Advanced document data extraction techniques to improve supply chain performance

In this thesis, a novel machine learning technique to extract text-based information from scanned images has been developed. This information extraction is performed in the context of scanned invoices and bills used in financial transactions. These financial transactions contain a considerable amount of data that must be extracted, refined, and stored digitally before it can be used for analysis. Converting this data into a digital format is often a time-consuming process. Automation and data optimisation show promise as methods for reducing the time required and the cost of Supply Chain Management (SCM) processes, especially Supplier Invoice Management (SIM), Financial Supply Chain Management (FSCM) and Supply Chain procurement processes. This thesis uses a cross-disciplinary approach involving Computer Science and Operational Management to explore the benefit of automated invoice data extraction in business and its impact on SCM. The study adopts a multimethod approach based on empirical research, surveys, and interviews performed on selected companies.The expert system developed in this thesis focuses on two distinct areas of research: Text/Object Detection and Text Extraction. For Text/Object Detection, the Faster R-CNN model was analysed. While this model yields outstanding results in terms of object detection, it is limited by poor performance when image quality is low. The Generative Adversarial Network (GAN) model is proposed in response to this limitation. The GAN model is a generator network that is implemented with the help of the Faster R-CNN model and a discriminator that relies on PatchGAN. The output of the GAN model is text data with bonding boxes. For text extraction from the bounding box, a novel data extraction framework consisting of various processes including XML processing in case of existing OCR engine, bounding box pre-processing, text clean up, OCR error correction, spell check, type check, pattern-based matching, and finally, a learning mechanism for automatizing future data extraction was designed. Whichever fields the system can extract successfully are provided in key-value format.The efficiency of the proposed system was validated using existing datasets such as SROIE and VATI. Real-time data was validated using invoices that were collected by two companies that provide invoice automation services in various countries. Currently, these scanned invoices are sent to an OCR system such as OmniPage, Tesseract, or ABBYY FRE to extract text blocks and later, a rule-based engine is used to extract relevant data. While the system’s methodology is robust, the companies surveyed were not satisfied with its accuracy. Thus, they sought out new, optimized solutions. To confirm the results, the engines were used to return XML-based files with text and metadata identified. The output XML data was then fed into this new system for information extraction. This system uses the existing OCR engine and a novel, self-adaptive, learning-based OCR engine. This new engine is based on the GAN model for better text identification. Experiments were conducted on various invoice formats to further test and refine its extraction capabilities. For cost optimisation and the analysis of spend classification, additional data were provided by another company in London that holds expertise in reducing their clients' procurement costs. This data was fed into our system to get a deeper level of spend classification and categorisation. This helped the company to reduce its reliance on human effort and allowed for greater efficiency in comparison with the process of performing similar tasks manually using excel sheets and Business Intelligence (BI) tools.The intention behind the development of this novel methodology was twofold. First, to test and develop a novel solution that does not depend on any specific OCR technology. Second, to increase the information extraction accuracy factor over that of existing methodologies. Finally, it evaluates the real-world need for the system and the impact it would have on SCM. This newly developed method is generic and can extract text from any given invoice, making it a valuable tool for optimizing SCM. In addition, the system uses a template-matching approach to ensure the quality of the extracted information

