervised setting, but also achieves the best zero-shot performance in the wild after human evaluation. Our code is available at https://github.com/FuxiaoLiu/DocumentCLIP.

The surge of pre-training has witnessed the rapid development of document understanding recently. Pre-training and fine-tuning framework has been effectively used to tackle texts in various formats, including plain texts, document texts, and web texts. Despite achieving promising performance, existing pre-trained models usually target one specific document format at one time, making it difficult to combine knowledge from multiple document formats. To address this, we propose XDoc, a unified pre-trained model which deals with different document formats in a single model. For parameter efficiency, we share backbone parameters for different formats such as the word embedding layer and the Transformer layers. Meanwhile, we introduce adaptive layers with lightweight parameters to enhance the distinction across different formats. Experimental results have demonstrated that with only 36.7% parameters, XDoc achieves comparable or even better performance on a variety of downstream tasks compared with the individual pre-trained models, which is cost effective for real-world deployment. The code and pre-trained models will be publicly available at https://aka.ms/xdoc.

We present a new dataset for form understanding in noisy scanned documents (FUNSD) that aims at extracting and structuring the textual content of forms. The dataset comprises 199 real, fully annotated, scanned forms. The documents are noisy and vary widely in appearance, making form understanding (FoUn) a challenging task. The proposed dataset can be used for various tasks, including text detection, optical character recognition, spatial layout analysis, and entity labeling/linking. To the best of our knowledge, this is the first publicly available dataset with comprehensive annotations to address FoUn task. We also present a set of baselines and introduce metrics to evaluate performance on the FUNSD dataset, which can be downloaded at https://guillaumejaume.github.io/FUNSD/.

Document understanding refers to automatically extract, analyze and comprehend information from various types of digital documents, such as a web page. Existing Multi-model Large Language Models (MLLMs), including mPLUG-Owl, have demonstrated promising zero-shot capabilities in shallow OCR-free text recognition, indicating their potential for OCR-free document understanding. Nevertheless, without in-domain training, these models tend to ignore fine-grained OCR features, such as sophisticated tables or large blocks of text, which are essential for OCR-free document understanding. In this paper, we propose mPLUG-DocOwl based on mPLUG-Owl for OCR-free document understanding. Specifically, we first construct a instruction tuning dataset featuring a wide range of visual-text understanding tasks. Then, we strengthen the OCR-free document understanding ability by jointly train the model on language-only, general vision-and-language, and document instruction tuning dataset with our unified instruction tuning strategy. We also build an OCR-free document instruction understanding evaluation set LLMDoc to better compare models' capabilities on instruct compliance and document understanding. Experimental results show that our model outperforms existing multi-modal models, demonstrating its strong ability of document understanding. Besides, without specific fine-tuning, mPLUG-DocOwl generalizes well on various downstream tasks. Our code, models, training data and evaluation set are available at https://github.com/X-PLUG/mPLUG-DocOwl.

In recent years, text-image joint pre-training techniques have shown promising results in various tasks. However, in Optical Character Recognition (OCR) tasks, aligning text instances with their corresponding text regions in images poses a challenge, as it requires effective alignment between text and OCR-Text (referring to the text in images as OCR-Text to distinguish from the text in natural language) rather than a holistic understanding of the overall image content. In this paper, we propose a new pre-training method called OCR-Text Destylization Modeling (ODM) that transfers diverse styles of text found in images to a uniform style based on the text prompt. With ODM, we achieve better alignment between text and OCR-Text and enable pre-trained models to adapt to the complex and diverse styles of scene text detection and spotting tasks. Additionally, we have designed a new labeling generation method specifically for ODM and combined it with our proposed Text-Controller module to address the challenge of annotation costs in OCR tasks, allowing a larger amount of unlabeled data to participate in pre-training. Extensive experiments on multiple public datasets demonstrate that our method significantly improves performance and outperforms current pre-training methods in scene text detection and spotting tasks. Code is available at {https://github.com/PriNing/ODM}.

We consider automatically identifying the defined term within a mathematical definition from the text of an academic article. Inspired by the development of transformer-based natural language processing applications, we pose the problem as (a) a token-level classification task using fine-tuned pre-trained transformers; and (b) a question-answering task using a generalist large language model (GPT). We also propose a rule-based approach to build a labeled dataset from the LATEX source of papers. Experimental results show that it is possible to reach high levels of precision and recall using either recent (and expensive) GPT 4 or simpler pre-trained models fine-tuned on our task.

A fundamental issue in machine learning is the robustness of the model with respect to changes in the input. In natural language processing, models typically contain a first embedding layer, transforming a sequence of tokens into vector representations. While the robustness with respect to changes of continuous inputs is well-understood, the situation is less clear when considering discrete changes, for instance replacing a word by another in an input sentence. Our work formally proves that popular embedding schemes, such as concatenation, TF-IDF, and Paragraph Vector (a.k.a. doc2vec), exhibit robustness in the H\"older or Lipschitz sense with respect to the Hamming distance. We provide quantitative bounds for these schemes and demonstrate how the constants involved are affected by the length of the document. These findings are exemplified through a series of numerical examples.

After decades of massive digitisation, an unprecedented amount of historical documents is available in digital format, along with their machine-readable texts. While this represents a major step forward with respect to preservation and accessibility, it also opens up new opportunities in terms of content mining and the next fundamental challenge is to develop appropriate technologies to efficiently search, retrieve and explore information from this 'big data of the past'. Among semantic indexing opportunities, the recognition and classification of named entities are in great demand among humanities scholars. Yet, named entity recognition (NER) systems are heavily challenged with diverse, historical and noisy inputs. In this survey, we present the array of challenges posed by historical documents to NER, inventory existing resources, describe the main approaches deployed so far, and identify key priorities for future developments.

