Daily Papers

Document digitization is vital for preserving historical records, efficient document management, and advancing OCR (Optical Character Recognition) research. Document Layout Analysis (DLA) involves segmenting documents into meaningful units like text boxes, paragraphs, images, and tables. Challenges arise when dealing with diverse layouts, historical documents, and unique scripts like Bengali, hindered by the lack of comprehensive Bengali DLA datasets. We improved the accuracy of the DLA model for Bengali documents by utilizing advanced Mask R-CNN models available in the Detectron2 library. Our evaluation involved three variants: Mask R-CNN R-50, R-101, and X-101, both with and without pretrained weights from PubLayNet, on the BaDLAD dataset, which contains human-annotated Bengali documents in four categories: text boxes, paragraphs, images, and tables. Results show the effectiveness of these models in accurately segmenting Bengali documents. We discuss speed-accuracy tradeoffs and underscore the significance of pretrained weights. Our findings expand the applicability of Mask R-CNN in document layout analysis, efficient document management, and OCR research while suggesting future avenues for fine-tuning and data augmentation.

Knowledge-grounded dialog systems need to incorporate smooth transitions among knowledge selected for generating responses, to ensure that dialog flows naturally. For document-grounded dialog systems, the inter- and intra-document knowledge relations can be used to model such conversational flows. We develop a novel Multi-Document Co-Referential Graph (Coref-MDG) to effectively capture the inter-document relationships based on commonsense and similarity and the intra-document co-referential structures of knowledge segments within the grounding documents. We propose CorefDiffs, a Co-referential and Differential flow management method, to linearize the static Coref-MDG into conversational sequence logic. CorefDiffs performs knowledge selection by accounting for contextual graph structures and the knowledge difference sequences. CorefDiffs significantly outperforms the state-of-the-art by 9.5\%, 7.4\%, and 8.2\% on three public benchmarks. This demonstrates that the effective modeling of co-reference and knowledge difference for dialog flows are critical for transitions in document-grounded conversation

Recent advancements in large language models have significantly improved their context windows, yet challenges in effective long-term memory management remain. We introduce MemTree, an algorithm that leverages a dynamic, tree-structured memory representation to optimize the organization, retrieval, and integration of information, akin to human cognitive schemas. MemTree organizes memory hierarchically, with each node encapsulating aggregated textual content, corresponding semantic embeddings, and varying abstraction levels across the tree's depths. Our algorithm dynamically adapts this memory structure by computing and comparing semantic embeddings of new and existing information to enrich the model's context-awareness. This approach allows MemTree to handle complex reasoning and extended interactions more effectively than traditional memory augmentation methods, which often rely on flat lookup tables. Evaluations on benchmarks for multi-turn dialogue understanding and document question answering show that MemTree significantly enhances performance in scenarios that demand structured memory management.

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.

Large language models (LLMs) are shaping a new user interface (UI) paradigm in writing tools by enabling users to generate text through prompts. This paradigm shifts some creative control from the user to the system, thereby diminishing the user's authorship and autonomy in the writing process. To restore autonomy, we introduce Textfocals, a UI prototype designed to investigate a human-centered approach that emphasizes the user's role in writing. Textfocals supports the writing process by providing LLM-generated summaries, questions, and advice (i.e., LLM views) in a sidebar of a text editor, encouraging reflection and self-driven revision in writing without direct text generation. Textfocals' UI affordances, including contextually adaptive views and scaffolding for prompt selection and customization, offer a novel way to interact with LLMs where users maintain full authorship of their writing. A formative user study with Textfocals showed promising evidence that this approach might help users develop underdeveloped ideas, cater to the rhetorical audience, and clarify their writing. However, the study also showed interaction design challenges related to document navigation and scoping, prompt engineering, and context management. Our work highlights the breadth of the design space of writing support interfaces powered by generative AI that maintain authorship integrity.

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.

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.

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.

The rapid increase in unstructured data across various fields has made multi-document comprehension and summarization a critical task. Traditional approaches often fail to capture relevant context, maintain logical consistency, and extract essential information from lengthy documents. This paper explores the use of Long-context Large Language Models (LLMs) for multi-document summarization, demonstrating their exceptional capacity to grasp extensive connections, provide cohesive summaries, and adapt to various industry domains and integration with enterprise applications/systems. The paper discusses the workflow of multi-document summarization for effectively deploying long-context LLMs, supported by case studies in legal applications, enterprise functions such as HR, finance, and sourcing, as well as in the medical and news domains. These case studies show notable enhancements in both efficiency and accuracy. Technical obstacles, such as dataset diversity, model scalability, and ethical considerations like bias mitigation and factual accuracy, are carefully analyzed. Prospective research avenues are suggested to augment the functionalities and applications of long-context LLMs, establishing them as pivotal tools for transforming information processing across diverse sectors and enterprise applications.

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.

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.

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.

Retrieval-augmented generation (RAG) provides LLMs with relevant documents. Although previous studies noted that retrieving many documents can degrade performance, they did not isolate how the quantity of documents affects performance while controlling for context length. We evaluate various language models on custom datasets derived from a multi-hop QA task. We keep the context length and position of relevant information constant while varying the number of documents, and find that increasing the document count in RAG settings poses significant challenges for LLMs. Additionally, our results indicate that processing multiple documents is a separate challenge from handling long contexts. We also make the datasets and code available: https://github.com/shaharl6000/MoreDocsSameLen .

Business Process Management (BPM) aims to improve organizational activities and their outcomes by managing the underlying processes. To achieve this, it is often necessary to consider information from various sources, including unstructured textual documents. Therefore, researchers have developed several BPM-specific solutions that extract information from textual documents using Natural Language Processing techniques. These solutions are specific to their respective tasks and cannot accomplish multiple process-related problems as a general-purpose instrument. However, in light of the recent emergence of Large Language Models (LLMs) with remarkable reasoning capabilities, such a general-purpose instrument with multiple applications now appears attainable. In this paper, we illustrate how LLMs can accomplish text-related BPM tasks by applying a specific LLM to three exemplary tasks: mining imperative process models from textual descriptions, mining declarative process models from textual descriptions, and assessing the suitability of process tasks from textual descriptions for robotic process automation. We show that, without extensive configuration or prompt engineering, LLMs perform comparably to or better than existing solutions and discuss implications for future BPM research as well as practical usage.

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.

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.

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.

Large language models (LLMs) have demonstrated significant potential in the development of intelligent applications and systems such as LLM-based agents and agent operating systems (AIOS). However, when these applications and systems interact with the underlying file system, the file system still remains the traditional paradigm: reliant on manual navigation through precise commands. This paradigm poses a bottleneck to the usability of these systems as users are required to navigate complex folder hierarchies and remember cryptic file names. To address this limitation, we propose an LLM-based semantic file system ( LSFS ) for prompt-driven file management. Unlike conventional approaches, LSFS incorporates LLMs to enable users or agents to interact with files through natural language prompts, facilitating semantic file management. At the macro-level, we develop a comprehensive API set to achieve semantic file management functionalities, such as semantic file retrieval, file update monitoring and summarization, and semantic file rollback). At the micro-level, we store files by constructing semantic indexes for them, design and implement syscalls of different semantic operations (e.g., CRUD, group by, join) powered by vector database. Our experiments show that LSFS offers significant improvements over traditional file systems in terms of user convenience, the diversity of supported functions, and the accuracy and efficiency of file operations. Additionally, with the integration of LLM, our system enables more intelligent file management tasks, such as content summarization and version comparison, further enhancing its capabilities.

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.

Multi-document (MD) processing is crucial for LLMs to handle real-world tasks such as summarization and question-answering across large sets of documents. While LLMs have improved at processing long inputs, MD contexts still present challenges, such as managing inter-document dependencies, redundancy, and incoherent structures. We introduce MDCure, a scalable and effective fine-tuning pipeline to enhance the MD capabilities of LLMs without the computational cost of pre-training or reliance on human annotated data. MDCure is based on generation of high-quality synthetic MD instruction data from sets of related articles via targeted prompts. We further introduce MDCureRM, a multi-objective reward model which filters generated data based on their training utility for MD settings. With MDCure, we fine-tune a variety of LLMs, from the FlanT5, Qwen2, and LLAMA3.1 model families, up to 70B parameters in size. Extensive evaluations on a wide range of MD and long-context benchmarks spanning various tasks show MDCure consistently improves performance over pre-trained baselines and over corresponding base models by up to 75.5%. Our code, datasets, and models are available at https://github.com/yale-nlp/MDCure.

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 study prompting-based approaches with Large Language Models (LLMs) for modifying documents so as to promote their ranking in a competitive search setting. Our methods are inspired by prior work on leveraging LLMs as rankers. We evaluate our approach by deploying it as a bot in previous ranking competitions and in competitions we organized. Our findings demonstrate that our approach effectively improves document ranking while preserving high levels of faithfulness to the original content and maintaining overall document quality.

Regesta are catalogs of summaries of other documents and, in some cases, are the only source of information about the content of such full-length documents. For this reason, they are of great interest to scholars in many social and humanities fields. In this work, we focus on Regesta Pontificum Romanum, a large collection of papal registers. Regesta are visually rich documents, where the layout is as important as the text content to convey the contained information through the structure, and are inherently multi-page documents. Among Digital Humanities techniques that can help scholars efficiently exploit regesta and other documental sources in the form of scanned documents, Document Parsing has emerged as a task to process document images and convert them into machine-readable structured representations, usually markup language. However, current models focus on scientific and business documents, and most of them consider only single-paged documents. To overcome this limitation, in this work, we propose {\mu}gat, an extension of the recently proposed Document parsing Nougat architecture, which can handle elements spanning over the single page limits. Specifically, we adapt Nougat to process a larger, multi-page context, consisting of the previous and the following page, while parsing the current page. Experimental results, both qualitative and quantitative, demonstrate the effectiveness of our proposed approach also in the case of the challenging Regesta Pontificum Romanorum.

Document summarization is a task to shorten texts into concise and informative summaries. This paper introduces a novel dataset designed for summarizing multiple scientific articles into a section of a survey. Our contributions are: (1) SurveySum, a new dataset addressing the gap in domain-specific summarization tools; (2) two specific pipelines to summarize scientific articles into a section of a survey; and (3) the evaluation of these pipelines using multiple metrics to compare their performance. Our results highlight the importance of high-quality retrieval stages and the impact of different configurations on the quality of generated summaries.

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.

Automatic document summarization aims to produce a concise summary covering the input document's salient information. Within a report document, the salient information can be scattered in the textual and non-textual content. However, existing document summarization datasets and methods usually focus on the text and filter out the non-textual content. Missing tabular data can limit produced summaries' informativeness, especially when summaries require covering quantitative descriptions of critical metrics in tables. Existing datasets and methods cannot meet the requirements of summarizing long text and multiple tables in each report. To deal with the scarcity of available data, we propose FINDSum, the first large-scale dataset for long text and multi-table summarization. Built on 21,125 annual reports from 3,794 companies, it has two subsets for summarizing each company's results of operations and liquidity. To summarize the long text and dozens of tables in each report, we present three types of summarization methods. Besides, we propose a set of evaluation metrics to assess the usage of numerical information in produced summaries. Dataset analyses and experimental results indicate the importance of jointly considering input textual and tabular data when summarizing report documents.

Multi-document summarization (MDS) is a difficult task in Natural Language Processing, aiming to summarize information from several documents. However, the source documents are often insufficient to obtain a qualitative summary. We propose a retriever-guided model combined with non-parametric memory for summary generation. This model retrieves relevant candidates from a database and then generates the summary considering the candidates with a copy mechanism and the source documents. The retriever is implemented with Approximate Nearest Neighbor Search (ANN) to search large databases. Our method is evaluated on the MultiXScience dataset which includes scientific articles. Finally, we discuss our results and possible directions for future work.

Document Question Answering (QA) presents a challenge in understanding visually-rich documents (VRD), particularly those dominated by lengthy textual content like research journal articles. Existing studies primarily focus on real-world documents with sparse text, while challenges persist in comprehending the hierarchical semantic relations among multiple pages to locate multimodal components. To address this gap, we propose PDF-MVQA, which is tailored for research journal articles, encompassing multiple pages and multimodal information retrieval. Unlike traditional machine reading comprehension (MRC) tasks, our approach aims to retrieve entire paragraphs containing answers or visually rich document entities like tables and figures. Our contributions include the introduction of a comprehensive PDF Document VQA dataset, allowing the examination of semantically hierarchical layout structures in text-dominant documents. We also present new VRD-QA frameworks designed to grasp textual contents and relations among document layouts simultaneously, extending page-level understanding to the entire multi-page document. Through this work, we aim to enhance the capabilities of existing vision-and-language models in handling challenges posed by text-dominant documents in VRD-QA.

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.}

Large Language Models (LLMs) have issues with document question answering (QA) in situations where the document is unable to fit in the small context length of an LLM. To overcome this issue, most existing works focus on retrieving the relevant context from the document, representing them as plain text. However, documents such as PDFs, web pages, and presentations are naturally structured with different pages, tables, sections, and so on. Representing such structured documents as plain text is incongruous with the user's mental model of these documents with rich structure. When a system has to query the document for context, this incongruity is brought to the fore, and seemingly trivial questions can trip up the QA system. To bridge this fundamental gap in handling structured documents, we propose an approach called PDFTriage that enables models to retrieve the context based on either structure or content. Our experiments demonstrate the effectiveness of the proposed PDFTriage-augmented models across several classes of questions where existing retrieval-augmented LLMs fail. To facilitate further research on this fundamental problem, we release our benchmark dataset consisting of 900+ human-generated questions over 80 structured documents from 10 different categories of question types for document QA.

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.

Document structure editing involves manipulating localized textual, visual, and layout components in document images based on the user's requests. Past works have shown that multimodal grounding of user requests in the document image and identifying the accurate structural components and their associated attributes remain key challenges for this task. To address these, we introduce the DocEdit-v2, a novel framework that performs end-to-end document editing by leveraging Large Multimodal Models (LMMs). It consists of three novel components: (1) Doc2Command, which simultaneously localizes edit regions of interest (RoI) and disambiguates user edit requests into edit commands; (2) LLM-based Command Reformulation prompting to tailor edit commands originally intended for specialized software into edit instructions suitable for generalist LMMs. (3) Moreover, DocEdit-v2 processes these outputs via Large Multimodal Models like GPT-4V and Gemini, to parse the document layout, execute edits on grounded Region of Interest (RoI), and generate the edited document image. Extensive experiments on the DocEdit dataset show that DocEdit-v2 significantly outperforms strong baselines on edit command generation (2-33%), RoI bounding box detection (12-31%), and overall document editing (1-12\%) tasks.

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 .

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.

