Merge from main

Signed-off-by: Christoph Auer <cau@zurich.ibm.com>
This commit is contained in:
Christoph Auer 2025-02-18 11:24:53 +01:00
commit 8606b598dc
125 changed files with 25130 additions and 32303 deletions

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@ -1,3 +1,32 @@
## [v2.23.0](https://github.com/DS4SD/docling/releases/tag/v2.23.0) - 2025-02-17
### Feature
* Support cuda:n GPU device allocation ([#694](https://github.com/DS4SD/docling/issues/694)) ([`77eb77b`](https://github.com/DS4SD/docling/commit/77eb77bdc2c07b632a1d171826d1855a5218399e))
* **xml-jats:** Parse XML JATS documents ([#967](https://github.com/DS4SD/docling/issues/967)) ([`428b656`](https://github.com/DS4SD/docling/commit/428b656793cb75d108c69f20c254be7c198cee5c))
### Fix
* Revise DocTags, fix iterate_items to output content_layer in items ([#965](https://github.com/DS4SD/docling/issues/965)) ([`6e75f0b`](https://github.com/DS4SD/docling/commit/6e75f0b5d3ee42738a80049d4cf2fa6d34e8ab97))
## [v2.22.0](https://github.com/DS4SD/docling/releases/tag/v2.22.0) - 2025-02-14
### Feature
* Add support for CSV input with new backend to transform CSV files to DoclingDocument ([#945](https://github.com/DS4SD/docling/issues/945)) ([`00d9405`](https://github.com/DS4SD/docling/commit/00d9405b0ac519d321ae54e8150f5facbaabbe14))
* Introduce the enable_remote_services option to allow remote connections while processing ([#941](https://github.com/DS4SD/docling/issues/941)) ([`2716c7d`](https://github.com/DS4SD/docling/commit/2716c7d4ffb836664178178d3f8d01b7f9112595))
* Allow artifacts_path to be defined as ENV ([#940](https://github.com/DS4SD/docling/issues/940)) ([`5101e25`](https://github.com/DS4SD/docling/commit/5101e2519e7a5bb727531b1412b1131a7cfbda52))
### Fix
* Update Pillow constraints ([#958](https://github.com/DS4SD/docling/issues/958)) ([`af19c03`](https://github.com/DS4SD/docling/commit/af19c03f6e5e0b24e12d6a3baac6c46a4c8b10d1))
* Fix the initialization of the TesseractOcrModel ([#935](https://github.com/DS4SD/docling/issues/935)) ([`c47ae70`](https://github.com/DS4SD/docling/commit/c47ae700ece2ea4efee17f82e4667c1ce9a0ed2a))
### Documentation
* Update example Dockerfile with download CLI ([#929](https://github.com/DS4SD/docling/issues/929)) ([`7493d5b`](https://github.com/DS4SD/docling/commit/7493d5b01f8be60294afeffdfb54a62bb74bcc92))
* Examples for picture descriptions ([#951](https://github.com/DS4SD/docling/issues/951)) ([`2d66e99`](https://github.com/DS4SD/docling/commit/2d66e99b69f39a282109c366fae3679f41c6e081))
## [v2.21.0](https://github.com/DS4SD/docling/releases/tag/v2.21.0) - 2025-02-10
### Feature

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@ -16,8 +16,7 @@ ENV TORCH_HOME=/tmp/
COPY docs/examples/minimal.py /root/minimal.py
RUN python -c 'from deepsearch_glm.utils.load_pretrained_models import load_pretrained_nlp_models; load_pretrained_nlp_models(verbose=True);'
RUN python -c 'from docling.pipeline.standard_pdf_pipeline import StandardPdfPipeline; StandardPdfPipeline.download_models_hf(force=True);'
RUN docling-tools models download
# On container environments, always set a thread budget to avoid undesired thread congestion.
ENV OMP_NUM_THREADS=4
@ -25,3 +24,6 @@ ENV OMP_NUM_THREADS=4
# On container shell:
# > cd /root/
# > python minimal.py
# Running as `docker run -e DOCLING_ARTIFACTS_PATH=/root/.cache/docling/models` will use the
# model weights included in the container image.

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import csv
import logging
import warnings
from io import BytesIO, StringIO
from pathlib import Path
from typing import Set, Union
from docling_core.types.doc import DoclingDocument, DocumentOrigin, TableCell, TableData
from docling.backend.abstract_backend import DeclarativeDocumentBackend
from docling.datamodel.base_models import InputFormat
from docling.datamodel.document import InputDocument
_log = logging.getLogger(__name__)
class CsvDocumentBackend(DeclarativeDocumentBackend):
content: StringIO
def __init__(self, in_doc: "InputDocument", path_or_stream: Union[BytesIO, Path]):
super().__init__(in_doc, path_or_stream)
# Load content
try:
if isinstance(self.path_or_stream, BytesIO):
self.content = StringIO(self.path_or_stream.getvalue().decode("utf-8"))
elif isinstance(self.path_or_stream, Path):
self.content = StringIO(self.path_or_stream.read_text("utf-8"))
self.valid = True
except Exception as e:
raise RuntimeError(
f"CsvDocumentBackend could not load document with hash {self.document_hash}"
) from e
return
def is_valid(self) -> bool:
return self.valid
@classmethod
def supports_pagination(cls) -> bool:
return False
def unload(self):
if isinstance(self.path_or_stream, BytesIO):
self.path_or_stream.close()
self.path_or_stream = None
@classmethod
def supported_formats(cls) -> Set[InputFormat]:
return {InputFormat.CSV}
def convert(self) -> DoclingDocument:
"""
Parses the CSV data into a structured document model.
"""
# Detect CSV dialect
head = self.content.readline()
dialect = csv.Sniffer().sniff(head, ",;\t|:")
_log.info(f'Parsing CSV with delimiter: "{dialect.delimiter}"')
if not dialect.delimiter in {",", ";", "\t", "|", ":"}:
raise RuntimeError(
f"Cannot convert csv with unknown delimiter {dialect.delimiter}."
)
# Parce CSV
self.content.seek(0)
result = csv.reader(self.content, dialect=dialect, strict=True)
self.csv_data = list(result)
_log.info(f"Detected {len(self.csv_data)} lines")
# Ensure uniform column length
expected_length = len(self.csv_data[0])
is_uniform = all(len(row) == expected_length for row in self.csv_data)
if not is_uniform:
warnings.warn(
f"Inconsistent column lengths detected in CSV data. "
f"Expected {expected_length} columns, but found rows with varying lengths. "
f"Ensure all rows have the same number of columns."
)
# Parse the CSV into a structured document model
origin = DocumentOrigin(
filename=self.file.name or "file.csv",
mimetype="text/csv",
binary_hash=self.document_hash,
)
doc = DoclingDocument(name=self.file.stem or "file.csv", origin=origin)
if self.is_valid():
# Convert CSV data to table
if self.csv_data:
num_rows = len(self.csv_data)
num_cols = max(len(row) for row in self.csv_data)
table_data = TableData(
num_rows=num_rows,
num_cols=num_cols,
table_cells=[],
)
# Convert each cell to TableCell
for row_idx, row in enumerate(self.csv_data):
for col_idx, cell_value in enumerate(row):
cell = TableCell(
text=str(cell_value),
row_span=1, # CSV doesn't support merged cells
col_span=1,
start_row_offset_idx=row_idx,
end_row_offset_idx=row_idx + 1,
start_col_offset_idx=col_idx,
end_col_offset_idx=col_idx + 1,
col_header=row_idx == 0, # First row as header
row_header=False,
)
table_data.table_cells.append(cell)
doc.add_table(data=table_data)
else:
raise RuntimeError(
f"Cannot convert doc with {self.document_hash} because the backend failed to init."
)
return doc

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@ -0,0 +1,772 @@
import logging
import traceback
from io import BytesIO
from pathlib import Path
from typing import Final, Optional, Union
from bs4 import BeautifulSoup
from docling_core.types.doc import (
DocItemLabel,
DoclingDocument,
DocumentOrigin,
GroupItem,
GroupLabel,
NodeItem,
TableCell,
TableData,
TextItem,
)
from lxml import etree
from typing_extensions import TypedDict, override
from docling.backend.abstract_backend import DeclarativeDocumentBackend
from docling.datamodel.base_models import InputFormat
from docling.datamodel.document import InputDocument
_log = logging.getLogger(__name__)
JATS_DTD_URL: Final = ["JATS-journalpublishing", "JATS-archive"]
DEFAULT_HEADER_ACKNOWLEDGMENTS: Final = "Acknowledgments"
DEFAULT_HEADER_ABSTRACT: Final = "Abstract"
DEFAULT_HEADER_REFERENCES: Final = "References"
DEFAULT_TEXT_ETAL: Final = "et al."
class Abstract(TypedDict):
label: str
content: str
class Author(TypedDict):
name: str
affiliation_names: list[str]
class Citation(TypedDict):
author_names: str
title: str
source: str
year: str
volume: str
page: str
pub_id: str
publisher_name: str
publisher_loc: str
class Table(TypedDict):
label: str
caption: str
content: str
class XMLComponents(TypedDict):
title: str
authors: list[Author]
abstract: list[Abstract]
class JatsDocumentBackend(DeclarativeDocumentBackend):
"""Backend to parse articles in XML format tagged according to JATS definition.
The Journal Article Tag Suite (JATS) is an definition standard for the
representation of journal articles in XML format. Several publishers and journal
archives provide content in JATS format, including PubMed Central® (PMC), bioRxiv,
medRxiv, or Springer Nature.
Refer to https://jats.nlm.nih.gov for more details on JATS.
The code from this document backend has been developed by modifying parts of the
PubMed Parser library (version 0.5.0, released on 12.08.2024):
Achakulvisut et al., (2020).
Pubmed Parser: A Python Parser for PubMed Open-Access XML Subset and MEDLINE XML
Dataset XML Dataset.
Journal of Open Source Software, 5(46), 1979,
https://doi.org/10.21105/joss.01979
"""
@override
def __init__(
self, in_doc: "InputDocument", path_or_stream: Union[BytesIO, Path]
) -> None:
super().__init__(in_doc, path_or_stream)
self.path_or_stream = path_or_stream
# Initialize the root of the document hiearchy
self.root: Optional[NodeItem] = None
self.valid = False
try:
if isinstance(self.path_or_stream, BytesIO):
self.path_or_stream.seek(0)
self.tree: etree._ElementTree = etree.parse(self.path_or_stream)
doc_info: etree.DocInfo = self.tree.docinfo
if doc_info.system_url and any(
[kwd in doc_info.system_url for kwd in JATS_DTD_URL]
):
self.valid = True
return
for ent in doc_info.internalDTD.iterentities():
if ent.system_url and any(
[kwd in ent.system_url for kwd in JATS_DTD_URL]
):
self.valid = True
return
except Exception as exc:
raise RuntimeError(
f"Could not initialize JATS backend for file with hash {self.document_hash}."
) from exc
@override
def is_valid(self) -> bool:
return self.valid
@classmethod
@override
def supports_pagination(cls) -> bool:
return False
@override
def unload(self):
if isinstance(self.path_or_stream, BytesIO):
self.path_or_stream.close()
self.path_or_stream = None
@classmethod
@override
def supported_formats(cls) -> set[InputFormat]:
return {InputFormat.XML_JATS}
@override
def convert(self) -> DoclingDocument:
try:
# Create empty document
origin = DocumentOrigin(
filename=self.file.name or "file",
mimetype="application/xml",
binary_hash=self.document_hash,
)
doc = DoclingDocument(name=self.file.stem or "file", origin=origin)
# Get metadata XML components
xml_components: XMLComponents = self._parse_metadata()
# Add metadata to the document
self._add_metadata(doc, xml_components)
# walk over the XML body
body = self.tree.xpath("//body")
if self.root and len(body) > 0:
self._walk_linear(doc, self.root, body[0])
# walk over the XML back matter
back = self.tree.xpath("//back")
if self.root and len(back) > 0:
self._walk_linear(doc, self.root, back[0])
except Exception:
_log.error(traceback.format_exc())
return doc
@staticmethod
def _get_text(node: etree._Element, sep: Optional[str] = None) -> str:
skip_tags = ["term", "disp-formula", "inline-formula"]
text: str = (
node.text.replace("\n", " ")
if (node.tag not in skip_tags and node.text)
else ""
)
for child in list(node):
if child.tag not in skip_tags:
# TODO: apply styling according to child.tag when supported by docling-core
text += JatsDocumentBackend._get_text(child, sep)
if sep:
text = text.rstrip(sep) + sep
text += child.tail.replace("\n", " ") if child.tail else ""
return text
def _find_metadata(self) -> Optional[etree._Element]:
meta_names: list[str] = ["article-meta", "book-part-meta"]
meta: Optional[etree._Element] = None
for name in meta_names:
node = self.tree.xpath(f".//{name}")
if len(node) > 0:
meta = node[0]
break
return meta
def _parse_abstract(self) -> list[Abstract]:
# TODO: address cases with multiple sections
abs_list: list[Abstract] = []
for abs_node in self.tree.xpath(".//abstract"):
abstract: Abstract = dict(label="", content="")
texts = []
for abs_par in abs_node.xpath("p"):
texts.append(JatsDocumentBackend._get_text(abs_par).strip())
abstract["content"] = " ".join(texts)
label_node = abs_node.xpath("title|label")
if len(label_node) > 0:
abstract["label"] = label_node[0].text.strip()
abs_list.append(abstract)
return abs_list
def _parse_authors(self) -> list[Author]:
# Get mapping between affiliation ids and names
authors: list[Author] = []
meta: Optional[etree._Element] = self._find_metadata()
if meta is None:
return authors
affiliation_names = []
for affiliation_node in meta.xpath(".//aff[@id]"):
aff = ", ".join([t for t in affiliation_node.itertext() if t.strip()])
aff = aff.replace("\n", " ")
label = affiliation_node.xpath("label")
if label:
# TODO: once superscript is supported, add label with formatting
aff = aff.removeprefix(f"{label[0].text}, ")
affiliation_names.append(aff)
affiliation_ids_names = {
id: name
for id, name in zip(meta.xpath(".//aff[@id]/@id"), affiliation_names)
}
# Get author names and affiliation names
for author_node in meta.xpath(
'.//contrib-group/contrib[@contrib-type="author"]'
):
author: Author = {
"name": "",
"affiliation_names": [],
}
# Affiliation names
affiliation_ids = [
a.attrib["rid"] for a in author_node.xpath('xref[@ref-type="aff"]')
]
for id in affiliation_ids:
if id in affiliation_ids_names:
author["affiliation_names"].append(affiliation_ids_names[id])
# Name
author["name"] = (
author_node.xpath("name/given-names")[0].text
+ " "
+ author_node.xpath("name/surname")[0].text
)
authors.append(author)
return authors
def _parse_title(self) -> str:
meta_names: list[str] = [
"article-meta",
"collection-meta",
"book-meta",
"book-part-meta",
]
title_names: list[str] = ["article-title", "subtitle", "title", "label"]
titles: list[str] = [
" ".join(
elem.text.replace("\n", " ").strip()
for elem in list(title_node)
if elem.tag in title_names
).strip()
for title_node in self.tree.xpath(
"|".join([f".//{item}/title-group" for item in meta_names])
)
]
text = " - ".join(titles)
return text
def _parse_metadata(self) -> XMLComponents:
"""Parsing JATS document metadata."""
xml_components: XMLComponents = {
"title": self._parse_title(),
"authors": self._parse_authors(),
"abstract": self._parse_abstract(),
}
return xml_components
def _add_abstract(
self, doc: DoclingDocument, xml_components: XMLComponents
) -> None:
for abstract in xml_components["abstract"]:
text: str = abstract["content"]
title: str = abstract["label"] or DEFAULT_HEADER_ABSTRACT
if not text:
continue
parent = doc.add_heading(parent=self.root, text=title)
doc.add_text(
parent=parent,
text=text,
label=DocItemLabel.TEXT,
)
return
def _add_authors(self, doc: DoclingDocument, xml_components: XMLComponents) -> None:
# TODO: once docling supports text formatting, add affiliation reference to
# author names through superscripts
authors: list = [item["name"] for item in xml_components["authors"]]
authors_str = ", ".join(authors)
affiliations: list = [
item
for author in xml_components["authors"]
for item in author["affiliation_names"]
]
affiliations_str = "; ".join(list(dict.fromkeys(affiliations)))
if authors_str:
doc.add_text(
parent=self.root,
text=authors_str,
label=DocItemLabel.PARAGRAPH,
)
if affiliations_str:
doc.add_text(
parent=self.root,
text=affiliations_str,
label=DocItemLabel.PARAGRAPH,
)
return
def _add_citation(self, doc: DoclingDocument, parent: NodeItem, text: str) -> None:
if isinstance(parent, GroupItem) and parent.label == GroupLabel.LIST:
doc.add_list_item(text=text, enumerated=False, parent=parent)
else:
doc.add_text(text=text, label=DocItemLabel.TEXT, parent=parent)
return
def _parse_element_citation(self, node: etree._Element) -> str:
citation: Citation = {
"author_names": "",
"title": "",
"source": "",
"year": "",
"volume": "",
"page": "",
"pub_id": "",
"publisher_name": "",
"publisher_loc": "",
}
_log.debug("Citation parsing started")
# Author names
names = []
for name_node in node.xpath(".//name"):
name_str = (
name_node.xpath("surname")[0].text.replace("\n", " ").strip()
+ " "
+ name_node.xpath("given-names")[0].text.replace("\n", " ").strip()
)
names.append(name_str)
etal_node = node.xpath(".//etal")
if len(etal_node) > 0:
etal_text = etal_node[0].text or DEFAULT_TEXT_ETAL
names.append(etal_text)
citation["author_names"] = ", ".join(names)
titles: list[str] = [
"article-title",
"chapter-title",
"data-title",
"issue-title",
"part-title",
"trans-title",
]
title_node: Optional[etree._Element] = None
for name in titles:
name_node = node.xpath(name)
if len(name_node) > 0:
title_node = name_node[0]
break
citation["title"] = (
JatsDocumentBackend._get_text(title_node)
if title_node is not None
else node.text.replace("\n", " ").strip()
)
# Journal, year, publisher name, publisher location, volume, elocation
fields: list[str] = [
"source",
"year",
"publisher-name",
"publisher-loc",
"volume",
]
for item in fields:
item_node = node.xpath(item)
if len(item_node) > 0:
citation[item.replace("-", "_")] = ( # type: ignore[literal-required]
item_node[0].text.replace("\n", " ").strip()
)
# Publication identifier
if len(node.xpath("pub-id")) > 0:
pub_id: list[str] = []
for id_node in node.xpath("pub-id"):
id_type = id_node.get("assigning-authority") or id_node.get(
"pub-id-type"
)
id_text = id_node.text
if id_type and id_text:
pub_id.append(
id_type.replace("\n", " ").strip().upper()
+ ": "
+ id_text.replace("\n", " ").strip()
)
if pub_id:
citation["pub_id"] = ", ".join(pub_id)
# Pages
if len(node.xpath("elocation-id")) > 0:
citation["page"] = (
node.xpath("elocation-id")[0].text.replace("\n", " ").strip()
)
elif len(node.xpath("fpage")) > 0:
citation["page"] = node.xpath("fpage")[0].text.replace("\n", " ").strip()
if len(node.xpath("lpage")) > 0:
citation["page"] += (
"" + node.xpath("lpage")[0].text.replace("\n", " ").strip()
)
# Flatten the citation to string
text = ""
if citation["author_names"]:
text += citation["author_names"].rstrip(".") + ". "
if citation["title"]:
text += citation["title"] + ". "
if citation["source"]:
text += citation["source"] + ". "
if citation["publisher_name"]:
if citation["publisher_loc"]:
text += f"{citation['publisher_loc']}: "
text += citation["publisher_name"] + ". "
if citation["volume"]:
text = text.rstrip(". ")
text += f" {citation['volume']}. "
if citation["page"]:
text = text.rstrip(". ")
if citation["volume"]:
text += ":"
text += citation["page"] + ". "
if citation["year"]:
text = text.rstrip(". ")
text += f" ({citation['year']})."
if citation["pub_id"]:
text = text.rstrip(".") + ". "
text += citation["pub_id"]
_log.debug("Citation flattened")
return text
def _add_equation(
self, doc: DoclingDocument, parent: NodeItem, node: etree._Element
) -> None:
math_text = node.text
math_parts = math_text.split("$$")
if len(math_parts) == 3:
math_formula = math_parts[1]
doc.add_text(label=DocItemLabel.FORMULA, text=math_formula, parent=parent)
return
def _add_figure_captions(
self, doc: DoclingDocument, parent: NodeItem, node: etree._Element
) -> None:
label_node = node.xpath("label")
label: Optional[str] = (
JatsDocumentBackend._get_text(label_node[0]).strip() if label_node else ""
)
caption_node = node.xpath("caption")
caption: Optional[str]
if len(caption_node) > 0:
caption = ""
for caption_par in list(caption_node[0]):
if caption_par.xpath(".//supplementary-material"):
continue
caption += JatsDocumentBackend._get_text(caption_par).strip() + " "
caption = caption.strip()
else:
caption = None
# TODO: format label vs caption once styling is supported
fig_text: str = f"{label}{' ' if label and caption else ''}{caption}"
fig_caption: Optional[TextItem] = (
doc.add_text(label=DocItemLabel.CAPTION, text=fig_text)
if fig_text
else None
)
doc.add_picture(parent=parent, caption=fig_caption)
return
# TODO: add footnotes when DocItemLabel.FOOTNOTE and styling are supported
# def _add_footnote_group(self, doc: DoclingDocument, parent: NodeItem, node: etree._Element) -> None:
# new_parent = doc.add_group(label=GroupLabel.LIST, name="footnotes", parent=parent)
# for child in node.iterchildren(tag="fn"):
# text = JatsDocumentBackend._get_text(child)
# doc.add_list_item(text=text, parent=new_parent)
def _add_metadata(
self, doc: DoclingDocument, xml_components: XMLComponents
) -> None:
self._add_title(doc, xml_components)
self._add_authors(doc, xml_components)
self._add_abstract(doc, xml_components)
return
def _add_table(
self, doc: DoclingDocument, parent: NodeItem, table_xml_component: Table
) -> None:
soup = BeautifulSoup(table_xml_component["content"], "html.parser")
table_tag = soup.find("table")
nested_tables = table_tag.find("table")
if nested_tables:
_log.warning(f"Skipping nested table in {str(self.file)}")
return
# Count the number of rows (number of <tr> elements)
num_rows = len(table_tag.find_all("tr"))
# Find the number of columns (taking into account colspan)
num_cols = 0
for row in table_tag.find_all("tr"):
col_count = 0
for cell in row.find_all(["td", "th"]):
colspan = int(cell.get("colspan", 1))
col_count += colspan
num_cols = max(num_cols, col_count)
grid = [[None for _ in range(num_cols)] for _ in range(num_rows)]
data = TableData(num_rows=num_rows, num_cols=num_cols, table_cells=[])
# Iterate over the rows in the table
for row_idx, row in enumerate(table_tag.find_all("tr")):
# For each row, find all the column cells (both <td> and <th>)
cells = row.find_all(["td", "th"])
# Check if each cell in the row is a header -> means it is a column header
col_header = True
for j, html_cell in enumerate(cells):
if html_cell.name == "td":
col_header = False
# Extract and print the text content of each cell
col_idx = 0
for _, html_cell in enumerate(cells):
# extract inline formulas
for formula in html_cell.find_all("inline-formula"):
math_parts = formula.text.split("$$")
if len(math_parts) == 3:
math_formula = f"$${math_parts[1]}$$"
formula.replaceWith(math_formula)
text = html_cell.text
col_span = int(html_cell.get("colspan", 1))
row_span = int(html_cell.get("rowspan", 1))
while grid[row_idx][col_idx] is not None:
col_idx += 1
for r in range(row_span):
for c in range(col_span):
grid[row_idx + r][col_idx + c] = text
cell = TableCell(
text=text,
row_span=row_span,
col_span=col_span,
start_row_offset_idx=row_idx,
end_row_offset_idx=row_idx + row_span,
start_col_offset_idx=col_idx,
end_col_offset_idx=col_idx + col_span,
col_header=col_header,
row_header=((not col_header) and html_cell.name == "th"),
)
data.table_cells.append(cell)
# TODO: format label vs caption once styling is supported
label = table_xml_component["label"]
caption = table_xml_component["caption"]
table_text: str = f"{label}{' ' if label and caption else ''}{caption}"
table_caption: Optional[TextItem] = (
doc.add_text(label=DocItemLabel.CAPTION, text=table_text)
if table_text
else None
)
doc.add_table(data=data, parent=parent, caption=table_caption)
return
def _add_tables(
self, doc: DoclingDocument, parent: NodeItem, node: etree._Element
) -> None:
table: Table = {"label": "", "caption": "", "content": ""}
# Content
if len(node.xpath("table")) > 0:
table_content_node = node.xpath("table")[0]
elif len(node.xpath("alternatives/table")) > 0:
table_content_node = node.xpath("alternatives/table")[0]
else:
table_content_node = None
if table_content_node is not None:
table["content"] = etree.tostring(table_content_node).decode("utf-8")
# Caption
caption_node = node.xpath("caption")
caption: Optional[str]
if caption_node:
caption = ""
for caption_par in list(caption_node[0]):
if caption_par.xpath(".//supplementary-material"):
continue
caption += JatsDocumentBackend._get_text(caption_par).strip() + " "
caption = caption.strip()
else:
caption = None
if caption is not None:
table["caption"] = caption
# Label
if len(node.xpath("label")) > 0:
table["label"] = node.xpath("label")[0].text
try:
self._add_table(doc, parent, table)
except Exception as e:
_log.warning(f"Skipping unsupported table in {str(self.file)}")
pass
return
def _add_title(self, doc: DoclingDocument, xml_components: XMLComponents) -> None:
self.root = doc.add_text(
parent=None,
text=xml_components["title"],
label=DocItemLabel.TITLE,
)
return
def _walk_linear(
self, doc: DoclingDocument, parent: NodeItem, node: etree._Element
) -> str:
# _log.debug(f"Walking on {node.tag} with {len(list(node))} children")
skip_tags = ["term"]
flush_tags = ["ack", "sec", "list", "boxed-text", "disp-formula", "fig"]
new_parent: NodeItem = parent
node_text: str = (
node.text.replace("\n", " ")
if (node.tag not in skip_tags and node.text)
else ""
)
for child in list(node):
stop_walk: bool = False
# flush text into TextItem for some tags in paragraph nodes
if node.tag == "p" and node_text.strip() and child.tag in flush_tags:
doc.add_text(
label=DocItemLabel.TEXT, text=node_text.strip(), parent=parent
)
node_text = ""
# add elements and decide whether to stop walking
if child.tag in ("sec", "ack"):
header = child.xpath("title|label")
text: Optional[str] = None
if len(header) > 0:
text = JatsDocumentBackend._get_text(header[0])
elif child.tag == "ack":
text = DEFAULT_HEADER_ACKNOWLEDGMENTS
if text:
new_parent = doc.add_heading(text=text, parent=parent)
elif child.tag == "list":
new_parent = doc.add_group(
label=GroupLabel.LIST, name="list", parent=parent
)
elif child.tag == "list-item":
# TODO: address any type of content (another list, formula,...)
# TODO: address list type and item label
text = JatsDocumentBackend._get_text(child).strip()
new_parent = doc.add_list_item(text=text, parent=parent)
stop_walk = True
elif child.tag == "fig":
self._add_figure_captions(doc, parent, child)
stop_walk = True
elif child.tag == "table-wrap":
self._add_tables(doc, parent, child)
stop_walk = True
elif child.tag == "suplementary-material":
stop_walk = True
elif child.tag == "fn-group":
# header = child.xpath(".//title") or child.xpath(".//label")
# if header:
# text = JatsDocumentBackend._get_text(header[0])
# fn_parent = doc.add_heading(text=text, parent=new_parent)
# self._add_footnote_group(doc, fn_parent, child)
stop_walk = True
elif child.tag == "ref-list" and node.tag != "ref-list":
header = child.xpath("title|label")
text = (
JatsDocumentBackend._get_text(header[0])
if len(header) > 0
else DEFAULT_HEADER_REFERENCES
)
new_parent = doc.add_heading(text=text, parent=parent)
new_parent = doc.add_group(
parent=new_parent, label=GroupLabel.LIST, name="list"
)
elif child.tag == "element-citation":
text = self._parse_element_citation(child)
self._add_citation(doc, parent, text)
stop_walk = True
elif child.tag == "mixed-citation":
text = JatsDocumentBackend._get_text(child).strip()
self._add_citation(doc, parent, text)
stop_walk = True
elif child.tag == "tex-math":
self._add_equation(doc, parent, child)
stop_walk = True
elif child.tag == "inline-formula":
# TODO: address inline formulas when supported by docling-core
stop_walk = True
# step into child
if not stop_walk:
new_text = self._walk_linear(doc, new_parent, child)
if not (node.getparent().tag == "p" and node.tag in flush_tags):
node_text += new_text
# pick up the tail text
node_text += child.tail.replace("\n", " ") if child.tail else ""
# create paragraph
if node.tag == "p" and node_text.strip():
doc.add_text(label=DocItemLabel.TEXT, text=node_text.strip(), parent=parent)
return ""
else:
# backpropagate the text
return node_text