Document question answering is a task of question answering on given documents such as reports, slides, pamphlets, and websites, and it is a truly demanding task as paper and electronic forms of documents are so common in our society. This is known as a quite challenging task because it requires not only text understanding but also understanding of figures and tables, and hence visual question answering (VQA) methods are often examined in addition to textual approaches. We introduce Japanese Document Question Answering (JDocQA), a large-scale document-based QA dataset, essentially requiring both visual and textual information to answer questions, which comprises 5,504 documents in PDF format and annotated 11,600 question-and-answer instances in Japanese. Each QA instance includes references to the document pages and bounding boxes for the answer clues. We incorporate multiple categories of questions and unanswerable questions from the document for realistic question-answering applications. We empirically evaluate the effectiveness of our dataset with text-based large language models (LLMs) and multimodal models. Incorporating unanswerable questions in finetuning may contribute to harnessing the so-called hallucination generation.

Document analysis and understanding models often require extensive annotated data to be trained. However, various document-related tasks extend beyond mere text transcription, requiring both textual content and precise bounding-box annotations to identify different document elements. Collecting such data becomes particularly challenging, especially in the context of invoices, where privacy concerns add an additional layer of complexity. In this paper, we introduce FATURA, a pivotal resource for researchers in the field of document analysis and understanding. FATURA is a highly diverse dataset featuring multi-layout, annotated invoice document images. Comprising 10,000 invoices with 50 distinct layouts, it represents the largest openly accessible image dataset of invoice documents known to date. We also provide comprehensive benchmarks for various document analysis and understanding tasks and conduct experiments under diverse training and evaluation scenarios. The dataset is freely accessible at https://zenodo.org/record/8261508, empowering researchers to advance the field of document analysis and understanding.

Online job ads serve as a valuable source of information for skill requirements, playing a crucial role in labor market analysis and e-recruitment processes. Since such ads are typically formatted in free text, natural language processing (NLP) technologies are required to automatically process them. We specifically focus on the task of detecting skills (mentioned literally, or implicitly described) and linking them to a large skill ontology, making it a challenging case of extreme multi-label classification (XMLC). Given that there is no sizable labeled (training) dataset are available for this specific XMLC task, we propose techniques to leverage general Large Language Models (LLMs). We describe a cost-effective approach to generate an accurate, fully synthetic labeled dataset for skill extraction, and present a contrastive learning strategy that proves effective in the task. Our results across three skill extraction benchmarks show a consistent increase of between 15 to 25 percentage points in R-Precision@5 compared to previously published results that relied solely on distant supervision through literal matches.

We introduce a new pretraining approach geared for multi-document language modeling, incorporating two key ideas into the masked language modeling self-supervised objective. First, instead of considering documents in isolation, we pretrain over sets of multiple related documents, encouraging the model to learn cross-document relationships. Second, we improve over recent long-range transformers by introducing dynamic global attention that has access to the entire input to predict masked tokens. We release CDLM (Cross-Document Language Model), a new general language model for multi-document setting that can be easily applied to downstream tasks. Our extensive analysis shows that both ideas are essential for the success of CDLM, and work in synergy to set new state-of-the-art results for several multi-text tasks. Code and models are available at https://github.com/aviclu/CDLM.

Machine learning methods have proven useful in transcribing historical data. However, results from even highly accurate methods require manual verification and correction. Such manual review can be time-consuming and expensive, therefore the objective of this paper was to make it more efficient. Previously, we used machine learning to transcribe 2.3 million handwritten occupation codes from the Norwegian 1950 census with high accuracy (97%). We manually reviewed the 90,000 (3%) codes with the lowest model confidence. We allocated those 90,000 codes to human reviewers, who used our annotation tool to review the codes. To assess reviewer agreement, some codes were assigned to multiple reviewers. We then analyzed the review results to understand the relationship between accuracy improvements and effort. Additionally, we interviewed the reviewers to improve the workflow. The reviewers corrected 62.8% of the labels and agreed with the model label in 31.9% of cases. About 0.2% of the images could not be assigned a label, while for 5.1% the reviewers were uncertain, or they assigned an invalid label. 9,000 images were independently reviewed by multiple reviewers, resulting in an agreement of 86.43% and disagreement of 8.96%. We learned that our automatic transcription is biased towards the most frequent codes, with a higher degree of misclassification for the lowest frequency codes. Our interview findings show that the reviewers did internal quality control and found our custom tool well-suited. So, only one reviewer is needed, but they should report uncertainty.

Large vision language models (LVLMs) have improved the document understanding capabilities remarkably, enabling the handling of complex document elements, longer contexts, and a wider range of tasks. However, existing document understanding benchmarks have been limited to handling only a small number of pages and fail to provide a comprehensive analysis of layout elements locating. In this paper, we first define three primary task categories: Long Document Understanding, numerical Reasoning, and cross-element Locating, and then propose a comprehensive benchmark, LongDocURL, integrating above three primary tasks and comprising 20 sub-tasks categorized based on different primary tasks and answer evidences. Furthermore, we develop a semi-automated construction pipeline and collect 2,325 high-quality question-answering pairs, covering more than 33,000 pages of documents, significantly outperforming existing benchmarks. Subsequently, we conduct comprehensive evaluation experiments on both open-source and closed-source models across 26 different configurations, revealing critical performance gaps in this field.