Within the past few decades we have witnessed digital revolution, which moved scholarly communication to electronic media and also resulted in a substantial increase in its volume. Nowadays keeping track with the latest scientific achievements poses a major challenge for the researchers. Scientific information overload is a severe problem that slows down scholarly communication and knowledge propagation across the academia. Modern research infrastructures facilitate studying scientific literature by providing intelligent search tools, proposing similar and related documents, visualizing citation and author networks, assessing the quality and impact of the articles, and so on. In order to provide such high quality services the system requires the access not only to the text content of stored documents, but also to their machine-readable metadata. Since in practice good quality metadata is not always available, there is a strong demand for a reliable automatic method of extracting machine-readable metadata directly from source documents. This research addresses these problems by proposing an automatic, accurate and flexible algorithm for extracting wide range of metadata directly from scientific articles in born-digital form. Extracted information includes basic document metadata, structured full text and bibliography section. Designed as a universal solution, proposed algorithm is able to handle a vast variety of publication layouts with high precision and thus is well-suited for analyzing heterogeneous document collections. This was achieved by employing supervised and unsupervised machine-learning algorithms trained on large, diverse datasets. The evaluation we conducted showed good performance of proposed metadata extraction algorithm. The comparison with other similar solutions also proved our algorithm performs better than competition for most metadata types.

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.

To date, most work on text simplification has focused on sentence-level inputs. Early attempts at document simplification merely applied these approaches iteratively over the sentences of a document. However, this fails to coherently preserve the discourse structure, leading to suboptimal output quality. Recently, strategies from controllable simplification have been leveraged to achieve state-of-the-art results on document simplification by first generating a document-level plan (a sequence of sentence-level simplification operations) and using this plan to guide sentence-level simplification downstream. However, this is still limited in that the simplification model has no direct access to the local inter-sentence document context, likely having a negative impact on surface realisation. We explore various systems that use document context within the simplification process itself, either by iterating over larger text units or by extending the system architecture to attend over a high-level representation of document context. In doing so, we achieve state-of-the-art performance on the document simplification task, even when not relying on plan-guidance. Further, we investigate the performance and efficiency tradeoffs of system variants and make suggestions of when each should be preferred.

In this paper, we systematically study the potential of pre-training with Large Language Model(LLM)-based document expansion for dense passage retrieval. Concretely, we leverage the capabilities of LLMs for document expansion, i.e. query generation, and effectively transfer expanded knowledge to retrievers using pre-training strategies tailored for passage retrieval. These strategies include contrastive learning and bottlenecked query generation. Furthermore, we incorporate a curriculum learning strategy to reduce the reliance on LLM inferences. Experimental results demonstrate that pre-training with LLM-based document expansion significantly boosts the retrieval performance on large-scale web-search tasks. Our work shows strong zero-shot and out-of-domain retrieval abilities, making it more widely applicable for retrieval when initializing with no human-labeled data.

Large multimodal models (LMMs) have recently shown great progress in text-rich image understanding, yet they still struggle with complex, multi-page, visually-rich documents. Traditional methods using document parsers for retrieval-augmented generation suffer from performance and efficiency limitations, while directly presenting all pages to LMMs leads to inefficiencies, especially with lengthy documents. In this work, we present a novel framework named LoRA-Contextualizing Adaptation of Large multimodal models (LoCAL), which broadens the capabilities of any LMM to support long-document understanding. We demonstrate that LMMs can effectively serve as multimodal retrievers, fetching relevant pages to answer user questions based on these pages. LoCAL is implemented with two specific LMM adapters: one for evidence page retrieval and another for question answering. Empirical results show state-of-the-art performance on public benchmarks, demonstrating the effectiveness of LoCAL.

Long document summarization systems are critical for domains with lengthy and jargonladen text, yet they present significant challenges to researchers and developers with limited computing resources. Existing solutions mainly focus on efficient attentions or divide-and-conquer strategies. The former reduces theoretical time complexity, but is still memory-heavy. The latter methods sacrifice global context, leading to uninformative and incoherent summaries. This work aims to leverage the memory-efficient nature of divide-and-conquer methods while preserving global context. Concretely, our framework AWESOME uses two novel mechanisms: (1) External memory mechanisms track previously encoded document segments and their corresponding summaries, to enhance global document understanding and summary coherence. (2) Global salient content is further identified beforehand to augment each document segment to support its summarization. Extensive experiments on diverse genres of text, including government reports, transcripts, scientific papers, and novels, show that AWESOME produces summaries with improved informativeness, faithfulness, and coherence than competitive baselines on longer documents, while having a similar or smaller GPU memory footprint.

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.

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.

Most existing multi-document summarization (MDS) datasets lack human-generated and genuine (i.e., not synthetic) summaries or source documents with explicit inter-document relationships that a summary must capture. To enhance the capabilities of MDS systems we present PeerSum, a novel dataset for generating meta-reviews of scientific papers, where the meta-reviews are highly abstractive and genuine summaries of reviews and corresponding discussions. These source documents have rich inter-document relationships of an explicit hierarchical structure with cross-references and often feature conflicts. As there is a scarcity of research that incorporates hierarchical relationships into MDS systems through attention manipulation on pre-trained language models, we additionally present Rammer (Relationship-aware Multi-task Meta-review Generator), a meta-review generation model that uses sparse attention based on the hierarchical relationships and a multi-task objective that predicts several metadata features in addition to the standard text generation objective. Our experimental results show that PeerSum is a challenging dataset, and Rammer outperforms other strong baseline MDS models under various evaluation metrics.

The advent of large language models (LLMs) has showcased their efficacy across various domains, yet they often hallucinate, especially in knowledge-intensive tasks that require external knowledge sources. To improve factual accuracy of language models, retrieval-augmented generation (RAG) has emerged as a popular solution. However, traditional retrieval modules often rely on large-scale document indexes, which can be disconnected from generative tasks. Through generative retrieval (GR) approach, language models can achieve superior retrieval performance by directly generating relevant document identifiers (DocIDs). However, the relationship between GR and downstream tasks, as well as the potential of LLMs in GR, remains unexplored. In this paper, we present a unified language model that utilizes external corpus to handle various knowledge-intensive tasks by seamlessly integrating generative retrieval, closed-book generation, and RAG. In order to achieve effective retrieval and generation through a unified continuous decoding process, we introduce the following mechanisms: (1) a ranking-oriented DocID decoding strategy, which improves ranking ability by directly learning from a DocID ranking list; (2) a continuous generation strategy to facilitate effective and efficient RAG; (3) well-designed auxiliary DocID understanding tasks to enhance the model's comprehension of DocIDs and their relevance to downstream tasks. Our approach is evaluated on the widely used KILT benchmark using two variants of backbone models: an encoder-decoder T5 model and a decoder-only LLM, Llama2. Experimental results showcase the superior performance of our models in both retrieval and downstream knowledge-intensive tasks.

Large Language Models (LLMs) excel in data synthesis but can be inaccurate in domain-specific tasks, which retrieval-augmented generation (RAG) systems address by leveraging user-provided data. However, RAGs require optimization in both retrieval and generation stages, which can affect output quality. In this paper, we present LLM-Ref, a writing assistant tool that aids researchers in writing articles from multiple source documents with enhanced reference synthesis and handling capabilities. Unlike traditional RAG systems that use chunking and indexing, our tool retrieves and generates content directly from text paragraphs. This method facilitates direct reference extraction from the generated outputs, a feature unique to our tool. Additionally, our tool employs iterative response generation, effectively managing lengthy contexts within the language model's constraints. Compared to baseline RAG-based systems, our approach achieves a 3.25times to 6.26times increase in Ragas score, a comprehensive metric that provides a holistic view of a RAG system's ability to produce accurate, relevant, and contextually appropriate responses. This improvement shows our method enhances the accuracy and contextual relevance of writing assistance tools.

The effectiveness of multi-stage text retrieval has been solidly demonstrated since before the era of pre-trained language models. However, most existing studies utilize models that predate recent advances in large language models (LLMs). This study seeks to explore potential improvements that state-of-the-art LLMs can bring. We conduct a comprehensive study, fine-tuning the latest LLaMA model both as a dense retriever (RepLLaMA) and as a pointwise reranker (RankLLaMA) for both passage retrieval and document retrieval using the MS MARCO datasets. Our findings demonstrate that the effectiveness of large language models indeed surpasses that of smaller models. Additionally, since LLMs can inherently handle longer contexts, they can represent entire documents holistically, obviating the need for traditional segmenting and pooling strategies. Furthermore, evaluations on BEIR demonstrate that our RepLLaMA-RankLLaMA pipeline exhibits strong zero-shot effectiveness. Model checkpoints from this study are available on HuggingFace.

The rapid increase in textual information means we need more efficient methods to sift through, organize, and understand it all. While retrieval-augmented generation (RAG) models excel in accessing information from large document collections, they struggle with complex tasks that require aggregation and reasoning over information spanning across multiple documents--what we call holistic reasoning. Long-context language models (LCLMs) have great potential for managing large-scale documents, but their holistic reasoning capabilities remain unclear. In this work, we introduce HoloBench, a novel framework that brings database reasoning operations into text-based contexts, making it easier to systematically evaluate how LCLMs handle holistic reasoning across large documents. Our approach adjusts key factors such as context length, information density, distribution of information, and query complexity to evaluate LCLMs comprehensively. Our experiments show that the amount of information in the context has a bigger influence on LCLM performance than the actual context length. Furthermore, the complexity of queries affects performance more than the amount of information, particularly for different types of queries. Interestingly, queries that involve finding maximum or minimum values are easier for LCLMs and are less affected by context length, even though they pose challenges for RAG systems. However, tasks requiring the aggregation of multiple pieces of information show a noticeable drop in accuracy as context length increases. Additionally, we find that while grouping relevant information generally improves performance, the optimal positioning varies across models. Our findings surface both the advancements and the ongoing challenges in achieving a holistic understanding of long contexts.

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.

An emerging recipe for achieving state-of-the-art effectiveness in neural document re-ranking involves utilizing large pre-trained language models - e.g., BERT - to evaluate all individual passages in the document and then aggregating the outputs by pooling or additional Transformer layers. A major drawback of this approach is high query latency due to the cost of evaluating every passage in the document with BERT. To make matters worse, this high inference cost and latency varies based on the length of the document, with longer documents requiring more time and computation. To address this challenge, we adopt an intra-document cascading strategy, which prunes passages of a candidate document using a less expensive model, called ESM, before running a scoring model that is more expensive and effective, called ETM. We found it best to train ESM (short for Efficient Student Model) via knowledge distillation from the ETM (short for Effective Teacher Model) e.g., BERT. This pruning allows us to only run the ETM model on a smaller set of passages whose size does not vary by document length. Our experiments on the MS MARCO and TREC Deep Learning Track benchmarks suggest that the proposed Intra-Document Cascaded Ranking Model (IDCM) leads to over 400% lower query latency by providing essentially the same effectiveness as the state-of-the-art BERT-based document ranking models.

There is a compelling necessity from enterprises for fine tuning LLMs (Large Language Models) o get them trained on proprietary domain knowledge. The challenge is to imbibe the LLMs with domain specific knowledge using the most optimial resource and cost and in the best possible time. Many enterprises rely on RAG (Retrieval Augmented Generation) which does not need LLMs to be ine-tuned but they are limited by the quality of vector databases and their retrieval capabilities rather than the intrinsic capabilities of the LLMs themselves. In our current work we focus on fine tuning LLaMA, an open source LLM using proprietary documents and code from an enterprise repository and use the fine tuned models to evaluate the quality of responses. As part of this work, we aim to guide beginners on how to start with fine tuning an LLM for documentation and code by making educated guesses on size of GPU required and options that are available for formatting the data. We also propose pre processing recipes for both documentation and code to prepare dataset in different formats. The proposed methods of data preparation for document datasets are forming paragraph chunks, forming question and answer pairs and forming keyword and paragraph chunk pairs. For code dataset we propose forming summary and function pairs. Further, we qualitatively evaluate the results of the models for domain specific queries. Finally, we also propose practical guidelines and recommendations for fine tuning LLMs.

Doc2Query -- the process of expanding the content of a document before indexing using a sequence-to-sequence model -- has emerged as a prominent technique for improving the first-stage retrieval effectiveness of search engines. However, sequence-to-sequence models are known to be prone to "hallucinating" content that is not present in the source text. We argue that Doc2Query is indeed prone to hallucination, which ultimately harms retrieval effectiveness and inflates the index size. In this work, we explore techniques for filtering out these harmful queries prior to indexing. We find that using a relevance model to remove poor-quality queries can improve the retrieval effectiveness of Doc2Query by up to 16%, while simultaneously reducing mean query execution time by 23% and cutting the index size by 33%. We release the code, data, and a live demonstration to facilitate reproduction and further exploration at https://github.com/terrierteam/pyterrier_doc2query.

We propose MultiDoc2Dial, a new task and dataset on modeling goal-oriented dialogues grounded in multiple documents. Most previous works treat document-grounded dialogue modeling as a machine reading comprehension task based on a single given document or passage. In this work, we aim to address more realistic scenarios where a goal-oriented information-seeking conversation involves multiple topics, and hence is grounded on different documents. To facilitate such a task, we introduce a new dataset that contains dialogues grounded in multiple documents from four different domains. We also explore modeling the dialogue-based and document-based context in the dataset. We present strong baseline approaches and various experimental results, aiming to support further research efforts on such a task.

Archives play a crucial role in preserving information and knowledge, and the exponential growth of such data necessitates efficient and automated tools for managing and utilizing archive information resources. Archival applications involve managing massive data that are challenging to process and analyze. Although LLMs have made remarkable progress in diverse domains, there are no publicly available archives tailored LLM. Addressing this gap, we introduce ArcGPT, to our knowledge, the first general-purpose LLM tailored to the archival field. To enhance model performance on real-world archival tasks, ArcGPT has been pre-trained on massive and extensive archival domain data. Alongside ArcGPT, we release AMBLE, a benchmark comprising four real-world archival tasks. Evaluation on AMBLE shows that ArcGPT outperforms existing state-of-the-art models, marking a substantial step forward in effective archival data management. Ultimately, ArcGPT aims to better serve the archival community, aiding archivists in their crucial role of preserving and harnessing our collective information and knowledge.

In recent years, visually-rich document understanding has attracted increasing attention. Transformer-based pre-trained models have become the mainstream approach, yielding significant performance gains in this field. However, the self-attention mechanism's quadratic computational complexity hinders their efficiency and ability to process long documents. In this paper, we present DocMamba, a novel framework based on the state space model. It is designed to reduce computational complexity to linear while preserving global modeling capabilities. To further enhance its effectiveness in document processing, we introduce the Segment-First Bidirectional Scan (SFBS) to capture contiguous semantic information. Experimental results demonstrate that DocMamba achieves new state-of-the-art results on downstream datasets such as FUNSD, CORD, and SORIE, while significantly improving speed and reducing memory usage. Notably, experiments on the HRDoc confirm DocMamba's potential for length extrapolation. The code will be available online.

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.