View File

@ -1,592 +0,0 @@
import logging
from io import BytesIO
from pathlib import Path
from typing import Any, Set, Union
import lxml
from bs4 import BeautifulSoup
from docling_core.types.doc import (
DocItemLabel,
DoclingDocument,
DocumentOrigin,
GroupLabel,
TableCell,
TableData,
)
from lxml import etree
from typing_extensions import TypedDict, override
from docling.backend.abstract_backend import DeclarativeDocumentBackend
from docling.datamodel.base_models import InputFormat
from docling.datamodel.document import InputDocument
_log = logging.getLogger(__name__)
class Paragraph(TypedDict):
text: str
headers: list[str]
class Author(TypedDict):
name: str
affiliation_names: list[str]
class Table(TypedDict):
label: str
caption: str
content: str
class FigureCaption(TypedDict):
label: str
caption: str
class Reference(TypedDict):
author_names: str
title: str
journal: str
year: str
class XMLComponents(TypedDict):
title: str
authors: list[Author]
abstract: str
paragraphs: list[Paragraph]
tables: list[Table]
figure_captions: list[FigureCaption]
references: list[Reference]
class PubMedDocumentBackend(DeclarativeDocumentBackend):
"""
The code from this document backend has been developed by modifying parts of the PubMed Parser library (version 0.5.0, released on 12.08.2024):
Achakulvisut et al., (2020).
Pubmed Parser: A Python Parser for PubMed Open-Access XML Subset and MEDLINE XML Dataset XML Dataset.
Journal of Open Source Software, 5(46), 1979,
https://doi.org/10.21105/joss.01979
"""
@override
def __init__(self, in_doc: "InputDocument", path_or_stream: Union[BytesIO, Path]):
super().__init__(in_doc, path_or_stream)
self.path_or_stream = path_or_stream
# Initialize parents for the document hierarchy
self.parents: dict = {}
self.valid = False
try:
if isinstance(self.path_or_stream, BytesIO):
self.path_or_stream.seek(0)
self.tree: lxml.etree._ElementTree = etree.parse(self.path_or_stream)
if "/NLM//DTD JATS" in self.tree.docinfo.public_id:
self.valid = True
except Exception as exc:
raise RuntimeError(
f"Could not initialize PubMed backend for file with hash {self.document_hash}."
) from exc
@override
def is_valid(self) -> bool:
return self.valid
@classmethod
@override
def supports_pagination(cls) -> bool:
return False
@override
def unload(self):
if isinstance(self.path_or_stream, BytesIO):
self.path_or_stream.close()
self.path_or_stream = None
@classmethod
@override
def supported_formats(cls) -> Set[InputFormat]:
return {InputFormat.XML_PUBMED}
@override
def convert(self) -> DoclingDocument:
# Create empty document
origin = DocumentOrigin(
filename=self.file.name or "file",
mimetype="application/xml",
binary_hash=self.document_hash,
)
doc = DoclingDocument(name=self.file.stem or "file", origin=origin)
_log.debug("Trying to convert PubMed XML document...")
# Get parsed XML components
xml_components: XMLComponents = self._parse()
# Add XML components to the document
doc = self._populate_document(doc, xml_components)
return doc
def _parse_title(self) -> str:
title: str = " ".join(
[
t.replace("\n", "")
for t in self.tree.xpath(".//title-group/article-title")[0].itertext()
]
)
return title
def _parse_authors(self) -> list[Author]:
# Get mapping between affiliation ids and names
affiliation_names = []
for affiliation_node in self.tree.xpath(".//aff[@id]"):
affiliation_names.append(
": ".join([t for t in affiliation_node.itertext() if t != "\n"])
)
affiliation_ids_names = {
id: name
for id, name in zip(self.tree.xpath(".//aff[@id]/@id"), affiliation_names)
}
# Get author names and affiliation names
authors: list[Author] = []
for author_node in self.tree.xpath(
'.//contrib-group/contrib[@contrib-type="author"]'
):
author: Author = {
"name": "",
"affiliation_names": [],
}
# Affiliation names
affiliation_ids = [
a.attrib["rid"] for a in author_node.xpath('xref[@ref-type="aff"]')
]
for id in affiliation_ids:
if id in affiliation_ids_names:
author["affiliation_names"].append(affiliation_ids_names[id])
# Name
author["name"] = (
author_node.xpath("name/surname")[0].text
+ " "
+ author_node.xpath("name/given-names")[0].text
)
authors.append(author)
return authors
def _parse_abstract(self) -> str:
texts = []
for abstract_node in self.tree.xpath(".//abstract"):
for text in abstract_node.itertext():
texts.append(text.replace("\n", ""))
abstract: str = "".join(texts)
return abstract
def _parse_main_text(self) -> list[Paragraph]:
paragraphs: list[Paragraph] = []
for paragraph_node in self.tree.xpath("//body//p"):
# Skip captions
if "/caption" in paragraph_node.getroottree().getpath(paragraph_node):
continue
paragraph: Paragraph = {"text": "", "headers": []}
# Text
paragraph["text"] = "".join(
[t.replace("\n", "") for t in paragraph_node.itertext()]
)
# Header
path = "../title"
while len(paragraph_node.xpath(path)) > 0:
paragraph["headers"].append(
"".join(
[
t.replace("\n", "")
for t in paragraph_node.xpath(path)[0].itertext()
]
)
)
path = "../" + path
paragraphs.append(paragraph)
return paragraphs
def _parse_tables(self) -> list[Table]:
tables: list[Table] = []
for table_node in self.tree.xpath(".//body//table-wrap"):
table: Table = {"label": "", "caption": "", "content": ""}
# Content
if len(table_node.xpath("table")) > 0:
table_content_node = table_node.xpath("table")[0]
elif len(table_node.xpath("alternatives/table")) > 0:
table_content_node = table_node.xpath("alternatives/table")[0]
else:
table_content_node = None
if table_content_node != None:
table["content"] = etree.tostring(table_content_node).decode("utf-8")
# Caption
if len(table_node.xpath("caption/p")) > 0:
caption_node = table_node.xpath("caption/p")[0]
elif len(table_node.xpath("caption/title")) > 0:
caption_node = table_node.xpath("caption/title")[0]
else:
caption_node = None
if caption_node != None:
table["caption"] = "".join(
[t.replace("\n", "") for t in caption_node.itertext()]
)
# Label
if len(table_node.xpath("label")) > 0:
table["label"] = table_node.xpath("label")[0].text
tables.append(table)
return tables
def _parse_figure_captions(self) -> list[FigureCaption]:
figure_captions: list[FigureCaption] = []
if not (self.tree.xpath(".//fig")):
return figure_captions
for figure_node in self.tree.xpath(".//fig"):
figure_caption: FigureCaption = {
"caption": "",
"label": "",
}
# Label
if figure_node.xpath("label"):
figure_caption["label"] = "".join(
[
t.replace("\n", "")
for t in figure_node.xpath("label")[0].itertext()
]
)
# Caption
if figure_node.xpath("caption"):
caption = ""
for caption_node in figure_node.xpath("caption")[0].getchildren():
caption += (
"".join([t.replace("\n", "") for t in caption_node.itertext()])
+ "\n"
)
figure_caption["caption"] = caption
figure_captions.append(figure_caption)
return figure_captions
def _parse_references(self) -> list[Reference]:
references: list[Reference] = []
for reference_node_abs in self.tree.xpath(".//ref-list/ref"):
reference: Reference = {
"author_names": "",
"title": "",
"journal": "",
"year": "",
}
reference_node: Any = None
for tag in ["mixed-citation", "element-citation", "citation"]:
if len(reference_node_abs.xpath(tag)) > 0:
reference_node = reference_node_abs.xpath(tag)[0]
break
if reference_node is None:
continue
if all(
not (ref_type in ["citation-type", "publication-type"])
for ref_type in reference_node.attrib.keys()
):
continue
# Author names
names = []
if len(reference_node.xpath("name")) > 0:
for name_node in reference_node.xpath("name"):
name_str = " ".join(
[t.text for t in name_node.getchildren() if (t.text != None)]
)
names.append(name_str)
elif len(reference_node.xpath("person-group")) > 0:
for name_node in reference_node.xpath("person-group")[0]:
name_str = (
name_node.xpath("given-names")[0].text
+ " "
+ name_node.xpath("surname")[0].text
)
names.append(name_str)
reference["author_names"] = "; ".join(names)
# Title
if len(reference_node.xpath("article-title")) > 0:
reference["title"] = " ".join(
[
t.replace("\n", " ")
for t in reference_node.xpath("article-title")[0].itertext()
]
)
# Journal
if len(reference_node.xpath("source")) > 0:
reference["journal"] = reference_node.xpath("source")[0].text
# Year
if len(reference_node.xpath("year")) > 0:
reference["year"] = reference_node.xpath("year")[0].text
if (
not (reference_node.xpath("article-title"))
and not (reference_node.xpath("journal"))
and not (reference_node.xpath("year"))
):
reference["title"] = reference_node.text
references.append(reference)
return references
def _parse(self) -> XMLComponents:
"""Parsing PubMed document."""
xml_components: XMLComponents = {
"title": self._parse_title(),
"authors": self._parse_authors(),
"abstract": self._parse_abstract(),
"paragraphs": self._parse_main_text(),
"tables": self._parse_tables(),
"figure_captions": self._parse_figure_captions(),
"references": self._parse_references(),
}
return xml_components
def _populate_document(
self, doc: DoclingDocument, xml_components: XMLComponents
) -> DoclingDocument:
self._add_title(doc, xml_components)
self._add_authors(doc, xml_components)
self._add_abstract(doc, xml_components)
self._add_main_text(doc, xml_components)
if xml_components["tables"]:
self._add_tables(doc, xml_components)
if xml_components["figure_captions"]:
self._add_figure_captions(doc, xml_components)
self._add_references(doc, xml_components)
return doc
def _add_figure_captions(
self, doc: DoclingDocument, xml_components: XMLComponents
) -> None:
self.parents["Figures"] = doc.add_heading(
parent=self.parents["Title"], text="Figures"
)
for figure_caption_xml_component in xml_components["figure_captions"]:
figure_caption_text = (
figure_caption_xml_component["label"]
+ ": "
+ figure_caption_xml_component["caption"].strip()
)
fig_caption = doc.add_text(
label=DocItemLabel.CAPTION, text=figure_caption_text
)
doc.add_picture(
parent=self.parents["Figures"],
caption=fig_caption,
)
return
def _add_title(self, doc: DoclingDocument, xml_components: XMLComponents) -> None:
self.parents["Title"] = doc.add_text(
parent=None,
text=xml_components["title"],
label=DocItemLabel.TITLE,
)
return
def _add_authors(self, doc: DoclingDocument, xml_components: XMLComponents) -> None:
authors_affiliations: list = []
for author in xml_components["authors"]:
authors_affiliations.append(author["name"])
authors_affiliations.append(", ".join(author["affiliation_names"]))
authors_affiliations_str = "; ".join(authors_affiliations)
doc.add_text(
parent=self.parents["Title"],
text=authors_affiliations_str,
label=DocItemLabel.PARAGRAPH,
)
return
def _add_abstract(
self, doc: DoclingDocument, xml_components: XMLComponents
) -> None:
abstract_text: str = xml_components["abstract"]
self.parents["Abstract"] = doc.add_heading(
parent=self.parents["Title"], text="Abstract"
)
doc.add_text(
parent=self.parents["Abstract"],
text=abstract_text,
label=DocItemLabel.TEXT,
)
return
def _add_main_text(
self, doc: DoclingDocument, xml_components: XMLComponents
) -> None:
added_headers: list = []
for paragraph in xml_components["paragraphs"]:
if not (paragraph["headers"]):
continue
# Header
for i, header in enumerate(reversed(paragraph["headers"])):
if header in added_headers:
continue
added_headers.append(header)
if ((i - 1) >= 0) and list(reversed(paragraph["headers"]))[
i - 1
] in self.parents:
parent = self.parents[list(reversed(paragraph["headers"]))[i - 1]]
else:
parent = self.parents["Title"]
self.parents[header] = doc.add_heading(parent=parent, text=header)
# Paragraph text
if paragraph["headers"][0] in self.parents:
parent = self.parents[paragraph["headers"][0]]
else:
parent = self.parents["Title"]
doc.add_text(parent=parent, label=DocItemLabel.TEXT, text=paragraph["text"])
return
def _add_references(
self, doc: DoclingDocument, xml_components: XMLComponents
) -> None:
self.parents["References"] = doc.add_heading(
parent=self.parents["Title"], text="References"
)
current_list = doc.add_group(
parent=self.parents["References"], label=GroupLabel.LIST, name="list"
)
for reference in xml_components["references"]:
reference_text: str = ""
if reference["author_names"]:
reference_text += reference["author_names"] + ". "
if reference["title"]:
reference_text += reference["title"]
if reference["title"][-1] != ".":
reference_text += "."
reference_text += " "
if reference["journal"]:
reference_text += reference["journal"]
if reference["year"]:
reference_text += " (" + reference["year"] + ")"
if not (reference_text):
_log.debug(f"Skipping reference for: {str(self.file)}")
continue
doc.add_list_item(
text=reference_text, enumerated=False, parent=current_list
)
return
def _add_tables(self, doc: DoclingDocument, xml_components: XMLComponents) -> None:
self.parents["Tables"] = doc.add_heading(
parent=self.parents["Title"], text="Tables"
)
for table_xml_component in xml_components["tables"]:
try:
self._add_table(doc, table_xml_component)
except Exception as e:
_log.debug(f"Skipping unsupported table for: {str(self.file)}")
pass
return
def _add_table(self, doc: DoclingDocument, table_xml_component: Table) -> None:
soup = BeautifulSoup(table_xml_component["content"], "html.parser")
table_tag = soup.find("table")
nested_tables = table_tag.find("table")
if nested_tables:
_log.debug(f"Skipping nested table for: {str(self.file)}")
return
# Count the number of rows (number of <tr> elements)
num_rows = len(table_tag.find_all("tr"))
# Find the number of columns (taking into account colspan)
num_cols = 0
for row in table_tag.find_all("tr"):
col_count = 0
for cell in row.find_all(["td", "th"]):
colspan = int(cell.get("colspan", 1))
col_count += colspan
num_cols = max(num_cols, col_count)
grid = [[None for _ in range(num_cols)] for _ in range(num_rows)]
data = TableData(num_rows=num_rows, num_cols=num_cols, table_cells=[])
# Iterate over the rows in the table
for row_idx, row in enumerate(table_tag.find_all("tr")):
# For each row, find all the column cells (both <td> and <th>)
cells = row.find_all(["td", "th"])
# Check if each cell in the row is a header -> means it is a column header
col_header = True
for j, html_cell in enumerate(cells):
if html_cell.name == "td":
col_header = False
# Extract and print the text content of each cell
col_idx = 0
for _, html_cell in enumerate(cells):
text = html_cell.text
col_span = int(html_cell.get("colspan", 1))
row_span = int(html_cell.get("rowspan", 1))
while grid[row_idx][col_idx] != None:
col_idx += 1
for r in range(row_span):
for c in range(col_span):
grid[row_idx + r][col_idx + c] = text
cell = TableCell(
text=text,
row_span=row_span,
col_span=col_span,
start_row_offset_idx=row_idx,
end_row_offset_idx=row_idx + row_span,
start_col_offset_idx=col_idx,
end_col_offset_idx=col_idx + col_span,
col_header=col_header,
row_header=((not col_header) and html_cell.name == "th"),
)
data.table_cells.append(cell)
table_caption = doc.add_text(
label=DocItemLabel.CAPTION,
text=table_xml_component["label"] + ": " + table_xml_component["caption"],
)
doc.add_table(data=data, parent=self.parents["Tables"], caption=table_caption)
return

View File

@ -234,6 +234,12 @@ def convert(
Optional[Path],
typer.Option(..., help="If provided, the location of the model artifacts."),
] = None,
enable_remote_services: Annotated[
bool,
typer.Option(
..., help="Must be enabled when using models connecting to remote services."
),
] = False,
abort_on_error: Annotated[
bool,
typer.Option(
@ -380,6 +386,7 @@ def convert(
accelerator_options = AcceleratorOptions(num_threads=num_threads, device=device)
pipeline_options = PdfPipelineOptions(
enable_remote_services=enable_remote_services,
accelerator_options=accelerator_options,
do_ocr=ocr,
ocr_options=ocr_options,

View File

@ -34,13 +34,14 @@ class InputFormat(str, Enum):
DOCX = "docx"
PPTX = "pptx"
HTML = "html"
XML_PUBMED = "xml_pubmed"
IMAGE = "image"
PDF = "pdf"
ASCIIDOC = "asciidoc"
MD = "md"
CSV = "csv"
XLSX = "xlsx"
XML_USPTO = "xml_uspto"
XML_JATS = "xml_jats"
JSON_DOCLING = "json_docling"
@ -58,9 +59,10 @@ FormatToExtensions: Dict[InputFormat, List[str]] = {
InputFormat.PDF: ["pdf"],
InputFormat.MD: ["md"],
InputFormat.HTML: ["html", "htm", "xhtml"],
InputFormat.XML_PUBMED: ["xml", "nxml"],
InputFormat.XML_JATS: ["xml", "nxml"],
InputFormat.IMAGE: ["jpg", "jpeg", "png", "tif", "tiff", "bmp"],
InputFormat.ASCIIDOC: ["adoc", "asciidoc", "asc"],
InputFormat.CSV: ["csv"],
InputFormat.XLSX: ["xlsx"],
InputFormat.XML_USPTO: ["xml", "txt"],
InputFormat.JSON_DOCLING: ["json"],
@ -77,7 +79,7 @@ FormatToMimeType: Dict[InputFormat, List[str]] = {
"application/vnd.openxmlformats-officedocument.presentationml.presentation",
],
InputFormat.HTML: ["text/html", "application/xhtml+xml"],
InputFormat.XML_PUBMED: ["application/xml"],
InputFormat.XML_JATS: ["application/xml"],
InputFormat.IMAGE: [
"image/png",
"image/jpeg",
@ -88,6 +90,7 @@ FormatToMimeType: Dict[InputFormat, List[str]] = {
InputFormat.PDF: ["application/pdf"],
InputFormat.ASCIIDOC: ["text/asciidoc"],
InputFormat.MD: ["text/markdown", "text/x-markdown"],
InputFormat.CSV: ["text/csv"],
InputFormat.XLSX: [
"application/vnd.openxmlformats-officedocument.spreadsheetml.sheet"
],