Document understanding is a challenging task to process and comprehend large amounts of textual and visual information. Recent advances in Large Language Models (LLMs) have significantly improved the performance of this task. However, existing methods typically focus on either plain text or a limited number of document images, struggling to handle long PDF documents with interleaved text and images, especially in academic papers. In this paper, we introduce PDF-WuKong, a multimodal large language model (MLLM) which is designed to enhance multimodal question-answering (QA) for long PDF documents. PDF-WuKong incorporates a sparse sampler that operates on both text and image representations, significantly improving the efficiency and capability of the MLLM. The sparse sampler is integrated with the MLLM's image encoder and selects the paragraphs or diagrams most pertinent to user queries for processing by the language model. To effectively train and evaluate our model, we construct PaperPDF, a dataset consisting of a broad collection of academic papers sourced from arXiv, multiple strategies are proposed to generate automatically 1M QA pairs along with their corresponding evidence sources. Experimental results demonstrate the superiority and high efficiency of our approach over other models on the task of long multimodal PDF understanding, surpassing proprietary products by an average of 8.6% on F1. Our code and dataset will be released at https://github.com/yh-hust/PDF-Wukong.

This paper presents the formal release of MedMentions, a new manually annotated resource for the recognition of biomedical concepts. What distinguishes MedMentions from other annotated biomedical corpora is its size (over 4,000 abstracts and over 350,000 linked mentions), as well as the size of the concept ontology (over 3 million concepts from UMLS 2017) and its broad coverage of biomedical disciplines. In addition to the full corpus, a sub-corpus of MedMentions is also presented, comprising annotations for a subset of UMLS 2017 targeted towards document retrieval. To encourage research in Biomedical Named Entity Recognition and Linking, data splits for training and testing are included in the release, and a baseline model and its metrics for entity linking are also described.

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.

Empirical Risk Minimization (ERM) is fragile in scenarios with insufficient labeled samples. A vanilla extension of ERM to unlabeled samples is Entropy Minimization (EntMin), which employs the soft-labels of unlabeled samples to guide their learning. However, EntMin emphasizes prediction discriminability while neglecting prediction diversity. To alleviate this issue, in this paper, we rethink the guidance information to utilize unlabeled samples. By analyzing the learning objective of ERM, we find that the guidance information for labeled samples in a specific category is the corresponding label encoding. Inspired by this finding, we propose a Label-Encoding Risk Minimization (LERM). It first estimates the label encodings through prediction means of unlabeled samples and then aligns them with their corresponding ground-truth label encodings. As a result, the LERM ensures both prediction discriminability and diversity, and it can be integrated into existing methods as a plugin. Theoretically, we analyze the relationships between LERM and ERM as well as EntMin. Empirically, we verify the superiority of the LERM under several label insufficient scenarios. The codes are available at https://github.com/zhangyl660/LERM.

Reliably labelling data typically requires annotations from multiple human workers. However, humans are far from being perfect. Hence, it is a common practice to aggregate labels gathered from multiple annotators to make a more confident estimate of the true label. Among many aggregation methods, the simple and well known Majority Vote (MV) selects the class label polling the highest number of votes. However, despite its importance, the optimality of MV's label aggregation has not been extensively studied. We address this gap in our work by characterising the conditions under which MV achieves the theoretically optimal lower bound on label estimation error. Our results capture the tolerable limits on annotation noise under which MV can optimally recover labels for a given class distribution. This certificate of optimality provides a more principled approach to model selection for label aggregation as an alternative to otherwise inefficient practices that sometimes include higher experts, gold labels, etc., that are all marred by the same human uncertainty despite huge time and monetary costs. Experiments on both synthetic and real world data corroborate our theoretical findings.

We present MOFI, Manifold OF Images, a new vision foundation model designed to learn image representations from noisy entity annotated images. MOFI differs from previous work in two key aspects: (i) pre-training data, and (ii) training recipe. Regarding data, we introduce a new approach to automatically assign entity labels to images from noisy image-text pairs. Our approach involves employing a named entity recognition model to extract entities from the alt-text, and then using a CLIP model to select the correct entities as labels of the paired image. It's a simple, cost-effective method that can scale to handle billions of web-mined image-text pairs. Through this method, we have created Image-to-Entities (I2E), a new dataset with 1 billion images and 2 million distinct entities, covering rich visual concepts in the wild. Building upon the I2E dataset, we study different training recipes like supervised pre-training, contrastive pre-training, and multi-task learning. For contrastive pre-training, we treat entity names as free-form text, and further enrich them with entity descriptions. Experiments show that supervised pre-training with large-scale fine-grained entity labels is highly effective for image retrieval tasks, and multi-task training further improves the performance. The final MOFI model achieves 86.66% mAP on the challenging GPR1200 dataset, surpassing the previous state-of-the-art performance of 72.19% from OpenAI's CLIP model. Further experiments on zero-shot and linear probe image classification also show that MOFI outperforms a CLIP model trained on the original image-text data, demonstrating the effectiveness of the I2E dataset in learning strong image representations. We release our code and model weights at https://github.com/apple/ml-mofi.

In Multi-Label Text Classification (MLTC), one sample can belong to more than one class. It is observed that most MLTC tasks, there are dependencies or correlations among labels. Existing methods tend to ignore the relationship among labels. In this paper, a graph attention network-based model is proposed to capture the attentive dependency structure among the labels. The graph attention network uses a feature matrix and a correlation matrix to capture and explore the crucial dependencies between the labels and generate classifiers for the task. The generated classifiers are applied to sentence feature vectors obtained from the text feature extraction network (BiLSTM) to enable end-to-end training. Attention allows the system to assign different weights to neighbor nodes per label, thus allowing it to learn the dependencies among labels implicitly. The results of the proposed model are validated on five real-world MLTC datasets. The proposed model achieves similar or better performance compared to the previous state-of-the-art models.