Recent advancements in the field of natural language processing (NLP) and especially large language models (LLMs) and their numerous applications have brought research attention to design of different document processing tools and enhancements in the process of document archiving, search and retrieval. Domain of official, legal documents is especially interesting due to vast amount of data generated on the daily basis, as well as the significant community of interested practitioners (lawyers, law offices, administrative workers, state institutions and citizens). Providing efficient ways for automation of everyday work involving legal documents is therefore expected to have significant impact in different fields. In this work we present one LLM based solution for Named Entity Recognition (NER) in the case of legal documents written in Serbian language. It leverages on the pre-trained bidirectional encoder representations from transformers (BERT), which had been carefully adapted to the specific task of identifying and classifying specific data points from textual content. Besides novel dataset development for Serbian language (involving public court rulings), presented system design and applied methodology, the paper also discusses achieved performance metrics and their implications for objective assessment of the proposed solution. Performed cross-validation tests on the created manually labeled dataset with mean F_1 score of 0.96 and additional results on the examples of intentionally modified text inputs confirm applicability of the proposed system design and robustness of the developed NER solution.

Summarization is the task of compressing source document(s) into coherent and succinct passages. This is a valuable tool to present users with concise and accurate sketch of the top ranked documents related to their queries. Query-based multi-document summarization (qMDS) addresses this pervasive need, but the research is severely limited due to lack of training and evaluation datasets as existing single-document and multi-document summarization datasets are inadequate in form and scale. We propose a scalable approach called AQuaMuSe to automatically mine qMDS examples from question answering datasets and large document corpora. Our approach is unique in the sense that it can general a dual dataset -- for extractive and abstractive summaries both. We publicly release a specific instance of an AQuaMuSe dataset with 5,519 query-based summaries, each associated with an average of 6 input documents selected from an index of 355M documents from Common Crawl. Extensive evaluation of the dataset along with baseline summarization model experiments are provided.

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.

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.

Retrieval-Augmented Generation (RAG) systems represent a significant advancement over traditional Large Language Models (LLMs). RAG systems enhance their generation ability by incorporating external data retrieved through an Information Retrieval (IR) phase, overcoming the limitations of standard LLMs, which are restricted to their pre-trained knowledge and limited context window. Most research in this area has predominantly concentrated on the generative aspect of LLMs within RAG systems. Our study fills this gap by thoroughly and critically analyzing the influence of IR components on RAG systems. This paper analyzes which characteristics a retriever should possess for an effective RAG's prompt formulation, focusing on the type of documents that should be retrieved. We evaluate various elements, such as the relevance of the documents to the prompt, their position, and the number included in the context. Our findings reveal, among other insights, that including irrelevant documents can unexpectedly enhance performance by more than 30% in accuracy, contradicting our initial assumption of diminished quality. These results underscore the need for developing specialized strategies to integrate retrieval with language generation models, thereby laying the groundwork for future research in this field.

Large Language Models (LLMs) offer numerous applications, the full extent of which is not yet understood. This paper investigates if LLMs can be applied for editing structured and semi-structured documents with minimal effort. Using a qualitative research approach, we conduct two case studies with ChatGPT and thoroughly analyze the results. Our experiments indicate that LLMs can effectively edit structured and semi-structured documents when provided with basic, straightforward prompts. ChatGPT demonstrates a strong ability to recognize and process the structure of annotated documents. This suggests that explicitly structuring tasks and data in prompts might enhance an LLM's ability to understand and solve tasks. Furthermore, the experiments also reveal impressive pattern matching skills in ChatGPT. This observation deserves further investigation, as it may contribute to understanding the processes leading to hallucinations in LLMs.

As scientific research proliferates, researchers face the daunting task of navigating and reading vast amounts of literature. Existing solutions, such as document QA, fail to provide personalized and up-to-date information efficiently. We present Paper Copilot, a self-evolving, efficient LLM system designed to assist researchers, based on thought-retrieval, user profile and high performance optimization. Specifically, Paper Copilot can offer personalized research services, maintaining a real-time updated database. Quantitative evaluation demonstrates that Paper Copilot saves 69.92\% of time after efficient deployment. This paper details the design and implementation of Paper Copilot, highlighting its contributions to personalized academic support and its potential to streamline the research process.

Document retrieval is a core component of question-answering systems, as it enables conditioning answer generation on new and large-scale corpora. While effective, the standard practice of encoding documents into high-dimensional embeddings for similarity search entails large memory and compute footprints, and also makes it hard to inspect the inner workings of the system. In this paper, we propose a tree-based method for organizing and representing reference documents at various granular levels, which offers the flexibility to balance cost and utility, and eases the inspection of the corpus content and retrieval operations. Our method, called ReTreever, jointly learns a routing function per internal node of a binary tree such that query and reference documents are assigned to similar tree branches, hence directly optimizing for retrieval performance. Our evaluations show that ReTreever generally preserves full representation accuracy. Its hierarchical structure further provides strong coarse representations and enhances transparency by indirectly learning meaningful semantic groupings. Among hierarchical retrieval methods, ReTreever achieves the best retrieval accuracy at the lowest latency, proving that this family of techniques can be viable in practical applications.

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.

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

Generative Retrieval (GR), autoregressively decoding relevant document identifiers given a query, has been shown to perform well under the setting of small-scale corpora. By memorizing the document corpus with model parameters, GR implicitly achieves deep interaction between query and document. However, such a memorizing mechanism faces three drawbacks: (1) Poor memory accuracy for fine-grained features of documents; (2) Memory confusion gets worse as the corpus size increases; (3) Huge memory update costs for new documents. To alleviate these problems, we propose the Generative Dense Retrieval (GDR) paradigm. Specifically, GDR first uses the limited memory volume to achieve inter-cluster matching from query to relevant document clusters. Memorizing-free matching mechanism from Dense Retrieval (DR) is then introduced to conduct fine-grained intra-cluster matching from clusters to relevant documents. The coarse-to-fine process maximizes the advantages of GR's deep interaction and DR's scalability. Besides, we design a cluster identifier constructing strategy to facilitate corpus memory and a cluster-adaptive negative sampling strategy to enhance the intra-cluster mapping ability. Empirical results show that GDR obtains an average of 3.0 R@100 improvement on NQ dataset under multiple settings and has better scalability.

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.

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.

Retrieval-augmented generation (RAG) is an effective technique that enables large language models (LLMs) to utilize external knowledge sources for generation. However, current RAG systems are solely based on text, rendering it impossible to utilize vision information like layout and images that play crucial roles in real-world multi-modality documents. In this paper, we introduce VisRAG, which tackles this issue by establishing a vision-language model (VLM)-based RAG pipeline. In this pipeline, instead of first parsing the document to obtain text, the document is directly embedded using a VLM as an image and then retrieved to enhance the generation of a VLM. Compared to traditional text-based RAG, VisRAG maximizes the retention and utilization of the data information in the original documents, eliminating the information loss introduced during the parsing process. We collect both open-source and synthetic data to train the retriever in VisRAG and explore a variety of generation methods. Experiments demonstrate that VisRAG outperforms traditional RAG in both the retrieval and generation stages, achieving a 25--39\% end-to-end performance gain over traditional text-based RAG pipeline. Further analysis reveals that VisRAG is effective in utilizing training data and demonstrates strong generalization capability, positioning it as a promising solution for RAG on multi-modality documents. Our code and data are available at https://github.com/openbmb/visrag .

Meetings are a key component of human collaboration. As increasing numbers of meetings are recorded and transcribed, meeting summaries have become essential to remind those who may or may not have attended the meetings about the key decisions made and the tasks to be completed. However, it is hard to create a single short summary that covers all the content of a long meeting involving multiple people and topics. In order to satisfy the needs of different types of users, we define a new query-based multi-domain meeting summarization task, where models have to select and summarize relevant spans of meetings in response to a query, and we introduce QMSum, a new benchmark for this task. QMSum consists of 1,808 query-summary pairs over 232 meetings in multiple domains. Besides, we investigate a locate-then-summarize method and evaluate a set of strong summarization baselines on the task. Experimental results and manual analysis reveal that QMSum presents significant challenges in long meeting summarization for future research. Dataset is available at https://github.com/Yale-LILY/QMSum.

Query-by-document (QBD) retrieval is an Information Retrieval task in which a seed document acts as the query and the goal is to retrieve related documents -- it is particular common in professional search tasks. In this work we improve the retrieval effectiveness of the BERT re-ranker, proposing an extension to its fine-tuning step to better exploit the context of queries. To this end, we use an additional document-level representation learning objective besides the ranking objective when fine-tuning the BERT re-ranker. Our experiments on two QBD retrieval benchmarks show that the proposed multi-task optimization significantly improves the ranking effectiveness without changing the BERT re-ranker or using additional training samples. In future work, the generalizability of our approach to other retrieval tasks should be further investigated.

The discharge summary is a one of critical documents in the patient journey, encompassing all events experienced during hospitalization, including multiple visits, medications, tests, surgery/procedures, and admissions/discharge. Providing a summary of the patient's progress is crucial, as it significantly influences future care and planning. Consequently, clinicians face the laborious and resource-intensive task of manually collecting, organizing, and combining all the necessary data for a discharge summary. Therefore, we propose "NOTE", which stands for "Notable generation Of patient Text summaries through an Efficient approach based on direct preference optimization". NOTE is based on Medical Information Mart for Intensive Care- III dataset and summarizes a single hospitalization of a patient. Patient events are sequentially combined and used to generate a discharge summary for each hospitalization. In the present circumstances, large language models' application programming interfaces (LLMs' APIs) are widely available, but importing and exporting medical data presents significant challenges due to privacy protection policies in healthcare institutions. Moreover, to ensure optimal performance, it is essential to implement a lightweight model for internal server or program within the hospital. Therefore, we utilized DPO and parameter efficient fine tuning (PEFT) techniques to apply a fine-tuning method that guarantees superior performance. To demonstrate the practical application of the developed NOTE, we provide a webpage-based demonstration software. In the future, we will aim to deploy the software available for actual use by clinicians in hospital. NOTE can be utilized to generate various summaries not only discharge summaries but also throughout a patient's journey, thereby alleviating the labor-intensive workload of clinicians and aiming for increased efficiency.

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.

We investigate pre-training techniques for abstractive multi-document summarization (MDS), which is much less studied than summarizing single documents. Though recent work has demonstrated the effectiveness of highlighting information salience for pre-training strategy design, it struggles to generate abstractive and reflective summaries, which are critical properties for MDS. To this end, we present PELMS, a pre-trained model that uses objectives based on semantic coherence heuristics and faithfulness constraints with un-labeled multi-document inputs, to promote the generation of concise, fluent, and faithful summaries. To support the training of PELMS, we compile MultiPT, a multi-document pre-training corpus containing over 93 million documents to form more than 3 million unlabeled topic-centric document clusters, covering diverse genres such as product reviews, news, and general knowledge. We perform extensive evaluation of PELMS in low-shot settings on a wide range of MDS datasets. Our approach consistently outperforms competitive comparisons with respect to overall informativeness, abstractiveness, coherence, and faithfulness.

Multi-document summarization (MDS) aims to compress the content in large document collections into short summaries and has important applications in story clustering for newsfeeds, presentation of search results, and timeline generation. However, there is a lack of datasets that realistically address such use cases at a scale large enough for training supervised models for this task. This work presents a new dataset for MDS that is large both in the total number of document clusters and in the size of individual clusters. We build this dataset by leveraging the Wikipedia Current Events Portal (WCEP), which provides concise and neutral human-written summaries of news events, with links to external source articles. We also automatically extend these source articles by looking for related articles in the Common Crawl archive. We provide a quantitative analysis of the dataset and empirical results for several state-of-the-art MDS techniques.

A law practitioner has to go through numerous lengthy legal case proceedings for their practices of various categories, such as land dispute, corruption, etc. Hence, it is important to summarize these documents, and ensure that summaries contain phrases with intent matching the category of the case. To the best of our knowledge, there is no evaluation metric that evaluates a summary based on its intent. We propose an automated intent-based summarization metric, which shows a better agreement with human evaluation as compared to other automated metrics like BLEU, ROUGE-L etc. in terms of human satisfaction. We also curate a dataset by annotating intent phrases in legal documents, and show a proof of concept as to how this system can be automated. Additionally, all the code and data to generate reproducible results is available on Github.

LLMs and RAG systems are now capable of handling millions of input tokens or more. However, evaluating the output quality of such systems on long-context tasks remains challenging, as tasks like Needle-in-a-Haystack lack complexity. In this work, we argue that summarization can play a central role in such evaluation. We design a procedure to synthesize Haystacks of documents, ensuring that specific insights repeat across documents. The "Summary of a Haystack" (SummHay) task then requires a system to process the Haystack and generate, given a query, a summary that identifies the relevant insights and precisely cites the source documents. Since we have precise knowledge of what insights should appear in a haystack summary and what documents should be cited, we implement a highly reproducible automatic evaluation that can score summaries on two aspects - Coverage and Citation. We generate Haystacks in two domains (conversation, news), and perform a large-scale evaluation of 10 LLMs and corresponding 50 RAG systems. Our findings indicate that SummHay is an open challenge for current systems, as even systems provided with an Oracle signal of document relevance lag our estimate of human performance (56\%) by 10+ points on a Joint Score. Without a retriever, long-context LLMs like GPT-4o and Claude 3 Opus score below 20% on SummHay. We show SummHay can also be used to study enterprise RAG systems and position bias in long-context models. We hope future systems can equal and surpass human performance on SummHay.

The rise of large language models (LLMs) has transformed the role of information retrieval (IR) systems in the way to humans accessing information. Due to the isolated architecture and the limited interaction, existing IR systems are unable to fully accommodate the shift from directly providing information to humans to indirectly serving large language models. In this paper, we propose Self-Retrieval, an end-to-end, LLM-driven information retrieval architecture that can fully internalize the required abilities of IR systems into a single LLM and deeply leverage the capabilities of LLMs during IR process. Specifically, Self-retrieval internalizes the corpus to retrieve into a LLM via a natural language indexing architecture. Then the entire retrieval process is redefined as a procedure of document generation and self-assessment, which can be end-to-end executed using a single large language model. Experimental results demonstrate that Self-Retrieval not only significantly outperforms previous retrieval approaches by a large margin, but also can significantly boost the performance of LLM-driven downstream applications like retrieval augumented generation.

With the advent of large language models, methods for abstractive summarization have made great strides, creating potential for use in applications to aid knowledge workers processing unwieldy document collections. One such setting is the Civil Rights Litigation Clearinghouse (CRLC) (https://clearinghouse.net),which posts information about large-scale civil rights lawsuits, serving lawyers, scholars, and the general public. Today, summarization in the CRLC requires extensive training of lawyers and law students who spend hours per case understanding multiple relevant documents in order to produce high-quality summaries of key events and outcomes. Motivated by this ongoing real-world summarization effort, we introduce Multi-LexSum, a collection of 9,280 expert-authored summaries drawn from ongoing CRLC writing. Multi-LexSum presents a challenging multi-document summarization task given the length of the source documents, often exceeding two hundred pages per case. Furthermore, Multi-LexSum is distinct from other datasets in its multiple target summaries, each at a different granularity (ranging from one-sentence "extreme" summaries to multi-paragraph narrations of over five hundred words). We present extensive analysis demonstrating that despite the high-quality summaries in the training data (adhering to strict content and style guidelines), state-of-the-art summarization models perform poorly on this task. We release Multi-LexSum for further research in summarization methods as well as to facilitate development of applications to assist in the CRLC's mission at https://multilexsum.github.io.

