Abstract: This four-volume set of LNCS 12821, LNCS 12822, LNCS 12823 and LNCS 12824, constitutes the refereed proceedings of the 16th International Conference on Document Analysis and Recognition, ICDAR 2021, held in Lausanne, Switzerland in September 2021. The 182 full papers were carefully reviewed and selected from 340 submissions, and are presented with 13 competition reports.
The papers are organized into the following topical sections: historical document analysis, document analysis systems, handwriting recognition, scene text detection and recognition, document image processing, natural language processing (NLP) for document understanding, and graphics, diagram and math recognition.

Abstract: There are countless collections of historical documents in archives and libraries that contain plenty of valuable information for historians and researchers. The extraction of this information has become a central task among the Document Analysis researches and practitioners.
There is an increasing interest to digital preserve and provide access to these kind of documents. But only the digitalization is not enough for the researchers. The extraction and/or indexation of information of this documents has had an increased interest among researchers. In many cases, and in particular in historical manuscripts, the full transcription of these documents is extremely dicult due the inherent deciencies: poor physical preservation, dierent writing styles, obsolete languages, etc. Word spotting has become a popular an ecient alternative to full transcription. It inherently involves a high level of degradation in the images. The search of words is holistically
formulated as a visual search of a given query shape in a larger image, instead of recognising the input text and searching the query word with an ascii string comparison. But the performance of classical word spotting approaches depend on the degradation level of the images being unacceptable in many cases . In this thesis we have proposed a novel paradigm called contextual word spotting method that uses the contextual/semantic information to achieve acceptable results whereas classical word spotting does not reach. The contextual word spotting framework proposed in this thesis is a segmentation-based word spotting approach, so an ecient word segmentation is needed. Historical handwritten
documents present some common diculties that can increase the diculties the extraction of the words. We have proposed a line segmentation approach that formulates the problem as nding the central part path in the area between two consecutive lines. This is solved as a graph traversal problem. A path nding algorithm is used to nd the optimal path in a graph, previously computed, between the text lines. Once the text lines are extracted, words are localized inside the text lines using a word segmentation technique from the state of the
art. Classical word spotting approaches can be improved using the contextual information of the documents. We have introduced a new framework, oriented to handwritten documents that present a highly structure, to extract information making use of context. The framework is an ecient tool for semi-automatic transcription that uses the contextual information to achieve better results than classical word spotting approaches. The contextual information is
automatically discovered by recognizing repetitive structures and categorizing all the words according to semantic classes. The most frequent words in each semantic cluster are extracted and the same text is used to transcribe all them. The experimental results achieved in this thesis outperform classical word spotting approaches demonstrating the suitability of the proposed ensemble architecture for spotting words in historical handwritten documents using contextual information.

Abstract: In this work, we develop a generic framework that is able to handle the document retrieval problem in various scenarios such as searching for full page matches or retrieving the counterparts for specific document areas, focusing on their structural similarity or letting their visual resemblance to play a dominant role. Based on the spatial indexing technique, we propose to search for matches of local key-region pairs carrying both structural and visual information from the collection while a scheme allowing to adjust the relative contribution of structural and visual similarity is presented.
Based on the fact that the structure of documents is tightly linked with the distance among their elements, we firstly introduce an efficient detector named Distance Transform based Maximally Stable Extremal Regions (DTMSER). We illustrate that this detector is able to efficiently extract the structure of a document image as a dendrogram (hierarchical tree) of multi-scale key-regions that roughly correspond to letters, words and paragraphs. We demonstrate that, without benefiting from the structure information, the key-regions extracted by the DTMSER algorithm achieve better results comparing with state-of-the-art methods while much less amount of key-regions are employed.
We subsequently propose a pair-wise Bag of Words (BoW) framework to efficiently embed the explicit structure extracted by the DTMSER algorithm. We represent each document as a list of key-region pairs that correspond to the edges in the dendrogram where inclusion relationship is encoded. By employing those structural key-region pairs as the pooling elements for generating the histogram of features, the proposed method is able to encode the explicit inclusion relations into a BoW representation. The experimental results illustrate that the pair-wise BoW, powered by the embedded structural information, achieves remarkable improvement over the conventional BoW and spatial pyramidal BoW methods.
To handle various retrieval scenarios in one framework, we propose to directly query a series of key-region pairs, carrying both structure and visual information, from the collection. We introduce the spatial indexing techniques to the document retrieval community to speed up the structural relationship computation for key-region pairs. We firstly test the proposed framework in a full page retrieval scenario where structurally similar matches are expected. In this case, the pair-wise querying method achieves notable improvement over the BoW and spatial pyramidal BoW frameworks. Furthermore, we illustrate that the proposed method is also able to handle focused retrieval situations where the queries are defined as a specific interesting partial areas of the images. We examine our method on two types of focused queries: structure-focused and exact queries. The experimental results show that, the proposed generic framework obtains nearly perfect precision on both types of focused queries while it is the first framework able to tackle structure-focused queries, setting a new state of the art in the field.
Besides, we introduce a line verification method to check the spatial consistency among the matched key-region pairs. We propose a computationally efficient version of line verification through a two step implementation. We first compute tentative localizations of the query and subsequently employ them to divide the matched key-region pairs into several groups, then line verification is performed within each group while more precise bounding boxes are computed. We demonstrate that, comparing with the standard approach (based on RANSAC), the line verification proposed generally achieves much higher recall with slight loss on precision on specific queries.