View File

@ -1,3 +1,4 @@
import csv
import logging
import re
from enum import Enum
@ -296,6 +297,7 @@ class _DocumentConversionInput(BaseModel):
mime = _DocumentConversionInput._mime_from_extension(ext)
mime = mime or _DocumentConversionInput._detect_html_xhtml(content)
mime = mime or _DocumentConversionInput._detect_csv(content)
mime = mime or "text/plain"
formats = MimeTypeToFormat.get(mime, [])
if formats:
@ -331,11 +333,11 @@ class _DocumentConversionInput(BaseModel):
):
input_format = InputFormat.XML_USPTO
if (
InputFormat.XML_PUBMED in formats
and "/NLM//DTD JATS" in xml_doctype
if InputFormat.XML_JATS in formats and (
"JATS-journalpublishing" in xml_doctype
or "JATS-archive" in xml_doctype
):
input_format = InputFormat.XML_PUBMED
input_format = InputFormat.XML_JATS
elif mime == "text/plain":
if InputFormat.XML_USPTO in formats and content_str.startswith("PATN\r\n"):
@ -352,6 +354,8 @@ class _DocumentConversionInput(BaseModel):
mime = FormatToMimeType[InputFormat.HTML][0]
elif ext in FormatToExtensions[InputFormat.MD]:
mime = FormatToMimeType[InputFormat.MD][0]
elif ext in FormatToExtensions[InputFormat.CSV]:
mime = FormatToMimeType[InputFormat.CSV][0]
elif ext in FormatToExtensions[InputFormat.JSON_DOCLING]:
mime = FormatToMimeType[InputFormat.JSON_DOCLING][0]
elif ext in FormatToExtensions[InputFormat.PDF]:
@ -392,3 +396,32 @@ class _DocumentConversionInput(BaseModel):
return "application/xml"
return None
@staticmethod
def _detect_csv(
content: bytes,
) -> Optional[Literal["text/csv"]]:
"""Guess the mime type of a CSV file from its content.
Args:
content: A short piece of a document from its beginning.
Returns:
The mime type of a CSV file, or None if the content does
not match any of the format.
"""
content_str = content.decode("ascii", errors="ignore").strip()
# Ensure there's at least one newline (CSV is usually multi-line)
if "\n" not in content_str:
return None
# Use csv.Sniffer to detect CSV characteristics
try:
dialect = csv.Sniffer().sniff(content_str)
if dialect.delimiter in {",", ";", "\t", "|"}: # Common delimiters
return "text/csv"
except csv.Error:
return None
return None

View File

@ -1,11 +1,26 @@
import logging
import os
import re
import warnings
from enum import Enum
from pathlib import Path
from typing import Annotated, Any, Dict, List, Literal, Optional, Union
from pydantic import AnyUrl, BaseModel, ConfigDict, Field, model_validator
from pydantic_settings import BaseSettings, SettingsConfigDict
from pydantic import (
AnyUrl,
BaseModel,
ConfigDict,
Field,
field_validator,
model_validator,
validator,
)
from pydantic_settings import (
BaseSettings,
PydanticBaseSettingsSource,
SettingsConfigDict,
)
from typing_extensions import deprecated
_log = logging.getLogger(__name__)
@ -25,7 +40,18 @@ class AcceleratorOptions(BaseSettings):
)
num_threads: int = 4
device: AcceleratorDevice = AcceleratorDevice.AUTO
device: Union[str, AcceleratorDevice] = "auto"
@field_validator("device")
def validate_device(cls, value):
# "auto", "cpu", "cuda", "mps", or "cuda:N"
if value in {d.value for d in AcceleratorDevice} or re.match(
r"^cuda(:\d+)?$", value
):
return value
raise ValueError(
"Invalid device option. Use 'auto', 'cpu', 'mps', 'cuda', or 'cuda:N'."
)
@model_validator(mode="before")
@classmethod
@ -41,7 +67,6 @@ class AcceleratorOptions(BaseSettings):
"""
if isinstance(data, dict):
input_num_threads = data.get("num_threads")
# Check if to set the num_threads from the alternative envvar
if input_num_threads is None:
docling_num_threads = os.getenv("DOCLING_NUM_THREADS")
@ -257,6 +282,7 @@ class PipelineOptions(BaseModel):
)
document_timeout: Optional[float] = None
accelerator_options: AcceleratorOptions = AcceleratorOptions()
enable_remote_services: bool = False
class PdfPipelineOptions(PipelineOptions):

View File

@ -1,6 +1,6 @@
import sys
from pathlib import Path
from typing import Annotated, Tuple
from typing import Annotated, Optional, Tuple
from pydantic import BaseModel, PlainValidator
from pydantic_settings import BaseSettings, SettingsConfigDict
@ -62,6 +62,7 @@ class AppSettings(BaseSettings):
debug: DebugSettings
cache_dir: Path = Path.home() / ".cache" / "docling"
artifacts_path: Optional[Path] = None
settings = AppSettings(perf=BatchConcurrencySettings(), debug=DebugSettings())

View File

@ -10,6 +10,7 @@ from pydantic import BaseModel, ConfigDict, model_validator, validate_call
from docling.backend.abstract_backend import AbstractDocumentBackend
from docling.backend.asciidoc_backend import AsciiDocBackend
from docling.backend.csv_backend import CsvDocumentBackend
from docling.backend.docling_parse_v2_backend import DoclingParseV2DocumentBackend
from docling.backend.html_backend import HTMLDocumentBackend
from docling.backend.json.docling_json_backend import DoclingJSONBackend
@ -17,7 +18,7 @@ from docling.backend.md_backend import MarkdownDocumentBackend
from docling.backend.msexcel_backend import MsExcelDocumentBackend
from docling.backend.mspowerpoint_backend import MsPowerpointDocumentBackend
from docling.backend.msword_backend import MsWordDocumentBackend
from docling.backend.xml.pubmed_backend import PubMedDocumentBackend
from docling.backend.xml.jats_backend import JatsDocumentBackend
from docling.backend.xml.uspto_backend import PatentUsptoDocumentBackend
from docling.datamodel.base_models import (
ConversionStatus,
@ -61,6 +62,11 @@ class FormatOption(BaseModel):
return self
class CsvFormatOption(FormatOption):
pipeline_cls: Type = SimplePipeline
backend: Type[AbstractDocumentBackend] = CsvDocumentBackend
class ExcelFormatOption(FormatOption):
pipeline_cls: Type = SimplePipeline
backend: Type[AbstractDocumentBackend] = MsExcelDocumentBackend
@ -96,9 +102,9 @@ class PatentUsptoFormatOption(FormatOption):
backend: Type[PatentUsptoDocumentBackend] = PatentUsptoDocumentBackend
class XMLPubMedFormatOption(FormatOption):
class XMLJatsFormatOption(FormatOption):
pipeline_cls: Type = SimplePipeline
backend: Type[AbstractDocumentBackend] = PubMedDocumentBackend
backend: Type[AbstractDocumentBackend] = JatsDocumentBackend
class ImageFormatOption(FormatOption):
@ -113,6 +119,9 @@ class PdfFormatOption(FormatOption):
def _get_default_option(format: InputFormat) -> FormatOption:
format_to_default_options = {
InputFormat.CSV: FormatOption(
pipeline_cls=SimplePipeline, backend=CsvDocumentBackend
),
InputFormat.XLSX: FormatOption(
pipeline_cls=SimplePipeline, backend=MsExcelDocumentBackend
),
@ -134,8 +143,8 @@ def _get_default_option(format: InputFormat) -> FormatOption:
InputFormat.XML_USPTO: FormatOption(
pipeline_cls=SimplePipeline, backend=PatentUsptoDocumentBackend
),
InputFormat.XML_PUBMED: FormatOption(
pipeline_cls=SimplePipeline, backend=PubMedDocumentBackend
InputFormat.XML_JATS: FormatOption(
pipeline_cls=SimplePipeline, backend=JatsDocumentBackend
),
InputFormat.IMAGE: FormatOption(
pipeline_cls=StandardPdfPipeline, backend=DoclingParseV2DocumentBackend

View File

@ -4,3 +4,7 @@ class BaseError(RuntimeError):
class ConversionError(BaseError):
pass
class OperationNotAllowed(BaseError):
pass

View File

@ -8,6 +8,7 @@ from PIL import Image
from pydantic import BaseModel, ConfigDict
from docling.datamodel.pipeline_options import PictureDescriptionApiOptions
from docling.exceptions import OperationNotAllowed
from docling.models.picture_description_base_model import PictureDescriptionBaseModel
_log = logging.getLogger(__name__)
@ -45,14 +46,20 @@ class ApiResponse(BaseModel):
class PictureDescriptionApiModel(PictureDescriptionBaseModel):
# elements_batch_size = 4
def __init__(self, enabled: bool, options: PictureDescriptionApiOptions):
def __init__(
self,
enabled: bool,
enable_remote_services: bool,
options: PictureDescriptionApiOptions,
):
super().__init__(enabled=enabled, options=options)
self.options: PictureDescriptionApiOptions
if self.enabled:
if options.url.host != "localhost":
raise NotImplementedError(
"The options try to connect to remote APIs which are not yet allowed."
if not enable_remote_services:
raise OperationNotAllowed(
"Connections to remote services is only allowed when set explicitly. "
"pipeline_options.enable_remote_services=True."
)
def _annotate_images(self, images: Iterable[Image.Image]) -> Iterable[str]:

View File

@ -22,6 +22,7 @@ class TesseractOcrModel(BaseOcrModel):
self.scale = 3 # multiplier for 72 dpi == 216 dpi.
self.reader = None
self.osd_reader = None
self.script_readers: dict[str, tesserocr.PyTessBaseAPI] = {}
if self.enabled:
install_errmsg = (
@ -57,8 +58,6 @@ class TesseractOcrModel(BaseOcrModel):
_log.debug("Initializing TesserOCR: %s", tesseract_version)
lang = "+".join(self.options.lang)
self.script_readers: dict[str, tesserocr.PyTessBaseAPI] = {}
if any([l.startswith("script/") for l in self._tesserocr_languages]):
self.script_prefix = "script/"
else:

View File

@ -61,6 +61,14 @@ class StandardPdfPipeline(PaginatedPipeline):
artifacts_path: Optional[Path] = None
if pipeline_options.artifacts_path is not None:
artifacts_path = Path(pipeline_options.artifacts_path).expanduser()
elif settings.artifacts_path is not None:
artifacts_path = Path(settings.artifacts_path).expanduser()
if artifacts_path is not None and not artifacts_path.is_dir():
raise RuntimeError(
f"The value of {artifacts_path=} is not valid. "
"When defined, it must point to a folder containing all models required by the pipeline."
)
self.keep_images = (
self.pipeline_options.generate_page_images
@ -201,6 +209,7 @@ class StandardPdfPipeline(PaginatedPipeline):
):
return PictureDescriptionApiModel(
enabled=self.pipeline_options.do_picture_description,
enable_remote_services=self.pipeline_options.enable_remote_services,
options=self.pipeline_options.picture_description_options,
)
elif isinstance(

View File

@ -7,36 +7,62 @@ from docling.datamodel.pipeline_options import AcceleratorDevice
_log = logging.getLogger(__name__)
def decide_device(accelerator_device: AcceleratorDevice) -> str:
def decide_device(accelerator_device: str) -> str:
r"""
Resolve the device based on the acceleration options and the available devices in the system
Resolve the device based on the acceleration options and the available devices in the system.
Rules:
1. AUTO: Check for the best available device on the system.
2. User-defined: Check if the device actually exists, otherwise fall-back to CPU
"""
cuda_index = 0
device = "cpu"
has_cuda = torch.backends.cuda.is_built() and torch.cuda.is_available()
has_mps = torch.backends.mps.is_built() and torch.backends.mps.is_available()
if accelerator_device == AcceleratorDevice.AUTO:
if accelerator_device == AcceleratorDevice.AUTO.value: # Handle 'auto'
if has_cuda:
device = f"cuda:{cuda_index}"
device = "cuda:0"
elif has_mps:
device = "mps"
elif accelerator_device.startswith("cuda"):
if has_cuda:
# if cuda device index specified extract device id
parts = accelerator_device.split(":")
if len(parts) == 2 and parts[1].isdigit():
# select cuda device's id
cuda_index = int(parts[1])
if cuda_index < torch.cuda.device_count():
device = f"cuda:{cuda_index}"
else:
_log.warning(
"CUDA device 'cuda:%d' is not available. Fall back to 'CPU'.",
cuda_index,
)
elif len(parts) == 1: # just "cuda"
device = "cuda:0"
else:
_log.warning(
"Invalid CUDA device format '%s'. Fall back to 'CPU'",
accelerator_device,
)
else:
_log.warning("CUDA is not available in the system. Fall back to 'CPU'")
elif accelerator_device == AcceleratorDevice.MPS.value:
if has_mps:
device = "mps"
else:
_log.warning("MPS is not available in the system. Fall back to 'CPU'")
elif accelerator_device == AcceleratorDevice.CPU.value:
device = "cpu"
else:
if accelerator_device == AcceleratorDevice.CUDA:
if has_cuda:
device = f"cuda:{cuda_index}"
else:
_log.warning("CUDA is not available in the system. Fall back to 'CPU'")
elif accelerator_device == AcceleratorDevice.MPS:
if has_mps:
device = "mps"
else:
_log.warning("MPS is not available in the system. Fall back to 'CPU'")
_log.warning(
"Unknown device option '%s'. Fall back to 'CPU'", accelerator_device
)
_log.info("Accelerator device: '%s'", device)
return device

View File

@ -0,0 +1,80 @@
{
"cells": [
{
"cell_type": "markdown",
"metadata": {},
"source": [
"# Conversion of CSV files\n",
"\n",
"This example shows how to convert CSV files to a structured Docling Document.\n",
"\n",
"* Multiple delimiters are supported: `,` `;` `|` `[tab]`\n",
"* Additional CSV dialect settings are detected automatically (e.g. quotes, line separator, escape character)"
]
},
{
"cell_type": "markdown",
"metadata": {},
"source": [
"## Example Code"
]
},
{
"cell_type": "code",
"execution_count": 59,
"metadata": {},
"outputs": [],
"source": [
"from pathlib import Path\n",
"\n",
"from docling.document_converter import DocumentConverter\n",
"\n",
"# Convert CSV to Docling document\n",
"converter = DocumentConverter()\n",
"result = converter.convert(Path(\"../../tests/data/csv/csv-comma.csv\"))\n",
"output = result.document.export_to_markdown()"
]
},
{
"cell_type": "markdown",
"metadata": {},
"source": [
"This code generates the following output:"
]
},
{
"cell_type": "markdown",
"metadata": {},
"source": [
"| Index | Customer Id | First Name | Last Name | Company | City | Country | Phone 1 | Phone 2 | Email | Subscription Date | Website |\n",
"|---------|-----------------|--------------|-------------|---------------------------------|-------------------|----------------------------|------------------------|-----------------------|-----------------------------|---------------------|-----------------------------|\n",
"| 1 | DD37Cf93aecA6Dc | Sheryl | Baxter | Rasmussen Group | East Leonard | Chile | 229.077.5154 | 397.884.0519x718 | zunigavanessa@smith.info | 2020-08-24 | http://www.stephenson.com/ |\n",
"| 2 | 1Ef7b82A4CAAD10 | Preston | Lozano, Dr | Vega-Gentry | East Jimmychester | Djibouti | 5153435776 | 686-620-1820x944 | vmata@colon.com | 2021-04-23 | http://www.hobbs.com/ |\n",
"| 3 | 6F94879bDAfE5a6 | Roy | Berry | Murillo-Perry | Isabelborough | Antigua and Barbuda | +1-539-402-0259 | (496)978-3969x58947 | beckycarr@hogan.com | 2020-03-25 | http://www.lawrence.com/ |\n",
"| 4 | 5Cef8BFA16c5e3c | Linda | Olsen | Dominguez, Mcmillan and Donovan | Bensonview | Dominican Republic | 001-808-617-6467x12895 | +1-813-324-8756 | stanleyblackwell@benson.org | 2020-06-02 | http://www.good-lyons.com/ |\n",
"| 5 | 053d585Ab6b3159 | Joanna | Bender | Martin, Lang and Andrade | West Priscilla | Slovakia (Slovak Republic) | 001-234-203-0635x76146 | 001-199-446-3860x3486 | colinalvarado@miles.net | 2021-04-17 | https://goodwin-ingram.com/ |"
]
}
],
"metadata": {
"kernelspec": {
"display_name": "docling-TtEIaPrw-py3.12",
"language": "python",
"name": "python3"
},
"language_info": {
"codemirror_mode": {
"name": "ipython",
"version": 3
},
"file_extension": ".py",
"mimetype": "text/x-python",
"name": "python",
"nbconvert_exporter": "python",
"pygments_lexer": "ipython3",
"version": "3.12.8"
}
},
"nbformat": 4,
"nbformat_minor": 2
}

View File

@ -82,7 +82,7 @@
"from docling.document_converter import DocumentConverter\n",
"\n",
"# a sample PMC article:\n",
"source = \"../../tests/data/pubmed/elife-56337.nxml\"\n",
"source = \"../../tests/data/jats/elife-56337.nxml\"\n",
"converter = DocumentConverter()\n",
"result = converter.convert(source)\n",
"print(result.status)"
@ -97,7 +97,7 @@
},
{
"cell_type": "code",
"execution_count": 29,
"execution_count": 2,
"metadata": {},
"outputs": [
{
@ -106,11 +106,11 @@
"text": [
"# KRAB-zinc finger protein gene expansion in response to active retrotransposons in the murine lineage\n",
"\n",
"Wolf Gernot; 1: The Eunice Kennedy Shriver National Institute of Child Health and Human Development, The National Institutes of Health: Bethesda: United States; de Iaco Alberto; 2: School of Life Sciences, École Polytechnique Fédérale de Lausanne (EPFL): Lausanne: Switzerland; Sun Ming-An; 1: The Eunice Kennedy Shriver National Institute of Child Health and Human Development, The National Institutes of Health: Bethesda: United States; Bruno Melania; 1: The Eunice Kennedy Shriver National Institute of Child Health and Human Development, The National Institutes of Health: Bethesda: United States; Tinkham Matthew; 1: The Eunice Kennedy Shriver National Institute of Child Health and Human Development, The National Institutes of Health: Bethesda: United States; Hoang Don; 1: The Eunice Kennedy Shriver National Institute of Child Health and Human Development, The National Institutes of Health: Bethesda: United States; Mitra Apratim; 1: The Eunice Kennedy Shriver National Institute of Child Health and Human Development, The National Institutes of Health: Bethesda: United States; Ralls Sherry; 1: The Eunice Kennedy Shriver National Institute of Child Health and Human Development, The National Institutes of Health: Bethesda: United States; Trono Didier; 2: School of Life Sciences, École Polytechnique Fédérale de Lausanne (EPFL): Lausanne: Switzerland; Macfarlan Todd S; 1: The Eunice Kennedy Shriver National Institute of Child Health and Human Development, The National Institutes of Health: Bethesda: United States\n",
"Gernot Wolf, Alberto de Iaco, Ming-An Sun, Melania Bruno, Matthew Tinkham, Don Hoang, Apratim Mitra, Sherry Ralls, Didier Trono, Todd S Macfarlan\n",
"\n",
"The Eunice Kennedy Shriver National Institute of Child Health and Human Development, The National Institutes of Health, Bethesda, United States; School of Life Sciences, École Polytechnique Fédérale de Lausanne (EPFL), Lausanne, Switzerland\n",
"\n",
"## Abstract\n",
"\n",
"The Krüppel-associated box zinc finger protein (KRAB-ZFP) family diversified in mammals. The majority of human KRAB-ZFPs bind transposable elements (TEs), however, since most TEs are inactive in humans it is unclear whether KRAB-ZFPs emerged to suppress TEs. We demonstrate that many recently emerged murine KRAB-ZFPs also bind to TEs, including the active ETn, IAP, and L1 families. Using a CRISPR/Cas9-based engineering approach, we genetically deleted five large clusters of KRAB-ZFPs and demonstrate that target TEs are de-repressed, unleashing TE-encoded enhancers. Homozygous knockout mice lacking one of two KRAB-ZFP gene clusters on chromosome 2 and chromosome 4 were nonetheless viable. In pedigrees of chromosome 4 cluster KRAB-ZFP mutants, we identified numerous novel ETn insertions with a modest increase in mutants. Our data strongly support the current model that recent waves of retrotransposon activity drove the expansion of KRAB-ZFP genes in mice and that many KRAB-ZFPs play a redundant role restricting TE activity.\n",
"\n"
]
}
@ -131,7 +131,7 @@
},
{
"cell_type": "code",
"execution_count": 2,
"execution_count": 3,
"metadata": {},
"outputs": [
{
@ -198,7 +198,7 @@
},
{
"cell_type": "code",
"execution_count": 3,
"execution_count": 4,
"metadata": {},
"outputs": [
{
@ -224,7 +224,7 @@
},
{
"cell_type": "code",
"execution_count": 4,
"execution_count": 5,
"metadata": {},
"outputs": [],
"source": [
@ -261,7 +261,7 @@
},
{
"cell_type": "code",
"execution_count": 5,
"execution_count": 6,
"metadata": {},
"outputs": [],
"source": [
@ -313,7 +313,7 @@
},
{
"cell_type": "code",
"execution_count": 6,
"execution_count": 7,
"metadata": {},
"outputs": [
{
@ -359,9 +359,18 @@
},
{
"cell_type": "code",
"execution_count": null,
"execution_count": 8,
"metadata": {},
"outputs": [],
"outputs": [
{
"name": "stdout",
"output_type": "stream",
"text": [
"Downloading https://bulkdata.uspto.gov/data/patent/grant/redbook/fulltext/2024/ipg241217.zip...\n",
"Parsing zip file, splitting into XML sections, and exporting to files...\n"
]
}
],
"source": [
"import zipfile\n",
"\n",
@ -407,7 +416,7 @@
},
{
"cell_type": "code",
"execution_count": 8,
"execution_count": 9,
"metadata": {},
"outputs": [
{
@ -435,7 +444,7 @@
},
{
"cell_type": "code",
"execution_count": 9,
"execution_count": 11,
"metadata": {},
"outputs": [
{
@ -449,7 +458,7 @@
{
"data": {
"application/vnd.jupyter.widget-view+json": {
"model_id": "3964d1ff30f74588a2f6b53ca8865a9f",
"model_id": "316241ca89a843bda3170f2a5c76c639",
"version_major": 2,
"version_minor": 0
},
@ -471,7 +480,7 @@
"source": [
"from tqdm.notebook import tqdm\n",
"\n",
"from docling.backend.xml.pubmed_backend import PubMedDocumentBackend\n",
"from docling.backend.xml.jats_backend import JatsDocumentBackend\n",
"from docling.backend.xml.uspto_backend import PatentUsptoDocumentBackend\n",
"from docling.datamodel.base_models import InputFormat\n",
"from docling.datamodel.document import InputDocument\n",
@ -479,10 +488,10 @@
"# check PMC\n",
"in_doc = InputDocument(\n",
" path_or_stream=TEMP_DIR / \"nihpp-2024.12.26.630351v1.nxml\",\n",
" format=InputFormat.XML_PUBMED,\n",
" backend=PubMedDocumentBackend,\n",
" format=InputFormat.XML_JATS,\n",
" backend=JatsDocumentBackend,\n",
")\n",
"backend = PubMedDocumentBackend(\n",
"backend = JatsDocumentBackend(\n",
" in_doc=in_doc, path_or_stream=TEMP_DIR / \"nihpp-2024.12.26.630351v1.nxml\"\n",
")\n",
"print(f\"Document {in_doc.file.name} is a valid PMC article? {backend.is_valid()}\")\n",
@ -521,7 +530,7 @@
},
{
"cell_type": "code",
"execution_count": 10,
"execution_count": 12,
"metadata": {},
"outputs": [
{
@ -543,7 +552,7 @@
"cell_type": "markdown",
"metadata": {},
"source": [
"✏️ **Tip**: in general, there is no need to use the backend converters to parse USPTO or PubMed XML files. The generic `DocumentConverter` object tries to guess the input document format and applies the corresponding backend parser. The conversion shown in [Simple Conversion](#simple-conversion) is the recommended usage for the supported XML files."
"✏️ **Tip**: in general, there is no need to use the backend converters to parse USPTO or JATS (PubMed) XML files. The generic `DocumentConverter` object tries to guess the input document format and applies the corresponding backend parser. The conversion shown in [Simple Conversion](#simple-conversion) is the recommended usage for the supported XML files."
]
},
{
@ -579,7 +588,7 @@
},
{
"cell_type": "code",
"execution_count": 11,
"execution_count": 13,
"metadata": {},
"outputs": [],
"source": [
@ -607,7 +616,7 @@
},
{
"cell_type": "code",
"execution_count": 12,
"execution_count": 14,
"metadata": {},
"outputs": [],
"source": [
@ -625,144 +634,9 @@
},
{
"cell_type": "code",
"execution_count": 13,
"execution_count": null,
"metadata": {},
"outputs": [
{
"name": "stderr",
"output_type": "stream",
"text": [
"2025-01-24 16:49:57,108 [DEBUG][_create_connection]: Created new connection using: 2d58fad6c63448a486c0c0ffe3b7b28c (async_milvus_client.py:600)\n",
"Loading files: 51%|█████ | 51/100 [00:00<00:00, 67.88file/s]Input document ipg241217-1050.xml does not match any allowed format.\n"
]
},
{
"name": "stdout",
"output_type": "stream",
"text": [
"Failed to load file /var/folders/2r/b2sdj1512g1_0m7wzzy7sftr0000gn/T/tmp11rjcdj8/ipg241217-1050.xml with error: File format not allowed: /var/folders/2r/b2sdj1512g1_0m7wzzy7sftr0000gn/T/tmp11rjcdj8/ipg241217-1050.xml. Skipping...\n"
]
},
{
"name": "stderr",
"output_type": "stream",
"text": [
"Loading files: 100%|██████████| 100/100 [00:01<00:00, 58.05file/s]\n"
]
},
{
"data": {
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"model_id": "e9208639f1a4418d97267a28305d18fa",
"version_major": 2,
"version_minor": 0
},
"text/plain": [
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]
},
"metadata": {},
"output_type": "display_data"
},
{
"data": {
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},
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]
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},
{
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},
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},
{
"data": {
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{
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"metadata": {},
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},
{
"data": {
"application/vnd.jupyter.widget-view+json": {
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{
"data": {
"application/vnd.jupyter.widget-view+json": {
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},
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"metadata": {},
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},
{
"data": {
"application/vnd.jupyter.widget-view+json": {
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}
],
"outputs": [],
"source": [
"from llama_index.core import StorageContext, VectorStoreIndex\n",
"from llama_index.vector_stores.milvus import MilvusVectorStore\n",