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.

Multimodal Foundation Models (MMFMs) have shown remarkable performance on various computer vision and natural language processing tasks. However, their performance on particular tasks such as document understanding is still limited. They also require more compute, time, and engineering resources to finetune and deploy compared to traditional, unimodal models. In this report, we present Multimodal Structured Generation, a general framework which constrains the output logits of frozen MMFMs to force them to reason before responding with structured outputs that downstream APIs can parse and use. We provide a detailed account of our approach, including the technical details, theoretical discussions, and final evaluation results in the 2nd Multimodal Foundation Models Challenge hosted by the Computer Vision and Pattern Recognition (CVPR) conference. Our approach achieved the second highest score in the hidden test set for Phase 2 and third highest overall. This shows the method's ability to generalize to unseen tasks. And that simple engineering can beat expensive & complicated modelling steps as we first discussed in our paper, Retrieval Augmented Structured Generation: Business Document Information Extraction as Tool Use. All of our scripts, deployment steps, and evaluation results can be accessed in https://github.com/leloykun/MMFM-Challenge

People read digital documents on a daily basis to share, exchange, and understand information in electronic settings. However, current document readers create a static, isolated reading experience, which does not support users' goals of gaining more knowledge and performing additional tasks through document interaction. In this work, we present our vision for the next-gen document reader that strives to enhance user understanding and create a more connected, trustworthy information experience. We describe 18 NLP-powered features to add to existing document readers and propose a novel plug-in marketplace that allows users to further customize their reading experience, as demonstrated through 3 exploratory UI prototypes available at https://github.com/catherinesyeh/nextgen-prototypes

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.

We present the Benchmark of Information Retrieval (IR) tasks with Complex Objectives (BIRCO). BIRCO evaluates the ability of IR systems to retrieve documents given multi-faceted user objectives. The benchmark's complexity and compact size make it suitable for evaluating large language model (LLM)-based information retrieval systems. We present a modular framework for investigating factors that may influence LLM performance on retrieval tasks, and identify a simple baseline model which matches or outperforms existing approaches and more complex alternatives. No approach achieves satisfactory performance on all benchmark tasks, suggesting that stronger models and new retrieval protocols are necessary to address complex user needs.

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.

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.

Memory-efficient large language models are good at refining text input for better readability. However, controllability is a matter of concern when it comes to text generation tasks with long inputs, such as multi-document summarization. In this work, we investigate for a generic controllable approach for multi-document summarization that leverages the capabilities of LLMs to refine the text. In particular, we train a controllable content extraction scheme to extract the text that will be refined by an LLM. The scheme is designed with a novel coverage and coherence intuitive policy, which is duly rewarded by a passively trained LLM. Our approach yields competitive results in the evaluation using ROUGE metrics and outperforms potential baselines in coherence, as per human evaluation.

We call on the Document AI (DocAI) community to reevaluate current methodologies and embrace the challenge of creating more practically-oriented benchmarks. Document Understanding Dataset and Evaluation (DUDE) seeks to remediate the halted research progress in understanding visually-rich documents (VRDs). We present a new dataset with novelties related to types of questions, answers, and document layouts based on multi-industry, multi-domain, and multi-page VRDs of various origins, and dates. Moreover, we are pushing the boundaries of current methods by creating multi-task and multi-domain evaluation setups that more accurately simulate real-world situations where powerful generalization and adaptation under low-resource settings are desired. DUDE aims to set a new standard as a more practical, long-standing benchmark for the community, and we hope that it will lead to future extensions and contributions that address real-world challenges. Finally, our work illustrates the importance of finding more efficient ways to model language, images, and layout in DocAI.

Remarkable advances in large language models (LLMs) have enabled high-quality text summarization. However, this capability is currently accessible only through LLMs of substantial size or proprietary LLMs with usage fees. In response, smaller-scale LLMs (sLLMs) of easy accessibility and low costs have been extensively studied, yet they often suffer from missing key information and entities, i.e., low relevance, in particular, when input documents are long. We hence propose a key-element-informed instruction tuning for summarization, so-called KEITSum, which identifies key elements in documents and instructs sLLM to generate summaries capturing these key elements. Experimental results on dialogue and news datasets demonstrate that sLLM with KEITSum indeed provides high-quality summarization with higher relevance and less hallucinations, competitive to proprietary LLM.

Understanding visually-rich business documents to extract structured data and automate business workflows has been receiving attention both in academia and industry. Although recent multi-modal language models have achieved impressive results, we find that existing benchmarks do not reflect the complexity of real documents seen in industry. In this work, we identify the desiderata for a more comprehensive benchmark and propose one we call Visually Rich Document Understanding (VRDU). VRDU contains two datasets that represent several challenges: rich schema including diverse data types as well as hierarchical entities, complex templates including tables and multi-column layouts, and diversity of different layouts (templates) within a single document type. We design few-shot and conventional experiment settings along with a carefully designed matching algorithm to evaluate extraction results. We report the performance of strong baselines and offer three observations: (1) generalizing to new document templates is still very challenging, (2) few-shot performance has a lot of headroom, and (3) models struggle with hierarchical fields such as line-items in an invoice. We plan to open source the benchmark and the evaluation toolkit. We hope this helps the community make progress on these challenging tasks in extracting structured data from visually rich documents.

To assess the effectiveness of any medical intervention, researchers must conduct a time-intensive and highly manual literature review. NLP systems can help to automate or assist in parts of this expensive process. In support of this goal, we release MS^2 (Multi-Document Summarization of Medical Studies), a dataset of over 470k documents and 20k summaries derived from the scientific literature. This dataset facilitates the development of systems that can assess and aggregate contradictory evidence across multiple studies, and is the first large-scale, publicly available multi-document summarization dataset in the biomedical domain. We experiment with a summarization system based on BART, with promising early results. We formulate our summarization inputs and targets in both free text and structured forms and modify a recently proposed metric to assess the quality of our system's generated summaries. Data and models are available at https://github.com/allenai/ms2

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.

When completing knowledge-intensive tasks, humans sometimes need not just an answer but also a corresponding reference passage for auxiliary reading. Previous methods required obtaining pre-segmented article chunks through additional retrieval models. This paper explores leveraging the parameterized knowledge stored during the pre-training phase of large language models (LLMs) to independently recall reference passage from any starting position. We propose a two-stage framework that simulates the scenario of humans recalling easily forgotten references. Initially, the LLM is prompted to recall document title identifiers to obtain a coarse-grained document set. Then, based on the acquired coarse-grained document set, it recalls fine-grained passage. In the two-stage recall process, we use constrained decoding to ensure that content outside of the stored documents is not generated. To increase speed, we only recall a short prefix in the second stage, then locate its position to retrieve a complete passage. Experiments on KILT knowledge-sensitive tasks have verified that LLMs can independently recall reference passage location in various task forms, and the obtained reference significantly assist downstream tasks.

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.

In today's fast-paced world, effective presentations have become an essential tool for communication in both online and offline meetings. The crafting of a compelling presentation requires significant time and effort, from gathering key insights to designing slides that convey information clearly and concisely. However, despite the wealth of resources available, people often find themselves manually extracting crucial points, analyzing data, and organizing content in a way that ensures clarity and impact. Furthermore, a successful presentation goes beyond just the slides; it demands rehearsal and the ability to weave a captivating narrative to fully engage the audience. Although there has been some exploration of automating document-to-slide generation, existing research is largely centered on converting research papers. In addition, automation of the delivery of these presentations has yet to be addressed. We introduce PASS, a pipeline used to generate slides from general Word documents, going beyond just research papers, which also automates the oral delivery of the generated slides. PASS analyzes user documents to create a dynamic, engaging presentation with an AI-generated voice. Additionally, we developed an LLM-based evaluation metric to assess our pipeline across three critical dimensions of presentations: relevance, coherence, and redundancy. The data and codes are available at https://github.com/AggarwalTushar/PASS.

Visually Rich Documents (VRDs) are essential in academia, finance, medical fields, and marketing due to their multimodal information content. Traditional methods for extracting information from VRDs depend on expert knowledge and manual labor, making them costly and inefficient. The advent of deep learning has revolutionized this process, introducing models that leverage multimodal information vision, text, and layout along with pretraining tasks to develop comprehensive document representations. These models have achieved state-of-the-art performance across various downstream tasks, significantly enhancing the efficiency and accuracy of information extraction from VRDs. In response to the growing demands and rapid developments in Visually Rich Document Understanding (VRDU), this paper provides a comprehensive review of deep learning-based VRDU frameworks. We systematically survey and analyze existing methods and benchmark datasets, categorizing them based on adopted strategies and downstream tasks. Furthermore, we compare different techniques used in VRDU models, focusing on feature representation and fusion, model architecture, and pretraining methods, while highlighting their strengths, limitations, and appropriate scenarios. Finally, we identify emerging trends and challenges in VRDU, offering insights into future research directions and practical applications. This survey aims to provide a thorough understanding of VRDU advancements, benefiting both academic and industrial sectors.

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.

Data plays a fundamental role in the training of Large Language Models (LLMs). Effective data management, particularly in the formulation of a well-suited training dataset, holds significance for enhancing model performance and improving training efficiency during pretraining and supervised fine-tuning phases. Despite the considerable importance of data management, the current research community still falls short in providing a systematic analysis of the rationale behind management strategy selection, its consequential effects, methodologies for evaluating curated datasets, and the ongoing pursuit of improved strategies. Consequently, the exploration of data management has attracted more and more attention among the research community. This survey provides a comprehensive overview of current research in data management within both the pretraining and supervised fine-tuning stages of LLMs, covering various noteworthy aspects of data management strategy design: data quantity, data quality, domain/task composition, etc. Looking toward the future, we extrapolate existing challenges and outline promising directions for development in this field. Therefore, this survey serves as a guiding resource for practitioners aspiring to construct powerful LLMs through effective data management practices. The collection of the latest papers is available at https://github.com/ZigeW/data_management_LLM.

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.

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.

Retrieval-Augmented Generation (RAG) has been shown to improve knowledge capabilities and alleviate the hallucination problem of LLMs. The Web is a major source of external knowledge used in RAG systems, and many commercial systems such as ChatGPT and Perplexity have used Web search engines as their major retrieval systems. Typically, such RAG systems retrieve search results, download HTML sources of the results, and then extract plain texts from the HTML sources. Plain text documents or chunks are fed into the LLMs to augment the generation. However, much of the structural and semantic information inherent in HTML, such as headings and table structures, is lost during this plain-text-based RAG process. To alleviate this problem, we propose HtmlRAG, which uses HTML instead of plain text as the format of retrieved knowledge in RAG. We believe HTML is better than plain text in modeling knowledge in external documents, and most LLMs possess robust capacities to understand HTML. However, utilizing HTML presents new challenges. HTML contains additional content such as tags, JavaScript, and CSS specifications, which bring extra input tokens and noise to the RAG system. To address this issue, we propose HTML cleaning, compression, and pruning strategies, to shorten the HTML while minimizing the loss of information. Specifically, we design a two-step block-tree-based pruning method that prunes useless HTML blocks and keeps only the relevant part of the HTML. Experiments on six QA datasets confirm the superiority of using HTML in RAG systems.

Document Visual Question Answering (DocVQA) refers to the task of answering questions from document images. Existing work on DocVQA only considers single-page documents. However, in real scenarios documents are mostly composed of multiple pages that should be processed altogether. In this work we extend DocVQA to the multi-page scenario. For that, we first create a new dataset, MP-DocVQA, where questions are posed over multi-page documents instead of single pages. Second, we propose a new hierarchical method, Hi-VT5, based on the T5 architecture, that overcomes the limitations of current methods to process long multi-page documents. The proposed method is based on a hierarchical transformer architecture where the encoder summarizes the most relevant information of every page and then, the decoder takes this summarized information to generate the final answer. Through extensive experimentation, we demonstrate that our method is able, in a single stage, to answer the questions and provide the page that contains the relevant information to find the answer, which can be used as a kind of explainability measure.

In multi-document summarization (MDS), the input is a cluster of documents, and the output is the cluster summary. In this paper, we focus on pretraining objectives for MDS. Specifically, we introduce a simple pretraining objective of choosing the ROUGE-based centroid of each document cluster as a proxy for its summary. Our objective thus does not require human written summaries and can be used for pretraining on a dataset containing only clusters of documents. Through zero-shot and fully supervised experiments on multiple MDS datasets, we show that our model Centrum is better or comparable to a state-of-the-art model. We release our pretrained and finetuned models at https://github.com/ratishsp/centrum.

Recent neural retrieval mainly focuses on ranking short texts and is challenged with long documents. Existing work mainly evaluates either ranking passages or whole documents. However, there are many cases where the users want to find a relevant passage within a long document from a huge corpus, e.g. legal cases, research papers, etc. In this scenario, the passage often provides little document context and thus challenges the current approaches to finding the correct document and returning accurate results. To fill this gap, we propose and name this task Document-Aware Passage Retrieval (DAPR) and build a benchmark including multiple datasets from various domains, covering both DAPR and whole-document retrieval. In experiments, we extend the state-of-the-art neural passage retrievers with document-level context via different approaches including prepending document summary, pooling over passage representations, and hybrid retrieval with BM25. The hybrid-retrieval systems, the overall best, can only improve on the DAPR tasks marginally while significantly improving on the document-retrieval tasks. This motivates further research in developing better retrieval systems for the new task. The code and the data are available at https://github.com/kwang2049/dapr

In recent years, Multimodal Large Language Models (MLLMs) have increasingly emphasized grounding and referring capabilities to achieve detailed understanding and flexible user interaction. However, in the realm of visual document understanding, these capabilities lag behind due to the scarcity of fine-grained datasets and comprehensive benchmarks. To fill this gap, we propose the DOcument Grounding and Eferring data engine (DOGE-Engine), which produces two types of high-quality fine-grained document data: multi-granular parsing data for enhancing fundamental text localization and recognition capabilities; and instruction-tuning data to activate MLLM's grounding and referring capabilities during dialogue and reasoning. Additionally, using our engine, we construct DOGE-Bench, which encompasses 7 grounding and referring tasks across 3 document types (chart, poster, PDF document), providing comprehensive evaluations for fine-grained document understanding. Furthermore, leveraging the data generated by our engine, we develop a strong baseline model, DOGE. This pioneering MLLM is capable of accurately referring and grounding texts at multiple granularities within document images. Our code, data, and model will be open-sourced for community development.

The growing prevalence of visually rich documents, such as webpages and scanned/digital-born documents (images, PDFs, etc.), has led to increased interest in automatic document understanding and information extraction across academia and industry. Although various document modalities, including image, text, layout, and structure, facilitate human information retrieval, the interconnected nature of these modalities presents challenges for neural networks. In this paper, we introduce WebLM, a multimodal pre-training network designed to address the limitations of solely modeling text and structure modalities of HTML in webpages. Instead of processing document images as unified natural images, WebLM integrates the hierarchical structure of document images to enhance the understanding of markup-language-based documents. Additionally, we propose several pre-training tasks to model the interaction among text, structure, and image modalities effectively. Empirical results demonstrate that the pre-trained WebLM significantly surpasses previous state-of-the-art pre-trained models across several webpage understanding tasks. The pre-trained models and code are available at https://github.com/X-LANCE/weblm.