Abstract: With the advent research of Document Image Analysis and Recognition (DIAR), an
important line of research is explored on indexing and retrieval of graphics rich documents. It aims at finding relevant documents relying on segmentation and recognition
of text and graphics components underlying in non-standard layout where commercial
OCRs can not be applied due to complexity. This thesis is focused towards text information extraction approaches in graphical documents and retrieval of such documents
using text information.
Automatic text recognition in graphical documents (map, engineering drawing,
etc.) involves many challenges because text characters are usually printed in multioriented and multi-scale way along with different graphical objects. Text characters
are used to annotate the graphical curve lines and hence, many times they follow
curvi-linear paths too. For OCR of such documents, individual text lines and their
corresponding words/characters need to be extracted.
For recognition of multi-font, multi-scale and multi-oriented characters, we have
proposed a feature descriptor for character shape using angular information from contour pixels to take care of the invariance nature. To improve the efficiency of OCR, an
approach towards the segmentation of multi-oriented touching strings into individual
characters is also discussed. Convex hull based background information is used to
segment a touching string into possible primitive segments and later these primitive
segments are merged to get optimum segmentation using dynamic programming. To
overcome the touching/overlapping problem of text with graphical lines, a character
spotting approach using SIFT and skeleton information is included. Afterwards, we
propose a novel method to extract individual curvi-linear text lines using the foreground and background information of the characters of the text and a water reservoir
concept is used to utilize the background information.
We have also formulated the methodologies for graphical document retrieval applications using query words and seals. The retrieval approaches are performed using
recognition results of individual components in the document. Given a query text,
the system extracts positional knowledge from the query word and uses the same to
generate hypothetical locations in the document. Indexing of documents is also performed based on automatic detection of seals from documents containing cluttered
background. A seal is characterized by scale and rotation invariant spatial feature
descriptors computed from labelled text characters and a concept based on the Generalized Hough Transform is used to locate the seal in documents.

Abstract: This thesis presents several contributions to the literature of sketch based image retrieval (SBIR). In SBIR the first challenge we face is how to map two different domains to common space for effective retrieval of images, while tackling the different levels of abstraction people use to express their notion of objects around while sketching. To this extent we first propose a cross-modal learning framework that maps both sketches and text into a joint embedding space invariant to depictive style, while preserving semantics. Then we have also investigated different query types possible to encompass people's dilema in sketching certain world objects. For this we propose an approach for multi-modal image retrieval in multi-labelled images. A multi-modal deep network architecture is formulated to jointly model sketches and text as input query modalities into a common embedding space, which is then further aligned with the image feature space. This permits encoding the object-based features and its alignment with the query irrespective of the availability of the co-occurrence of different objects in the training set.
Finally, we explore the problem of zero-shot sketch-based image retrieval (ZS-SBIR), where human sketches are used as queries to conduct retrieval of photos from unseen categories. We importantly advance prior arts by proposing a novel ZS-SBIR scenario that represents a firm step forward in its practical application. The new setting uniquely recognises two important yet often neglected challenges of practical ZS-SBIR, (i) the large domain gap between amateur sketch and photo, and (ii) the necessity for moving towards large-scale retrieval. We first contribute to the community a novel ZS-SBIR dataset, QuickDraw-Extended. We also in this dissertation pave the path to the future direction of research in this domain.

Abstract: Deep learning has drastically changed computer vision in the past decades and achieved great success in many applications, such as image classification, retrieval, detection, and segmentation thanks to the emergence of neural networks. Typically, for most applications, these networks are presented with examples from all tasks they are expected to perform. However, for many applications, this is not a realistic
scenario, and an algorithm is required to learn tasks sequentially. Continual learning proposes theory and methods for this scenario.
The main challenge for continual learning systems is called catastrophic forgetting and refers to a significant drop in performance on previous tasks. To tackle this problem, three main branches of methods have been explored to alleviate the forgetting in continual learning. They are regularization-based methods, rehearsalbased methods, and parameter isolation-based methods. However, most of them are focused on image classification tasks. Continual learning of many computer vision fields has still not been well-explored. Thus, in this thesis, we extend the continual learning knowledge to meta learning, we propose a method for the incremental learning of hierarchical relations for image classification, we explore image recognition in online continual learning, and study continual learning for cross-modal learning.
In this thesis, we explore the usage of image rehearsal when addressing the incremental meta learning problem. Observing that existingmethods fail to improve performance with saved exemplars, we propose to mix exemplars with current task data and episode-level distillation to overcome forgetting in incremental meta learning. Next, we study a more realistic image classification scenario where each class has multiple granularity levels. Only one label is present at any time, which requires the model to infer if the provided label has a hierarchical relation with any already known label. In experiments, we show that the estimated hierarchy information can be beneficial in both the training and inference stage.
For the online continual learning setting, we investigate the usage of intermediate feature replay. In this case, the training samples are only observed by the model only one time. Here we fix thememory buffer for feature replay and compare the effectiveness of saving features from different layers. Finally, we investigate multi-modal continual learning, where an image encoder is cooperating with a semantic branch. We consider the continual learning of both zero-shot learning and cross-modal retrieval problems.

