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: 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The papers are organized into the following topical sections: historical document analysis, document analysis systems, handwriting recognition, scene text detection and recognition, document image processing, natural language processing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: In this thesis, we explore how to estimate the effects of the light interacting with the scene objects from a single image. To achieve this goal, we focus on recovering intrinsic components like reflectance, shading, or light properties such as color and position using deep architectures. The success of these approaches relies on training on large and diversified image datasets. Therefore, we present several contributions on this such as: (a) a data-augmentation technique; (b) a ground-truth for an existing multi-illuminant dataset; (c) a family of synthetic datasets, SID for Surreal Intrinsic Datasets, with diversified backgrounds and coherent light conditions; and (d) a practical pipeline to create hybrid ground-truths to overcome the complexity of acquiring realistic light conditions in a massive way. In parallel with the creation of datasets, we trained different flexible encoder-decoder deep architectures incorporating physical constraints from the image formation models.
In the last part of the thesis, we apply all the previous experience to two different problems. Firstly, we create a large hybrid Doc3DShade dataset with real shading and synthetic reflectance under complex illumination conditions, that is used to train a two-stage architecture that improves the character recognition task in complex lighting conditions of unwrapped documents. Secondly, we tackle the problem of single image scene relighting by extending both, the SID dataset to present stronger shading and shadows effects, and the deep architectures to use intrinsic components to estimate new relit images.

Abstract: Deep convolutional neural networks (CNNs) have achieved superior performance in many visual recognition applications, such as image classification, detection and segmentation. Training deep CNNs requires huge amounts of labeled data, which is expensive and labor intensive to collect. Active learning is a paradigm aimed at reducing the annotation effort by training the model on actively selected
informative and/or representative samples. In this thesis we study several aspects of active learning including video object detection for autonomous driving systems, image classification on balanced and imbalanced datasets and the incorporation of self-supervised learning in active learning. We briefly describe our approach in each of these areas to reduce the labeling effort.
In chapter two we introduce a novel active learning approach for object detection in videos by exploiting temporal coherence. Our criterion is based on the estimated number of errors in terms of false positives and false negatives. Additionally, we introduce a synthetic video dataset, called SYNTHIA-AL, specially designed to evaluate active
learning for video object detection in road scenes. Finally, we show that our
approach outperforms active learning baselines tested on two outdoor datasets.
In the next chapter we address the well-known problem of over confidence in the neural networks. As an alternative to network confidence, we propose a new informativeness-based active learning method that captures the learning dynamics of neural network with a metric called label-dispersion. This metric is low when the network consistently assigns the same label to the sample during the course of training and high when the assigned label changes frequently. We show that label-dispersion is a promising predictor of the uncertainty of the network, and show on two benchmark datasets that an active learning algorithm based on label-dispersion obtains excellent results.
In chapter four, we tackle the problem of sampling bias in active learning methods on imbalanced datasets. Active learning is generally studied on balanced datasets where an equal amount of images per class is available. However, real-world datasets suffer from severe imbalanced classes, the so called longtail distribution. We argue that this further complicates the active learning process, since the imbalanced data pool can result in suboptimal classifiers. To address this problem in the context of active learning, we propose a general optimization framework that explicitly takes class-balancing into account. Results on three datasets show that the method is general (it can be combined with most existing active learning algorithms) and can be effectively applied to boost the performance of both informative and representative-based active learning methods. In addition, we show that also on balanced datasets our method generally results in a performance gain.
Another paradigm to reduce the annotation effort is self-training that learns from a large amount of unlabeled data in an unsupervised way and fine-tunes on few labeled samples. Recent advancements in self-training have achieved very impressive results rivaling supervised learning on some datasets. In the last chapter we focus on whether active learning and self supervised learning can benefit from each other.
We study object recognition datasets with several labeling budgets for the evaluations. Our experiments reveal that self-training is remarkably more efficient than active learning at reducing the labeling effort, that for a low labeling budget, active learning offers no benefit to self-training, and finally that the combination of active learning and self-training is fruitful when the labeling budget is high.