The widely studied task of Natural Language Inference (NLI) requires a system to recognize whether one piece of text is textually entailed by another, i.e. whether the entirety of its meaning can be inferred from the other. In current NLI datasets and models, textual entailment relations are typically defined on the sentence- or paragraph-level. However, even a simple sentence often contains multiple propositions, i.e. distinct units of meaning conveyed by the sentence. As these propositions can carry different truth values in the context of a given premise, we argue for the need to recognize the textual entailment relation of each proposition in a sentence individually. We propose PropSegmEnt, a corpus of over 35K propositions annotated by expert human raters. Our dataset structure resembles the tasks of (1) segmenting sentences within a document to the set of propositions, and (2) classifying the entailment relation of each proposition with respect to a different yet topically-aligned document, i.e. documents describing the same event or entity. We establish strong baselines for the segmentation and entailment tasks. Through case studies on summary hallucination detection and document-level NLI, we demonstrate that our conceptual framework is potentially useful for understanding and explaining the compositionality of NLI labels.

Data representation is a fundamental task in machine learning. The representation of data affects the performance of the whole machine learning system. In a long history, the representation of data is done by feature engineering, and researchers aim at designing better features for specific tasks. Recently, the rapid development of deep learning and representation learning has brought new inspiration to various domains. In natural language processing, the most widely used feature representation is the Bag-of-Words model. This model has the data sparsity problem and cannot keep the word order information. Other features such as part-of-speech tagging or more complex syntax features can only fit for specific tasks in most cases. This thesis focuses on word representation and document representation. We compare the existing systems and present our new model. First, for generating word embeddings, we make comprehensive comparisons among existing word embedding models. In terms of theory, we figure out the relationship between the two most important models, i.e., Skip-gram and GloVe. In our experiments, we analyze three key points in generating word embeddings, including the model construction, the training corpus and parameter design. We evaluate word embeddings with three types of tasks, and we argue that they cover the existing use of word embeddings. Through theory and practical experiments, we present some guidelines for how to generate a good word embedding. Second, in Chinese character or word representation. We introduce the joint training of Chinese character and word. ... Third, for document representation, we analyze the existing document representation models, including recursive NNs, recurrent NNs and convolutional NNs. We point out the drawbacks of these models and present our new model, the recurrent convolutional neural networks. ...

We present a labeled large-scale, high resolution chest x-ray dataset for the automated exploration of medical images along with their associated reports. This dataset includes more than 160,000 images obtained from 67,000 patients that were interpreted and reported by radiologists at Hospital San Juan Hospital (Spain) from 2009 to 2017, covering six different position views and additional information on image acquisition and patient demography. The reports were labeled with 174 different radiographic findings, 19 differential diagnoses and 104 anatomic locations organized as a hierarchical taxonomy and mapped onto standard Unified Medical Language System (UMLS) terminology. Of these reports, 27% were manually annotated by trained physicians and the remaining set was labeled using a supervised method based on a recurrent neural network with attention mechanisms. The labels generated were then validated in an independent test set achieving a 0.93 Micro-F1 score. To the best of our knowledge, this is one of the largest public chest x-ray database suitable for training supervised models concerning radiographs, and the first to contain radiographic reports in Spanish. The PadChest dataset can be downloaded from http://bimcv.cipf.es/bimcv-projects/padchest/.

This article explores deep learning models for the automatic identification of registers - text varieties such as news reports and discussion forums - in web-based datasets across 16 languages. Identifying web registers, or genres, is crucial for understanding the content of web-scale datasets, which have become essential in corpus and computational linguistics. Despite recent advances, the full potential of register classifiers in the noisy, unrestricted web remains largely unexplored, particularly in multilingual settings. We experiment with various deep learning models using the Multilingual CORE corpora, newly introduced in this article, which includes 16 languages annotated with a detailed, hierarchical taxonomy of 25 registers designed to cover the entire web. Our classifiers achieve state-of-the-art results using a multi-label approach, demonstrating that competitive performance is possible using a relatively complex register taxonomy. However, all models hit a performance ceiling at approximately 80% F1 score, which we attribute to the non-discrete nature of web registers and the inherent uncertainty in labeling some documents. By pruning ambiguous examples, we enhance model performance to over 90%. Additionally, multilingual models consistently outperform monolingual ones, especially benefiting languages with fewer training examples and smaller registers. Although a zero-shot setting reduces performance by an average of 7%, these drops are not correlated with specific registers or languages. Instead, we find that registers are surprisingly similar across languages.

One important and particularly challenging step in the optical character recognition (OCR) of historical documents with complex layouts, such as newspapers, is the separation of text from non-text content (e.g. page borders or illustrations). This step is commonly referred to as page segmentation. While various rule-based algorithms have been proposed, the applicability of Deep Neural Networks (DNNs) for this task recently has gained a lot of attention. In this paper, we perform a systematic evaluation of 11 different published DNN backbone architectures and 9 different tiling and scaling configurations for separating text, tables or table column lines. We also show the influence of the number of labels and the number of training pages on the segmentation quality, which we measure using the Matthews Correlation Coefficient. Our results show that (depending on the task) Inception-ResNet-v2 and EfficientNet backbones work best, vertical tiling is generally preferable to other tiling approaches, and training data that comprises 30 to 40 pages will be sufficient most of the time.