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.

Analyzing unstructured data, such as complex documents, has been a persistent challenge in data processing. Large Language Models (LLMs) have shown promise in this regard, leading to recent proposals for declarative frameworks for LLM-powered unstructured data processing. However, these frameworks focus on reducing cost when executing user-specified operations using LLMs, rather than improving accuracy, executing most operations as-is. This is problematic for complex tasks and data, where LLM outputs for user-defined operations are often inaccurate, even with optimized prompts. We present DocETL, a system that optimizes complex document processing pipelines, while accounting for LLM shortcomings. DocETL offers a declarative interface for users to define such pipelines and uses an agent-based framework to automatically optimize them, leveraging novel agent-based rewrites (that we call {\em rewrite directives}) and an optimization and evaluation framework that we introduce. We introduce {\em (i)} logical rewriting of pipelines, tailored for LLM-based tasks, {\em (ii)} an agent-guided plan evaluation mechanism that synthesizes and orchestrates task-specific validation prompts, and {\em (iii)} an optimization algorithm that efficiently finds promising plans, considering the time constraints of LLM-based plan generation and evaluation. Our evaluation on three different unstructured document analysis tasks demonstrates that DocETL finds plans with outputs that are 1.34 to 4.6times higher quality (e.g., more accurate, comprehensive) than well-engineered baselines, addressing a critical gap in existing declarative frameworks for unstructured data analysis. DocETL is open-source at docetl.org, and as of October 2024, has amassed over 800 GitHub Stars, with users spanning a variety of domains.

Large language models (LLMs) have made significant strides in various natural language processing (NLP) tasks. Recent research shows that the moderately-sized LLMs often outperform their larger counterparts after task-specific fine-tuning. In this work, we delve into the process of adapting LLMs to specialize in document-level machine translation (DocMT) for a specific language pair. Firstly, we explore how prompt strategies affect downstream translation performance. Then, we conduct extensive experiments with two fine-tuning methods, three LLM backbones, and 18 translation tasks across nine language pairs. Our findings indicate that in some cases, these specialized models even surpass GPT-4 in translation performance, while they still significantly suffer from the off-target translation issue in others, even if they are exclusively fine-tuned on bilingual parallel documents. Furthermore, we provide an in-depth analysis of these LLMs tailored for DocMT, exploring aspects such as translation errors, discourse phenomena, training strategy, the scaling law of parallel documents, additional evaluation on recent test sets, and zero-shot crosslingual transfer. Our findings not only shed light on the strengths and limitations of LLM-based DocMT models but also provide a foundation for future research.

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.

The field of vision-language models (VLMs), which take images and texts as inputs and output texts, is rapidly evolving and has yet to reach consensus on several key aspects of the development pipeline, including data, architecture, and training methods. This paper can be seen as a tutorial for building a VLM. We begin by providing a comprehensive overview of the current state-of-the-art approaches, highlighting the strengths and weaknesses of each, addressing the major challenges in the field, and suggesting promising research directions for underexplored areas. We then walk through the practical steps to build Idefics3-8B, a powerful VLM that significantly outperforms its predecessor Idefics2-8B, while being trained efficiently, exclusively on open datasets, and using a straightforward pipeline. These steps include the creation of Docmatix, a dataset for improving document understanding capabilities, which is 240 times larger than previously available datasets. We release the model along with the datasets created for its training.

Retrieval-Augmented Generation (RAG) is essential for integrating external knowledge into Large Language Model (LLM) outputs. While the literature on RAG is growing, it primarily focuses on systematic reviews and comparisons of new state-of-the-art (SoTA) techniques against their predecessors, with a gap in extensive experimental comparisons. This study begins to address this gap by assessing various RAG methods' impacts on retrieval precision and answer similarity. We found that Hypothetical Document Embedding (HyDE) and LLM reranking significantly enhance retrieval precision. However, Maximal Marginal Relevance (MMR) and Cohere rerank did not exhibit notable advantages over a baseline Naive RAG system, and Multi-query approaches underperformed. Sentence Window Retrieval emerged as the most effective for retrieval precision, despite its variable performance on answer similarity. The study confirms the potential of the Document Summary Index as a competent retrieval approach. All resources related to this research are publicly accessible for further investigation through our GitHub repository ARAGOG (https://github.com/predlico/ARAGOG). We welcome the community to further this exploratory study in RAG systems.

We propose Universal Document Processing (UDOP), a foundation Document AI model which unifies text, image, and layout modalities together with varied task formats, including document understanding and generation. UDOP leverages the spatial correlation between textual content and document image to model image, text, and layout modalities with one uniform representation. With a novel Vision-Text-Layout Transformer, UDOP unifies pretraining and multi-domain downstream tasks into a prompt-based sequence generation scheme. UDOP is pretrained on both large-scale unlabeled document corpora using innovative self-supervised objectives and diverse labeled data. UDOP also learns to generate document images from text and layout modalities via masked image reconstruction. To the best of our knowledge, this is the first time in the field of document AI that one model simultaneously achieves high-quality neural document editing and content customization. Our method sets the state-of-the-art on 8 Document AI tasks, e.g., document understanding and QA, across diverse data domains like finance reports, academic papers, and websites. UDOP ranks first on the leaderboard of the Document Understanding Benchmark.

Retrieval-Augmented Generation (RAG) significantly improved the ability of Large Language Models (LLMs) to solve knowledge-intensive tasks. While existing research seeks to enhance RAG performance by retrieving higher-quality documents or designing RAG-specific LLMs, the internal mechanisms within LLMs that contribute to the effectiveness of RAG systems remain underexplored. In this paper, we aim to investigate these internal mechanisms within the popular Mixture-of-Expert (MoE)-based LLMs and demonstrate how to improve RAG by examining expert activations in these LLMs. Our controlled experiments reveal that several core groups of experts are primarily responsible for RAG-related behaviors. The activation of these core experts can signify the model's inclination towards external/internal knowledge and adjust its behavior. For instance, we identify core experts that can (1) indicate the sufficiency of the model's internal knowledge, (2) assess the quality of retrieved documents, and (3) enhance the model's ability to utilize context. Based on these findings, we propose several strategies to enhance RAG's efficiency and effectiveness through expert activation. Experimental results across various datasets and MoE-based LLMs show the effectiveness of our method.

Even for a conservative estimate, 80% of enterprise data reside in unstructured files, stored in data lakes that accommodate heterogeneous formats. Classical search engines can no longer meet information seeking needs, especially when the task is to browse and explore for insight formulation. In other words, there are no obvious search keywords to use. Knowledge graphs, due to their natural visual appeals that reduce the human cognitive load, become the winning candidate for heterogeneous data integration and knowledge representation. In this paper, we introduce Docs2KG, a novel framework designed to extract multimodal information from diverse and heterogeneous unstructured documents, including emails, web pages, PDF files, and Excel files. Dynamically generates a unified knowledge graph that represents the extracted key information, Docs2KG enables efficient querying and exploration of document data lakes. Unlike existing approaches that focus on domain-specific data sources or pre-designed schemas, Docs2KG offers a flexible and extensible solution that can adapt to various document structures and content types. The proposed framework unifies data processing supporting a multitude of downstream tasks with improved domain interpretability. Docs2KG is publicly accessible at https://docs2kg.ai4wa.com, and a demonstration video is available at https://docs2kg.ai4wa.com/Video.

Sifting through vast textual data and summarizing key information imposes a substantial burden on how clinicians allocate their time. Although large language models (LLMs) have shown immense promise in natural language processing (NLP) tasks, their efficacy across diverse clinical summarization tasks has not yet been rigorously examined. In this work, we employ domain adaptation methods on eight LLMs, spanning six datasets and four distinct summarization tasks: radiology reports, patient questions, progress notes, and doctor-patient dialogue. Our thorough quantitative assessment reveals trade-offs between models and adaptation methods in addition to instances where recent advances in LLMs may not lead to improved results. Further, in a clinical reader study with six physicians, we depict that summaries from the best adapted LLM are preferable to human summaries in terms of completeness and correctness. Our ensuing qualitative analysis delineates mutual challenges faced by both LLMs and human experts. Lastly, we correlate traditional quantitative NLP metrics with reader study scores to enhance our understanding of how these metrics align with physician preferences. Our research marks the first evidence of LLMs outperforming human experts in clinical text summarization across multiple tasks. This implies that integrating LLMs into clinical workflows could alleviate documentation burden, empowering clinicians to focus more on personalized patient care and other irreplaceable human aspects of medicine.

Large Language Models (LLM) have shown remarkable language capabilities fueling attempts to integrate them into applications across a wide range of domains. An important application area is question answering over private enterprise documents where the main considerations are data security, which necessitates applications that can be deployed on-prem, limited computational resources and the need for a robust application that correctly responds to queries. Retrieval-Augmented Generation (RAG) has emerged as the most prominent framework for building LLM-based applications. While building a RAG is relatively straightforward, making it robust and a reliable application requires extensive customization and relatively deep knowledge of the application domain. We share our experiences building and deploying an LLM application for question answering over private organizational documents. Our application combines the use of RAG with a finetuned open-source LLM. Additionally, our system, which we call Tree-RAG (T-RAG), uses a tree structure to represent entity hierarchies within the organization. This is used to generate a textual description to augment the context when responding to user queries pertaining to entities within the organization's hierarchy. Our evaluations show that this combination performs better than a simple RAG or finetuning implementation. Finally, we share some lessons learned based on our experiences building an LLM application for real-world use.

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.

Summarization of clinical narratives is a long-standing research problem. Here, we introduce the task of hospital-course summarization. Given the documentation authored throughout a patient's hospitalization, generate a paragraph that tells the story of the patient admission. We construct an English, text-to-text dataset of 109,000 hospitalizations (2M source notes) and their corresponding summary proxy: the clinician-authored "Brief Hospital Course" paragraph written as part of a discharge note. Exploratory analyses reveal that the BHC paragraphs are highly abstractive with some long extracted fragments; are concise yet comprehensive; differ in style and content organization from the source notes; exhibit minimal lexical cohesion; and represent silver-standard references. Our analysis identifies multiple implications for modeling this complex, multi-document summarization task.

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.

Retrieval-Augmented Generation (RAG) is a technique that enhances the capabilities of large language models (LLMs) by incorporating external knowledge sources. This method addresses common LLM limitations, including outdated information and the tendency to produce inaccurate "hallucinated" content. However, the evaluation of RAG systems is challenging, as existing benchmarks are limited in scope and diversity. Most of the current benchmarks predominantly assess question-answering applications, overlooking the broader spectrum of situations where RAG could prove advantageous. Moreover, they only evaluate the performance of the LLM component of the RAG pipeline in the experiments, and neglect the influence of the retrieval component and the external knowledge database. To address these issues, this paper constructs a large-scale and more comprehensive benchmark, and evaluates all the components of RAG systems in various RAG application scenarios. Specifically, we have categorized the range of RAG applications into four distinct types-Create, Read, Update, and Delete (CRUD), each representing a unique use case. "Create" refers to scenarios requiring the generation of original, varied content. "Read" involves responding to intricate questions in knowledge-intensive situations. "Update" focuses on revising and rectifying inaccuracies or inconsistencies in pre-existing texts. "Delete" pertains to the task of summarizing extensive texts into more concise forms. For each of these CRUD categories, we have developed comprehensive datasets to evaluate the performance of RAG systems. We also analyze the effects of various components of the RAG system, such as the retriever, the context length, the knowledge base construction, and the LLM. Finally, we provide useful insights for optimizing the RAG technology for different scenarios.

Document retrieval techniques form the foundation for the development of large-scale information systems. The prevailing methodology is to construct a bi-encoder and compute the semantic similarity. However, such scalar similarity is difficult to reflect enough information and impedes our comprehension of the retrieval results. In addition, this computational process mainly emphasizes the global semantics and ignores the fine-grained semantic relationship between the query and the complex text in the document. In this paper, we propose a new method called Generation Augmented Retrieval (GeAR) that incorporates well-designed fusion and decoding modules. This enables GeAR to generate the relevant text from documents based on the fused representation of the query and the document, thus learning to "focus on" the fine-grained information. Also when used as a retriever, GeAR does not add any computational burden over bi-encoders. To support the training of the new framework, we have introduced a pipeline to efficiently synthesize high-quality data by utilizing large language models. GeAR exhibits competitive retrieval and localization performance across diverse scenarios and datasets. Moreover, the qualitative analysis and the results generated by GeAR provide novel insights into the interpretation of retrieval results. The code, data, and models will be released after completing technical review to facilitate future research.

Despite the significant progress of large language models (LLMs) in various tasks, they often produce factual errors due to their limited internal knowledge. Retrieval-Augmented Generation (RAG), which enhances LLMs with external knowledge sources, offers a promising solution. However, these methods can be misled by irrelevant paragraphs in retrieved documents. Due to the inherent uncertainty in LLM generation, inputting the entire document may introduce off-topic information, causing the model to deviate from the central topic and affecting the relevance of the generated content. To address these issues, we propose the Retrieve-Plan-Generation (RPG) framework. RPG generates plan tokens to guide subsequent generation in the plan stage. In the answer stage, the model selects relevant fine-grained paragraphs based on the plan and uses them for further answer generation. This plan-answer process is repeated iteratively until completion, enhancing generation relevance by focusing on specific topics. To implement this framework efficiently, we utilize a simple but effective multi-task prompt-tuning method, enabling the existing LLMs to handle both planning and answering. We comprehensively compare RPG with baselines across 5 knowledge-intensive generation tasks, demonstrating the effectiveness of our approach.

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.

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.

In recent years, the use of multi-modal pre-trained Transformers has led to significant advancements in visually-rich document understanding. However, existing models have mainly focused on features such as text and vision while neglecting the importance of layout relationship between text nodes. In this paper, we propose GraphLayoutLM, a novel document understanding model that leverages the modeling of layout structure graph to inject document layout knowledge into the model. GraphLayoutLM utilizes a graph reordering algorithm to adjust the text sequence based on the graph structure. Additionally, our model uses a layout-aware multi-head self-attention layer to learn document layout knowledge. The proposed model enables the understanding of the spatial arrangement of text elements, improving document comprehension. We evaluate our model on various benchmarks, including FUNSD, XFUND and CORD, and achieve state-of-the-art results among these datasets. Our experimental results demonstrate that our proposed method provides a significant improvement over existing approaches and showcases the importance of incorporating layout information into document understanding models. We also conduct an ablation study to investigate the contribution of each component of our model. The results show that both the graph reordering algorithm and the layout-aware multi-head self-attention layer play a crucial role in achieving the best performance.