View File

@ -1,7 +1,10 @@
import logging
import os
from pathlib import Path
import requests
from docling_core.types.doc import PictureItem
from dotenv import load_dotenv
from docling.datamodel.base_models import InputFormat
from docling.datamodel.pipeline_options import (
@ -11,27 +14,87 @@ from docling.datamodel.pipeline_options import (
from docling.document_converter import DocumentConverter, PdfFormatOption
def main():
logging.basicConfig(level=logging.INFO)
input_doc_path = Path("./tests/data/pdf/2206.01062.pdf")
# This is using a local API server to do picture description.
# For example, you can launch it locally with:
# $ vllm serve "HuggingFaceTB/SmolVLM-256M-Instruct"
pipeline_options = PdfPipelineOptions()
pipeline_options.do_picture_description = True
pipeline_options.picture_description_options = PictureDescriptionApiOptions(
def vllm_local_options(model: str):
options = PictureDescriptionApiOptions(
url="http://localhost:8000/v1/chat/completions",
params=dict(
model="HuggingFaceTB/SmolVLM-256M-Instruct",
model=model,
seed=42,
max_completion_tokens=200,
),
prompt="Describe the image in three sentences. Be consise and accurate.",
timeout=90,
)
return options
def watsonx_vlm_options():
load_dotenv()
api_key = os.environ.get("WX_API_KEY")
project_id = os.environ.get("WX_PROJECT_ID")
def _get_iam_access_token(api_key: str) -> str:
res = requests.post(
url="https://iam.cloud.ibm.com/identity/token",
headers={
"Content-Type": "application/x-www-form-urlencoded",
},
data=f"grant_type=urn:ibm:params:oauth:grant-type:apikey&apikey={api_key}",
)
res.raise_for_status()
api_out = res.json()
print(f"{api_out=}")
return api_out["access_token"]
options = PictureDescriptionApiOptions(
url="https://us-south.ml.cloud.ibm.com/ml/v1/text/chat?version=2023-05-29",
params=dict(
model_id="meta-llama/llama-3-2-11b-vision-instruct",
project_id=project_id,
parameters=dict(
max_new_tokens=400,
),
),
headers={
"Authorization": "Bearer " + _get_iam_access_token(api_key=api_key),
},
prompt="Describe the image in three sentences. Be consise and accurate.",
timeout=60,
)
return options
def main():
logging.basicConfig(level=logging.INFO)
input_doc_path = Path("./tests/data/pdf/2206.01062.pdf")
pipeline_options = PdfPipelineOptions(
enable_remote_services=True # <-- this is required!
)
pipeline_options.do_picture_description = True
# The PictureDescriptionApiOptions() allows to interface with APIs supporting
# the multi-modal chat interface. Here follow a few example on how to configure those.
#
# One possibility is self-hosting model, e.g. via VLLM.
# $ vllm serve MODEL_NAME
# Then PictureDescriptionApiOptions can point to the localhost endpoint.
#
# Example for the Granite Vision model: (uncomment the following lines)
# pipeline_options.picture_description_options = vllm_local_options(
# model="ibm-granite/granite-vision-3.1-2b-preview"
# )
#
# Example for the SmolVLM model: (uncomment the following lines)
pipeline_options.picture_description_options = vllm_local_options(
model="HuggingFaceTB/SmolVLM-256M-Instruct"
)
#
# Another possibility is using online services, e.g. watsonx.ai.
# Using requires setting the env variables WX_API_KEY and WX_PROJECT_ID.
# Uncomment the following line for this option:
# pipeline_options.picture_description_options = watsonx_vlm_options()
doc_converter = DocumentConverter(
format_options={

View File

@ -30,6 +30,9 @@ def main():
# num_threads=8, device=AcceleratorDevice.CUDA
# )
# easyocr doesnt support cuda:N allocation, defaults to cuda:0
# accelerator_options = AcceleratorOptions(num_threads=8, device="cuda:1")
pipeline_options = PdfPipelineOptions()
pipeline_options.accelerator_options = accelerator_options
pipeline_options.do_ocr = True

View File

@ -43,6 +43,7 @@ def main():
InputFormat.HTML,
InputFormat.PPTX,
InputFormat.ASCIIDOC,
InputFormat.CSV,
InputFormat.MD,
], # whitelist formats, non-matching files are ignored.
format_options={

View File

@ -13,6 +13,7 @@ Below you can find a listing of all supported input and output formats.
| Markdown | |
| AsciiDoc | |
| HTML, XHTML | |
| CSV | |
| PNG, JPEG, TIFF, BMP | Image formats |
Schema-specific support:
@ -20,7 +21,7 @@ Schema-specific support:
| Format | Description |
|--------|-------------|
| USPTO XML | XML format followed by [USPTO](https://www.uspto.gov/patents) patents |
| PMC XML | XML format followed by [PubMed Central®](https://pmc.ncbi.nlm.nih.gov/) articles |
| JATS XML | XML format followed by [JATS](https://jats.nlm.nih.gov/) articles |
| Docling JSON | JSON-serialized [Docling Document](./concepts/docling_document.md) |
## Supported output formats

