Current state-of-the-art models for natural language understanding require a preprocessing step to convert raw text into discrete tokens. This process known as tokenization relies on a pre-built vocabulary of words or sub-word morphemes. This fixed vocabulary limits the model’s robustness to spelling errors and its capacity to adapt to new domains. In this work, we introduce a novel open-vocabulary language model that adopts a hierarchical two-level approach: one at the word level and another at the sequence level. Concretely, we design an intra-word module that uses a shallow Transformer architecture to learn word representations from their characters, and a deep inter-word Transformer module that contextualizes each word representation by attending to the entire word sequence. Our model thus directly operates on character sequences with explicit awareness of word boundaries, but without biased sub-word or word-level vocabulary. Experiments on various downstream tasks show that our method outperforms strong baselines. We also demonstrate that our hierarchical model is robust to textual corruption and domain shift.

Multimodal pre-training with text, layout, and image has achieved SOTA performance for visually rich document understanding tasks recently, which demonstrates the great potential for joint learning across different modalities. However, the existed research work has focused only on the English domain while neglecting the importance of multilingual generalization. In this paper, we introduce a human-annotated multilingual form understanding benchmark dataset named XFUND, which includes form understanding samples in 7 languages (Chinese, Japanese, Spanish, French, Italian, German, Portuguese). Meanwhile, we present LayoutXLM, a multimodal pre-trained model for multilingual document understanding, which aims to bridge the language barriers for visually rich document understanding. Experimental results show that the LayoutXLM model has significantly outperformed the existing SOTA cross-lingual pre-trained models on the XFUND dataset. The XFUND dataset and the pre-trained LayoutXLM model have been publicly available at https://aka.ms/layoutxlm.

Positional encoding plays a key role in Transformer-based architecture, which is to indicate and embed token sequential order information. Understanding documents with unreliable reading order information is a real challenge for document Transformer models. This paper proposes a simple and effective positional encoding method, learnable sinusoidal positional encoding (LSPE), by building a learnable sinusoidal positional encoding feed-forward network. We apply LSPE to document Transformer models and pretrain them on document datasets. Then we finetune and evaluate the model performance on document understanding tasks in form, receipt, and invoice domains. Experimental results show our proposed method not only outperforms other baselines, but also demonstrates its robustness and stability on handling noisy data with incorrect order information.

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 are publicly available at https://aka.ms/xdoc.

Pre-training of text and layout has proved effective in a variety of visually-rich document understanding tasks due to its effective model architecture and the advantage of large-scale unlabeled scanned/digital-born documents. We propose LayoutLMv2 architecture with new pre-training tasks to model the interaction among text, layout, and image in a single multi-modal framework. Specifically, with a two-stream multi-modal Transformer encoder, LayoutLMv2 uses not only the existing masked visual-language modeling task but also the new text-image alignment and text-image matching tasks, which make it better capture the cross-modality interaction in the pre-training stage. Meanwhile, it also integrates a spatial-aware self-attention mechanism into the Transformer architecture so that the model can fully understand the relative positional relationship among different text blocks. Experiment results show that LayoutLMv2 outperforms LayoutLM by a large margin and achieves new state-of-the-art results on a wide variety of downstream visually-rich document understanding tasks, including FUNSD (0.7895 to 0.8420), CORD (0.9493 to 0.9601), SROIE (0.9524 to 0.9781), Kleister-NDA (0.8340 to 0.8520), RVL-CDIP (0.9443 to 0.9564), and DocVQA (0.7295 to 0.8672).