In NLP, text classification is one of the primary problems we try to solve and its uses in language analyses are indisputable. The lack of labeled training data made it harder to do these tasks in low resource languages like Amharic. The task of collecting, labeling, annotating, and making valuable this kind of data will encourage junior researchers, schools, and machine learning practitioners to implement existing classification models in their language. In this short paper, we aim to introduce the Amharic text classification dataset that consists of more than 50k news articles that were categorized into 6 classes. This dataset is made available with easy baseline performances to encourage studies and better performance experiments.

The paper focuses on deep learning semantic search algorithms applied in the HR domain. The aim of the article is developing a novel approach to training a Siamese network to link the skills mentioned in the job ad with the title. It has been shown that the title normalization process can be based either on classification or similarity comparison approaches. While classification algorithms strive to classify a sample into predefined set of categories, similarity search algorithms take a more flexible approach, since they are designed to find samples that are similar to a given query sample, without requiring pre-defined classes and labels. In this article semantic similarity search to find candidates for title normalization has been used. A pre-trained language model has been adapted while teaching it to match titles and skills based on co-occurrence information. For the purpose of this research fifty billion title-descriptions pairs had been collected for training the model and thirty three thousand title-description-normalized title triplets, where normalized job title was picked up manually by job ad creator for testing purposes. As baselines FastText, BERT, SentenceBert and JobBert have been used. As a metric of the accuracy of the designed algorithm is Recall in top one, five and ten model's suggestions. It has been shown that the novel training objective lets it achieve significant improvement in comparison to other generic and specific text encoders. Two settings with treating titles as standalone strings, and with included skills as additional features during inference have been used and the results have been compared in this article. Improvements by 10% and 21.5% have been achieved using VacancySBERT and VacancySBERT (with skills) respectively. The benchmark has been developed as open-source to foster further research in the area.

Active learning is an iterative labeling process that is used to obtain a small labeled subset, despite the absence of labeled data, thereby enabling to train a model for supervised tasks such as text classification. While active learning has made considerable progress in recent years due to improvements provided by pre-trained language models, there is untapped potential in the often neglected unlabeled portion of the data, although it is available in considerably larger quantities than the usually small set of labeled data. In this work, we investigate how self-training, a semi-supervised approach that uses a model to obtain pseudo-labels for unlabeled data, can be used to improve the efficiency of active learning for text classification. Building on a comprehensive reproduction of four previous self-training approaches, some of which are evaluated for the first time in the context of active learning or natural language processing, we introduce HAST, a new and effective self-training strategy, which is evaluated on four text classification benchmarks. Our results show that it outperforms the reproduced self-training approaches and reaches classification results comparable to previous experiments for three out of four datasets, using as little as 25% of the data. The code is publicly available at https://github.com/chschroeder/self-training-for-sample-efficient-active-learning .

In the real world, documents are organized in different formats and varied modalities. Traditional retrieval pipelines require tailored document parsing techniques and content extraction modules to prepare input for indexing. This process is tedious, prone to errors, and has information loss. To this end, we propose Document Screenshot Embedding} (DSE), a novel retrieval paradigm that regards document screenshots as a unified input format, which does not require any content extraction preprocess and preserves all the information in a document (e.g., text, image and layout). DSE leverages a large vision-language model to directly encode document screenshots into dense representations for retrieval. To evaluate our method, we first craft the dataset of Wiki-SS, a 1.3M Wikipedia web page screenshots as the corpus to answer the questions from the Natural Questions dataset. In such a text-intensive document retrieval setting, DSE shows competitive effectiveness compared to other text retrieval methods relying on parsing. For example, DSE outperforms BM25 by 17 points in top-1 retrieval accuracy. Additionally, in a mixed-modality task of slide retrieval, DSE significantly outperforms OCR text retrieval methods by over 15 points in nDCG@10. These experiments show that DSE is an effective document retrieval paradigm for diverse types of documents. Model checkpoints, code, and Wiki-SS collection will be released.

In an effort to catalog insect biodiversity, we propose a new large dataset of hand-labelled insect images, the BIOSCAN-Insect Dataset. Each record is taxonomically classified by an expert, and also has associated genetic information including raw nucleotide barcode sequences and assigned barcode index numbers, which are genetically-based proxies for species classification. This paper presents a curated million-image dataset, primarily to train computer-vision models capable of providing image-based taxonomic assessment, however, the dataset also presents compelling characteristics, the study of which would be of interest to the broader machine learning community. Driven by the biological nature inherent to the dataset, a characteristic long-tailed class-imbalance distribution is exhibited. Furthermore, taxonomic labelling is a hierarchical classification scheme, presenting a highly fine-grained classification problem at lower levels. Beyond spurring interest in biodiversity research within the machine learning community, progress on creating an image-based taxonomic classifier will also further the ultimate goal of all BIOSCAN research: to lay the foundation for a comprehensive survey of global biodiversity. This paper introduces the dataset and explores the classification task through the implementation and analysis of a baseline classifier.

Document indexing is a key component for efficient information retrieval (IR). After preprocessing steps such as stemming and stop-word removal, document indexes usually store term-frequencies (tf). Along with tf (that only reflects the importance of a term in a document), traditional IR models use term discrimination values (TDVs) such as inverse document frequency (idf) to favor discriminative terms during retrieval. In this work, we propose to learn TDVs for document indexing with shallow neural networks that approximate traditional IR ranking functions such as TF-IDF and BM25. Our proposal outperforms, both in terms of nDCG and recall, traditional approaches, even with few positively labelled query-document pairs as learning data. Our learned TDVs, when used to filter out terms of the vocabulary that have zero discrimination value, allow to both significantly lower the memory footprint of the inverted index and speed up the retrieval process (BM25 is up to 3~times faster), without degrading retrieval quality.