We propose V-Doc, a question-answering tool using document images and PDF, mainly for researchers and general non-deep learning experts looking to generate, process, and understand the document visual question answering tasks. The V-Doc supports generating and using both extractive and abstractive question-answer pairs using documents images. The extractive QA selects a subset of tokens or phrases from the document contents to predict the answers, while the abstractive QA recognises the language in the content and generates the answer based on the trained model. Both aspects are crucial to understanding the documents, especially in an image format. We include a detailed scenario of question generation for the abstractive QA task. V-Doc supports a wide range of datasets and models, and is highly extensible through a declarative, framework-agnostic platform.

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.

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.

Retrieval-augmented generation (RAG) has rapidly advanced the language model field, particularly in question-answering (QA) systems. By integrating external documents during the response generation phase, RAG significantly enhances the accuracy and reliability of language models. This method elevates the quality of responses and reduces the frequency of hallucinations, where the model generates incorrect or misleading information. However, these methods exhibit limited retrieval accuracy when faced with numerous indistinguishable documents, presenting notable challenges in their practical application. In response to these emerging challenges, we present HiQA, an advanced multi-document question-answering (MDQA) framework that integrates cascading metadata into content and a multi-route retrieval mechanism. We also release a benchmark called MasQA to evaluate and research in MDQA. Finally, HiQA demonstrates the state-of-the-art performance in multi-document environments.

The integration of multi-document pre-training objectives into language models has resulted in remarkable improvements in multi-document downstream tasks. In this work, we propose extending this idea by pre-training a generic multi-document model from a novel cross-document question answering pre-training objective. To that end, given a set (or cluster) of topically-related documents, we systematically generate semantically-oriented questions from a salient sentence in one document and challenge the model, during pre-training, to answer these questions while "peeking" into other topically-related documents. In a similar manner, the model is also challenged to recover the sentence from which the question was generated, again while leveraging cross-document information. This novel multi-document QA formulation directs the model to better recover cross-text informational relations, and introduces a natural augmentation that artificially increases the pre-training data. Further, unlike prior multi-document models that focus on either classification or summarization tasks, our pre-training objective formulation enables the model to perform tasks that involve both short text generation (e.g., QA) and long text generation (e.g., summarization). Following this scheme, we pre-train our model -- termed QAmden -- and evaluate its performance across several multi-document tasks, including multi-document QA, summarization, and query-focused summarization, yielding improvements of up to 7%, and significantly outperforms zero-shot GPT-3.5 and GPT-4.

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.

Text-rich document understanding (TDU) refers to analyzing and comprehending documents containing substantial textual content. With the rapid evolution of large language models (LLMs), they have been widely leveraged for TDU due to their remarkable versatility and generalization. In this paper, we introduce DocLayLLM, an efficient and effective multi-modal extension of LLMs specifically designed for TDU. By integrating visual patch tokens and 2D positional tokens into LLMs and encoding the document content using the LLMs themselves, we fully take advantage of the document comprehension capability of LLMs and enhance their perception of OCR information. We have also deeply considered the role of the chain-of-thought (CoT) and innovatively proposed the techniques of CoT Pre-training and CoT Annealing. Our DocLayLLM can achieve remarkable performances with lightweight training settings, showcasing its efficiency and effectiveness. Experimental results demonstrate that our DocLayLLM surpasses existing OCR-dependent methods and also outperforms OCR-free competitors.

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.

As the number of recorded meetings increases, it becomes increasingly important to utilize summarization technology to create useful summaries of these recordings. However, there is a crucial lack of annotated meeting corpora for developing this technology, as it can be hard to collect meetings, especially when the topics discussed are confidential. Furthermore, meeting summaries written by experienced writers are scarce, making it hard for abstractive summarizers to produce sensible output without a reliable reference. This lack of annotated corpora has hindered the development of meeting summarization technology. In this paper, we present MeetingBank, a new benchmark dataset of city council meetings over the past decade. MeetingBank is unique among other meeting corpora due to its divide-and-conquer approach, which involves dividing professionally written meeting minutes into shorter passages and aligning them with specific segments of the meeting. This breaks down the process of summarizing a lengthy meeting into smaller, more manageable tasks. The dataset provides a new testbed of various meeting summarization systems and also allows the public to gain insight into how council decisions are made. We make the collection, including meeting video links, transcripts, reference summaries, agenda, and other metadata, publicly available to facilitate the development of better meeting summarization techniques. Our dataset can be accessed at: https://meetingbank.github.io

Abstractive summarization has made tremendous progress in recent years. In this work, we perform fine-grained human annotations to evaluate long document abstractive summarization systems (i.e., models and metrics) with the aim of implementing them to generate reliable summaries. For long document abstractive models, we show that the constant strive for state-of-the-art ROUGE results can lead us to generate more relevant summaries but not factual ones. For long document evaluation metrics, human evaluation results show that ROUGE remains the best at evaluating the relevancy of a summary. It also reveals important limitations of factuality metrics in detecting different types of factual errors and the reasons behind the effectiveness of BARTScore. We then suggest promising directions in the endeavor of developing factual consistency metrics. Finally, we release our annotated long document dataset with the hope that it can contribute to the development of metrics across a broader range of summarization settings.

Document clustering is a text mining technique used to provide better document search and browsing in digital libraries or online corpora. A lot of research has been done on biomedical document clustering that is based on using existing ontology. But, associations and co-occurrences of the medical concepts are not well represented by using ontology. In this research, a vector representation of concepts of diseases and similarity measurement between concepts are proposed. They identify the closest concepts of diseases in the context of a corpus. Each document is represented by using the vector space model. A weight scheme is proposed to consider both local content and associations between concepts. A Self-Organizing Map is used as document clustering algorithm. The vector projection and visualization features of SOM enable visualization and analysis of the clusters distributions and relationships on the two dimensional space. The experimental results show that the proposed document clustering framework generates meaningful clusters and facilitate visualization of the clusters based on the concepts of diseases.

Expository documents are vital resources for conveying complex information to readers. Despite their usefulness, writing expository text by hand is a challenging process that requires careful content planning, obtaining facts from multiple sources, and the ability to clearly synthesize these facts. To ease these burdens, we propose the task of expository text generation, which seeks to automatically generate an accurate and stylistically consistent expository text for a topic by intelligently searching a knowledge source. We solve our task by developing IRP, a framework that overcomes the limitations of retrieval-augmented models and iteratively performs content planning, fact retrieval, and rephrasing. Through experiments on three diverse, newly-collected datasets, we show that IRP produces factual and organized expository texts that accurately inform readers.

Dealing with long and highly complex technical text is a challenge for Large Language Models (LLMs), which still have to unfold their potential in supporting expensive and timeintensive processes like patent drafting. Within patents, the description constitutes more than 90% of the document on average. Yet, its automatic generation remains understudied. When drafting patent applications, patent attorneys typically receive invention reports (IRs), which are usually confidential, hindering research on LLM-supported patent drafting. Often, prepublication research papers serve as IRs. We leverage this duality to build PAP2PAT, an open and realistic benchmark for patent drafting consisting of 1.8k patent-paper pairs describing the same inventions. To address the complex longdocument patent generation task, we propose chunk-based outline-guided generation using the research paper as invention specification. Our extensive evaluation using PAP2PAT and a human case study show that LLMs can effectively leverage information from the paper, but still struggle to provide the necessary level of detail. Fine-tuning leads to more patent-style language, but also to more hallucination. We release our data and code https://github.com/boschresearch/Pap2Pat.

The use of Retrieval-Augmented Generation (RAG) has improved Large Language Models (LLMs) in collaborating with external data, yet significant challenges exist in real-world scenarios. In areas such as academic literature and finance question answering, data are often found in raw text and tables in HTML or PDF formats, which can be lengthy and highly unstructured. In this paper, we introduce a benchmark suite, namely Unstructured Document Analysis (UDA), that involves 2,965 real-world documents and 29,590 expert-annotated Q&A pairs. We revisit popular LLM- and RAG-based solutions for document analysis and evaluate the design choices and answer qualities across multiple document domains and diverse query types. Our evaluation yields interesting findings and highlights the importance of data parsing and retrieval. We hope our benchmark can shed light and better serve real-world document analysis applications. The benchmark suite and code can be found at https://github.com/qinchuanhui/UDA-Benchmark.

The retrieval-augmented generation (RAG) enables retrieval of relevant information from an external knowledge source and allows large language models (LLMs) to answer queries over previously unseen document collections. However, it was demonstrated that traditional RAG applications perform poorly in answering multi-hop questions, which require retrieving and reasoning over multiple elements of supporting evidence. We introduce a new method called Multi-Meta-RAG, which uses database filtering with LLM-extracted metadata to improve the RAG selection of the relevant documents from various sources, relevant to the question. While database filtering is specific to a set of questions from a particular domain and format, we found out that Multi-Meta-RAG greatly improves the results on the MultiHop-RAG benchmark. The code is available at https://github.com/mxpoliakov/Multi-Meta-RAG.

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.

Text summarization aims at compressing long documents into a shorter form that conveys the most important parts of the original document. Despite increased interest in the community and notable research effort, progress on benchmark datasets has stagnated. We critically evaluate key ingredients of the current research setup: datasets, evaluation metrics, and models, and highlight three primary shortcomings: 1) automatically collected datasets leave the task underconstrained and may contain noise detrimental to training and evaluation, 2) current evaluation protocol is weakly correlated with human judgment and does not account for important characteristics such as factual correctness, 3) models overfit to layout biases of current datasets and offer limited diversity in their outputs.

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.

Providing access to information across languages has been a goal of Information Retrieval (IR) for decades. While progress has been made on Cross Language IR (CLIR) where queries are expressed in one language and documents in another, the multilingual (MLIR) task to create a single ranked list of documents across many languages is considerably more challenging. This paper investigates whether advances in neural document translation and pretrained multilingual neural language models enable improvements in the state of the art over earlier MLIR techniques. The results show that although combining neural document translation with neural ranking yields the best Mean Average Precision (MAP), 98% of that MAP score can be achieved with an 84% reduction in indexing time by using a pretrained XLM-R multilingual language model to index documents in their native language, and that 2% difference in effectiveness is not statistically significant. Key to achieving these results for MLIR is to fine-tune XLM-R using mixed-language batches from neural translations of MS MARCO passages.

Large language models (LMs) are currently trained to predict tokens given document prefixes, enabling them to directly perform long-form generation and prompting-style tasks which can be reduced to document completion. Existing pretraining pipelines train LMs by concatenating random sets of short documents to create input contexts but the prior documents provide no signal for predicting the next document. We instead present In-Context Pretraining, a new approach where language models are pretrained on a sequence of related documents, thereby explicitly encouraging them to read and reason across document boundaries. We can do In-Context Pretraining by simply changing the document ordering so that each context contains related documents, and directly applying existing pretraining pipelines. However, this document sorting problem is challenging. There are billions of documents and we would like the sort to maximize contextual similarity for every document without repeating any data. To do this, we introduce approximate algorithms for finding related documents with efficient nearest neighbor search and constructing coherent input contexts with a graph traversal algorithm. Our experiments show In-Context Pretraining offers a simple and scalable approach to significantly enhance LMs'performance: we see notable improvements in tasks that require more complex contextual reasoning, including in-context learning (+8%), reading comprehension (+15%), faithfulness to previous contexts (+16%), long-context reasoning (+5%), and retrieval augmentation (+9%).

Did you try out the new Bing Search? Or maybe you fiddled around with Google AI~Overviews? These might sound familiar because the modern-day search stack has recently evolved to include retrieval-augmented generation (RAG) systems. They allow searching and incorporating real-time data into large language models (LLMs) to provide a well-informed, attributed, concise summary in contrast to the traditional search paradigm that relies on displaying a ranked list of documents. Therefore, given these recent advancements, it is crucial to have an arena to build, test, visualize, and systematically evaluate RAG-based search systems. With this in mind, we propose the TREC 2024 RAG Track to foster innovation in evaluating RAG systems. In our work, we lay out the steps we've made towards making this track a reality -- we describe the details of our reusable framework, Ragnar\"ok, explain the curation of the new MS MARCO V2.1 collection choice, release the development topics for the track, and standardize the I/O definitions which assist the end user. Next, using Ragnar\"ok, we identify and provide key industrial baselines such as OpenAI's GPT-4o or Cohere's Command R+. Further, we introduce a web-based user interface for an interactive arena allowing benchmarking pairwise RAG systems by crowdsourcing. We open-source our Ragnar\"ok framework and baselines to achieve a unified standard for future RAG systems.

A key component of fact verification is thevevidence retrieval, often from multiple documents. Recent approaches use dense representations and condition the retrieval of each document on the previously retrieved ones. The latter step is performed over all the documents in the collection, requiring storing their dense representations in an index, thus incurring a high memory footprint. An alternative paradigm is retrieve-and-rerank, where documents are retrieved using methods such as BM25, their sentences are reranked, and further documents are retrieved conditioned on these sentences, reducing the memory requirements. However, such approaches can be brittle as they rely on heuristics and assume hyperlinks between documents. We propose a novel retrieve-and-rerank method for multi-hop retrieval, that consists of a retriever that jointly scores documents in the knowledge source and sentences from previously retrieved documents using an autoregressive formulation and is guided by a proof system based on natural logic that dynamically terminates the retrieval process if the evidence is deemed sufficient. This method is competitive with current state-of-the-art methods on FEVER, HoVer and FEVEROUS-S, while using 5 to 10 times less memory than competing systems. Evaluation on an adversarial dataset indicates improved stability of our approach compared to commonly deployed threshold-based methods. Finally, the proof system helps humans predict model decisions correctly more often than using the evidence alone.

Large Vision-Language Models (LVLMs) have achieved remarkable performance in many vision-language tasks, yet their capabilities in fine-grained visual understanding remain insufficiently evaluated. Existing benchmarks either contain limited fine-grained evaluation samples that are mixed with other data, or are confined to object-level assessments in natural images. To holistically assess LVLMs' fine-grained visual understanding capabilities, we propose using document images with multi-granularity and multi-modal information to supplement natural images. In this light, we construct MMDocBench, a benchmark with various OCR-free document understanding tasks for the evaluation of fine-grained visual perception and reasoning abilities. MMDocBench defines 15 main tasks with 4,338 QA pairs and 11,353 supporting regions, covering various document images such as research papers, receipts, financial reports, Wikipedia tables, charts, and infographics. Based on MMDocBench, we conduct extensive experiments using 13 open-source and 3 proprietary advanced LVLMs, assessing their strengths and weaknesses across different tasks and document image types. The benchmark, task instructions, and evaluation code will be made publicly available.