View File

@ -71,6 +71,37 @@ Or using the CLI:
docling --artifacts-path="/local/path/to/models" FILE
```
#### Using remote services
The main purpose of Docling is to run local models which are not sharing any user data with remote services.
Anyhow, there are valid use cases for processing part of the pipeline using remote services, for example invoking OCR engines from cloud vendors or the usage of hosted LLMs.
In Docling we decided to allow such models, but we require the user to explicitly opt-in in communicating with external services.
```py
from docling.datamodel.base_models import InputFormat
from docling.datamodel.pipeline_options import PdfPipelineOptions
from docling.document_converter import DocumentConverter, PdfFormatOption
pipeline_options = PdfPipelineOptions(enable_remote_services=True)
doc_converter = DocumentConverter(
format_options={
InputFormat.PDF: PdfFormatOption(pipeline_options=pipeline_options)
}
)
```
When the value `enable_remote_services=True` is not set, the system will raise an exception `OperationNotAllowed()`.
_Note: This option is only related to the system sending user data to remote services. Control of pulling data (e.g. model weights) follows the logic described in [Model prefetching and offline usage](#model-prefetching-and-offline-usage)._
##### List of remote model services
The options in this list require the explicit `enable_remote_services=True` when processing the documents.
- `PictureDescriptionApiOptions`: Using vision models via API calls.
#### Adjust pipeline features
The example file [custom_convert.py](./examples/custom_convert.py) contains multiple ways

View File

@ -75,11 +75,14 @@ nav:
- "Figure enrichment": examples/develop_picture_enrichment.py
- "Table export": examples/export_tables.py
- "Multimodal export": examples/export_multimodal.py
- "Annotate picture with local vlm": examples/pictures_description.py
- "Annotate picture with remote vlm": examples/pictures_description_api.py
- "Force full page OCR": examples/full_page_ocr.py
- "Automatic OCR language detection with tesseract": examples/tesseract_lang_detection.py
- "RapidOCR with custom OCR models": examples/rapidocr_with_custom_models.py
- "Accelerator options": examples/run_with_accelerator.py
- "Simple translation": examples/translate.py
- examples/backend_csv.ipynb
- examples/backend_xml_rag.ipynb
- ✂️ Chunking:
- examples/hybrid_chunking.ipynb

453
poetry.lock generated
View File

@ -187,8 +187,8 @@ files = [
lazy-object-proxy = ">=1.4.0"
typing-extensions = {version = ">=4.0.0", markers = "python_version < \"3.11\""}
wrapt = [
{version = ">=1.14,<2", markers = "python_version >= \"3.11\""},
{version = ">=1.11,<2", markers = "python_version < \"3.11\""},
{version = ">=1.14,<2", markers = "python_version >= \"3.11\""},
]
[[package]]
@ -820,13 +820,13 @@ files = [
[[package]]
name = "docling-core"
version = "2.18.0"
version = "2.19.0"
description = "A python library to define and validate data types in Docling."
optional = false
python-versions = "<4.0,>=3.9"
files = [
{file = "docling_core-2.18.0-py3-none-any.whl", hash = "sha256:9dee0084cef3d6d742686629f538653e332ee8b7541ad7581c98c8ddc28149b3"},
{file = "docling_core-2.18.0.tar.gz", hash = "sha256:e8623b8cf4b1e19d5c05c4e3446ac7835afb178997b91c8d11ce8e504a09ec43"},
{file = "docling_core-2.19.0-py3-none-any.whl", hash = "sha256:caa1e13d98fa9a00608091c386609c75b3560c7291e842c252f0b6f8d5812dbd"},
{file = "docling_core-2.19.0.tar.gz", hash = "sha256:ebf3062e31155bb5f0e6132056a2d239a0e6e693a75c5758886909bb9fef461a"},
]
[package.dependencies]
@ -834,7 +834,7 @@ jsonref = ">=1.1.0,<2.0.0"
jsonschema = ">=4.16.0,<5.0.0"
latex2mathml = ">=3.77.0,<4.0.0"
pandas = ">=2.1.4,<3.0.0"
pillow = ">=10.3.0,<11.0.0"
pillow = ">=10.0.0,<12.0.0"
pydantic = ">=2.6.0,<2.10.0 || >2.10.0,<2.10.1 || >2.10.1,<2.10.2 || >2.10.2,<3.0.0"
pyyaml = ">=5.1,<7.0.0"
semchunk = {version = ">=2.2.0,<3.0.0", optional = true, markers = "extra == \"chunking\""}
@ -883,45 +883,45 @@ resolved_reference = "6892adfa4fcf0878b938e8efc1407dec46e96bdd"
[[package]]
name = "docling-parse"
version = "3.3.0"
version = "3.3.1"
description = "Simple package to extract text with coordinates from programmatic PDFs"
optional = false
python-versions = "<4.0,>=3.9"
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@ -7349,13 +7348,13 @@ zstd = ["zstandard (>=0.18.0)"]
[[package]]
name = "virtualenv"
version = "20.29.1"
version = "20.29.2"
description = "Virtual Python Environment builder"
optional = false
python-versions = ">=3.8"
files = [
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[package.dependencies]
@ -7811,4 +7810,4 @@ vlm = ["transformers", "transformers"]
[metadata]
lock-version = "2.0"
python-versions = "^3.9"
content-hash = "19ee67c2a10b5d377e6292699fcf0fb6ff351996a197d6fb747b1471ad7ab7da"
content-hash = "b19c39233b5c7ca2a4feed4886542395492ed43f4957f9c6f097b03e8d5b6148"

View File

@ -1,6 +1,6 @@
[tool.poetry]
name = "docling"
version = "2.21.0" # DO NOT EDIT, updated automatically
version = "2.23.0" # DO NOT EDIT, updated automatically
description = "SDK and CLI for parsing PDF, DOCX, HTML, and more, to a unified document representation for powering downstream workflows such as gen AI applications."
authors = ["Christoph Auer <cau@zurich.ibm.com>", "Michele Dolfi <dol@zurich.ibm.com>", "Maxim Lysak <mly@zurich.ibm.com>", "Nikos Livathinos <nli@zurich.ibm.com>", "Ahmed Nassar <ahn@zurich.ibm.com>", "Panos Vagenas <pva@zurich.ibm.com>", "Peter Staar <taa@zurich.ibm.com>"]
license = "MIT"
@ -26,7 +26,7 @@ packages = [{include = "docling"}]
######################
python = "^3.9"
pydantic = "^2.0.0"
docling-core = {extras = ["chunking"], version = "^2.18.0"}
docling-core = {extras = ["chunking"], version = "^2.19.0"}
docling-ibm-models = {git = "https://github.com/DS4SD/docling-ibm-models.git", rev = "dev/add-reading-order"}
docling-parse = "^3.3.0"
filetype = "^1.2.0"
@ -62,7 +62,7 @@ transformers = [
{markers = "sys_platform != 'darwin' or platform_machine != 'x86_64'", version = "^4.46.0", optional = true },
{markers = "sys_platform == 'darwin' and platform_machine == 'x86_64'", version = "~4.42.0", optional = true }
]
pillow = "^10.0.0"
pillow = ">=10.0.0,<12.0.0"
tqdm = "^4.65.0"
[tool.poetry.group.dev.dependencies]

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Index,Customer Id,First Name,Last Name,Company,City,Country,Phone 1,Phone 2,Email,Subscription Date,Website
1,DD37Cf93aecA6Dc,Sheryl,Baxter,Rasmussen Group,East Leonard,Chile,229.077.5154,397.884.0519x718,zunigavanessa@smith.info,2020-08-24,http://www.stephenson.com/
2,1Ef7b82A4CAAD10,Preston,"Lozano, Dr",Vega-Gentry,East Jimmychester,Djibouti,5153435776,686-620-1820x944,vmata@colon.com,2021-04-23,http://www.hobbs.com/
3,6F94879bDAfE5a6,Roy,Berry,Murillo-Perry,Isabelborough,Antigua and Barbuda,+1-539-402-0259,(496)978-3969x58947,beckycarr@hogan.com,2020-03-25,http://www.lawrence.com/
4,5Cef8BFA16c5e3c,Linda,Olsen,"Dominguez, Mcmillan and Donovan",Bensonview,Dominican Republic,001-808-617-6467x12895,+1-813-324-8756,stanleyblackwell@benson.org,2020-06-02,http://www.good-lyons.com/
5,053d585Ab6b3159,Joanna,Bender,"Martin, Lang and Andrade",West Priscilla,Slovakia (Slovak Republic),001-234-203-0635x76146,001-199-446-3860x3486,colinalvarado@miles.net,2021-04-17,https://goodwin-ingram.com/
1 Index Customer Id First Name Last Name Company City Country Phone 1 Phone 2 Email Subscription Date Website
2 1 DD37Cf93aecA6Dc Sheryl Baxter Rasmussen Group East Leonard Chile 229.077.5154 397.884.0519x718 zunigavanessa@smith.info 2020-08-24 http://www.stephenson.com/
3 2 1Ef7b82A4CAAD10 Preston Lozano, Dr Vega-Gentry East Jimmychester Djibouti 5153435776 686-620-1820x944 vmata@colon.com 2021-04-23 http://www.hobbs.com/
4 3 6F94879bDAfE5a6 Roy Berry Murillo-Perry Isabelborough Antigua and Barbuda +1-539-402-0259 (496)978-3969x58947 beckycarr@hogan.com 2020-03-25 http://www.lawrence.com/
5 4 5Cef8BFA16c5e3c Linda Olsen Dominguez, Mcmillan and Donovan Bensonview Dominican Republic 001-808-617-6467x12895 +1-813-324-8756 stanleyblackwell@benson.org 2020-06-02 http://www.good-lyons.com/
6 5 053d585Ab6b3159 Joanna Bender Martin, Lang and Andrade West Priscilla Slovakia (Slovak Republic) 001-234-203-0635x76146 001-199-446-3860x3486 colinalvarado@miles.net 2021-04-17 https://goodwin-ingram.com/

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5 a,b,c,d

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@ -0,0 +1,6 @@
Index|Customer Id|First Name|Last Name|Company|City|Country|Phone 1|Phone 2|Email|Subscription Date|Website
1|DD37Cf93aecA6Dc|Sheryl|Baxter|Rasmussen Group|East Leonard|Chile|229.077.5154|397.884.0519x718|zunigavanessa@smith.info|2020-08-24|http://www.stephenson.com/
2|1Ef7b82A4CAAD10|Preston|Lozano|Vega-Gentry|East Jimmychester|Djibouti|5153435776|686-620-1820x944|vmata@colon.com|2021-04-23|http://www.hobbs.com/
3|6F94879bDAfE5a6|Roy|Berry|Murillo-Perry|Isabelborough|Antigua and Barbuda|+1-539-402-0259|(496)978-3969x58947|beckycarr@hogan.com|2020-03-25|http://www.lawrence.com/
4|5Cef8BFA16c5e3c|Linda|Olsen|"Dominguez|Mcmillan and Donovan"|Bensonview|Dominican Republic|001-808-617-6467x12895|+1-813-324-8756|stanleyblackwell@benson.org|2020-06-02|http://www.good-lyons.com/
5|053d585Ab6b3159|Joanna|Bender|"Martin|Lang and Andrade"|West Priscilla|Slovakia (Slovak Republic)|001-234-203-0635x76146|001-199-446-3860x3486|colinalvarado@miles.net|2021-04-17|https://goodwin-ingram.com/
1 Index Customer Id First Name Last Name Company City Country Phone 1 Phone 2 Email Subscription Date Website
2 1 DD37Cf93aecA6Dc Sheryl Baxter Rasmussen Group East Leonard Chile 229.077.5154 397.884.0519x718 zunigavanessa@smith.info 2020-08-24 http://www.stephenson.com/
3 2 1Ef7b82A4CAAD10 Preston Lozano Vega-Gentry East Jimmychester Djibouti 5153435776 686-620-1820x944 vmata@colon.com 2021-04-23 http://www.hobbs.com/
4 3 6F94879bDAfE5a6 Roy Berry Murillo-Perry Isabelborough Antigua and Barbuda +1-539-402-0259 (496)978-3969x58947 beckycarr@hogan.com 2020-03-25 http://www.lawrence.com/
5 4 5Cef8BFA16c5e3c Linda Olsen Dominguez|Mcmillan and Donovan Bensonview Dominican Republic 001-808-617-6467x12895 +1-813-324-8756 stanleyblackwell@benson.org 2020-06-02 http://www.good-lyons.com/
6 5 053d585Ab6b3159 Joanna Bender Martin|Lang and Andrade West Priscilla Slovakia (Slovak Republic) 001-234-203-0635x76146 001-199-446-3860x3486 colinalvarado@miles.net 2021-04-17 https://goodwin-ingram.com/

View File

@ -0,0 +1,6 @@
Index;Customer Id;First Name;Last Name;Company;City;Country;Phone 1;Phone 2;Email;Subscription Date;Website
1;DD37Cf93aecA6Dc;Sheryl;Baxter;Rasmussen Group;East Leonard;Chile;229.077.5154;397.884.0519x718;zunigavanessa@smith.info;2020-08-24;http://www.stephenson.com/
2;1Ef7b82A4CAAD10;Preston;Lozano;Vega-Gentry;East Jimmychester;Djibouti;5153435776;686-620-1820x944;vmata@colon.com;2021-04-23;http://www.hobbs.com/
3;6F94879bDAfE5a6;Roy;Berry;Murillo-Perry;Isabelborough;Antigua and Barbuda;+1-539-402-0259;(496)978-3969x58947;beckycarr@hogan.com;2020-03-25;http://www.lawrence.com/
4;5Cef8BFA16c5e3c;Linda;Olsen;"Dominguez;Mcmillan and Donovan";Bensonview;Dominican Republic;001-808-617-6467x12895;+1-813-324-8756;stanleyblackwell@benson.org;2020-06-02;http://www.good-lyons.com/
5;053d585Ab6b3159;Joanna;Bender;"Martin;Lang and Andrade";West Priscilla;Slovakia (Slovak Republic);001-234-203-0635x76146;001-199-446-3860x3486;colinalvarado@miles.net;2021-04-17;https://goodwin-ingram.com/
1 Index Customer Id First Name Last Name Company City Country Phone 1 Phone 2 Email Subscription Date Website
2 1 DD37Cf93aecA6Dc Sheryl Baxter Rasmussen Group East Leonard Chile 229.077.5154 397.884.0519x718 zunigavanessa@smith.info 2020-08-24 http://www.stephenson.com/
3 2 1Ef7b82A4CAAD10 Preston Lozano Vega-Gentry East Jimmychester Djibouti 5153435776 686-620-1820x944 vmata@colon.com 2021-04-23 http://www.hobbs.com/
4 3 6F94879bDAfE5a6 Roy Berry Murillo-Perry Isabelborough Antigua and Barbuda +1-539-402-0259 (496)978-3969x58947 beckycarr@hogan.com 2020-03-25 http://www.lawrence.com/
5 4 5Cef8BFA16c5e3c Linda Olsen Dominguez;Mcmillan and Donovan Bensonview Dominican Republic 001-808-617-6467x12895 +1-813-324-8756 stanleyblackwell@benson.org 2020-06-02 http://www.good-lyons.com/
6 5 053d585Ab6b3159 Joanna Bender Martin;Lang and Andrade West Priscilla Slovakia (Slovak Republic) 001-234-203-0635x76146 001-199-446-3860x3486 colinalvarado@miles.net 2021-04-17 https://goodwin-ingram.com/

View File

@ -0,0 +1,6 @@
Index Customer Id First Name Last Name Company City Country Phone 1 Phone 2 Email Subscription Date Website
1 DD37Cf93aecA6Dc Sheryl Baxter Rasmussen Group East Leonard Chile 229.077.5154 397.884.0519x718 zunigavanessa@smith.info 2020-08-24 http://www.stephenson.com/
2 1Ef7b82A4CAAD10 Preston Lozano Vega-Gentry East Jimmychester Djibouti 5153435776 686-620-1820x944 vmata@colon.com 2021-04-23 http://www.hobbs.com/
3 6F94879bDAfE5a6 Roy Berry Murillo-Perry Isabelborough Antigua and Barbuda +1-539-402-0259 (496)978-3969x58947 beckycarr@hogan.com 2020-03-25 http://www.lawrence.com/
4 5Cef8BFA16c5e3c Linda Olsen "Dominguez Mcmillan and Donovan" Bensonview Dominican Republic 001-808-617-6467x12895 +1-813-324-8756 stanleyblackwell@benson.org 2020-06-02 http://www.good-lyons.com/
5 053d585Ab6b3159 Joanna Bender "Martin Lang and Andrade" West Priscilla Slovakia (Slovak Republic) 001-234-203-0635x76146 001-199-446-3860x3486 colinalvarado@miles.net 2021-04-17 https://goodwin-ingram.com/
1 Index Customer Id First Name Last Name Company City Country Phone 1 Phone 2 Email Subscription Date Website
2 1 DD37Cf93aecA6Dc Sheryl Baxter Rasmussen Group East Leonard Chile 229.077.5154 397.884.0519x718 zunigavanessa@smith.info 2020-08-24 http://www.stephenson.com/
3 2 1Ef7b82A4CAAD10 Preston Lozano Vega-Gentry East Jimmychester Djibouti 5153435776 686-620-1820x944 vmata@colon.com 2021-04-23 http://www.hobbs.com/
4 3 6F94879bDAfE5a6 Roy Berry Murillo-Perry Isabelborough Antigua and Barbuda +1-539-402-0259 (496)978-3969x58947 beckycarr@hogan.com 2020-03-25 http://www.lawrence.com/
5 4 5Cef8BFA16c5e3c Linda Olsen Dominguez Mcmillan and Donovan Bensonview Dominican Republic 001-808-617-6467x12895 +1-813-324-8756 stanleyblackwell@benson.org 2020-06-02 http://www.good-lyons.com/
6 5 053d585Ab6b3159 Joanna Bender Martin Lang and Andrade West Priscilla Slovakia (Slovak Republic) 001-234-203-0635x76146 001-199-446-3860x3486 colinalvarado@miles.net 2021-04-17 https://goodwin-ingram.com/

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<document>
<section_header_level_1><location><page_1><loc_16><loc_85><loc_82><loc_86></location>TableFormer: Table Structure Understanding with Transformers.</section_header_level_1>
<section_header_level_1><location><page_1><loc_23><loc_78><loc_74><loc_81></location>Ahmed Nassar, Nikolaos Livathinos, Maksym Lysak, Peter Staar IBM Research</section_header_level_1>
<text><location><page_1><loc_34><loc_77><loc_62><loc_78></location>{ ahn,nli,mly,taa } @zurich.ibm.com</text>
<section_header_level_1><location><page_1><loc_24><loc_71><loc_31><loc_73></location>Abstract</section_header_level_1>
<section_header_level_1><location><page_1><loc_52><loc_71><loc_67><loc_72></location>a. Picture of a table:</section_header_level_1>
<section_header_level_1><location><page_1><loc_8><loc_30><loc_21><loc_32></location>1. Introduction</section_header_level_1>
<text><location><page_1><loc_8><loc_10><loc_47><loc_29></location>The occurrence of tables in documents is ubiquitous. They often summarise quantitative or factual data, which is cumbersome to describe in verbose text but nevertheless extremely valuable. Unfortunately, this compact representation is often not easy to parse by machines. There are many implicit conventions used to obtain a compact table representation. For example, tables often have complex columnand row-headers in order to reduce duplicated cell content. Lines of different shapes and sizes are leveraged to separate content or indicate a tree structure. Additionally, tables can also have empty/missing table-entries or multi-row textual table-entries. Fig. 1 shows a table which presents all these issues.</text>
<figure>
<location><page_1><loc_52><loc_62><loc_88><loc_71></location>
</figure>
<table>
<location><page_1><loc_52><loc_62><loc_88><loc_71></location>
<caption>Tables organize valuable content in a concise and compact representation. This content is extremely valuable for systems such as search engines, Knowledge Graph's, etc, since they enhance their predictive capabilities. Unfortunately, tables come in a large variety of shapes and sizes. Furthermore, they can have complex column/row-header configurations, multiline rows, different variety of separation lines, missing entries, etc. As such, the correct identification of the table-structure from an image is a nontrivial task. In this paper, we present a new table-structure identification model. The latter improves the latest end-toend deep learning model (i.e. encoder-dual-decoder from PubTabNet) in two significant ways. First, we introduce a new object detection decoder for table-cells. In this way, we can obtain the content of the table-cells from programmatic PDF's directly from the PDF source and avoid the training of the custom OCR decoders. This architectural change leads to more accurate table-content extraction and allows us to tackle non-english tables. Second, we replace the LSTM decoders with transformer based decoders. This upgrade improves significantly the previous state-of-the-art tree-editing-distance-score (TEDS) from 91% to 98.5% on simple tables and from 88.7% to 95% on complex tables.</caption>
<row_0><col_0><col_header>3</col_0><col_1><col_header>1</col_1></row_0>
</table>
<unordered_list>
<list_item><location><page_1><loc_52><loc_58><loc_79><loc_60></location>b. Red-annotation of bounding boxes, Blue-predictions by TableFormer</list_item>
<doctag><page_header><loc_15><loc_131><loc_30><loc_354>arXiv:2203.01017v2 [cs.CV] 11 Mar 2022</page_header>
<section_header_level_1><loc_79><loc_68><loc_408><loc_76>TableFormer: Table Structure Understanding with Transformers.</section_header_level_1>
<section_header_level_1><loc_116><loc_93><loc_370><loc_108>Ahmed Nassar, Nikolaos Livathinos, Maksym Lysak, Peter Staar IBM Research</section_header_level_1>
<text><loc_170><loc_111><loc_309><loc_116>{ ahn,nli,mly,taa } @zurich.ibm.com</text>
<section_header_level_1><loc_119><loc_136><loc_156><loc_143>Abstract</section_header_level_1>
<section_header_level_1><loc_258><loc_138><loc_334><loc_143>a. Picture of a table:</section_header_level_1>
<section_header_level_1><loc_41><loc_341><loc_104><loc_348>1. Introduction</section_header_level_1>
<text><loc_41><loc_354><loc_234><loc_450>The occurrence of tables in documents is ubiquitous. They often summarise quantitative or factual data, which is cumbersome to describe in verbose text but nevertheless extremely valuable. Unfortunately, this compact representation is often not easy to parse by machines. There are many implicit conventions used to obtain a compact table representation. For example, tables often have complex columnand row-headers in order to reduce duplicated cell content. Lines of different shapes and sizes are leveraged to separate content or indicate a tree structure. Additionally, tables can also have empty/missing table-entries or multi-row textual table-entries. Fig. 1 shows a table which presents all these issues.</text>
<picture><loc_258><loc_144><loc_439><loc_191></picture>
<otsl><loc_258><loc_144><loc_439><loc_191><ched>3<ched>1<nl><caption><loc_41><loc_152><loc_234><loc_324>Tables organize valuable content in a concise and compact representation. This content is extremely valuable for systems such as search engines, Knowledge Graph's, etc, since they enhance their predictive capabilities. Unfortunately, tables come in a large variety of shapes and sizes. Furthermore, they can have complex column/row-header configurations, multiline rows, different variety of separation lines, missing entries, etc. As such, the correct identification of the table-structure from an image is a nontrivial task. In this paper, we present a new table-structure identification model. The latter improves the latest end-toend deep learning model (i.e. encoder-dual-decoder from PubTabNet) in two significant ways. First, we introduce a new object detection decoder for table-cells. In this way, we can obtain the content of the table-cells from programmatic PDF's directly from the PDF source and avoid the training of the custom OCR decoders. This architectural change leads to more accurate table-content extraction and allows us to tackle non-english tables. Second, we replace the LSTM decoders with transformer based decoders. This upgrade improves significantly the previous state-of-the-art tree-editing-distance-score (TEDS) from 91% to 98.5% on simple tables and from 88.7% to 95% on complex tables.</caption></otsl>
<unordered_list><list_item><loc_258><loc_198><loc_397><loc_210>b. Red-annotation of bounding boxes, Blue-predictions by TableFormer</list_item>
</unordered_list>
<figure>
<location><page_1><loc_51><loc_48><loc_88><loc_57></location>
</figure>
<unordered_list>
<list_item><location><page_1><loc_52><loc_46><loc_80><loc_47></location>c. Structure predicted by TableFormer:</list_item>
<picture><loc_257><loc_213><loc_441><loc_259></picture>
<unordered_list><list_item><loc_258><loc_265><loc_401><loc_271>c. Structure predicted by TableFormer:</list_item>
</unordered_list>
<figure>
<location><page_1><loc_52><loc_37><loc_88><loc_45></location>
</figure>
<table>
<location><page_1><loc_52><loc_37><loc_88><loc_45></location>
<caption>Figure 1: Picture of a table with subtle, complex features such as (1) multi-column headers, (2) cell with multi-row text and (3) cells with no content. Image from PubTabNet evaluation set, filename: 'PMC2944238 004 02'.</caption>
<row_0><col_0><col_header>0</col_0><col_1><col_header>1</col_1><col_2><col_header>1</col_2><col_3><col_header>2 1</col_3><col_4><col_header>2 1</col_4><col_5><body></col_5></row_0>
<row_1><col_0><body>3</col_0><col_1><body>4</col_1><col_2><body>5 3</col_2><col_3><body>6</col_3><col_4><body>7</col_4><col_5><body></col_5></row_1>
<row_2><col_0><body>8</col_0><col_1><body>9</col_1><col_2><body>10</col_2><col_3><body>11</col_3><col_4><body>12</col_4><col_5><body>2</col_5></row_2>
<row_3><col_0><body></col_0><col_1><body>13</col_1><col_2><body>14</col_2><col_3><body>15</col_3><col_4><body>16</col_4><col_5><body>2</col_5></row_3>
<row_4><col_0><body></col_0><col_1><body>17</col_1><col_2><body>18</col_2><col_3><body>19</col_3><col_4><body>20</col_4><col_5><body>2</col_5></row_4>
</table>
<text><location><page_1><loc_50><loc_16><loc_89><loc_26></location>Recently, significant progress has been made with vision based approaches to extract tables in documents. For the sake of completeness, the issue of table extraction from documents is typically decomposed into two separate challenges, i.e. (1) finding the location of the table(s) on a document-page and (2) finding the structure of a given table in the document.</text>
<text><location><page_1><loc_50><loc_10><loc_89><loc_16></location>The first problem is called table-location and has been previously addressed [30, 38, 19, 21, 23, 26, 8] with stateof-the-art object-detection networks (e.g. YOLO and later on Mask-RCNN [9]). For all practical purposes, it can be</text>
<text><location><page_2><loc_8><loc_88><loc_47><loc_91></location>considered as a solved problem, given enough ground-truth data to train on.</text>
<text><location><page_2><loc_8><loc_71><loc_47><loc_87></location>The second problem is called table-structure decomposition. The latter is a long standing problem in the community of document understanding [6, 4, 14]. Contrary to the table-location problem, there are no commonly used approaches that can easily be re-purposed to solve this problem. Lately, a set of new model-architectures has been proposed by the community to address table-structure decomposition [37, 36, 18, 20]. All these models have some weaknesses (see Sec. 2). The common denominator here is the reliance on textual features and/or the inability to provide the bounding box of each table-cell in the original image.</text>
<text><location><page_2><loc_8><loc_53><loc_47><loc_71></location>In this paper, we want to address these weaknesses and present a robust table-structure decomposition algorithm. The design criteria for our model are the following. First, we want our algorithm to be language agnostic. In this way, we can obtain the structure of any table, irregardless of the language. Second, we want our algorithm to leverage as much data as possible from the original PDF document. For programmatic PDF documents, the text-cells can often be extracted much faster and with higher accuracy compared to OCR methods. Last but not least, we want to have a direct link between the table-cell and its bounding box in the image.</text>
<text><location><page_2><loc_8><loc_45><loc_47><loc_53></location>To meet the design criteria listed above, we developed a new model called TableFormer and a synthetically generated table structure dataset called SynthTabNet $^{1}$. In particular, our contributions in this work can be summarised as follows:</text>
<unordered_list>
<list_item><location><page_2><loc_10><loc_38><loc_47><loc_44></location>· We propose TableFormer , a transformer based model that predicts tables structure and bounding boxes for the table content simultaneously in an end-to-end approach.</list_item>
<list_item><location><page_2><loc_10><loc_31><loc_47><loc_37></location>· Across all benchmark datasets TableFormer significantly outperforms existing state-of-the-art metrics, while being much more efficient in training and inference to existing works.</list_item>
<list_item><location><page_2><loc_10><loc_25><loc_47><loc_29></location>· We present SynthTabNet a synthetically generated dataset, with various appearance styles and complexity.</list_item>
<list_item><location><page_2><loc_10><loc_19><loc_47><loc_24></location>· An augmented dataset based on PubTabNet [37], FinTabNet [36], and TableBank [17] with generated ground-truth for reproducibility.</list_item>
<picture><loc_258><loc_274><loc_439><loc_313></picture>
<otsl><loc_258><loc_274><loc_439><loc_313><ched>0<ched>1<lcel><ched>2 1<lcel><ecel><nl><fcel>3<fcel>4<fcel>5 3<fcel>6<fcel>7<ecel><nl><fcel>8<fcel>9<fcel>10<fcel>11<fcel>12<fcel>2<nl><ecel><fcel>13<fcel>14<fcel>15<fcel>16<ucel><nl><ecel><fcel>17<fcel>18<fcel>19<fcel>20<ucel><nl><caption><loc_252><loc_325><loc_445><loc_353>Figure 1: Picture of a table with subtle, complex features such as (1) multi-column headers, (2) cell with multi-row text and (3) cells with no content. Image from PubTabNet evaluation set, filename: 'PMC2944238 004 02'.</caption></otsl>
<text><loc_252><loc_369><loc_445><loc_420>Recently, significant progress has been made with vision based approaches to extract tables in documents. For the sake of completeness, the issue of table extraction from documents is typically decomposed into two separate challenges, i.e. (1) finding the location of the table(s) on a document-page and (2) finding the structure of a given table in the document.</text>
<text><loc_252><loc_422><loc_445><loc_450>The first problem is called table-location and has been previously addressed [30, 38, 19, 21, 23, 26, 8] with stateof-the-art object-detection networks (e.g. YOLO and later on Mask-RCNN [9]). For all practical purposes, it can be</text>
<page_footer><loc_241><loc_463><loc_245><loc_469>1</page_footer>
<page_break>
<text><loc_41><loc_47><loc_234><loc_61>considered as a solved problem, given enough ground-truth data to train on.</text>
<text><loc_41><loc_63><loc_234><loc_144>The second problem is called table-structure decomposition. The latter is a long standing problem in the community of document understanding [6, 4, 14]. Contrary to the table-location problem, there are no commonly used approaches that can easily be re-purposed to solve this problem. Lately, a set of new model-architectures has been proposed by the community to address table-structure decomposition [37, 36, 18, 20]. All these models have some weaknesses (see Sec. 2). The common denominator here is the reliance on textual features and/or the inability to provide the bounding box of each table-cell in the original image.</text>