We present the Charles University system for the MRL~2023 Shared Task on Multi-lingual Multi-task Information Retrieval. The goal of the shared task was to develop systems for named entity recognition and question answering in several under-represented languages. Our solutions to both subtasks rely on the translate-test approach. We first translate the unlabeled examples into English using a multilingual machine translation model. Then, we run inference on the translated data using a strong task-specific model. Finally, we project the labeled data back into the original language. To keep the inferred tags on the correct positions in the original language, we propose a method based on scoring the candidate positions using a label-sensitive translation model. In both settings, we experiment with finetuning the classification models on the translated data. However, due to a domain mismatch between the development data and the shared task validation and test sets, the finetuned models could not outperform our baselines.

This paper presents a multi-label topic model for financial texts like ad-hoc announcements, 8-K filings, finance related news or annual reports. I train the model on a new financial multi-label database consisting of 3,044 German ad-hoc announcements that are labeled manually using 20 predefined, economically motivated topics. The best model achieves a macro F1 score of more than 85%. Translating the data results in an English version of the model with similar performance. As application of the model, I investigate differences in stock market reactions across topics. I find evidence for strong positive or negative market reactions for some topics, like announcements of new Large Scale Projects or Bankruptcy Filings, while I do not observe significant price effects for some other topics. Furthermore, in contrast to previous studies, the multi-label structure of the model allows to analyze the effects of co-occurring topics on stock market reactions. For many cases, the reaction to a specific topic depends heavily on the co-occurrence with other topics. For example, if allocated capital from a Seasoned Equity Offering (SEO) is used for restructuring a company in the course of a Bankruptcy Proceeding, the market reacts positively on average. However, if that capital is used for covering unexpected, additional costs from the development of new drugs, the SEO implies negative reactions on average.

The recent trend in the Large Vision and Language model has brought a new change in how information extraction systems are built. VLMs have set a new benchmark with their State-of-the-art techniques in understanding documents and building question-answering systems across various industries. They are significantly better at generating text from document images and providing accurate answers to questions. However, there are still some challenges in effectively utilizing these models to build a precise conversational system. General prompting techniques used with large language models are often not suitable for these specially designed vision language models. The output generated by such generic input prompts is ordinary and may contain information gaps when compared with the actual content of the document. To obtain more accurate and specific answers, a well-targeted prompt is required by the vision language model, along with the document image. In this paper, a technique is discussed called Target prompting, which focuses on explicitly targeting parts of document images and generating related answers from those specific regions only. The paper also covers the evaluation of response for each prompting technique using different user queries and input prompts.

Misinformation is a complex societal issue, and mitigating solutions are difficult to create due to data deficiencies. To address this problem, we have curated the largest collection of (mis)information datasets in the literature, totaling 75. From these, we evaluated the quality of all of the 36 datasets that consist of statements or claims. We assess these datasets to identify those with solid foundations for empirical work and those with flaws that could result in misleading and non-generalizable results, such as insufficient label quality, spurious correlations, or political bias. We further provide state-of-the-art baselines on all these datasets, but show that regardless of label quality, categorical labels may no longer give an accurate evaluation of detection model performance. We discuss alternatives to mitigate this problem. Overall, this guide aims to provide a roadmap for obtaining higher quality data and conducting more effective evaluations, ultimately improving research in misinformation detection. All datasets and other artifacts are available at https://misinfo-datasets.complexdatalab.com/.

The Russian Drug Reaction Corpus (RuDReC) is a new partially annotated corpus of consumer reviews in Russian about pharmaceutical products for the detection of health-related named entities and the effectiveness of pharmaceutical products. The corpus itself consists of two parts, the raw one and the labelled one. The raw part includes 1.4 million health-related user-generated texts collected from various Internet sources, including social media. The labelled part contains 500 consumer reviews about drug therapy with drug- and disease-related information. Labels for sentences include health-related issues or their absence. The sentences with one are additionally labelled at the expression level for identification of fine-grained subtypes such as drug classes and drug forms, drug indications, and drug reactions. Further, we present a baseline model for named entity recognition (NER) and multi-label sentence classification tasks on this corpus. The macro F1 score of 74.85% in the NER task was achieved by our RuDR-BERT model. For the sentence classification task, our model achieves the macro F1 score of 68.82% gaining 7.47% over the score of BERT model trained on Russian data. We make the RuDReC corpus and pretrained weights of domain-specific BERT models freely available at https://github.com/cimm-kzn/RuDReC

Predicting high-dimensional or extreme multilabels, such as in medical coding, requires both accuracy and interpretability. Existing works often rely on local interpretability methods, failing to provide comprehensive explanations of the overall mechanism behind each label prediction within a multilabel set. We propose a mechanistic interpretability module called DIctionary Label Attention (\method) that disentangles uninterpretable dense embeddings into a sparse embedding space, where each nonzero element (a dictionary feature) represents a globally learned medical concept. Through human evaluations, we show that our sparse embeddings are more human understandable than its dense counterparts by at least 50 percent. Our automated dictionary feature identification pipeline, leveraging large language models (LLMs), uncovers thousands of learned medical concepts by examining and summarizing the highest activating tokens for each dictionary feature. We represent the relationships between dictionary features and medical codes through a sparse interpretable matrix, enhancing the mechanistic and global understanding of the model's predictions while maintaining competitive performance and scalability without extensive human annotation.