A high level approach to Arabic sentence recognition

The aim of this work is to develop sentence recognition system inspired by the human reading process. Cognitive studies observed that the human tended to read a word as a whole at a time. He considers the global word shapes and uses contextual knowledge to infer and discriminate a word among other possible words. The sentence recognition system is a fully integrated system; a word level recogniser (baseline system) integrated with linguistic knowledge post-processing module. The presented baseline system is holistic word-based recognition approach characterised as probabilistic ranked task. The output of the system is multiple recognition hypotheses (N-best word lattice). The basic unit is the word rather than the character; it does not rely on any segmentation or require baseline detection. The considered linguistic knowledge to re-rank the output of the existing baseline system is the standard n-gram Statistical Language Models (SLMs). The candidates are re-ranked through exploiting phrase perplexity score. The system is an OCR system that depends on HMM models utilizing the HTK Toolkit. The baseline system supported by global transformation features extracted from binary word images. The adopted features' extraction technique is the block-based Discrete Cosine Transform (DCT) applied to the whole word image. Feature vectors extracted using block-based DCT with non-overlapping sub-block of size 8x8 pixels. The applied HMMs to the task are mono-model discrete one-dimensional HMMs (Bakis Model). A balanced actual scanned and synthetic database of word-image has been constructed to ensure an even distribution of word samples. The Arabic words are typewritten in five fonts having a size 14 points in a plain style. The statistical language models and lexicon words are extracted from The Holy Qur‟an. The systems are applied on word images with no overlap between the training and testing datasets. The actual scanned database is used to evaluate the word recogniser. The synthetic database is a large amount of data acquired for a reliable training of sentence recognition systems. This word recogniser evaluated in mono-font and multi-font contexts. The two types of word recogniser have been used to achieve a final recognition accuracy of99.30% and 73.47% in mono-font and multi-font, respectively. The achieved average accuracy by the sentence recogniser is 67.24% improved to 78.35% on average when using 5-gram post-processing. The complexity and accuracy of the post-processing module are evaluated and found that 4-gram is more suitable than 5-gram; it is much faster at an average improvement of 76.89%