<text><loc_41><loc_146><loc_234><loc_235>In this paper, we want to address these weaknesses and present a robust table-structure decomposition algorithm. The design criteria for our model are the following. First, we want our algorithm to be language agnostic. In this way, we can obtain the structure of any table, irregardless of the language. Second, we want our algorithm to leverage as much data as possible from the original PDF document. For programmatic PDF documents, the text-cells can often be extracted much faster and with higher accuracy compared to OCR methods. Last but not least, we want to have a direct link between the table-cell and its bounding box in the image.</text>
<text><loc_41><loc_237><loc_234><loc_273>To meet the design criteria listed above, we developed a new model called TableFormer and a synthetically generated table structure dataset called SynthTabNet $^{1}$. In particular, our contributions in this work can be summarised as follows:</text>
<unordered_list><list_item><loc_50><loc_281><loc_234><loc_309>· We propose TableFormer , a transformer based model that predicts tables structure and bounding boxes for the table content simultaneously in an end-to-end approach.</list_item>
<list_item><loc_50><loc_317><loc_234><loc_345>· Across all benchmark datasets TableFormer significantly outperforms existing state-of-the-art metrics, while being much more efficient in training and inference to existing works.</list_item>
<list_item><loc_50><loc_353><loc_234><loc_374>· We present SynthTabNet a synthetically generated dataset, with various appearance styles and complexity.</list_item>
<list_item><loc_50><loc_382><loc_234><loc_403>· An augmented dataset based on PubTabNet [37], FinTabNet [36], and TableBank [17] with generated ground-truth for reproducibility.</list_item>
</unordered_list>
<text><location><page_2><loc_8><loc_12><loc_47><loc_18></location>The paper is structured as follows. In Sec. 2, we give a brief overview of the current state-of-the-art. In Sec. 3, we describe the datasets on which we train. In Sec. 4, we introduce the TableFormer model-architecture and describe</text>
<text><location><page_2><loc_50><loc_86><loc_89><loc_91></location>its results & performance in Sec. 5. As a conclusion, we describe how this new model-architecture can be re-purposed for other tasks in the computer-vision community.</text>
<section_header_level_1><location><page_2><loc_50><loc_83><loc_81><loc_85></location>2. Previous work and State of the Art</section_header_level_1>
<text><location><page_2><loc_50><loc_58><loc_89><loc_82></location>Identifying the structure of a table has been an outstanding problem in the document-parsing community, that motivates many organised public challenges [6, 4, 14]. The difficulty of the problem can be attributed to a number of factors. First, there is a large variety in the shapes and sizes of tables. Such large variety requires a flexible method. This is especially true for complex column- and row headers, which can be extremely intricate and demanding. A second factor of complexity is the lack of data with regard to table-structure. Until the publication of PubTabNet [37], there were no large datasets (i.e. > 100 K tables) that provided structure information. This happens primarily due to the fact that tables are notoriously time-consuming to annotate by hand. However, this has definitely changed in recent years with the deliverance of PubTabNet [37], FinTabNet [36], TableBank [17] etc.</text>
<text><location><page_2><loc_50><loc_43><loc_89><loc_58></location>Before the rising popularity of deep neural networks, the community relied heavily on heuristic and/or statistical methods to do table structure identification [3, 7, 11, 5, 13, 28]. Although such methods work well on constrained tables [12], a more data-driven approach can be applied due to the advent of convolutional neural networks (CNNs) and the availability of large datasets. To the best-of-our knowledge, there are currently two different types of network architecture that are being pursued for state-of-the-art tablestructure identification.</text>
<text><location><page_2><loc_50><loc_10><loc_89><loc_43></location>Image-to-Text networks : In this type of network, one predicts a sequence of tokens starting from an encoded image. Such sequences of tokens can be HTML table tags [37, 17] or LaTeX symbols[10]. The choice of symbols is ultimately not very important, since one can be transformed into the other. There are however subtle variations in the Image-to-Text networks. The easiest network architectures are "image-encoder → text-decoder" (IETD), similar to network architectures that try to provide captions to images [32]. In these IETD networks, one expects as output the LaTeX/HTML string of the entire table, i.e. the symbols necessary for creating the table with the content of the table. Another approach is the "image-encoder → dual decoder" (IEDD) networks. In these type of networks, one has two consecutive decoders with different purposes. The first decoder is the tag-decoder , i.e. it only produces the HTML/LaTeX tags which construct an empty table. The second content-decoder uses the encoding of the image in combination with the output encoding of each cell-tag (from the tag-decoder ) to generate the textual content of each table cell. The network architecture of IEDD is certainly more elaborate, but it has the advantage that one can pre-train the</text>
<text><location><page_3><loc_8><loc_89><loc_41><loc_91></location>tag-decoder which is constrained to the table-tags.</text>
<text><location><page_3><loc_8><loc_65><loc_47><loc_89></location>In practice, both network architectures (IETD and IEDD) require an implicit, custom trained object-characterrecognition (OCR) to obtain the content of the table-cells. In the case of IETD, this OCR engine is implicit in the decoder similar to [24]. For the IEDD, the OCR is solely embedded in the content-decoder. This reliance on a custom, implicit OCR decoder is of course problematic. OCR is a well known and extremely tough problem, that often needs custom training for each individual language. However, the limited availability for non-english content in the current datasets, makes it impractical to apply the IETD and IEDD methods on tables with other languages. Additionally, OCR can be completely omitted if the tables originate from programmatic PDF documents with known positions of each cell. The latter was the inspiration for the work of this paper.</text>
<text><location><page_3><loc_8><loc_38><loc_47><loc_65></location>Graph Neural networks : Graph Neural networks (GNN's) take a radically different approach to tablestructure extraction. Note that one table cell can constitute out of multiple text-cells. To obtain the table-structure, one creates an initial graph, where each of the text-cells becomes a node in the graph similar to [33, 34, 2]. Each node is then associated with en embedding vector coming from the encoded image, its coordinates and the encoded text. Furthermore, nodes that represent adjacent text-cells are linked. Graph Convolutional Networks (GCN's) based methods take the image as an input, but also the position of the text-cells and their content [18]. The purpose of a GCN is to transform the input graph into a new graph, which replaces the old links with new ones. The new links then represent the table-structure. With this approach, one can avoid the need to build custom OCR decoders. However, the quality of the reconstructed structure is not comparable to the current state-of-the-art [18].</text>
<text><location><page_3><loc_8><loc_21><loc_47><loc_38></location>Hybrid Deep Learning-Rule-Based approach : A popular current model for table-structure identification is the use of a hybrid Deep Learning-Rule-Based approach similar to [27, 29]. In this approach, one first detects the position of the table-cells with object detection (e.g. YoloVx or MaskRCNN), then classifies the table into different types (from its images) and finally uses different rule-sets to obtain its table-structure. Currently, this approach achieves stateof-the-art results, but is not an end-to-end deep-learning method. As such, new rules need to be written if different types of tables are encountered.</text>
<section_header_level_1><location><page_3><loc_8><loc_18><loc_17><loc_20></location>3. Datasets</section_header_level_1>
<text><location><page_3><loc_8><loc_10><loc_47><loc_17></location>We rely on large-scale datasets such as PubTabNet [37], FinTabNet [36], and TableBank [17] datasets to train and evaluate our models. These datasets span over various appearance styles and content. We also introduce our own synthetically generated SynthTabNet dataset to fix an im-</text>
<figure>
<location><page_3><loc_51><loc_68><loc_90><loc_90></location>
<caption>Figure 2: Distribution of the tables across different table dimensions in PubTabNet + FinTabNet datasets</caption>
</figure>
<text><location><page_3><loc_50><loc_59><loc_71><loc_60></location>balance in the previous datasets.</text>
<text><location><page_3><loc_50><loc_21><loc_89><loc_58></location>The PubTabNet dataset contains 509k tables delivered as annotated PNG images. The annotations consist of the table structure represented in HTML format, the tokenized text and its bounding boxes per table cell. Fig. 1 shows the appearance style of PubTabNet. Depending on its complexity, a table is characterized as "simple" when it does not contain row spans or column spans, otherwise it is "complex". The dataset is divided into Train and Val splits (roughly 98% and 2%). The Train split consists of 54% simple and 46% complex tables and the Val split of 51% and 49% respectively. The FinTabNet dataset contains 112k tables delivered as single-page PDF documents with mixed table structures and text content. Similarly to the PubTabNet, the annotations of FinTabNet include the table structure in HTML, the tokenized text and the bounding boxes on a table cell basis. The dataset is divided into Train, Test and Val splits (81%, 9.5%, 9.5%), and each one is almost equally divided into simple and complex tables (Train: 48% simple, 52% complex, Test: 48% simple, 52% complex, Test: 53% simple, 47% complex). Finally the TableBank dataset consists of 145k tables provided as JPEG images. The latter has annotations for the table structure, but only few with bounding boxes of the table cells. The entire dataset consists of simple tables and it is divided into 90% Train, 3% Test and 7% Val splits.</text>
<text><location><page_3><loc_50><loc_10><loc_89><loc_20></location>Due to the heterogeneity across the dataset formats, it was necessary to combine all available data into one homogenized dataset before we could train our models for practical purposes. Given the size of PubTabNet, we adopted its annotation format and we extracted and converted all tables as PNG images with a resolution of 72 dpi. Additionally, we have filtered out tables with extreme sizes due to small</text>
<text><location><page_4><loc_8><loc_88><loc_47><loc_91></location>amount of such tables, and kept only those ones ranging between 1*1 and 20*10 (rows/columns).</text>
<text><location><page_4><loc_8><loc_60><loc_47><loc_87></location>The availability of the bounding boxes for all table cells is essential to train our models. In order to distinguish between empty and non-empty bounding boxes, we have introduced a binary class in the annotation. Unfortunately, the original datasets either omit the bounding boxes for whole tables (e.g. TableBank) or they narrow their scope only to non-empty cells. Therefore, it was imperative to introduce a data pre-processing procedure that generates the missing bounding boxes out of the annotation information. This procedure first parses the provided table structure and calculates the dimensions of the most fine-grained grid that covers the table structure. Notice that each table cell may occupy multiple grid squares due to row or column spans. In case of PubTabNet we had to compute missing bounding boxes for 48% of the simple and 69% of the complex tables. Regarding FinTabNet, 68% of the simple and 98% of the complex tables require the generation of bounding boxes.</text>
<text><location><page_4><loc_8><loc_45><loc_47><loc_60></location>As it is illustrated in Fig. 2, the table distributions from all datasets are skewed towards simpler structures with fewer number of rows/columns. Additionally, there is very limited variance in the table styles, which in case of PubTabNet and FinTabNet means one styling format for the majority of the tables. Similar limitations appear also in the type of table content, which in some cases (e.g. FinTabNet) is restricted to a certain domain. Ultimately, the lack of diversity in the training dataset damages the ability of the models to generalize well on unseen data.</text>
<text><location><page_4><loc_8><loc_21><loc_47><loc_45></location>Motivated by those observations we aimed at generating a synthetic table dataset named SynthTabNet . This approach offers control over: 1) the size of the dataset, 2) the table structure, 3) the table style and 4) the type of content. The complexity of the table structure is described by the size of the table header and the table body, as well as the percentage of the table cells covered by row spans and column spans. A set of carefully designed styling templates provides the basis to build a wide range of table appearances. Lastly, the table content is generated out of a curated collection of text corpora. By controlling the size and scope of the synthetic datasets we are able to train and evaluate our models in a variety of different conditions. For example, we can first generate a highly diverse dataset to train our models and then evaluate their performance on other synthetic datasets which are focused on a specific domain.</text>
<text><location><page_4><loc_8><loc_10><loc_47><loc_20></location>In this regard, we have prepared four synthetic datasets, each one containing 150k examples. The corpora to generate the table text consists of the most frequent terms appearing in PubTabNet and FinTabNet together with randomly generated text. The first two synthetic datasets have been fine-tuned to mimic the appearance of the original datasets but encompass more complicated table structures. The third</text>
<table>
<location><page_4><loc_51><loc_80><loc_89><loc_91></location>
<caption>Table 1: Both "Combined-Tabnet" and "CombinedTabnet" are variations of the following: (*) The CombinedTabnet dataset is the processed combination of PubTabNet and Fintabnet. (**) The combined dataset is the processed combination of PubTabNet, Fintabnet and TableBank.</caption>
<row_0><col_0><body></col_0><col_1><col_header>Tags</col_1><col_2><col_header>Bbox</col_2><col_3><col_header>Size</col_3><col_4><col_header>Format</col_4></row_0>
<row_1><col_0><row_header>PubTabNet</col_0><col_1><body>3</col_1><col_2><body>3</col_2><col_3><body>509k</col_3><col_4><body>PNG</col_4></row_1>
<row_2><col_0><row_header>FinTabNet</col_0><col_1><body>3</col_1><col_2><body>3</col_2><col_3><body>112k</col_3><col_4><body>PDF</col_4></row_2>
<row_3><col_0><row_header>TableBank</col_0><col_1><body>3</col_1><col_2><body>7</col_2><col_3><body>145k</col_3><col_4><body>JPEG</col_4></row_3>
<row_4><col_0><row_header>Combined-Tabnet(*)</col_0><col_1><body>3</col_1><col_2><body>3</col_2><col_3><body>400k</col_3><col_4><body>PNG</col_4></row_4>
<row_5><col_0><row_header>Combined(**)</col_0><col_1><body>3</col_1><col_2><body>3</col_2><col_3><body>500k</col_3><col_4><body>PNG</col_4></row_5>
<row_6><col_0><row_header>SynthTabNet</col_0><col_1><body>3</col_1><col_2><body>3</col_2><col_3><body>600k</col_3><col_4><body>PNG</col_4></row_6>
</table>
<text><location><page_4><loc_50><loc_63><loc_89><loc_68></location>one adopts a colorful appearance with high contrast and the last one contains tables with sparse content. Lastly, we have combined all synthetic datasets into one big unified synthetic dataset of 600k examples.</text>
<text><location><page_4><loc_52><loc_61><loc_89><loc_62></location>Tab. 1 summarizes the various attributes of the datasets.</text>
<section_header_level_1><location><page_4><loc_50><loc_58><loc_73><loc_59></location>4. The TableFormer model</section_header_level_1>
<text><location><page_4><loc_50><loc_44><loc_89><loc_57></location>Given the image of a table, TableFormer is able to predict: 1) a sequence of tokens that represent the structure of a table, and 2) a bounding box coupled to a subset of those tokens. The conversion of an image into a sequence of tokens is a well-known task [35, 16]. While attention is often used as an implicit method to associate each token of the sequence with a position in the original image, an explicit association between the individual table-cells and the image bounding boxes is also required.</text>
<section_header_level_1><location><page_4><loc_50><loc_41><loc_69><loc_42></location>4.1. Model architecture.</section_header_level_1>
<text><location><page_4><loc_50><loc_16><loc_89><loc_40></location>We now describe in detail the proposed method, which is composed of three main components, see Fig. 4. Our CNN Backbone Network encodes the input as a feature vector of predefined length. The input feature vector of the encoded image is passed to the Structure Decoder to produce a sequence of HTML tags that represent the structure of the table. With each prediction of an HTML standard data cell (' < td > ') the hidden state of that cell is passed to the Cell BBox Decoder. As for spanning cells, such as row or column span, the tag is broken down to ' < ', 'rowspan=' or 'colspan=', with the number of spanning cells (attribute), and ' > '. The hidden state attached to ' < ' is passed to the Cell BBox Decoder. A shared feed forward network (FFN) receives the hidden states from the Structure Decoder, to provide the final detection predictions of the bounding box coordinates and their classification.</text>
<text><location><page_4><loc_50><loc_10><loc_89><loc_16></location>CNN Backbone Network. A ResNet-18 CNN is the backbone that receives the table image and encodes it as a vector of predefined length. The network has been modified by removing the linear and pooling layer, as we are not per-</text>
<figure>
<location><page_5><loc_12><loc_77><loc_85><loc_90></location>
<caption>Figure 3: TableFormer takes in an image of the PDF and creates bounding box and HTML structure predictions that are synchronized. The bounding boxes grabs the content from the PDF and inserts it in the structure.</caption>
</figure>
<figure>
<location><page_5><loc_9><loc_36><loc_47><loc_67></location>
<caption>Figure 4: Given an input image of a table, the Encoder produces fixed-length features that represent the input image. The features are then passed to both the Structure Decoder and Cell BBox Decoder . During training, the Structure Decoder receives 'tokenized tags' of the HTML code that represent the table structure. Afterwards, a transformer encoder and decoder architecture is employed to produce features that are received by a linear layer, and the Cell BBox Decoder. The linear layer is applied to the features to predict the tags. Simultaneously, the Cell BBox Decoder selects features referring to the data cells (' < td > ', ' < ') and passes them through an attention network, an MLP, and a linear layer to predict the bounding boxes.</caption>
</figure>
<text><location><page_5><loc_50><loc_63><loc_89><loc_68></location>forming classification, and adding an adaptive pooling layer of size 28*28. ResNet by default downsamples the image resolution by 32 and then the encoded image is provided to both the Structure Decoder , and Cell BBox Decoder .</text>
<text><location><page_5><loc_50><loc_48><loc_89><loc_62></location>Structure Decoder. The transformer architecture of this component is based on the work proposed in [31]. After extensive experimentation, the Structure Decoder is modeled as a transformer encoder with two encoder layers and a transformer decoder made from a stack of 4 decoder layers that comprise mainly of multi-head attention and feed forward layers. This configuration uses fewer layers and heads in comparison to networks applied to other problems (e.g. "Scene Understanding", "Image Captioning"), something which we relate to the simplicity of table images.</text>
<text><location><page_5><loc_50><loc_31><loc_89><loc_47></location>The transformer encoder receives an encoded image from the CNN Backbone Network and refines it through a multi-head dot-product attention layer, followed by a Feed Forward Network. During training, the transformer decoder receives as input the output feature produced by the transformer encoder, and the tokenized input of the HTML ground-truth tags. Using a stack of multi-head attention layers, different aspects of the tag sequence could be inferred. This is achieved by each attention head on a layer operating in a different subspace, and then combining altogether their attention score.</text>
<text><location><page_5><loc_50><loc_18><loc_89><loc_31></location>Cell BBox Decoder. Our architecture allows to simultaneously predict HTML tags and bounding boxes for each table cell without the need of a separate object detector end to end. This approach is inspired by DETR [1] which employs a Transformer Encoder, and Decoder that looks for a specific number of object queries (potential object detections). As our model utilizes a transformer architecture, the hidden state of the < td > ' and ' < ' HTML structure tags become the object query.</text>
<text><location><page_5><loc_50><loc_10><loc_89><loc_17></location>The encoding generated by the CNN Backbone Network along with the features acquired for every data cell from the Transformer Decoder are then passed to the attention network. The attention network takes both inputs and learns to provide an attention weighted encoding. This weighted at-</text>
<text><location><page_6><loc_8><loc_80><loc_47><loc_91></location>tention encoding is then multiplied to the encoded image to produce a feature for each table cell. Notice that this is different than the typical object detection problem where imbalances between the number of detections and the amount of objects may exist. In our case, we know up front that the produced detections always match with the table cells in number and correspondence.</text>
<text><location><page_6><loc_8><loc_70><loc_47><loc_80></location>The output features for each table cell are then fed into the feed-forward network (FFN). The FFN consists of a Multi-Layer Perceptron (3 layers with ReLU activation function) that predicts the normalized coordinates for the bounding box of each table cell. Finally, the predicted bounding boxes are classified based on whether they are empty or not using a linear layer.</text>
<text><location><page_6><loc_8><loc_44><loc_47><loc_69></location>Loss Functions. We formulate a multi-task loss Eq. 2 to train our network. The Cross-Entropy loss (denoted as l$_{s}$ ) is used to train the Structure Decoder which predicts the structure tokens. As for the Cell BBox Decoder it is trained with a combination of losses denoted as l$_{box}$ . l$_{box}$ consists of the generally used l$_{1}$ loss for object detection and the IoU loss ( l$_{iou}$ ) to be scale invariant as explained in [25]. In comparison to DETR, we do not use the Hungarian algorithm [15] to match the predicted bounding boxes with the ground-truth boxes, as we have already achieved a one-toone match through two steps: 1) Our token input sequence is naturally ordered, therefore the hidden states of the table data cells are also in order when they are provided as input to the Cell BBox Decoder , and 2) Our bounding boxes generation mechanism (see Sec. 3) ensures a one-to-one mapping between the cell content and its bounding box for all post-processed datasets.</text>
<text><location><page_6><loc_8><loc_41><loc_47><loc_43></location>The loss used to train the TableFormer can be defined as following:</text>
<formula><location><page_6><loc_20><loc_35><loc_47><loc_38></location></formula>
<text><location><page_6><loc_8><loc_32><loc_46><loc_33></location>where λ ∈ [0, 1], and λ$_{iou}$, λ$_{l}$$_{1}$ ∈$_{R}$ are hyper-parameters.</text>
<section_header_level_1><location><page_6><loc_8><loc_28><loc_28><loc_30></location>5. Experimental Results</section_header_level_1>
<section_header_level_1><location><page_6><loc_8><loc_26><loc_29><loc_27></location>5.1. Implementation Details</section_header_level_1>
<text><location><page_6><loc_8><loc_19><loc_47><loc_25></location>TableFormer uses ResNet-18 as the CNN Backbone Network . The input images are resized to 448*448 pixels and the feature map has a dimension of 28*28. Additionally, we enforce the following input constraints:</text>
<formula><location><page_6><loc_15><loc_14><loc_47><loc_17></location></formula>
<text><location><page_6><loc_8><loc_10><loc_47><loc_13></location>Although input constraints are used also by other methods, such as EDD, ours are less restrictive due to the improved</text>
<text><location><page_6><loc_50><loc_86><loc_89><loc_91></location>runtime performance and lower memory footprint of TableFormer. This allows to utilize input samples with longer sequences and images with larger dimensions.</text>
<text><location><page_6><loc_50><loc_59><loc_89><loc_85></location>The Transformer Encoder consists of two "Transformer Encoder Layers", with an input feature size of 512, feed forward network of 1024, and 4 attention heads. As for the Transformer Decoder it is composed of four "Transformer Decoder Layers" with similar input and output dimensions as the "Transformer Encoder Layers". Even though our model uses fewer layers and heads than the default implementation parameters, our extensive experimentation has proved this setup to be more suitable for table images. We attribute this finding to the inherent design of table images, which contain mostly lines and text, unlike the more elaborate content present in other scopes (e.g. the COCO dataset). Moreover, we have added ResNet blocks to the inputs of the Structure Decoder and Cell BBox Decoder. This prevents a decoder having a stronger influence over the learned weights which would damage the other prediction task (structure vs bounding boxes), but learn task specific weights instead. Lastly our dropout layers are set to 0.5.</text>
<text><location><page_6><loc_50><loc_46><loc_89><loc_58></location>For training, TableFormer is trained with 3 Adam optimizers, each one for the CNN Backbone Network , Structure Decoder , and Cell BBox Decoder . Taking the PubTabNet as an example for our parameter set up, the initializing learning rate is 0.001 for 12 epochs with a batch size of 24, and λ set to 0.5. Afterwards, we reduce the learning rate to 0.0001, the batch size to 18 and train for 12 more epochs or convergence.</text>
<text><location><page_6><loc_50><loc_30><loc_89><loc_45></location>TableFormer is implemented with PyTorch and Torchvision libraries [22]. To speed up the inference, the image undergoes a single forward pass through the CNN Backbone Network and transformer encoder. This eliminates the overhead of generating the same features for each decoding step. Similarly, we employ a 'caching' technique to preform faster autoregressive decoding. This is achieved by storing the features of decoded tokens so we can reuse them for each time step. Therefore, we only compute the attention for each new tag.</text>
<section_header_level_1><location><page_6><loc_50><loc_26><loc_65><loc_27></location>5.2. Generalization</section_header_level_1>
<text><location><page_6><loc_50><loc_15><loc_89><loc_24></location>TableFormer is evaluated on three major publicly available datasets of different nature to prove the generalization and effectiveness of our model. The datasets used for evaluation are the PubTabNet, FinTabNet and TableBank which stem from the scientific, financial and general domains respectively.</text>
<text><location><page_6><loc_50><loc_10><loc_89><loc_14></location>We also share our baseline results on the challenging SynthTabNet dataset. Throughout our experiments, the same parameters stated in Sec. 5.1 are utilized.</text>
<section_header_level_1><location><page_7><loc_8><loc_89><loc_27><loc_91></location>5.3. Datasets and Metrics</section_header_level_1>
<text><location><page_7><loc_8><loc_83><loc_47><loc_88></location>The Tree-Edit-Distance-Based Similarity (TEDS) metric was introduced in [37]. It represents the prediction, and ground-truth as a tree structure of HTML tags. This similarity is calculated as:</text>
<formula><location><page_7><loc_14><loc_78><loc_47><loc_81></location></formula>