In recent years, large language models (LLMs) have made remarkable achievements in various domains. However, the untimeliness and cost of knowledge updates coupled with hallucination issues of LLMs have curtailed their applications in knowledge intensive tasks, where retrieval augmented generation (RAG) can be of help. Nevertheless, existing retrieval augmented models typically use similarity as a bridge between queries and documents and follow a retrieve then read procedure. In this work, we argue that similarity is not always the panacea and totally relying on similarity would sometimes degrade the performance of retrieval augmented generation. To this end, we propose MetRag, a Multi layEred Thoughts enhanced Retrieval Augmented Generation framework. To begin with, beyond existing similarity oriented thought, we embrace a small scale utility model that draws supervision from an LLM for utility oriented thought and further come up with a smarter model by comprehensively combining the similarity and utility oriented thoughts. Furthermore, given the fact that the retrieved document set tends to be huge and using them in isolation makes it difficult to capture the commonalities and characteristics among them, we propose to make an LLM as a task adaptive summarizer to endow retrieval augmented generation with compactness-oriented thought. Finally, with multi layered thoughts from the precedent stages, an LLM is called for knowledge augmented generation. Extensive experiments on knowledge-intensive tasks have demonstrated the superiority of MetRag.

Transformer-based Language Models are widely used in Natural Language Processing related tasks. Thanks to their pre-training, they have been successfully adapted to Information Extraction in business documents. However, most pre-training tasks proposed in the literature for business documents are too generic and not sufficient to learn more complex structures. In this paper, we use LayoutLM, a language model pre-trained on a collection of business documents, and introduce two new pre-training tasks that further improve its capacity to extract relevant information. The first is aimed at better understanding the complex layout of documents, and the second focuses on numeric values and their order of magnitude. These tasks force the model to learn better-contextualized representations of the scanned documents. We further introduce a new post-processing algorithm to decode BIESO tags in Information Extraction that performs better with complex entities. Our method significantly improves extraction performance on both public (from 93.88 to 95.50 F1 score) and private (from 84.35 to 84.84 F1 score) datasets composed of expense receipts, invoices, and purchase orders.

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.

Despite the strong research interest in document-level Machine Translation (MT), the test sets dedicated to this task are still scarce. The existing test sets mainly cover topics from the general domain and fall short on specialised domains, such as legal and financial. Also, in spite of their document-level aspect, they still follow a sentence-level logic that does not allow for including certain linguistic phenomena such as information reorganisation. In this work, we aim to fill this gap by proposing a novel test set: DOLFIN. The dataset is built from specialised financial documents, and it makes a step towards true document-level MT by abandoning the paradigm of perfectly aligned sentences, presenting data in units of sections rather than sentences. The test set consists of an average of 1950 aligned sections for five language pairs. We present a detailed data collection pipeline that can serve as inspiration for aligning new document-level datasets. We demonstrate the usefulness and quality of this test set by evaluating a number of models. Our results show that the test set is able to discriminate between context-sensitive and context-agnostic models and shows the weaknesses when models fail to accurately translate financial texts. The test set is made public for the community.

Query expansion aims to mitigate the mismatch between the language used in a query and in a document. However, query expansion methods can suffer from introducing non-relevant information when expanding the query. To bridge this gap, inspired by recent advances in applying contextualized models like BERT to the document retrieval task, this paper proposes a novel query expansion model that leverages the strength of the BERT model to select relevant document chunks for expansion. In evaluation on the standard TREC Robust04 and GOV2 test collections, the proposed BERT-QE model significantly outperforms BERT-Large models.

Keyword extraction is the process of identifying the words or phrases that express the main concepts of text to the best of one's ability. Electronic infrastructure creates a considerable amount of text every day and at all times. This massive volume of documents makes it practically impossible for human resources to study and manage them. Nevertheless, the need for these documents to be accessed efficiently and effectively is evident in numerous purposes. A blog, news article, or technical note is considered a relatively long text since the reader aims to learn the subject based on keywords or topics. Our approach consists of a combination of two models: graph centrality features and textural features. The proposed method has been used to extract the best keyword among the candidate keywords with an optimal combination of graph centralities, such as degree, betweenness, eigenvector, closeness centrality and etc, and textural, such as Casing, Term position, Term frequency normalization, Term different sentence, Part Of Speech tagging. There have also been attempts to distinguish keywords from candidate phrases and consider them on separate keywords. For evaluating the proposed method, seven datasets were used: Semeval2010, SemEval2017, Inspec, fao30, Thesis100, pak2018, and Wikinews, with results reported as Precision, Recall, and F- measure. Our proposed method performed much better in terms of evaluation metrics in all reviewed datasets compared with available methods in literature. An approximate 16.9% increase was witnessed in F-score metric and this was much more for the Inspec in English datasets and WikiNews in forgone languages.

Large language models often encounter challenges with static knowledge and hallucinations, which undermine their reliability. Retrieval-augmented generation (RAG) mitigates these issues by incorporating external information. However, user queries frequently contain noise and intent deviations, necessitating query rewriting to improve the relevance of retrieved documents. In this paper, we introduce DMQR-RAG, a Diverse Multi-Query Rewriting framework designed to improve the performance of both document retrieval and final responses in RAG. Specifically, we investigate how queries with varying information quantities can retrieve a diverse array of documents, presenting four rewriting strategies that operate at different levels of information to enhance the performance of baseline approaches. Additionally, we propose an adaptive strategy selection method that minimizes the number of rewrites while optimizing overall performance. Our methods have been rigorously validated through extensive experiments conducted in both academic and industry settings.

Generative retrieval has recently emerged as a new alternative of traditional information retrieval approaches. However, existing generative retrieval methods directly decode docid when a query is given, making it impossible to provide users with explanations as an answer for "Why this document is retrieved?". To address this limitation, we propose Hierarchical Category Path-Enhanced Generative Retrieval(HyPE), which enhances explainability by generating hierarchical category paths step-by-step before decoding docid. HyPE leverages hierarchical category paths as explanation, progressing from broad to specific semantic categories. This approach enables diverse explanations for the same document depending on the query by using shared category paths between the query and the document, and provides reasonable explanation by reflecting the document's semantic structure through a coarse-to-fine manner. HyPE constructs category paths with external high-quality semantic hierarchy, leverages LLM to select appropriate candidate paths for each document, and optimizes the generative retrieval model with path-augmented dataset. During inference, HyPE utilizes path-aware reranking strategy to aggregate diverse topic information, allowing the most relevant documents to be prioritized in the final ranked list of docids. Our extensive experiments demonstrate that HyPE not only offers a high level of explainability but also improves the retrieval performance in the document retrieval task.

Large Language Models (LLMs) are limited by their parametric knowledge, leading to hallucinations in knowledge-extensive tasks. To address this, Retrieval-Augmented Generation (RAG) incorporates external document chunks to expand LLM knowledge. Furthermore, compressing information from document chunks through extraction or summarization can improve LLM performance. Nonetheless, LLMs still struggle to notice and utilize scattered key information, a problem known as the "lost-in-the-middle" syndrome. Therefore, we typically need to restructure the content for LLM to recognize the key information. We propose Refiner, an end-to-end extract-and-restructure paradigm that operates in the post-retrieval process of RAG. Refiner leverages a single decoder-only LLM to adaptively extract query-relevant contents verbatim along with the necessary context, and section them based on their interconnectedness, thereby highlights information distinction, and aligns downstream LLMs with the original context effectively. Experiments show that a trained Refiner (with 7B parameters) exhibits significant gain to downstream LLM in improving answer accuracy, and outperforms other state-of-the-art advanced RAG and concurrent compressing approaches in various single-hop and multi-hop QA tasks. Notably, Refiner achieves a 80.5% tokens reduction and a 1.6-7.0% improvement margin in multi-hop tasks compared to the next best solution. Refiner is a plug-and-play solution that can be seamlessly integrated with RAG systems, facilitating its application across diverse open-source frameworks.

Retrieval Augmented Generation (RAG) is a technique used to augment Large Language Models (LLMs) with contextually relevant, time-critical, or domain-specific information without altering the underlying model parameters. However, constructing RAG systems that can effectively synthesize information from large and diverse set of documents remains a significant challenge. We introduce a novel data-centric RAG workflow for LLMs, transforming the traditional retrieve-then-read system into a more advanced prepare-then-rewrite-then-retrieve-then-read framework, to achieve higher domain expert-level understanding of the knowledge base. Our methodology relies on generating metadata and synthetic Questions and Answers (QA) for each document, as well as introducing the new concept of Meta Knowledge Summary (MK Summary) for metadata-based clusters of documents. The proposed innovations enable personalized user-query augmentation and in-depth information retrieval across the knowledge base. Our research makes two significant contributions: using LLMs as evaluators and employing new comparative performance metrics, we demonstrate that (1) using augmented queries with synthetic question matching significantly outperforms traditional RAG pipelines that rely on document chunking (p < 0.01), and (2) meta knowledge-augmented queries additionally significantly improve retrieval precision and recall, as well as the final answers breadth, depth, relevancy, and specificity. Our methodology is cost-effective, costing less than $20 per 2000 research papers using Claude 3 Haiku, and can be adapted with any fine-tuning of either the language or embedding models to further enhance the performance of end-to-end RAG pipelines.

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

Large Language Models (LLMs) have demonstrated impressive capabilities in answering questions, but they lack domain-specific knowledge and are prone to hallucinations. Retrieval Augmented Generation (RAG) is one approach to address these challenges, while multimodal models are emerging as promising AI assistants for processing both text and images. In this paper we describe a series of experiments aimed at determining how to best integrate multimodal models into RAG systems for the industrial domain. The purpose of the experiments is to determine whether including images alongside text from documents within the industrial domain increases RAG performance and to find the optimal configuration for such a multimodal RAG system. Our experiments include two approaches for image processing and retrieval, as well as two LLMs (GPT4-Vision and LLaVA) for answer synthesis. These image processing strategies involve the use of multimodal embeddings and the generation of textual summaries from images. We evaluate our experiments with an LLM-as-a-Judge approach. Our results reveal that multimodal RAG can outperform single-modality RAG settings, although image retrieval poses a greater challenge than text retrieval. Additionally, leveraging textual summaries from images presents a more promising approach compared to the use of multimodal embeddings, providing more opportunities for future advancements.

As Large Language Models (LLMs) increasingly address domain-specific problems, their application in the financial sector has expanded rapidly. Tasks that are both highly valuable and time-consuming, such as analyzing financial statements, disclosures, and related documents, are now being effectively tackled using LLMs. This paper details the development of a high-performance, finance-specific Retrieval-Augmented Generation (RAG) system for the ACM-ICAIF '24 FinanceRAG competition. We optimized performance through ablation studies on query expansion and corpus refinement during the pre-retrieval phase. To enhance retrieval accuracy, we employed multiple reranker models. Notably, we introduced an efficient method for managing long context sizes during the generation phase, significantly improving response quality without sacrificing performance. We ultimately achieve 2nd place in the FinanceRAG Challenge. Our key contributions include: (1) pre-retrieval ablation analysis, (2) an enhanced retrieval algorithm, and (3) a novel approach for long-context management. This work demonstrates the potential of LLMs in effectively processing and analyzing complex financial data to generate accurate and valuable insights. The source code and further details are available at https://github.com/cv-lee/FinanceRAG.

In this work, we introduce Multiple Embedding Model for EHR (MEME), an approach that views Electronic Health Records (EHR) as multimodal data. This approach incorporates "pseudo-notes", textual representations of tabular EHR concepts such as diagnoses and medications, and allows us to effectively employ Large Language Models (LLMs) for EHR representation. This framework also adopts a multimodal approach, embedding each EHR modality separately. We demonstrate the effectiveness of MEME by applying it to several tasks within the Emergency Department across multiple hospital systems. Our findings show that MEME surpasses the performance of both single modality embedding methods and traditional machine learning approaches. However, we also observe notable limitations in generalizability across hospital institutions for all tested models.

The proposed research aims to develop an innovative semantic query processing system that enables users to obtain comprehensive information about research works produced by Computer Science (CS) researchers at the Australian National University (ANU). The system integrates Large Language Models (LLMs) with the ANU Scholarly Knowledge Graph (ASKG), a structured repository of all research-related artifacts produced at ANU in the CS field. Each artifact and its parts are represented as textual nodes stored in a Knowledge Graph (KG). To address the limitations of traditional scholarly KG construction and utilization methods, which often fail to capture fine-grained details, we propose a novel framework that integrates the Deep Document Model (DDM) for comprehensive document representation and the KG-enhanced Query Processing (KGQP) for optimized complex query handling. DDM enables a fine-grained representation of the hierarchical structure and semantic relationships within academic papers, while KGQP leverages the KG structure to improve query accuracy and efficiency with LLMs. By combining the ASKG with LLMs, our approach enhances knowledge utilization and natural language understanding capabilities. The proposed system employs an automatic LLM-SPARQL fusion to retrieve relevant facts and textual nodes from the ASKG. Initial experiments demonstrate that our framework is superior to baseline methods in terms of accuracy retrieval and query efficiency. We showcase the practical application of our framework in academic research scenarios, highlighting its potential to revolutionize scholarly knowledge management and discovery. This work empowers researchers to acquire and utilize knowledge from documents more effectively and provides a foundation for developing precise and reliable interactions with LLMs.

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.

Large Language Models (LLMs) have seen an impressive wave of advances recently, with models now excelling in a variety of tasks, such as mathematical reasoning and program synthesis. However, their potential to effectively use tools via API calls remains unfulfilled. This is a challenging task even for today's state-of-the-art LLMs such as GPT-4, largely due to their inability to generate accurate input arguments and their tendency to hallucinate the wrong usage of an API call. We release Gorilla, a finetuned LLaMA-based model that surpasses the performance of GPT-4 on writing API calls. When combined with a document retriever, Gorilla demonstrates a strong capability to adapt to test-time document changes, enabling flexible user updates or version changes. It also substantially mitigates the issue of hallucination, commonly encountered when prompting LLMs directly. To evaluate the model's ability, we introduce APIBench, a comprehensive dataset consisting of HuggingFace, TorchHub, and TensorHub APIs. The successful integration of the retrieval system with Gorilla demonstrates the potential for LLMs to use tools more accurately, keep up with frequently updated documentation, and consequently increase the reliability and applicability of their outputs. Gorilla's code, model, data, and demo are available at https://gorilla.cs.berkeley.edu

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

The vast portion of workloads employing LLMs involves answering questions grounded on PDF or scan content. We introduce the Arctic-TILT achieving accuracy on par with models 1000times its size on these use cases. It can be fine-tuned and deployed on a single 24GB GPU, lowering operational costs while processing Visually Rich Documents with up to 400k tokens. The model establishes state-of-the-art results on seven diverse Document Understanding benchmarks, as well as provides reliable confidence scores and quick inference, which are essential for processing files in large-scale or time-sensitive enterprise environments.

Business Document Information Extraction (BDIE) is the problem of transforming a blob of unstructured information (raw text, scanned documents, etc.) into a structured format that downstream systems can parse and use. It has two main tasks: Key-Information Extraction (KIE) and Line Items Recognition (LIR). In this paper, we argue that BDIE is best modeled as a Tool Use problem, where the tools are these downstream systems. We then present Retrieval Augmented Structured Generation (RASG), a novel general framework for BDIE that achieves state of the art (SOTA) results on both KIE and LIR tasks on BDIE benchmarks. The contributions of this paper are threefold: (1) We show, with ablation benchmarks, that Large Language Models (LLMs) with RASG are already competitive with or surpasses current SOTA Large Multimodal Models (LMMs) without RASG on BDIE benchmarks. (2) We propose a new metric class for Line Items Recognition, General Line Items Recognition Metric (GLIRM), that is more aligned with practical BDIE use cases compared to existing metrics, such as ANLS*, DocILE, and GriTS. (3) We provide a heuristic algorithm for backcalculating bounding boxes of predicted line items and tables without the need for vision encoders. Finally, we claim that, while LMMs might sometimes offer marginal performance benefits, LLMs + RASG is oftentimes superior given real-world applications and constraints of BDIE.

