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: document analysis for literature search, document summarization and translation, multimedia document analysis, mobile text recognition, document analysis for social good, indexing and retrieval of documents, physical and logical layout analysis, recognition of tables and formulas, and natural language processing (NLP) for document understanding.

Abstract: Encoded (or ciphered) manuscripts are a special type of historical documents that contain encrypted text. The automatic recognition of this kind of documents is challenging because: 1) the cipher alphabet changes from one document to another, 2) there is a lack of annotated corpus for training and 3) touching symbols make the symbol segmentation difficult and complex. To overcome these difficulties, we propose a novel method for handwritten ciphers recognition based on few-shot object detection. Our method first detects all symbols of a given alphabet in a line image, and then a decoding step maps the symbol similarity scores to the final sequence of transcribed symbols. By training on synthetic data, we show that the proposed architecture is able to recognize handwritten ciphers with unseen alphabets. In addition, if few labeled pages with the same alphabet are used for fine tuning, our method surpasses existing unsupervised and supervised HTR methods for ciphers recognition.

Abstract: In the last years, the consolidation of deep neural network architectures for information extraction in document images has brought big improvements in the performance of each of the tasks involved in this process, consisting of text localization, transcription, and named entity recognition. However, this process is traditionally performed with separate methods for each task. In this work we propose an end-to-end model that combines a one stage object detection network with branches for the recognition of text and named entities respectively in a way that shared features can be learned simultaneously from the training error of each of the tasks. By doing so the model jointly performs handwritten text detection, transcription, and named entity recognition at page level with a single feed forward step. We exhaustively evaluate our approach on different datasets, discussing its advantages and limitations compared to sequential approaches. The results show that the model is capable of benefiting from shared features by simultaneously solving interdependent tasks.

Abstract: Word spotting is an important recognition task in large-scale retrieval of document collections. In most of the cases, methods are developed and evaluated assuming perfect word segmentation. In this paper, we propose an experimental framework to quantify the goodness that word segmentation has on the performance achieved by word spotting methods in identical unbiased conditions. The framework consists of generating systematic distortions on segmentation and retrieving the original queries from the distorted dataset. We have tested our framework on several established and state-of-the-art methods using George Washington and Barcelona Marriage Datasets. The experiments done allow for an estimate of the end-to-end performance of word spotting methods.

Abstract: Automatic document content processing is affected by artifacts caused by the shape
of the paper, non-uniform and diverse color of lighting conditions. Fully-supervised
methods on real data are impossible due to the large amount of data needed. Hence, the
current state of the art deep learning models are trained on fully or partially synthetic images. However, document shadow or shading removal results still suffer because: (a) prior methods rely on uniformity of local color statistics, which limit their application on real-scenarios with complex document shapes and textures and; (b) synthetic or hybrid datasets with non-realistic, simulated lighting conditions are used to train the models. In this paper we tackle these problems with our two main contributions. First, a physically constrained learning-based method that directly estimates document reflectance based on intrinsic image formation which generalizes to challenging illumination conditions. Second, a new dataset that clearly improves previous synthetic ones, by adding a large range of realistic shading and diverse multi-illuminant conditions, uniquely customized to deal with documents in-the-wild. The proposed architecture works in two steps. First, a white balancing module neutralizes the color of the illumination on the input image. Based on the proposed multi-illuminant dataset we achieve a good white-balancing in really difficult conditions. Second, the shading separation module accurately disentangles the shading and paper material in a self-supervised manner where only the synthetic texture is used as a weak training signal (obviating the need for very costly ground truth with disentangled versions of shading and reflectance). The proposed approach leads to significant generalization of document reflectance estimation in real scenes with challenging illumination. We extensively evaluate on the real benchmark datasets available for intrinsic image decomposition and document shadow removal tasks. Our reflectance estimation scheme, when used as a pre-processing step of an OCR pipeline, shows a 21% improvement of character error rate (CER), thus, proving the practical applicability. The data and code will be available at: https://github.com/cvlab-stonybrook/DocIIW.