<text><location><page_7><loc_8><loc_73><loc_47><loc_77></location>where T$_{a}$ and T$_{b}$ represent tables in tree structure HTML format. EditDist denotes the tree-edit distance, and | T | represents the number of nodes in T .</text>
<section_header_level_1><location><page_7><loc_8><loc_70><loc_28><loc_72></location>5.4. Quantitative Analysis</section_header_level_1>
<text><location><page_7><loc_8><loc_50><loc_47><loc_69></location>Structure. As shown in Tab. 2, TableFormer outperforms all SOTA methods across different datasets by a large margin for predicting the table structure from an image. All the more, our model outperforms pre-trained methods. During the evaluation we do not apply any table filtering. We also provide our baseline results on the SynthTabNet dataset. It has been observed that large tables (e.g. tables that occupy half of the page or more) yield poor predictions. We attribute this issue to the image resizing during the preprocessing step, that produces downsampled images with indistinguishable features. This problem can be addressed by treating such big tables with a separate model which accepts a large input image size.</text>
<table>
<location><page_7><loc_9><loc_26><loc_46><loc_48></location>
<caption>Table 2: Structure results on PubTabNet (PTN), FinTabNet (FTN), TableBank (TB) and SynthTabNet (STN).</caption>
<row_0><col_0><col_header>Model</col_0><col_1><col_header>Dataset</col_1><col_2><col_header>Simple</col_2><col_3><col_header>TEDS Complex</col_3><col_4><col_header>All</col_4></row_0>
<row_1><col_0><row_header>EDD</col_0><col_1><body>PTN</col_1><col_2><body>91.1</col_2><col_3><body>88.7</col_3><col_4><body>89.9</col_4></row_1>
<row_2><col_0><row_header>GTE</col_0><col_1><body>PTN</col_1><col_2><body>-</col_2><col_3><body>-</col_3><col_4><body>93.01</col_4></row_2>
<row_3><col_0><row_header>TableFormer</col_0><col_1><body>PTN</col_1><col_2><body>98.5</col_2><col_3><body>95.0</col_3><col_4><body>96.75</col_4></row_3>
<row_4><col_0><row_header>EDD</col_0><col_1><body>FTN</col_1><col_2><body>88.4</col_2><col_3><body>92.08</col_3><col_4><body>90.6</col_4></row_4>
<row_5><col_0><row_header>GTE</col_0><col_1><body>FTN</col_1><col_2><body>-</col_2><col_3><body>-</col_3><col_4><body>87.14</col_4></row_5>
<row_6><col_0><row_header>GTE (FT)</col_0><col_1><body>FTN</col_1><col_2><body>-</col_2><col_3><body>-</col_3><col_4><body>91.02</col_4></row_6>
<row_7><col_0><row_header>TableFormer</col_0><col_1><body>FTN</col_1><col_2><body>97.5</col_2><col_3><body>96.0</col_3><col_4><body>96.8</col_4></row_7>
<row_8><col_0><row_header>EDD</col_0><col_1><body>TB</col_1><col_2><body>86.0</col_2><col_3><body>-</col_3><col_4><body>86.0</col_4></row_8>
<row_9><col_0><row_header>TableFormer</col_0><col_1><body>TB</col_1><col_2><body>89.6</col_2><col_3><body>-</col_3><col_4><body>89.6</col_4></row_9>
<row_10><col_0><row_header>TableFormer</col_0><col_1><body>STN</col_1><col_2><body>96.9</col_2><col_3><body>95.7</col_3><col_4><body>96.7</col_4></row_10>
</table>
<text><location><page_7><loc_8><loc_21><loc_43><loc_22></location>FT: Model was trained on PubTabNet then finetuned.</text>
<text><location><page_7><loc_8><loc_10><loc_47><loc_19></location>Cell Detection. Like any object detector, our Cell BBox Detector provides bounding boxes that can be improved with post-processing during inference. We make use of the grid-like structure of tables to refine the predictions. A detailed explanation on the post-processing is available in the supplementary material. As shown in Tab. 3, we evaluate</text>
<text><location><page_7><loc_50><loc_71><loc_89><loc_91></location>our Cell BBox Decoder accuracy for cells with a class label of 'content' only using the PASCAL VOC mAP metric for pre-processing and post-processing. Note that we do not have post-processing results for SynthTabNet as images are only provided. To compare the performance of our proposed approach, we've integrated TableFormer's Cell BBox Decoder into EDD architecture. As mentioned previously, the Structure Decoder provides the Cell BBox Decoder with the features needed to predict the bounding box predictions. Therefore, the accuracy of the Structure Decoder directly influences the accuracy of the Cell BBox Decoder . If the Structure Decoder predicts an extra column, this will result in an extra column of predicted bounding boxes.</text>
<table>
<location><page_7><loc_50><loc_62><loc_87><loc_69></location>
<caption>Table 3: Cell Bounding Box detection results on PubTabNet, and FinTabNet. PP: Post-processing.</caption>
<row_0><col_0><col_header>Model</col_0><col_1><col_header>Dataset</col_1><col_2><col_header>mAP</col_2><col_3><col_header>mAP (PP)</col_3></row_0>
<row_1><col_0><body>EDD+BBox</col_0><col_1><body>PubTabNet</col_1><col_2><body>79.2</col_2><col_3><body>82.7</col_3></row_1>
<row_2><col_0><body>TableFormer</col_0><col_1><body>PubTabNet</col_1><col_2><body>82.1</col_2><col_3><body>86.8</col_3></row_2>
<row_3><col_0><body>TableFormer</col_0><col_1><body>SynthTabNet</col_1><col_2><body>87.7</col_2><col_3><body>-</col_3></row_3>
</table>
<text><location><page_7><loc_50><loc_34><loc_89><loc_54></location>Cell Content. In this section, we evaluate the entire pipeline of recovering a table with content. Here we put our approach to test by capitalizing on extracting content from the PDF cells rather than decoding from images. Tab. 4 shows the TEDs score of HTML code representing the structure of the table along with the content inserted in the data cell and compared with the ground-truth. Our method achieved a 5.3% increase over the state-of-the-art, and commercial solutions. We believe our scores would be higher if the HTML ground-truth matched the extracted PDF cell content. Unfortunately, there are small discrepancies such as spacings around words or special characters with various unicode representations.</text>
<table>
<location><page_7><loc_54><loc_19><loc_85><loc_32></location>
<caption>Table 4: Results of structure with content retrieved using cell detection on PubTabNet. In all cases the input is PDF documents with cropped tables.</caption>
<row_0><col_0><body>Model</col_0><col_1><col_header>Simple</col_1><col_2><col_header>TEDS Complex</col_2><col_3><col_header>All</col_3></row_0>
<row_1><col_0><row_header>Tabula</col_0><col_1><body>78.0</col_1><col_2><body>57.8</col_2><col_3><body>67.9</col_3></row_1>
<row_2><col_0><row_header>Traprange</col_0><col_1><body>60.8</col_1><col_2><body>49.9</col_2><col_3><body>55.4</col_3></row_2>
<row_3><col_0><row_header>Camelot</col_0><col_1><body>80.0</col_1><col_2><body>66.0</col_2><col_3><body>73.0</col_3></row_3>
<row_4><col_0><row_header>Acrobat Pro</col_0><col_1><body>68.9</col_1><col_2><body>61.8</col_2><col_3><body>65.3</col_3></row_4>
<row_5><col_0><row_header>EDD</col_0><col_1><body>91.2</col_1><col_2><body>85.4</col_2><col_3><body>88.3</col_3></row_5>
<row_6><col_0><row_header>TableFormer</col_0><col_1><body>95.4</col_1><col_2><body>90.1</col_2><col_3><body>93.6</col_3></row_6>
</table>
<unordered_list>
<list_item><location><page_8><loc_9><loc_89><loc_10><loc_90></location>a.</list_item>
<list_item><location><page_8><loc_11><loc_89><loc_82><loc_90></location>Red - PDF cells, Green - predicted bounding boxes, Blue - post-processed predictions matched to PDF cells</list_item>
<text><loc_41><loc_411><loc_234><loc_439>The paper is structured as follows. In Sec. 2, we give a brief overview of the current state-of-the-art. In Sec. 3, we describe the datasets on which we train. In Sec. 4, we introduce the TableFormer model-architecture and describe</text>
<footnote><loc_50><loc_445><loc_150><loc_450>$^{1}$https://github.com/IBM/SynthTabNet</footnote>
<page_footer><loc_241><loc_463><loc_245><loc_469>2</page_footer>
<text><loc_252><loc_47><loc_445><loc_68>its results & performance in Sec. 5. As a conclusion, we describe how this new model-architecture can be re-purposed for other tasks in the computer-vision community.</text>
<section_header_level_1><loc_252><loc_77><loc_407><loc_84>2. Previous work and State of the Art</section_header_level_1>
<text><loc_252><loc_90><loc_445><loc_209>Identifying the structure of a table has been an outstanding problem in the document-parsing community, that motivates many organised public challenges [6, 4, 14]. The difficulty of the problem can be attributed to a number of factors. First, there is a large variety in the shapes and sizes of tables. Such large variety requires a flexible method. This is especially true for complex column- and row headers, which can be extremely intricate and demanding. A second factor of complexity is the lack of data with regard to table-structure. Until the publication of PubTabNet [37], there were no large datasets (i.e. > 100 K tables) that provided structure information. This happens primarily due to the fact that tables are notoriously time-consuming to annotate by hand. However, this has definitely changed in recent years with the deliverance of PubTabNet [37], FinTabNet [36], TableBank [17] etc.</text>
<text><loc_252><loc_211><loc_445><loc_284>Before the rising popularity of deep neural networks, the community relied heavily on heuristic and/or statistical methods to do table structure identification [3, 7, 11, 5, 13, 28]. Although such methods work well on constrained tables [12], a more data-driven approach can be applied due to the advent of convolutional neural networks (CNNs) and the availability of large datasets. To the best-of-our knowledge, there are currently two different types of network architecture that are being pursued for state-of-the-art tablestructure identification.</text>
<text><loc_252><loc_286><loc_445><loc_450>Image-to-Text networks : In this type of network, one predicts a sequence of tokens starting from an encoded image. Such sequences of tokens can be HTML table tags [37, 17] or LaTeX symbols[10]. The choice of symbols is ultimately not very important, since one can be transformed into the other. There are however subtle variations in the Image-to-Text networks. The easiest network architectures are "image-encoder → text-decoder" (IETD), similar to network architectures that try to provide captions to images [32]. In these IETD networks, one expects as output the LaTeX/HTML string of the entire table, i.e. the symbols necessary for creating the table with the content of the table. Another approach is the "image-encoder → dual decoder" (IEDD) networks. In these type of networks, one has two consecutive decoders with different purposes. The first decoder is the tag-decoder , i.e. it only produces the HTML/LaTeX tags which construct an empty table. The second content-decoder uses the encoding of the image in combination with the output encoding of each cell-tag (from the tag-decoder ) to generate the textual content of each table cell. The network architecture of IEDD is certainly more elaborate, but it has the advantage that one can pre-train the</text>
<page_break>
<text><loc_41><loc_47><loc_204><loc_53>tag-decoder which is constrained to the table-tags.</text>
<text><loc_41><loc_55><loc_234><loc_174>In practice, both network architectures (IETD and IEDD) require an implicit, custom trained object-characterrecognition (OCR) to obtain the content of the table-cells. In the case of IETD, this OCR engine is implicit in the decoder similar to [24]. For the IEDD, the OCR is solely embedded in the content-decoder. This reliance on a custom, implicit OCR decoder is of course problematic. OCR is a well known and extremely tough problem, that often needs custom training for each individual language. However, the limited availability for non-english content in the current datasets, makes it impractical to apply the IETD and IEDD methods on tables with other languages. Additionally, OCR can be completely omitted if the tables originate from programmatic PDF documents with known positions of each cell. The latter was the inspiration for the work of this paper.</text>
<text><loc_41><loc_176><loc_234><loc_310>Graph Neural networks : Graph Neural networks (GNN's) take a radically different approach to tablestructure extraction. Note that one table cell can constitute out of multiple text-cells. To obtain the table-structure, one creates an initial graph, where each of the text-cells becomes a node in the graph similar to [33, 34, 2]. Each node is then associated with en embedding vector coming from the encoded image, its coordinates and the encoded text. Furthermore, nodes that represent adjacent text-cells are linked. Graph Convolutional Networks (GCN's) based methods take the image as an input, but also the position of the text-cells and their content [18]. The purpose of a GCN is to transform the input graph into a new graph, which replaces the old links with new ones. The new links then represent the table-structure. With this approach, one can avoid the need to build custom OCR decoders. However, the quality of the reconstructed structure is not comparable to the current state-of-the-art [18].</text>
<text><loc_41><loc_312><loc_234><loc_393>Hybrid Deep Learning-Rule-Based approach : A popular current model for table-structure identification is the use of a hybrid Deep Learning-Rule-Based approach similar to [27, 29]. In this approach, one first detects the position of the table-cells with object detection (e.g. YoloVx or MaskRCNN), then classifies the table into different types (from its images) and finally uses different rule-sets to obtain its table-structure. Currently, this approach achieves stateof-the-art results, but is not an end-to-end deep-learning method. As such, new rules need to be written if different types of tables are encountered.</text>
<section_header_level_1><loc_41><loc_401><loc_86><loc_408>3. Datasets</section_header_level_1>
<text><loc_41><loc_414><loc_234><loc_450>We rely on large-scale datasets such as PubTabNet [37], FinTabNet [36], and TableBank [17] datasets to train and evaluate our models. These datasets span over various appearance styles and content. We also introduce our own synthetically generated SynthTabNet dataset to fix an im-</text>
<page_footer><loc_241><loc_463><loc_245><loc_469>3</page_footer>
<picture><loc_255><loc_50><loc_450><loc_158><caption><loc_252><loc_169><loc_445><loc_182>Figure 2: Distribution of the tables across different table dimensions in PubTabNet + FinTabNet datasets</caption></picture>
<text><loc_252><loc_200><loc_357><loc_206>balance in the previous datasets.</text>
<text><loc_252><loc_209><loc_445><loc_396>The PubTabNet dataset contains 509k tables delivered as annotated PNG images. The annotations consist of the table structure represented in HTML format, the tokenized text and its bounding boxes per table cell. Fig. 1 shows the appearance style of PubTabNet. Depending on its complexity, a table is characterized as "simple" when it does not contain row spans or column spans, otherwise it is "complex". The dataset is divided into Train and Val splits (roughly 98% and 2%). The Train split consists of 54% simple and 46% complex tables and the Val split of 51% and 49% respectively. The FinTabNet dataset contains 112k tables delivered as single-page PDF documents with mixed table structures and text content. Similarly to the PubTabNet, the annotations of FinTabNet include the table structure in HTML, the tokenized text and the bounding boxes on a table cell basis. The dataset is divided into Train, Test and Val splits (81%, 9.5%, 9.5%), and each one is almost equally divided into simple and complex tables (Train: 48% simple, 52% complex, Test: 48% simple, 52% complex, Test: 53% simple, 47% complex). Finally the TableBank dataset consists of 145k tables provided as JPEG images. The latter has annotations for the table structure, but only few with bounding boxes of the table cells. The entire dataset consists of simple tables and it is divided into 90% Train, 3% Test and 7% Val splits.</text>
<text><loc_252><loc_399><loc_445><loc_450>Due to the heterogeneity across the dataset formats, it was necessary to combine all available data into one homogenized dataset before we could train our models for practical purposes. Given the size of PubTabNet, we adopted its annotation format and we extracted and converted all tables as PNG images with a resolution of 72 dpi. Additionally, we have filtered out tables with extreme sizes due to small</text>
<page_break>
<text><loc_41><loc_47><loc_234><loc_61>amount of such tables, and kept only those ones ranging between 1*1 and 20*10 (rows/columns).</text>
<text><loc_41><loc_64><loc_234><loc_198>The availability of the bounding boxes for all table cells is essential to train our models. In order to distinguish between empty and non-empty bounding boxes, we have introduced a binary class in the annotation. Unfortunately, the original datasets either omit the bounding boxes for whole tables (e.g. TableBank) or they narrow their scope only to non-empty cells. Therefore, it was imperative to introduce a data pre-processing procedure that generates the missing bounding boxes out of the annotation information. This procedure first parses the provided table structure and calculates the dimensions of the most fine-grained grid that covers the table structure. Notice that each table cell may occupy multiple grid squares due to row or column spans. In case of PubTabNet we had to compute missing bounding boxes for 48% of the simple and 69% of the complex tables. Regarding FinTabNet, 68% of the simple and 98% of the complex tables require the generation of bounding boxes.</text>
<text><loc_41><loc_201><loc_234><loc_274>As it is illustrated in Fig. 2, the table distributions from all datasets are skewed towards simpler structures with fewer number of rows/columns. Additionally, there is very limited variance in the table styles, which in case of PubTabNet and FinTabNet means one styling format for the majority of the tables. Similar limitations appear also in the type of table content, which in some cases (e.g. FinTabNet) is restricted to a certain domain. Ultimately, the lack of diversity in the training dataset damages the ability of the models to generalize well on unseen data.</text>
<text><loc_41><loc_277><loc_234><loc_396>Motivated by those observations we aimed at generating a synthetic table dataset named SynthTabNet . This approach offers control over: 1) the size of the dataset, 2) the table structure, 3) the table style and 4) the type of content. The complexity of the table structure is described by the size of the table header and the table body, as well as the percentage of the table cells covered by row spans and column spans. A set of carefully designed styling templates provides the basis to build a wide range of table appearances. Lastly, the table content is generated out of a curated collection of text corpora. By controlling the size and scope of the synthetic datasets we are able to train and evaluate our models in a variety of different conditions. For example, we can first generate a highly diverse dataset to train our models and then evaluate their performance on other synthetic datasets which are focused on a specific domain.</text>
<text><loc_41><loc_399><loc_234><loc_450>In this regard, we have prepared four synthetic datasets, each one containing 150k examples. The corpora to generate the table text consists of the most frequent terms appearing in PubTabNet and FinTabNet together with randomly generated text. The first two synthetic datasets have been fine-tuned to mimic the appearance of the original datasets but encompass more complicated table structures. The third</text>
<page_footer><loc_241><loc_463><loc_245><loc_469>4</page_footer>
<otsl><loc_254><loc_46><loc_444><loc_98><ecel><ched>Tags<ched>Bbox<ched>Size<ched>Format<nl><rhed>PubTabNet<fcel>3<fcel>3<fcel>509k<fcel>PNG<nl><rhed>FinTabNet<fcel>3<fcel>3<fcel>112k<fcel>PDF<nl><rhed>TableBank<fcel>3<fcel>7<fcel>145k<fcel>JPEG<nl><rhed>Combined-Tabnet(*)<fcel>3<fcel>3<fcel>400k<fcel>PNG<nl><rhed>Combined(**)<fcel>3<fcel>3<fcel>500k<fcel>PNG<nl><rhed>SynthTabNet<fcel>3<fcel>3<fcel>600k<fcel>PNG<nl><caption><loc_252><loc_106><loc_445><loc_142>Table 1: Both "Combined-Tabnet" and "CombinedTabnet" are variations of the following: (*) The CombinedTabnet dataset is the processed combination of PubTabNet and Fintabnet. (**) The combined dataset is the processed combination of PubTabNet, Fintabnet and TableBank.</caption></otsl>
<text><loc_252><loc_158><loc_445><loc_186>one adopts a colorful appearance with high contrast and the last one contains tables with sparse content. Lastly, we have combined all synthetic datasets into one big unified synthetic dataset of 600k examples.</text>
<text><loc_262><loc_188><loc_443><loc_194>Tab. 1 summarizes the various attributes of the datasets.</text>
<section_header_level_1><loc_252><loc_203><loc_364><loc_210>4. The TableFormer model</section_header_level_1>
<text><loc_252><loc_216><loc_445><loc_282>Given the image of a table, TableFormer is able to predict: 1) a sequence of tokens that represent the structure of a table, and 2) a bounding box coupled to a subset of those tokens. The conversion of an image into a sequence of tokens is a well-known task [35, 16]. While attention is often used as an implicit method to associate each token of the sequence with a position in the original image, an explicit association between the individual table-cells and the image bounding boxes is also required.</text>
<section_header_level_1><loc_252><loc_289><loc_343><loc_295>4.1. Model architecture.</section_header_level_1>
<text><loc_252><loc_301><loc_445><loc_420>We now describe in detail the proposed method, which is composed of three main components, see Fig. 4. Our CNN Backbone Network encodes the input as a feature vector of predefined length. The input feature vector of the encoded image is passed to the Structure Decoder to produce a sequence of HTML tags that represent the structure of the table. With each prediction of an HTML standard data cell (' < td > ') the hidden state of that cell is passed to the Cell BBox Decoder. As for spanning cells, such as row or column span, the tag is broken down to ' < ', 'rowspan=' or 'colspan=', with the number of spanning cells (attribute), and ' > '. The hidden state attached to ' < ' is passed to the Cell BBox Decoder. A shared feed forward network (FFN) receives the hidden states from the Structure Decoder, to provide the final detection predictions of the bounding box coordinates and their classification.</text>
<text><loc_252><loc_422><loc_445><loc_450>CNN Backbone Network. A ResNet-18 CNN is the backbone that receives the table image and encodes it as a vector of predefined length. The network has been modified by removing the linear and pooling layer, as we are not per-</text>
<page_break>
<picture><loc_61><loc_49><loc_425><loc_116><caption><loc_41><loc_129><loc_445><loc_142>Figure 3: TableFormer takes in an image of the PDF and creates bounding box and HTML structure predictions that are synchronized. The bounding boxes grabs the content from the PDF and inserts it in the structure.</caption></picture>
<picture><loc_43><loc_163><loc_233><loc_320><caption><loc_41><loc_333><loc_234><loc_429>Figure 4: Given an input image of a table, the Encoder produces fixed-length features that represent the input image. The features are then passed to both the Structure Decoder and Cell BBox Decoder . During training, the Structure Decoder receives 'tokenized tags' of the HTML code that represent the table structure. Afterwards, a transformer encoder and decoder architecture is employed to produce features that are received by a linear layer, and the Cell BBox Decoder. The linear layer is applied to the features to predict the tags. Simultaneously, the Cell BBox Decoder selects features referring to the data cells (' < td > ', ' < ') and passes them through an attention network, an MLP, and a linear layer to predict the bounding boxes.</caption></picture>
<text><loc_252><loc_158><loc_445><loc_186>forming classification, and adding an adaptive pooling layer of size 28*28. ResNet by default downsamples the image resolution by 32 and then the encoded image is provided to both the Structure Decoder , and Cell BBox Decoder .</text>
<text><loc_252><loc_188><loc_445><loc_261>Structure Decoder. The transformer architecture of this component is based on the work proposed in [31]. After extensive experimentation, the Structure Decoder is modeled as a transformer encoder with two encoder layers and a transformer decoder made from a stack of 4 decoder layers that comprise mainly of multi-head attention and feed forward layers. This configuration uses fewer layers and heads in comparison to networks applied to other problems (e.g. "Scene Understanding", "Image Captioning"), something which we relate to the simplicity of table images.</text>
<text><loc_252><loc_263><loc_445><loc_344>The transformer encoder receives an encoded image from the CNN Backbone Network and refines it through a multi-head dot-product attention layer, followed by a Feed Forward Network. During training, the transformer decoder receives as input the output feature produced by the transformer encoder, and the tokenized input of the HTML ground-truth tags. Using a stack of multi-head attention layers, different aspects of the tag sequence could be inferred. This is achieved by each attention head on a layer operating in a different subspace, and then combining altogether their attention score.</text>
<text><loc_252><loc_346><loc_445><loc_412>Cell BBox Decoder. Our architecture allows to simultaneously predict HTML tags and bounding boxes for each table cell without the need of a separate object detector end to end. This approach is inspired by DETR [1] which employs a Transformer Encoder, and Decoder that looks for a specific number of object queries (potential object detections). As our model utilizes a transformer architecture, the hidden state of the < td > ' and ' < ' HTML structure tags become the object query.</text>
<text><loc_252><loc_414><loc_445><loc_450>The encoding generated by the CNN Backbone Network along with the features acquired for every data cell from the Transformer Decoder are then passed to the attention network. The attention network takes both inputs and learns to provide an attention weighted encoding. This weighted at-</text>
<page_footer><loc_241><loc_463><loc_245><loc_469>5</page_footer>
<page_break>
<text><loc_41><loc_47><loc_234><loc_98>tention encoding is then multiplied to the encoded image to produce a feature for each table cell. Notice that this is different than the typical object detection problem where imbalances between the number of detections and the amount of objects may exist. In our case, we know up front that the produced detections always match with the table cells in number and correspondence.</text>
<text><loc_41><loc_101><loc_234><loc_152>The output features for each table cell are then fed into the feed-forward network (FFN). The FFN consists of a Multi-Layer Perceptron (3 layers with ReLU activation function) that predicts the normalized coordinates for the bounding box of each table cell. Finally, the predicted bounding boxes are classified based on whether they are empty or not using a linear layer.</text>
<text><loc_41><loc_154><loc_234><loc_280>Loss Functions. We formulate a multi-task loss Eq. 2 to train our network. The Cross-Entropy loss (denoted as l$_{s}$ ) is used to train the Structure Decoder which predicts the structure tokens. As for the Cell BBox Decoder it is trained with a combination of losses denoted as l$_{box}$ . l$_{box}$ consists of the generally used l$_{1}$ loss for object detection and the IoU loss ( l$_{iou}$ ) to be scale invariant as explained in [25]. In comparison to DETR, we do not use the Hungarian algorithm [15] to match the predicted bounding boxes with the ground-truth boxes, as we have already achieved a one-toone match through two steps: 1) Our token input sequence is naturally ordered, therefore the hidden states of the table data cells are also in order when they are provided as input to the Cell BBox Decoder , and 2) Our bounding boxes generation mechanism (see Sec. 3) ensures a one-to-one mapping between the cell content and its bounding box for all post-processed datasets.</text>
<text><loc_41><loc_283><loc_234><loc_296>The loss used to train the TableFormer can be defined as following:</text>
<formula><loc_102><loc_311><loc_234><loc_326></formula>
<text><loc_41><loc_335><loc_230><loc_341>where λ ∈ [0, 1], and λ$_{iou}$, λ$_{l}$$_{1}$ ∈$_{R}$ are hyper-parameters.</text>