Recently, large language models (LLMs) and multimodal large language models (MLLMs) have demonstrated promising results on document visual question answering (VQA) task, particularly after training on document instruction datasets. An effective evaluation method for document instruction data is crucial in constructing instruction data with high efficacy, which, in turn, facilitates the training of LLMs and MLLMs for document VQA. However, most existing evaluation methods for instruction data are limited to the textual content of the instructions themselves, thereby hindering the effective assessment of document instruction datasets and constraining their construction. In this paper, we propose ProcTag, a data-oriented method that assesses the efficacy of document instruction data. ProcTag innovatively performs tagging on the execution process of instructions rather than the instruction text itself. By leveraging the diversity and complexity of these tags to assess the efficacy of the given dataset, ProcTag enables selective sampling or filtering of document instructions. Furthermore, DocLayPrompt, a novel semi-structured layout-aware document prompting strategy, is proposed for effectively representing documents. Experiments demonstrate that sampling existing open-sourced and generated document VQA/instruction datasets with ProcTag significantly outperforms current methods for evaluating instruction data. Impressively, with ProcTag-based sampling in the generated document datasets, only 30.5\% of the document instructions are required to achieve 100\% efficacy compared to the complete dataset. The code is publicly available at https://github.com/AlibabaResearch/AdvancedLiterateMachinery/tree/main/DocumentUnderstanding/ProcTag.

This paper presents a corpus manually annotated with named entities for six Slavic languages - Bulgarian, Czech, Polish, Slovenian, Russian, and Ukrainian. This work is the result of a series of shared tasks, conducted in 2017-2023 as a part of the Workshops on Slavic Natural Language Processing. The corpus consists of 5 017 documents on seven topics. The documents are annotated with five classes of named entities. Each entity is described by a category, a lemma, and a unique cross-lingual identifier. We provide two train-tune dataset splits - single topic out and cross topics. For each split, we set benchmarks using a transformer-based neural network architecture with the pre-trained multilingual models - XLM-RoBERTa-large for named entity mention recognition and categorization, and mT5-large for named entity lemmatization and linking.

Understanding a long document requires tracking how entities are introduced and evolve over time. We present a new type of language model, EntityNLM, that can explicitly model entities, dynamically update their representations, and contextually generate their mentions. Our model is generative and flexible; it can model an arbitrary number of entities in context while generating each entity mention at an arbitrary length. In addition, it can be used for several different tasks such as language modeling, coreference resolution, and entity prediction. Experimental results with all these tasks demonstrate that our model consistently outperforms strong baselines and prior work.

Multi-label text classification is a critical task in the industry. It helps to extract structured information from large amount of textual data. We propose Text to Topic (Text2Topic), which achieves high multi-label classification performance by employing a Bi-Encoder Transformer architecture that utilizes concatenation, subtraction, and multiplication of embeddings on both text and topic. Text2Topic also supports zero-shot predictions, produces domain-specific text embeddings, and enables production-scale batch-inference with high throughput. The final model achieves accurate and comprehensive results compared to state-of-the-art baselines, including large language models (LLMs). In this study, a total of 239 topics are defined, and around 1.6 million text-topic pairs annotations (in which 200K are positive) are collected on approximately 120K texts from 3 main data sources on Booking.com. The data is collected with optimized smart sampling and partial labeling. The final Text2Topic model is deployed on a real-world stream processing platform, and it outperforms other models with 92.9% micro mAP, as well as a 75.8% macro mAP score. We summarize the modeling choices which are extensively tested through ablation studies, and share detailed in-production decision-making steps.

In this paper we investigated two different methods to parse relative and noun complement clauses in English and resorted to distinct tags for their corresponding that as a relative pronoun and as a complementizer. We used an algorithm to relabel a corpus parsed with the GUM Treebank using Universal Dependency. Our second experiment consisted in using TreeTagger, a Probabilistic Decision Tree, to learn the distinction between the two complement and relative uses of postnominal "that". We investigated the effect of the training set size on TreeTagger accuracy and how representative the GUM Treebank files are for the two structures under scrutiny. We discussed some of the linguistic and structural tenets of the learnability of this distinction.

Enterprises often own large collections of structured data in the form of large databases or an enterprise data lake. Such data collections come with limited metadata and strict access policies that could limit access to the data contents and, therefore, limit the application of classic retrieval and analysis solutions. As a result, there is a need for solutions that can effectively utilize the available metadata. In this paper, we study the problem of matching table metadata to a business glossary containing data labels and descriptions. The resulting matching enables the use of an available or curated business glossary for retrieval and analysis without or before requesting access to the data contents. One solution to this problem is to use manually-defined rules or similarity measures on column names and glossary descriptions (or their vector embeddings) to find the closest match. However, such approaches need to be tuned through manual labeling and cannot handle many business glossaries that contain a combination of simple as well as complex and long descriptions. In this work, we leverage the power of large language models (LLMs) to design generic matching methods that do not require manual tuning and can identify complex relations between column names and glossaries. We propose methods that utilize LLMs in two ways: a) by generating additional context for column names that can aid with matching b) by using LLMs to directly infer if there is a relation between column names and glossary descriptions. Our preliminary experimental results show the effectiveness of our proposed methods.