Arabic Text Recognition and Machine Translation

[EN] Research on Arabic Handwritten Text Recognition (HTR) and Arabic-English Machine Translation (MT) has been usually approached as two independent areas of study. However, the idea of creating one system that combines both areas together, in order to generate English translation out of images containing Arabic text, is still a very challenging task. This process can be interpreted as the translation of Arabic images. In this thesis, we propose a system that recognizes Arabic handwritten text images, and translates the recognized text into English. This system is built from the combination of an HTR system and an MT system. Regarding the HTR system, our work focuses on the use of Bernoulli Hidden Markov Models (BHMMs). BHMMs had proven to work very well with Latin script. Indeed, empirical results based on it were reported on well-known corpora, such as IAM and RIMES. In this thesis, these results are extended to Arabic script, in particular, to the well-known IfN/ENIT and NIST OpenHaRT databases for Arabic handwritten text. The need for transcribing Arabic text is not only limited to handwritten text, but also to printed text. Arabic printed text might be considered as a simple form of handwritten text version. Thus, for this kind of text, we also propose Bernoulli HMMs. In addition, we propose to compare BHMMs with state-of-the-art technology based on neural networks. A key idea that has proven to be very effective in this application of Bernoulli HMMs is the use of a sliding window of adequate width for feature extraction. This idea has allowed us to obtain very competitive results in the recognition of both Arabic handwriting and printed text. Indeed, a system based on it ranked first at the ICDAR 2011 Arabic recognition competition on the Arabic Printed Text Image (APTI) database. Moreover, this idea has been refined by using repositioning techniques for extracted windows, leading to further improvements in Arabic text recognition. In the case of handwritten text, this refinement improved our system which ranked first at the ICFHR 2010 Arabic handwriting recognition competition on IfN/ENIT. In the case of printed text, this refinement led to an improved system which ranked second at the ICDAR 2013 Competition on Multi-font and Multi-size Digitally Represented Arabic Text on APTI. Furthermore, this refinement was used with neural networks-based technology, which led to state-of-the-art results. For machine translation, the system was based on the combination of three state-of-the-art statistical models: the standard phrase-based models, the hierarchical phrase-based models, and the N-gram phrase-based models. This combination was done using the Recognizer Output Voting Error Reduction (ROVER) method. Finally, we propose three methods of combining HTR and MT to develop an Arabic image translation system. The system was evaluated on the NIST OpenHaRT database, where competitive results were obtained.[ES] El reconocimiento de texto manuscrito (HTR) en árabe y la traducción automática (MT) del árabe al inglés se han tratado habitualmente como dos áreas de estudio independientes. De hecho, la idea de crear un sistema que combine las dos áreas, que directamente genere texto en inglés a partir de imágenes que contienen texto en árabe, sigue siendo una tarea difícil. Este proceso se puede interpretar como la traducción de imágenes de texto en árabe. En esta tesis, se propone un sistema que reconoce las imágenes de texto manuscrito en árabe, y que traduce el texto reconocido al inglés. Este sistema está construido a partir de la combinación de un sistema HTR y un sistema MT. En cuanto al sistema HTR, nuestro trabajo se enfoca en el uso de los Bernoulli Hidden Markov Models (BHMMs). Los modelos BHMMs ya han sido probados anteriormente en tareas con alfabeto latino obteniendo buenos resultados. De hecho, existen resultados empíricos publicados usando corpus conocidos, tales como IAM o RIMES. En esta tesis, estos resultados se han extendido al texto manuscrito en árabe, en particular, a las bases de datos IfN/ENIT y NIST OpenHaRT. En aplicaciones reales, la transcripción del texto en árabe no se limita únicamente al texto manuscrito, sino también al texto impreso. El texto impreso se puede interpretar como una forma simplificada de texto manuscrito. Por lo tanto, para este tipo de texto, también proponemos el uso de modelos BHMMs. Además, estos modelos se han comparado con tecnología del estado del arte basada en redes neuronales. Una idea clave que ha demostrado ser muy eficaz en la aplicación de modelos BHMMs es el uso de una ventana deslizante (sliding window) de anchura adecuada durante la extracción de características. Esta idea ha permitido obtener resultados muy competitivos tanto en el reconocimiento de texto manuscrito en árabe como en el de texto impreso. De hecho, un sistema basado en este tipo de extracción de características quedó en la primera posición en el concurso ICDAR 2011 Arabic recognition competition usando la base de datos Arabic Printed Text Image (APTI). Además, esta idea se ha perfeccionado mediante el uso de técnicas de reposicionamiento aplicadas a las ventanas extraídas, dando lugar a nuevas mejoras en el reconocimiento de texto árabe. En el caso de texto manuscrito, este refinamiento ha conseguido mejorar el sistema que ocupó el primer lugar en el concurso ICFHR 2010 Arabic handwriting recognition competition usando IfN/ENIT. En el caso del texto impreso, este refinamiento condujo a un sistema mejor que ocupó el segundo lugar en el concurso ICDAR 2013 Competition on Multi-font and Multi-size Digitally Represented Arabic Text en el que se usaba APTI. Por otro lado, esta técnica se ha evaluado también en tecnología basada en redes neuronales, lo que ha llevado a resultados del estado del arte. Respecto a la traducción automática, el sistema se ha basado en la combinación de tres tipos de modelos estadísticos del estado del arte: los modelos standard phrase-based, los modelos hierarchical phrase-based y los modelos N-gram phrase-based. Esta combinación se hizo utilizando el método Recognizer Output Voting Error Reduction (ROVER). Por último, se han propuesto tres métodos para combinar los sistemas HTR y MT con el fin de desarrollar un sistema de traducción de imágenes de texto árabe a inglés. El sistema se ha evaluado sobre la base de datos NIST OpenHaRT, donde se han obtenido resultados competitivos.[CA] El reconeixement de text manuscrit (HTR) en àrab i la traducció automàtica (MT) de l'àrab a l'anglès s'han tractat habitualment com dues àrees d'estudi independents. De fet, la idea de crear un sistema que combine les dues àrees, que directament genere text en anglès a partir d'imatges que contenen text en àrab, continua sent una tasca difícil. Aquest procés es pot interpretar com la traducció d'imatges de text en àrab. En aquesta tesi, es proposa un sistema que reconeix les imatges de text manuscrit en àrab, i que tradueix el text reconegut a l'anglès. Aquest sistema està construït a partir de la combinació d'un sistema HTR i d'un sistema MT. Pel que fa al sistema HTR, el nostre treball s'enfoca en l'ús dels Bernoulli Hidden Markov Models (BHMMs). Els models BHMMs ja han estat provats anteriorment en tasques amb alfabet llatí obtenint bons resultats. De fet, existeixen resultats empírics publicats emprant corpus coneguts, tals com IAM o RIMES. En aquesta tesi, aquests resultats s'han estès a la escriptura manuscrita en àrab, en particular, a les bases de dades IfN/ENIT i NIST OpenHaRT. En aplicacions reals, la transcripció de text en àrab no es limita únicament al text manuscrit, sinó també al text imprès. El text imprès es pot interpretar com una forma simplificada de text manuscrit. Per tant, per a aquest tipus de text, també proposem l'ús de models BHMMs. A més a més, aquests models s'han comparat amb tecnologia de l'estat de l'art basada en xarxes neuronals. Una idea clau que ha demostrat ser molt eficaç en l'aplicació de models BHMMs és l'ús d'una finestra lliscant (sliding window) d'amplària adequada durant l'extracció de característiques. Aquesta idea ha permès obtenir resultats molt competitius tant en el reconeixement de text àrab manuscrit com en el de text imprès. De fet, un sistema basat en aquest tipus d'extracció de característiques va quedar en primera posició en el concurs ICDAR 2011 Arabic recognition competition emprant la base de dades Arabic Printed Text Image (APTI). A més a més, aquesta idea s'ha perfeccionat mitjançant l'ús de tècniques de reposicionament aplicades a les finestres extretes, donant lloc a noves millores en el reconeixement de text en àrab. En el cas de text manuscrit, aquest refinament ha aconseguit millorar el sistema que va ocupar el primer lloc en el concurs ICFHR 2010 Arabic handwriting recognition competition usant IfN/ENIT. En el cas del text imprès, aquest refinament va conduir a un sistema millor que va ocupar el segon lloc en el concurs ICDAR 2013 Competition on Multi-font and Multi-size Digitally Represented Arabic Text en el qual s'usava APTI. D'altra banda, aquesta tècnica s'ha avaluat també en tecnologia basada en xarxes neuronals, el que ha portat a resultats de l'estat de l'art. Respecte a la traducció automàtica, el sistema s'ha basat en la combinació de tres tipus de models estadístics de l'estat de l'art: els models standard phrase-based, els models hierarchical phrase-based i els models N-gram phrase-based. Aquesta combinació es va fer utilitzant el mètode Recognizer Output Voting Errada Reduction (ROVER). Finalment, s'han proposat tres mètodes per combinar els sistemes HTR i MT amb la finalitat de desenvolupar un sistema de traducció d'imatges de text àrab a anglès. El sistema s'ha avaluat sobre la base de dades NIST OpenHaRT, on s'han obtingut resultats competitius.Alkhoury, I. (2015). Arabic Text Recognition and Machine Translation [Tesis doctoral no publicada]. Universitat Politècnica de València. https://doi.org/10.4995/Thesis/10251/53029TESI