Large Language Models (LLMs) excel in various language tasks but they often generate incorrect information, a phenomenon known as "hallucinations". Retrieval-Augmented Generation (RAG) aims to mitigate this by using document retrieval for accurate responses. However, RAG still faces hallucinations due to vague queries. This study aims to improve RAG by optimizing query generation with a query-document alignment score, refining queries using LLMs for better precision and efficiency of document retrieval. Experiments have shown that our approach improves document retrieval, resulting in an average accuracy gain of 1.6%.

Previous research in multi-document news summarization has typically concentrated on collating information that all sources agree upon. However, to our knowledge, the summarization of diverse information dispersed across multiple articles about an event has not been previously investigated. The latter imposes a different set of challenges for a summarization model. In this paper, we propose a new task of summarizing diverse information encountered in multiple news articles encompassing the same event. To facilitate this task, we outlined a data collection schema for identifying diverse information and curated a dataset named DiverseSumm. The dataset includes 245 news stories, with each story comprising 10 news articles and paired with a human-validated reference. Moreover, we conducted a comprehensive analysis to pinpoint the position and verbosity biases when utilizing Large Language Model (LLM)-based metrics for evaluating the coverage and faithfulness of the summaries, as well as their correlation with human assessments. We applied our findings to study how LLMs summarize multiple news articles by analyzing which type of diverse information LLMs are capable of identifying. Our analyses suggest that despite the extraordinary capabilities of LLMs in single-document summarization, the proposed task remains a complex challenge for them mainly due to their limited coverage, with GPT-4 only able to cover less than 40% of the diverse information on average.

Software engineers are increasingly adding semantic search capabilities to applications using a strategy known as Retrieval Augmented Generation (RAG). A RAG system involves finding documents that semantically match a query and then passing the documents to a large language model (LLM) such as ChatGPT to extract the right answer using an LLM. RAG systems aim to: a) reduce the problem of hallucinated responses from LLMs, b) link sources/references to generated responses, and c) remove the need for annotating documents with meta-data. However, RAG systems suffer from limitations inherent to information retrieval systems and from reliance on LLMs. In this paper, we present an experience report on the failure points of RAG systems from three case studies from separate domains: research, education, and biomedical. We share the lessons learned and present 7 failure points to consider when designing a RAG system. The two key takeaways arising from our work are: 1) validation of a RAG system is only feasible during operation, and 2) the robustness of a RAG system evolves rather than designed in at the start. We conclude with a list of potential research directions on RAG systems for the software engineering community.

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.

Accurate multi-modal document retrieval is crucial for Retrieval-Augmented Generation (RAG), yet existing benchmarks do not fully capture real-world challenges with their current design. We introduce REAL-MM-RAG, an automatically generated benchmark designed to address four key properties essential for real-world retrieval: (i) multi-modal documents, (ii) enhanced difficulty, (iii) Realistic-RAG queries and (iv) accurate labeling. Additionally, we propose a multi-difficulty-level scheme based on query rephrasing to evaluate models' semantic understanding beyond keyword matching. Our benchmark reveals significant model weaknesses, particularly in handling table-heavy documents and robustness to query rephrasing. To mitigate these shortcomings, we curate a rephrased training set and introduce a new finance-focused, table-heavy dataset. Fine-tuning on these datasets enables models to achieve state-of-the-art retrieval performance on REAL-MM-RAG benchmark. Our work offers a better way to evaluate and improve retrieval in multi-modal RAG systems while also providing training data and models that address current limitations.

In recent times, large language models (LLMs) have shown impressive performance on various document-level tasks such as document classification, summarization, and question-answering. However, research on understanding their capabilities on the task of self-contradictions in long documents has been very limited. In this work, we introduce ContraDoc, the first human-annotated dataset to study self-contradictions in long documents across multiple domains, varying document lengths, self-contradictions types, and scope. We then analyze the current capabilities of four state-of-the-art open-source and commercially available LLMs: GPT3.5, GPT4, PaLM2, and LLaMAv2 on this dataset. While GPT4 performs the best and can outperform humans on this task, we find that it is still unreliable and struggles with self-contradictions that require more nuance and context. We release the dataset and all the code associated with the experiments (https://github.com/ddhruvkr/CONTRADOC).

Scholarly writing presents a complex space that generally follows a methodical procedure to plan and produce both rationally sound and creative compositions. Recent works involving large language models (LLM) demonstrate considerable success in text generation and revision tasks; however, LLMs still struggle to provide structural and creative feedback on the document level that is crucial to academic writing. In this paper, we introduce a novel taxonomy that categorizes scholarly writing behaviors according to intention, writer actions, and the information types of the written data. We also provide ManuScript, an original dataset annotated with a simplified version of our taxonomy to show writer actions and the intentions behind them. Motivated by cognitive writing theory, our taxonomy for scientific papers includes three levels of categorization in order to trace the general writing flow and identify the distinct writer activities embedded within each higher-level process. ManuScript intends to provide a complete picture of the scholarly writing process by capturing the linearity and non-linearity of writing trajectory, such that writing assistants can provide stronger feedback and suggestions on an end-to-end level. The collected writing trajectories are viewed at https://minnesotanlp.github.io/REWARD_demo/

The exponential growth of scientific literature necessitates advanced tools for effective knowledge exploration. We present Knowledge Navigator, a system designed to enhance exploratory search abilities by organizing and structuring the retrieved documents from broad topical queries into a navigable, two-level hierarchy of named and descriptive scientific topics and subtopics. This structured organization provides an overall view of the research themes in a domain, while also enabling iterative search and deeper knowledge discovery within specific subtopics by allowing users to refine their focus and retrieve additional relevant documents. Knowledge Navigator combines LLM capabilities with cluster-based methods to enable an effective browsing method. We demonstrate our approach's effectiveness through automatic and manual evaluations on two novel benchmarks, CLUSTREC-COVID and SCITOC. Our code, prompts, and benchmarks are made publicly available.

Most Reading Comprehension methods limit themselves to queries which can be answered using a single sentence, paragraph, or document. Enabling models to combine disjoint pieces of textual evidence would extend the scope of machine comprehension methods, but currently there exist no resources to train and test this capability. We propose a novel task to encourage the development of models for text understanding across multiple documents and to investigate the limits of existing methods. In our task, a model learns to seek and combine evidence - effectively performing multi-hop (alias multi-step) inference. We devise a methodology to produce datasets for this task, given a collection of query-answer pairs and thematically linked documents. Two datasets from different domains are induced, and we identify potential pitfalls and devise circumvention strategies. We evaluate two previously proposed competitive models and find that one can integrate information across documents. However, both models struggle to select relevant information, as providing documents guaranteed to be relevant greatly improves their performance. While the models outperform several strong baselines, their best accuracy reaches 42.9% compared to human performance at 74.0% - leaving ample room for improvement.

Text retrieval is a long-standing research topic on information seeking, where a system is required to return relevant information resources to user's queries in natural language. From classic retrieval methods to learning-based ranking functions, the underlying retrieval models have been continually evolved with the ever-lasting technical innovation. To design effective retrieval models, a key point lies in how to learn the text representation and model the relevance matching. The recent success of pretrained language models (PLMs) sheds light on developing more capable text retrieval approaches by leveraging the excellent modeling capacity of PLMs. With powerful PLMs, we can effectively learn the representations of queries and texts in the latent representation space, and further construct the semantic matching function between the dense vectors for relevance modeling. Such a retrieval approach is referred to as dense retrieval, since it employs dense vectors (a.k.a., embeddings) to represent the texts. Considering the rapid progress on dense retrieval, in this survey, we systematically review the recent advances on PLM-based dense retrieval. Different from previous surveys on dense retrieval, we take a new perspective to organize the related work by four major aspects, including architecture, training, indexing and integration, and summarize the mainstream techniques for each aspect. We thoroughly survey the literature, and include 300+ related reference papers on dense retrieval. To support our survey, we create a website for providing useful resources, and release a code repertory and toolkit for implementing dense retrieval models. This survey aims to provide a comprehensive, practical reference focused on the major progress for dense text retrieval.

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.

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.

In the rapidly evolving digital era, there is an increasing demand for concise information as individuals seek to distil key insights from various sources. Recent attention from researchers on Multi-document Summarisation (MDS) has resulted in diverse datasets covering customer reviews, academic papers, medical and legal documents, and news articles. However, the English-centric nature of these datasets has created a conspicuous void for multilingual datasets in today's globalised digital landscape, where linguistic diversity is celebrated. Media platforms such as British Broadcasting Corporation (BBC) have disseminated news in 20+ languages for decades. With only 380 million people speaking English natively as their first language, accounting for less than 5% of the global population, the vast majority primarily relies on other languages. These facts underscore the need for inclusivity in MDS research, utilising resources from diverse languages. Recognising this gap, we present the Multilingual Dataset for Multi-document Summarisation (M2DS), which, to the best of our knowledge, is the first dataset of its kind. It includes document-summary pairs in five languages from BBC articles published during the 2010-2023 period. This paper introduces M2DS, emphasising its unique multilingual aspect, and includes baseline scores from state-of-the-art MDS models evaluated on our dataset.

Automatic summarization is the process of reducing a text document in order to generate a summary that retains the most important points of the original document. In this work, we study two problems - i) summarizing a text document as set of keywords/caption, for image recommedation, ii) generating opinion summary which good mix of relevancy and sentiment with the text document. Intially, we present our work on an recommending images for enhancing a substantial amount of existing plain text news articles. We use probabilistic models and word similarity heuristics to generate captions and extract Key-phrases which are re-ranked using a rank aggregation framework with relevance feedback mechanism. We show that such rank aggregation and relevant feedback which are typically used in Tagging Documents, Text Information Retrieval also helps in improving image retrieval. These queries are fed to the Yahoo Search Engine to obtain relevant images 1. Our proposed method is observed to perform better than all existing baselines. Additonally, We propose a set of submodular functions for opinion summarization. Opinion summarization has built in it the tasks of summarization and sentiment detection. However, it is not easy to detect sentiment and simultaneously extract summary. The two tasks conflict in the sense that the demand of compression may drop sentiment bearing sentences, and the demand of sentiment detection may bring in redundant sentences. However, using submodularity we show how to strike a balance between the two requirements. Our functions generate summaries such that there is good correlation between document sentiment and summary sentiment along with good ROUGE score. We also compare the performances of the proposed submodular functions.

Clinicians spend large amounts of time on clinical documentation, and inefficiencies impact quality of care and increase clinician burnout. Despite the promise of electronic medical records (EMR), the transition from paper-based records has been negatively associated with clinician wellness, in part due to poor user experience, increased burden of documentation, and alert fatigue. In this study, we present Almanac Copilot, an autonomous agent capable of assisting clinicians with EMR-specific tasks such as information retrieval and order placement. On EHR-QA, a synthetic evaluation dataset of 300 common EHR queries based on real patient data, Almanac Copilot obtains a successful task completion rate of 74% (n = 221 tasks) with a mean score of 2.45 over 3 (95% CI:2.34-2.56). By automating routine tasks and streamlining the documentation process, our findings highlight the significant potential of autonomous agents to mitigate the cognitive load imposed on clinicians by current EMR systems.

Large-scale pre-trained models (PTMs) have been widely used in document-oriented NLP tasks, such as question answering. However, the encoding-task coupling requirement results in the repeated encoding of the same documents for different tasks and queries, which is highly computationally inefficient. To this end, we target to decouple document encoding from downstream tasks, and propose to represent each document as a plug-and-play document module, i.e., a document plugin, for PTMs (PlugD). By inserting document plugins into the backbone PTM for downstream tasks, we can encode a document one time to handle multiple tasks, which is more efficient than conventional encoding-task coupling methods that simultaneously encode documents and input queries using task-specific encoders. Extensive experiments on 8 datasets of 4 typical NLP tasks show that PlugD enables models to encode documents once and for all across different scenarios. Especially, PlugD can save 69% computational costs while achieving comparable performance to state-of-the-art encoding-task coupling methods. Additionally, we show that PlugD can serve as an effective post-processing way to inject knowledge into task-specific models, improving model performance without any additional model training.

Recent document question answering models consist of two key components: the vision encoder, which captures layout and visual elements in images, and a Large Language Model (LLM) that helps contextualize questions to the image and supplements them with external world knowledge to generate accurate answers. However, the relative contributions of the vision encoder and the language model in these tasks remain unclear. This is especially interesting given the effectiveness of instruction-tuned LLMs, which exhibit remarkable adaptability to new tasks. To this end, we explore the following aspects in this work: (1) The efficacy of an LLM-only approach on document question answering tasks (2) strategies for serializing textual information within document images and feeding it directly to an instruction-tuned LLM, thus bypassing the need for an explicit vision encoder (3) thorough quantitative analysis on the feasibility of such an approach. Our comprehensive analysis encompasses six diverse benchmark datasets, utilizing LLMs of varying scales. Our findings reveal that a strategy exclusively reliant on the LLM yields results that are on par with or closely approach state-of-the-art performance across a range of datasets. We posit that this evaluation framework will serve as a guiding resource for selecting appropriate datasets for future research endeavors that emphasize the fundamental importance of layout and image content information.

HC4 is a new suite of test collections for ad hoc Cross-Language Information Retrieval (CLIR), with Common Crawl News documents in Chinese, Persian, and Russian, topics in English and in the document languages, and graded relevance judgments. New test collections are needed because existing CLIR test collections built using pooling of traditional CLIR runs have systematic gaps in their relevance judgments when used to evaluate neural CLIR methods. The HC4 collections contain 60 topics and about half a million documents for each of Chinese and Persian, and 54 topics and five million documents for Russian. Active learning was used to determine which documents to annotate after being seeded using interactive search and judgment. Documents were judged on a three-grade relevance scale. This paper describes the design and construction of the new test collections and provides baseline results for demonstrating their utility for evaluating systems.

Traditionally, Text Simplification is treated as a monolingual translation task where sentences between source texts and their simplified counterparts are aligned for training. However, especially for longer input documents, summarizing the text (or dropping less relevant content altogether) plays an important role in the simplification process, which is currently not reflected in existing datasets. Simultaneously, resources for non-English languages are scarce in general and prohibitive for training new solutions. To tackle this problem, we pose core requirements for a system that can jointly summarize and simplify long source documents. We further describe the creation of a new dataset for joint Text Simplification and Summarization based on German Wikipedia and the German children's lexicon "Klexikon", consisting of almost 2900 documents. We release a document-aligned version that particularly highlights the summarization aspect, and provide statistical evidence that this resource is well suited to simplification as well. Code and data are available on Github: https://github.com/dennlinger/klexikon