Document chunking is a critical task in natural language processing (NLP) that involves dividing a document into meaningful segments. Traditional methods often rely solely on semantic analysis, ignoring the spatial layout of elements, which is crucial for understanding relationships in complex documents. This paper introduces a novel hybrid approach that combines layout structure, semantic analysis, and spatial relationships to enhance the cohesion and accuracy of document chunks. By leveraging bounding box information (bbox) and text embeddings, our method constructs a weighted graph representation of document elements, which is then clustered using spectral clustering. Experimental results demonstrate that this approach outperforms traditional methods, particularly in documents with diverse layouts such as reports, articles, and multi-column designs. The proposed method also ensures that no chunk exceeds a specified token length, making it suitable for use cases where token limits are critical (e.g., language models with input size limitations)

Translating training data into many languages has emerged as a practical solution for improving cross-lingual transfer. For tasks that involve span-level annotations, such as information extraction or question answering, an additional label projection step is required to map annotated spans onto the translated texts. Recently, a few efforts have utilized a simple mark-then-translate method to jointly perform translation and projection by inserting special markers around the labeled spans in the original sentence. However, as far as we are aware, no empirical analysis has been conducted on how this approach compares to traditional annotation projection based on word alignment. In this paper, we present an extensive empirical study across 57 languages and three tasks (QA, NER, and Event Extraction) to evaluate the effectiveness and limitations of both methods, filling an important gap in the literature. Experimental results show that our optimized version of mark-then-translate, which we call EasyProject, is easily applied to many languages and works surprisingly well, outperforming the more complex word alignment-based methods. We analyze several key factors that affect the end-task performance, and show EasyProject works well because it can accurately preserve label span boundaries after translation. We will publicly release all our code and data.

International Classification of Disease (ICD) coding procedure which refers to tagging medical notes with diagnosis codes has been shown to be effective and crucial to the billing system in medical sector. Currently, ICD codes are assigned to a clinical note manually which is likely to cause many errors. Moreover, training skilled coders also requires time and human resources. Therefore, automating the ICD code determination process is an important task. With the advancement of artificial intelligence theory and computational hardware, machine learning approach has emerged as a suitable solution to automate this process. In this project, we apply a transformer-based architecture to capture the interdependence among the tokens of a document and then use a code-wise attention mechanism to learn code-specific representations of the entire document. Finally, they are fed to separate dense layers for corresponding code prediction. Furthermore, to handle the imbalance in the code frequency of clinical datasets, we employ a label distribution aware margin (LDAM) loss function. The experimental results on the MIMIC-III dataset show that our proposed model outperforms other baselines by a significant margin. In particular, our best setting achieves a micro-AUC score of 0.923 compared to 0.868 of bidirectional recurrent neural networks. We also show that by using the code-wise attention mechanism, the model can provide more insights about its prediction, and thus it can support clinicians to make reliable decisions. Our code is available online (https://github.com/biplob1ly/TransICD)

Fast and effective automated indexing is critical for search and personalized services. Key phrases that consist of one or more words and represent the main concepts of the document are often used for the purpose of indexing. In this paper, we investigate the use of additional semantic features and pre-processing steps to improve automatic key phrase extraction. These features include the use of signal words and freebase categories. Some of these features lead to significant improvements in the accuracy of the results. We also experimented with 2 forms of document pre-processing that we call light filtering and co-reference normalization. Light filtering removes sentences from the document, which are judged peripheral to its main content. Co-reference normalization unifies several written forms of the same named entity into a unique form. We also needed a "Gold Standard" - a set of labeled documents for training and evaluation. While the subjective nature of key phrase selection precludes a true "Gold Standard", we used Amazon's Mechanical Turk service to obtain a useful approximation. Our data indicates that the biggest improvements in performance were due to shallow semantic features, news categories, and rhetorical signals (nDCG 78.47% vs. 68.93%). The inclusion of deeper semantic features such as Freebase sub-categories was not beneficial by itself, but in combination with pre-processing, did cause slight improvements in the nDCG scores.

We introduce Latent Meaning Cells, a deep latent variable model which learns contextualized representations of words by combining local lexical context and metadata. Metadata can refer to granular context, such as section type, or to more global context, such as unique document ids. Reliance on metadata for contextualized representation learning is apropos in the clinical domain where text is semi-structured and expresses high variation in topics. We evaluate the LMC model on the task of zero-shot clinical acronym expansion across three datasets. The LMC significantly outperforms a diverse set of baselines at a fraction of the pre-training cost and learns clinically coherent representations. We demonstrate that not only is metadata itself very helpful for the task, but that the LMC inference algorithm provides an additional large benefit.

The current digital environment is characterized by the widespread presence of data, particularly unstructured data, which poses many issues in sectors including finance, healthcare, and education. Conventional techniques for data extraction encounter difficulties in dealing with the inherent variety and complexity of unstructured data, hence requiring the adoption of more efficient methodologies. This research investigates the utilization of YOLOv5, a cutting-edge computer vision model, for the purpose of rapidly identifying document layouts and extracting unstructured data. The present study establishes a conceptual framework for delineating the notion of "objects" as they pertain to documents, incorporating various elements such as paragraphs, tables, photos, and other constituent parts. The main objective is to create an autonomous system that can effectively recognize document layouts and extract unstructured data, hence improving the effectiveness of data extraction. In the conducted examination, the YOLOv5 model exhibits notable effectiveness in the task of document layout identification, attaining a high accuracy rate along with a precision value of 0.91, a recall value of 0.971, an F1-score of 0.939, and an area under the receiver operating characteristic curve (AUC-ROC) of 0.975. The remarkable performance of this system optimizes the process of extracting textual and tabular data from document images. Its prospective applications are not limited to document analysis but can encompass unstructured data from diverse sources, such as audio data. This study lays the foundation for future investigations into the wider applicability of YOLOv5 in managing various types of unstructured data, offering potential for novel applications across multiple domains.