The Use of Latent Semantic Indexing to Mitigate OCR Effects of Related Document Images

Due to both the widespread and multipurpose use of document images and the current availability of a high number of document images repositories, robust information retrieval mechanisms and systems have been increasingly demanded. This paper presents an approach to support the automatic generation of relationships among document images by exploiting Latent Semantic Indexing (LSI) and Optical Character Recognition (OCR). We developed the LinkDI (Linking of Document Images) service, which extracts and indexes document images content, computes its latent semantics, and defines relationships among images as hyperlinks. LinkDI was experimented with document images repositories, and its performance was evaluated by comparing the quality of the relationships created among textual documents as well as among their respective document images. Considering those same document images, we ran further experiments in order to compare the performance of LinkDI when it exploits or not the LSI technique. Experimental results showed that LSI can mitigate the effects of usual OCR misrecognition, which reinforces the feasibility of LinkDI relating OCR output with high degradation.CNPq[557976/2008-1]FAPESP[05/60038-5]FAPESP[05/60729-8]FAPESP[06/58984-2]FAPESP[09/14292-8]FAPESP[2009/05504-1]Spanish Ministerio de Ciencia e Innovacion[TIN2008-06566-C04-04]FEDERXunta de Galicia[07SIN005206PR]Innolution Sistemas de Informatic