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: Manually annotating images to develop vision models has been a major bottleneck
since computer vision and machine learning started to walk together. This has
been more evident since computer vision falls on the shoulders of data-hungry
deep learning techniques. When addressing on-board perception for autonomous
driving, the curse of data annotation is exacerbated due to the use of additional
sensors such as LiDAR. Therefore, any approach aiming at reducing such a timeconsuming and costly work is of high interest for addressing autonomous driving
and, in fact, for any application requiring some sort of artificial perception. In the
last decade, it has been shown that leveraging from synthetic data is a paradigm
worth to pursue in order to minimizing manual data annotation. The reason is
that the automatic process of generating synthetic data can also produce different
types of associated annotations (e.g. object bounding boxes for synthetic images
and LiDAR pointclouds, pixel/point-wise semantic information, etc.). Directly
using synthetic data for training deep perception models may not be the definitive
solution in all circumstances since it can appear a synth-to-real domain shift. In
this context, this work focuses on leveraging synthetic data to alleviate manual
annotation for three perception tasks related to driving assistance and autonomous
driving. In all cases, we assume the use of deep convolutional neural networks
(CNNs) to develop our perception models.
The first task addresses traffic sign recognition (TSR), a kind of multi-class
classification problem. We assume that the number of sign classes to be recognized
must be suddenly increased without having annotated samples to perform the
corresponding TSR CNN re-training. We show that leveraging synthetic samples of
such new classes and transforming them by a generative adversarial network (GAN)
trained on the known classes (i.e. without using samples from the new classes), it is
possible to re-train the TSR CNN to properly classify all the signs for a ∼ 1/4 ratio of
new/known sign classes. The second task addresses on-board 2D object detection,
focusing on vehicles and pedestrians. In this case, we assume that we receive a set
of images without the annotations required to train an object detector, i.e. without
object bounding boxes. Therefore, our goal is to self-annotate these images so
that they can later be used to train the desired object detector. In order to reach
this goal, we leverage from synthetic data and propose a semi-supervised learning
approach based on the co-training idea. In fact, we use a GAN to reduce the synthto-real domain shift before applying co-training. Our quantitative results show
that co-training and GAN-based image-to-image translation complement each
other up to allow the training of object detectors without manual annotation, and still almost reaching the upper-bound performances of the detectors trained from
human annotations. While in previous tasks we focus on vision-based perception,
the third task we address focuses on LiDAR pointclouds. Our initial goal was to
develop a 3D object detector trained on synthetic LiDAR-style pointclouds. While
for images we may expect synth/real-to-real domain shift due to differences in
their appearance (e.g. when source and target images come from different camera
sensors), we did not expect so for LiDAR pointclouds since these active sensors
factor out appearance and provide sampled shapes. However, in practice, we have
seen that it can be domain shift even among real-world LiDAR pointclouds. Factors
such as the sampling parameters of the LiDARs, the sensor suite configuration onboard the ego-vehicle, and the human annotation of 3D bounding boxes, do induce
a domain shift. We show it through comprehensive experiments with different
publicly available datasets and 3D detectors. This redirected our goal towards the
design of a GAN for pointcloud-to-pointcloud translation, a relatively unexplored
topic.
Finally, it is worth to mention that all the synthetic datasets used for these three
tasks, have been designed and generated in the context of this PhD work and will
be publicly released. Overall, we think this PhD presents several steps forward to
encourage leveraging synthetic data for developing deep perception models in the
field of driving assistance and autonomous driving.

Abstract: The determination of precise skin lesion boundaries in dermoscopic images using automated methods faces many challenges, most importantly, the presence of hair, inconspicuous lesion edges and low contrast in dermoscopic images, and variability in the color, texture and shapes of skin lesions. Existing deep learning-based skin lesion segmentation algorithms are expensive in terms of computational time and memory. Consequently, running such segmentation algorithms requires a powerful GPU and high bandwidth memory, which are not available in dermoscopy devices. Thus, this article aims to achieve precise skin lesion segmentation with minimum resources: a lightweight, efficient generative adversarial network (GAN) model called SLSNet, which combines 1-D kernel factorized networks, position and channel attention, and multiscale aggregation mechanisms with a GAN model. The 1-D kernel factorized network reduces the computational cost of 2D filtering. The position and channel attention modules enhance the discriminative ability between the lesion and non-lesion feature representations in spatial and channel dimensions, respectively. A multiscale block is also used to aggregate the coarse-to-fine features of input skin images and reduce the effect of the artifacts. SLSNet is evaluated on two publicly available datasets: ISBI 2017 and the ISIC 2018. Although SLSNet has only 2.35 million parameters, the experimental results demonstrate that it achieves segmentation results on a par with the state-of-the-art skin lesion segmentation methods with an accuracy of 97.61%, and Dice and Jaccard similarity coefficients of 90.63% and 81.98%, respectively. SLSNet can run at more than 110 frames per second (FPS) in a single GTX1080Ti GPU, which is faster than well-known deep learning-based image segmentation models, such as FCN. Therefore, SLSNet can be used for practical dermoscopic applications.