Abstract: Word spotting can be defined as the pattern recognition tasked aimed at locating and retrieving a specific keyword within a document image collection without explicitly transcribing the whole corpus. Its use is particularly interesting when applied in scenarios where Optical Character Recognition performs poorly or can not be used at all. This thesis focuses on such a scenario, word spotting on historical handwritten documents that have been written by a single author or by multiple authors with a similar calligraphy.
This problem requires a visual signature that is robust to image artifacts, flexible to accommodate script variations and efficient to retrieve information in a rapid manner. For this, we have developed a set of word spotting methods that on their foundation use the well known Bag-of-Visual-Words (BoVW) representation. This representation has gained popularity among the document image analysis community to characterize handwritten words
in an unsupervised manner. However, most approaches on this field rely on a basic BoVW configuration and disregard complex encoding and spatial representations. We determine which BoVW configurations provide the best performance boost to a spotting system.
Then, we extend the segmentation-based word spotting, where word candidates are given a priori, to segmentation-free spotting. The proposed approach seeds the document images with overlapping word location candidates and characterizes them with a BoVW signature. Retrieval is achieved comparing the query and candidate signatures and returning the locations that provide a higher consensus. This is a simple but powerful approach that requires a more compact signature than in a segmentation-based scenario. We first
project the BoVW signature into a reduced semantic topics space and then compress it further using Product Quantizers. The resulting signature only requires a few dozen bytes, allowing us to index thousands of pages on a common desktop computer. The final system still yields a performance comparable to the state-of-the-art despite all the information loss during the compression phases.
Afterwards, we also study how to combine different modalities of information in order to create a query-by-X spotting system where, words are indexed using an information modality and queries are retrieved using another. We consider three different information modalities: visual, textual and audio. Our proposal is to create a latent feature space where features which are semantically related are projected onto the same topics. Creating thus a new feature space where information from different modalities can be compared. Later, we consider the codebook generation and descriptor encoding problem. The codebooks used to encode the BoVW signatures are usually created using an unsupervised clustering algorithm and, they require to test multiple parameters to determine which configuration is best for a certain document collection. We propose a semantic clustering algorithm which allows to estimate the best parameter from data. Since gather annotated data is costly, we use synthetically generated word images. The resulting codebook is database agnostic, i. e. a codebook that yields a good performance on document collections that use the same script. We also propose the use of an additional codebook to approximate descriptors and reduce the descriptor encoding
complexity to sub-linear.
Finally, we focus on the problem of signatures dimensionality. We propose a new symbol probability signature where each bin represents the probability that a certain symbol is present a certain location of the word image. This signature is extremely compact and combined with compression techniques can represent word images with just a few bytes per signature.

Abstract: Visual recognition is one of the main problems in computer vision that attempts to solve image understanding by deciding what objects are in images. This problem can be computationally solved by using relevant sets of visual features, such as edges, corners, color or more complex object parts. This thesis contributes to how color features have to be represented for recognition tasks.
Image features can be extracted following two different approaches. A first approach is defining handcrafted descriptors of images which is then followed by a learning scheme to classify the content (named flat schemes in Kruger et al. (2013). In this approach, perceptual considerations are habitually used to define efficient color features. Here we propose a new flat color descriptor based on the extension of color channels to boost the representation of spatio-chromatic contrast that surpasses state-of-the-art approaches. However, flat schemes present a lack of generality far away from the capabilities of biological systems. A second approach proposes evolving these flat schemes into a hierarchical process, like in the visual cortex. This includes an automatic process to learn optimal features. These deep schemes, and more specifically Convolutional Neural Networks (CNNs), have shown an impressive performance to solve various vision problems. However, there is a lack of understanding about the internal representation obtained, as a result of automatic learning. In this thesis we propose a new methodology to explore the internal representation of trained CNNs by defining the Neuron Feature as a visualization of the intrinsic features encoded in each individual neuron. Additionally, and inspired by physiological techniques, we propose to compute different neuron selectivity indexes (e.g., color, class, orientation or symmetry, amongst others) to label and classify the full CNN neuron population to understand learned representations.
Finally, using the proposed methodology, we show an in-depth study on how color is represented on a specific CNN, trained for object recognition, that competes with primate representational abilities (Cadieu et al (2014)). We found several parallelisms with biological visual systems: (a) a significant number of color selectivity neurons throughout all the layers; (b) an opponent and low frequency representation of color oriented edges and a higher sampling of frequency selectivity in brightness than in color in 1st layer like in V1; (c) a higher sampling of color hue in the second layer aligned to observed hue maps in V2; (d) a strong color and shape entanglement in all layers from basic features in shallower layers (V1 and V2) to object and background shapes in deeper layers (V4 and IT); and (e) a strong correlation between neuron color selectivities and color dataset bias.