<section_header_level_1><loc_41><loc_351><loc_141><loc_358>5. Experimental Results</section_header_level_1>
<section_header_level_1><loc_41><loc_364><loc_146><loc_370>5.1. Implementation Details</section_header_level_1>
<text><loc_41><loc_376><loc_234><loc_404>TableFormer uses ResNet-18 as the CNN Backbone Network . The input images are resized to 448*448 pixels and the feature map has a dimension of 28*28. Additionally, we enforce the following input constraints:</text>
<formula><loc_75><loc_413><loc_234><loc_428></formula>
<text><loc_41><loc_437><loc_234><loc_450>Although input constraints are used also by other methods, such as EDD, ours are less restrictive due to the improved</text>
<page_footer><loc_241><loc_463><loc_245><loc_469>6</page_footer>
<text><loc_252><loc_47><loc_445><loc_68>runtime performance and lower memory footprint of TableFormer. This allows to utilize input samples with longer sequences and images with larger dimensions.</text>
<text><loc_252><loc_73><loc_445><loc_207>The Transformer Encoder consists of two "Transformer Encoder Layers", with an input feature size of 512, feed forward network of 1024, and 4 attention heads. As for the Transformer Decoder it is composed of four "Transformer Decoder Layers" with similar input and output dimensions as the "Transformer Encoder Layers". Even though our model uses fewer layers and heads than the default implementation parameters, our extensive experimentation has proved this setup to be more suitable for table images. We attribute this finding to the inherent design of table images, which contain mostly lines and text, unlike the more elaborate content present in other scopes (e.g. the COCO dataset). Moreover, we have added ResNet blocks to the inputs of the Structure Decoder and Cell BBox Decoder. This prevents a decoder having a stronger influence over the learned weights which would damage the other prediction task (structure vs bounding boxes), but learn task specific weights instead. Lastly our dropout layers are set to 0.5.</text>
<text><loc_252><loc_212><loc_445><loc_271>For training, TableFormer is trained with 3 Adam optimizers, each one for the CNN Backbone Network , Structure Decoder , and Cell BBox Decoder . Taking the PubTabNet as an example for our parameter set up, the initializing learning rate is 0.001 for 12 epochs with a batch size of 24, and λ set to 0.5. Afterwards, we reduce the learning rate to 0.0001, the batch size to 18 and train for 12 more epochs or convergence.</text>
<text><loc_252><loc_276><loc_445><loc_350>TableFormer is implemented with PyTorch and Torchvision libraries [22]. To speed up the inference, the image undergoes a single forward pass through the CNN Backbone Network and transformer encoder. This eliminates the overhead of generating the same features for each decoding step. Similarly, we employ a 'caching' technique to preform faster autoregressive decoding. This is achieved by storing the features of decoded tokens so we can reuse them for each time step. Therefore, we only compute the attention for each new tag.</text>
<section_header_level_1><loc_252><loc_366><loc_325><loc_372>5.2. Generalization</section_header_level_1>
<text><loc_252><loc_381><loc_445><loc_424>TableFormer is evaluated on three major publicly available datasets of different nature to prove the generalization and effectiveness of our model. The datasets used for evaluation are the PubTabNet, FinTabNet and TableBank which stem from the scientific, financial and general domains respectively.</text>
<text><loc_252><loc_430><loc_445><loc_450>We also share our baseline results on the challenging SynthTabNet dataset. Throughout our experiments, the same parameters stated in Sec. 5.1 are utilized.</text>
<page_break>
<section_header_level_1><loc_41><loc_47><loc_137><loc_53>5.3. Datasets and Metrics</section_header_level_1>
<text><loc_41><loc_59><loc_234><loc_87>The Tree-Edit-Distance-Based Similarity (TEDS) metric was introduced in [37]. It represents the prediction, and ground-truth as a tree structure of HTML tags. This similarity is calculated as:</text>
<formula><loc_70><loc_95><loc_234><loc_109></formula>
<text><loc_41><loc_114><loc_234><loc_135>where T$_{a}$ and T$_{b}$ represent tables in tree structure HTML format. EditDist denotes the tree-edit distance, and | T | represents the number of nodes in T .</text>
<section_header_level_1><loc_41><loc_142><loc_139><loc_148>5.4. Quantitative Analysis</section_header_level_1>
<text><loc_41><loc_154><loc_234><loc_250>Structure. As shown in Tab. 2, TableFormer outperforms all SOTA methods across different datasets by a large margin for predicting the table structure from an image. All the more, our model outperforms pre-trained methods. During the evaluation we do not apply any table filtering. We also provide our baseline results on the SynthTabNet dataset. It has been observed that large tables (e.g. tables that occupy half of the page or more) yield poor predictions. We attribute this issue to the image resizing during the preprocessing step, that produces downsampled images with indistinguishable features. This problem can be addressed by treating such big tables with a separate model which accepts a large input image size.</text>
<otsl><loc_44><loc_258><loc_231><loc_368><ched>Model<ched>Dataset<ched>Simple<ched>TEDS Complex<ched>All<nl><rhed>EDD<fcel>PTN<fcel>91.1<fcel>88.7<fcel>89.9<nl><rhed>GTE<fcel>PTN<fcel>-<fcel>-<fcel>93.01<nl><rhed>TableFormer<fcel>PTN<fcel>98.5<fcel>95.0<fcel>96.75<nl><rhed>EDD<fcel>FTN<fcel>88.4<fcel>92.08<fcel>90.6<nl><rhed>GTE<fcel>FTN<fcel>-<fcel>-<fcel>87.14<nl><rhed>GTE (FT)<fcel>FTN<fcel>-<fcel>-<fcel>91.02<nl><rhed>TableFormer<fcel>FTN<fcel>97.5<fcel>96.0<fcel>96.8<nl><rhed>EDD<fcel>TB<fcel>86.0<fcel>-<fcel>86.0<nl><rhed>TableFormer<fcel>TB<fcel>89.6<fcel>-<fcel>89.6<nl><rhed>TableFormer<fcel>STN<fcel>96.9<fcel>95.7<fcel>96.7<nl><caption><loc_41><loc_374><loc_234><loc_387>Table 2: Structure results on PubTabNet (PTN), FinTabNet (FTN), TableBank (TB) and SynthTabNet (STN).</caption></otsl>
<text><loc_41><loc_389><loc_214><loc_395>FT: Model was trained on PubTabNet then finetuned.</text>
<text><loc_41><loc_407><loc_234><loc_450>Cell Detection. Like any object detector, our Cell BBox Detector provides bounding boxes that can be improved with post-processing during inference. We make use of the grid-like structure of tables to refine the predictions. A detailed explanation on the post-processing is available in the supplementary material. As shown in Tab. 3, we evaluate</text>
<page_footer><loc_241><loc_463><loc_245><loc_469>7</page_footer>
<text><loc_252><loc_47><loc_445><loc_144>our Cell BBox Decoder accuracy for cells with a class label of 'content' only using the PASCAL VOC mAP metric for pre-processing and post-processing. Note that we do not have post-processing results for SynthTabNet as images are only provided. To compare the performance of our proposed approach, we've integrated TableFormer's Cell BBox Decoder into EDD architecture. As mentioned previously, the Structure Decoder provides the Cell BBox Decoder with the features needed to predict the bounding box predictions. Therefore, the accuracy of the Structure Decoder directly influences the accuracy of the Cell BBox Decoder . If the Structure Decoder predicts an extra column, this will result in an extra column of predicted bounding boxes.</text>
<otsl><loc_252><loc_156><loc_436><loc_192><ched>Model<ched>Dataset<ched>mAP<ched>mAP (PP)<nl><fcel>EDD+BBox<fcel>PubTabNet<fcel>79.2<fcel>82.7<nl><fcel>TableFormer<fcel>PubTabNet<fcel>82.1<fcel>86.8<nl><fcel>TableFormer<fcel>SynthTabNet<fcel>87.7<fcel>-<nl><caption><loc_252><loc_200><loc_445><loc_213>Table 3: Cell Bounding Box detection results on PubTabNet, and FinTabNet. PP: Post-processing.</caption></otsl>
<text><loc_252><loc_232><loc_445><loc_328>Cell Content. In this section, we evaluate the entire pipeline of recovering a table with content. Here we put our approach to test by capitalizing on extracting content from the PDF cells rather than decoding from images. Tab. 4 shows the TEDs score of HTML code representing the structure of the table along with the content inserted in the data cell and compared with the ground-truth. Our method achieved a 5.3% increase over the state-of-the-art, and commercial solutions. We believe our scores would be higher if the HTML ground-truth matched the extracted PDF cell content. Unfortunately, there are small discrepancies such as spacings around words or special characters with various unicode representations.</text>
<otsl><loc_272><loc_341><loc_426><loc_406><fcel>Model<ched>Simple<ched>TEDS Complex<ched>All<nl><rhed>Tabula<fcel>78.0<fcel>57.8<fcel>67.9<nl><rhed>Traprange<fcel>60.8<fcel>49.9<fcel>55.4<nl><rhed>Camelot<fcel>80.0<fcel>66.0<fcel>73.0<nl><rhed>Acrobat Pro<fcel>68.9<fcel>61.8<fcel>65.3<nl><rhed>EDD<fcel>91.2<fcel>85.4<fcel>88.3<nl><rhed>TableFormer<fcel>95.4<fcel>90.1<fcel>93.6<nl><caption><loc_252><loc_415><loc_445><loc_435>Table 4: Results of structure with content retrieved using cell detection on PubTabNet. In all cases the input is PDF documents with cropped tables.</caption></otsl>
<unordered_list><page_break>
<list_item><loc_44><loc_50><loc_50><loc_55>a.</list_item>
<list_item><loc_54><loc_50><loc_408><loc_55>Red - PDF cells, Green - predicted bounding boxes, Blue - post-processed predictions matched to PDF cells</list_item>
</unordered_list>
<section_header_level_1><location><page_8><loc_9><loc_87><loc_46><loc_88></location>Japanese language (previously unseen by TableFormer):</section_header_level_1>
<section_header_level_1><location><page_8><loc_50><loc_87><loc_70><loc_88></location>Example table from FinTabNet:</section_header_level_1>
<figure>
<location><page_8><loc_8><loc_76><loc_49><loc_87></location>
</figure>
<figure>
<location><page_8><loc_50><loc_77><loc_91><loc_88></location>
<caption>b. Structure predicted by TableFormer, with superimposed matched PDF cell text:</caption>
</figure>
<table>
<location><page_8><loc_9><loc_63><loc_49><loc_72></location>
<row_0><col_0><body></col_0><col_1><body></col_1><col_2><col_header>論文ファイル</col_2><col_3><col_header>論文ファイル</col_3><col_4><col_header>参考文献</col_4><col_5><col_header>参考文献</col_5></row_0>
<row_1><col_0><col_header>出典</col_0><col_1><col_header>ファイル 数</col_1><col_2><col_header>英語</col_2><col_3><col_header>日本語</col_3><col_4><col_header>英語</col_4><col_5><col_header>日本語</col_5></row_1>
<row_2><col_0><row_header>Association for Computational Linguistics(ACL2003)</col_0><col_1><body>65</col_1><col_2><body>65</col_2><col_3><body>0</col_3><col_4><body>150</col_4><col_5><body>0</col_5></row_2>
<row_3><col_0><row_header>Computational Linguistics(COLING2002)</col_0><col_1><body>140</col_1><col_2><body>140</col_2><col_3><body>0</col_3><col_4><body>150</col_4><col_5><body>0</col_5></row_3>
<row_4><col_0><row_header>電気情報通信学会 2003 年総合大会</col_0><col_1><body>150</col_1><col_2><body>8</col_2><col_3><body>142</col_3><col_4><body>223</col_4><col_5><body>147</col_5></row_4>
<row_5><col_0><row_header>情報処理学会第 65 回全国大会 (2003)</col_0><col_1><body>177</col_1><col_2><body>1</col_2><col_3><body>176</col_3><col_4><body>150</col_4><col_5><body>236</col_5></row_5>
<row_6><col_0><row_header>第 17 回人工知能学会全国大会 (2003)</col_0><col_1><body>208</col_1><col_2><body>5</col_2><col_3><body>203</col_3><col_4><body>152</col_4><col_5><body>244</col_5></row_6>
<row_7><col_0><row_header>自然言語処理研究会第 146 〜 155 回</col_0><col_1><body>98</col_1><col_2><body>2</col_2><col_3><body>96</col_3><col_4><body>150</col_4><col_5><body>232</col_5></row_7>
<row_8><col_0><row_header>WWW から収集した論文</col_0><col_1><body>107</col_1><col_2><body>73</col_2><col_3><body>34</col_3><col_4><body>147</col_4><col_5><body>96</col_5></row_8>
<row_9><col_0><body></col_0><col_1><body>945</col_1><col_2><body>294</col_2><col_3><body>651</col_3><col_4><body>1122</col_4><col_5><body>955</col_5></row_9>
</table>
<table>
<location><page_8><loc_50><loc_64><loc_90><loc_72></location>
<caption>Text is aligned to match original for ease of viewing</caption>
<row_0><col_0><body></col_0><col_1><col_header>Shares (in millions)</col_1><col_2><col_header>Shares (in millions)</col_2><col_3><col_header>Weighted Average Grant Date Fair Value</col_3><col_4><col_header>Weighted Average Grant Date Fair Value</col_4></row_0>
<row_1><col_0><body></col_0><col_1><col_header>RS U s</col_1><col_2><col_header>PSUs</col_2><col_3><col_header>RSUs</col_3><col_4><col_header>PSUs</col_4></row_1>
<row_2><col_0><row_header>Nonvested on Janua ry 1</col_0><col_1><body>1. 1</col_1><col_2><body>0.3</col_2><col_3><body>90.10 $</col_3><col_4><body>$ 91.19</col_4></row_2>
<row_3><col_0><row_header>Granted</col_0><col_1><body>0. 5</col_1><col_2><body>0.1</col_2><col_3><body>117.44</col_3><col_4><body>122.41</col_4></row_3>
<row_4><col_0><row_header>Vested</col_0><col_1><body>(0. 5 )</col_1><col_2><body>(0.1)</col_2><col_3><body>87.08</col_3><col_4><body>81.14</col_4></row_4>
<row_5><col_0><row_header>Canceled or forfeited</col_0><col_1><body>(0. 1 )</col_1><col_2><body>-</col_2><col_3><body>102.01</col_3><col_4><body>92.18</col_4></row_5>
<row_6><col_0><row_header>Nonvested on December 31</col_0><col_1><body>1.0</col_1><col_2><body>0.3</col_2><col_3><body>104.85 $</col_3><col_4><body>$ 104.51</col_4></row_6>
</table>
<figure>
<location><page_8><loc_8><loc_44><loc_35><loc_52></location>
<caption>Figure 5: One of the benefits of TableFormer is that it is language agnostic, as an example, the left part of the illustration demonstrates TableFormer predictions on previously unseen language (Japanese). Additionally, we see that TableFormer is robust to variability in style and content, right side of the illustration shows the example of the TableFormer prediction from the FinTabNet dataset.</caption>
</figure>
<figure>
<location><page_8><loc_63><loc_44><loc_89><loc_52></location>
</figure>
<figure>
<location><page_8><loc_35><loc_44><loc_61><loc_52></location>
<caption>Figure 6: An example of TableFormer predictions (bounding boxes and structure) from generated SynthTabNet table.</caption>
</figure>
<section_header_level_1><location><page_8><loc_8><loc_37><loc_27><loc_38></location>5.5. Qualitative Analysis</section_header_level_1>
<text><location><page_8><loc_8><loc_10><loc_47><loc_32></location>We showcase several visualizations for the different components of our network on various "complex" tables within datasets presented in this work in Fig. 5 and Fig. 6 As it is shown, our model is able to predict bounding boxes for all table cells, even for the empty ones. Additionally, our post-processing techniques can extract the cell content by matching the predicted bounding boxes to the PDF cells based on their overlap and spatial proximity. The left part of Fig. 5 demonstrates also the adaptability of our method to any language, as it can successfully extract Japanese text, although the training set contains only English content. We provide more visualizations including the intermediate steps in the supplementary material. Overall these illustrations justify the versatility of our method across a diverse range of table appearances and content type.</text>
<section_header_level_1><location><page_8><loc_50><loc_37><loc_75><loc_38></location>6. Future Work & Conclusion</section_header_level_1>
<text><location><page_8><loc_50><loc_18><loc_89><loc_35></location>In this paper, we presented TableFormer an end-to-end transformer based approach to predict table structures and bounding boxes of cells from an image. This approach enables us to recreate the table structure, and extract the cell content from PDF or OCR by using bounding boxes. Additionally, it provides the versatility required in real-world scenarios when dealing with various types of PDF documents, and languages. Furthermore, our method outperforms all state-of-the-arts with a wide margin. Finally, we introduce "SynthTabNet" a challenging synthetically generated dataset that reinforces missing characteristics from other datasets.</text>
<section_header_level_1><location><page_8><loc_50><loc_14><loc_60><loc_15></location>References</section_header_level_1>
<unordered_list>
<list_item><location><page_8><loc_51><loc_10><loc_89><loc_12></location>[1] Nicolas Carion, Francisco Massa, Gabriel Synnaeve, Nicolas Usunier, Alexander Kirillov, and Sergey Zagoruyko. End-to-</list_item>
<section_header_level_1><loc_44><loc_60><loc_232><loc_64>Japanese language (previously unseen by TableFormer):</section_header_level_1>
<section_header_level_1><loc_249><loc_60><loc_352><loc_64>Example table from FinTabNet:</section_header_level_1>
<picture><loc_41><loc_65><loc_246><loc_118></picture>
<picture><loc_250><loc_62><loc_453><loc_114><caption><loc_44><loc_131><loc_315><loc_136>b. Structure predicted by TableFormer, with superimposed matched PDF cell text:</caption></picture>
<otsl><loc_44><loc_138><loc_244><loc_185><ecel><ecel><ched>論文ファイル<lcel><ched>参考文献<lcel><nl><ched>出典<ched>ファイル 数<ched>英語<ched>日本語<ched>英語<ched>日本語<nl><rhed>Association for Computational Linguistics(ACL2003)<fcel>65<fcel>65<fcel>0<fcel>150<fcel>0<nl><rhed>Computational Linguistics(COLING2002)<fcel>140<fcel>140<fcel>0<fcel>150<fcel>0<nl><rhed>電気情報通信学会 2003 年総合大会<fcel>150<fcel>8<fcel>142<fcel>223<fcel>147<nl><rhed>情報処理学会第 65 回全国大会 (2003)<fcel>177<fcel>1<fcel>176<fcel>150<fcel>236<nl><rhed>第 17 回人工知能学会全国大会 (2003)<fcel>208<fcel>5<fcel>203<fcel>152<fcel>244<nl><rhed>自然言語処理研究会第 146 〜 155 回<fcel>98<fcel>2<fcel>96<fcel>150<fcel>232<nl><rhed>WWW から収集した論文<fcel>107<fcel>73<fcel>34<fcel>147<fcel>96<nl><ecel><fcel>945<fcel>294<fcel>651<fcel>1122<fcel>955<nl></otsl>
<otsl><loc_249><loc_138><loc_450><loc_182><ecel><ched>Shares (in millions)<lcel><ched>Weighted Average Grant Date Fair Value<lcel><nl><ecel><ched>RS U s<ched>PSUs<ched>RSUs<ched>PSUs<nl><rhed>Nonvested on Janua ry 1<fcel>1. 1<fcel>0.3<fcel>90.10 $<fcel>$ 91.19<nl><rhed>Granted<fcel>0. 5<fcel>0.1<fcel>117.44<fcel>122.41<nl><rhed>Vested<fcel>(0. 5 )<fcel>(0.1)<fcel>87.08<fcel>81.14<nl><rhed>Canceled or forfeited<fcel>(0. 1 )<fcel>-<fcel>102.01<fcel>92.18<nl><rhed>Nonvested on December 31<fcel>1.0<fcel>0.3<fcel>104.85 $<fcel>$ 104.51<nl><caption><loc_311><loc_185><loc_449><loc_189>Text is aligned to match original for ease of viewing</caption></otsl>
<picture><loc_42><loc_240><loc_173><loc_280><caption><loc_41><loc_203><loc_445><loc_231>Figure 5: One of the benefits of TableFormer is that it is language agnostic, as an example, the left part of the illustration demonstrates TableFormer predictions on previously unseen language (Japanese). Additionally, we see that TableFormer is robust to variability in style and content, right side of the illustration shows the example of the TableFormer prediction from the FinTabNet dataset.</caption></picture>
<picture><loc_313><loc_241><loc_443><loc_280></picture>
<picture><loc_177><loc_240><loc_307><loc_280><caption><loc_51><loc_290><loc_435><loc_295>Figure 6: An example of TableFormer predictions (bounding boxes and structure) from generated SynthTabNet table.</caption></picture>
<section_header_level_1><loc_41><loc_310><loc_134><loc_316>5.5. Qualitative Analysis</section_header_level_1>
<text><loc_41><loc_339><loc_234><loc_450>We showcase several visualizations for the different components of our network on various "complex" tables within datasets presented in this work in Fig. 5 and Fig. 6 As it is shown, our model is able to predict bounding boxes for all table cells, even for the empty ones. Additionally, our post-processing techniques can extract the cell content by matching the predicted bounding boxes to the PDF cells based on their overlap and spatial proximity. The left part of Fig. 5 demonstrates also the adaptability of our method to any language, as it can successfully extract Japanese text, although the training set contains only English content. We provide more visualizations including the intermediate steps in the supplementary material. Overall these illustrations justify the versatility of our method across a diverse range of table appearances and content type.</text>
<section_header_level_1><loc_252><loc_310><loc_377><loc_317>6. Future Work & Conclusion</section_header_level_1>
<text><loc_252><loc_324><loc_445><loc_412>In this paper, we presented TableFormer an end-to-end transformer based approach to predict table structures and bounding boxes of cells from an image. This approach enables us to recreate the table structure, and extract the cell content from PDF or OCR by using bounding boxes. Additionally, it provides the versatility required in real-world scenarios when dealing with various types of PDF documents, and languages. Furthermore, our method outperforms all state-of-the-arts with a wide margin. Finally, we introduce "SynthTabNet" a challenging synthetically generated dataset that reinforces missing characteristics from other datasets.</text>
<section_header_level_1><loc_252><loc_424><loc_298><loc_431>References</section_header_level_1>
<unordered_list><list_item><loc_256><loc_438><loc_445><loc_450>[1] Nicolas Carion, Francisco Massa, Gabriel Synnaeve, Nicolas Usunier, Alexander Kirillov, and Sergey Zagoruyko. End-to-</list_item>
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<section_header_level_1><location><page_11><loc_22><loc_83><loc_76><loc_86></location>TableFormer: Table Structure Understanding with Transformers Supplementary Material</section_header_level_1>
<section_header_level_1><location><page_11><loc_8><loc_78><loc_29><loc_80></location>1. Details on the datasets</section_header_level_1>
<section_header_level_1><location><page_11><loc_8><loc_76><loc_25><loc_77></location>1.1. Data preparation</section_header_level_1>
<text><location><page_11><loc_8><loc_51><loc_47><loc_75></location>As a first step of our data preparation process, we have calculated statistics over the datasets across the following dimensions: (1) table size measured in the number of rows and columns, (2) complexity of the table, (3) strictness of the provided HTML structure and (4) completeness (i.e. no omitted bounding boxes). A table is considered to be simple if it does not contain row spans or column spans. Additionally, a table has a strict HTML structure if every row has the same number of columns after taking into account any row or column spans. Therefore a strict HTML structure looks always rectangular. However, HTML is a lenient encoding format, i.e. tables with rows of different sizes might still be regarded as correct due to implicit display rules. These implicit rules leave room for ambiguity, which we want to avoid. As such, we prefer to have "strict" tables, i.e. tables where every row has exactly the same length.</text>
<text><location><page_11><loc_8><loc_21><loc_47><loc_51></location>We have developed a technique that tries to derive a missing bounding box out of its neighbors. As a first step, we use the annotation data to generate the most fine-grained grid that covers the table structure. In case of strict HTML tables, all grid squares are associated with some table cell and in the presence of table spans a cell extends across multiple grid squares. When enough bounding boxes are known for a rectangular table, it is possible to compute the geometrical border lines between the grid rows and columns. Eventually this information is used to generate the missing bounding boxes. Additionally, the existence of unused grid squares indicates that the table rows have unequal number of columns and the overall structure is non-strict. The generation of missing bounding boxes for non-strict HTML tables is ambiguous and therefore quite challenging. Thus, we have decided to simply discard those tables. In case of PubTabNet we have computed missing bounding boxes for 48% of the simple and 69% of the complex tables. Regarding FinTabNet, 68% of the simple and 98% of the complex tables require the generation of bounding boxes.</text>
<text><location><page_11><loc_8><loc_18><loc_47><loc_20></location>Figure 7 illustrates the distribution of the tables across different dimensions per dataset.</text>
<section_header_level_1><location><page_11><loc_8><loc_15><loc_25><loc_16></location>1.2. Synthetic datasets</section_header_level_1>
<text><location><page_11><loc_8><loc_10><loc_47><loc_14></location>Aiming to train and evaluate our models in a broader spectrum of table data we have synthesized four types of datasets. Each one contains tables with different appear-</text>
<text><location><page_11><loc_50><loc_74><loc_89><loc_79></location>ances in regard to their size, structure, style and content. Every synthetic dataset contains 150k examples, summing up to 600k synthetic examples. All datasets are divided into Train, Test and Val splits (80%, 10%, 10%).</text>
<text><location><page_11><loc_50><loc_71><loc_89><loc_73></location>The process of generating a synthetic dataset can be decomposed into the following steps:</text>
<unordered_list>
<list_item><location><page_11><loc_50><loc_60><loc_89><loc_70></location>1. Prepare styling and content templates: The styling templates have been manually designed and organized into groups of scope specific appearances (e.g. financial data, marketing data, etc.) Additionally, we have prepared curated collections of content templates by extracting the most frequently used terms out of non-synthetic datasets (e.g. PubTabNet, FinTabNet, etc.).</list_item>
<list_item><location><page_11><loc_50><loc_43><loc_89><loc_60></location>2. Generate table structures: The structure of each synthetic dataset assumes a horizontal table header which potentially spans over multiple rows and a table body that may contain a combination of row spans and column spans. However, spans are not allowed to cross the header - body boundary. The table structure is described by the parameters: Total number of table rows and columns, number of header rows, type of spans (header only spans, row only spans, column only spans, both row and column spans), maximum span size and the ratio of the table area covered by spans.</list_item>
<list_item><location><page_11><loc_50><loc_37><loc_89><loc_43></location>3. Generate content: Based on the dataset theme , a set of suitable content templates is chosen first. Then, this content can be combined with purely random text to produce the synthetic content.</list_item>
<list_item><location><page_11><loc_50><loc_31><loc_89><loc_37></location>4. Apply styling templates: Depending on the domain of the synthetic dataset, a set of styling templates is first manually selected. Then, a style is randomly selected to format the appearance of the synthesized table.</list_item>
<list_item><location><page_11><loc_50><loc_23><loc_89><loc_31></location>5. Render the complete tables: The synthetic table is finally rendered by a web browser engine to generate the bounding boxes for each table cell. A batching technique is utilized to optimize the runtime overhead of the rendering process.</list_item>
<page_break>
<section_header_level_1><loc_109><loc_70><loc_380><loc_86>TableFormer: Table Structure Understanding with Transformers Supplementary Material</section_header_level_1>
<section_header_level_1><loc_41><loc_102><loc_144><loc_109>1. Details on the datasets</section_header_level_1>
<section_header_level_1><loc_41><loc_114><loc_123><loc_120>1.1. Data preparation</section_header_level_1>
<text><loc_41><loc_126><loc_234><loc_245>As a first step of our data preparation process, we have calculated statistics over the datasets across the following dimensions: (1) table size measured in the number of rows and columns, (2) complexity of the table, (3) strictness of the provided HTML structure and (4) completeness (i.e. no omitted bounding boxes). A table is considered to be simple if it does not contain row spans or column spans. Additionally, a table has a strict HTML structure if every row has the same number of columns after taking into account any row or column spans. Therefore a strict HTML structure looks always rectangular. However, HTML is a lenient encoding format, i.e. tables with rows of different sizes might still be regarded as correct due to implicit display rules. These implicit rules leave room for ambiguity, which we want to avoid. As such, we prefer to have "strict" tables, i.e. tables where every row has exactly the same length.</text>
<text><loc_41><loc_247><loc_234><loc_396>We have developed a technique that tries to derive a missing bounding box out of its neighbors. As a first step, we use the annotation data to generate the most fine-grained grid that covers the table structure. In case of strict HTML tables, all grid squares are associated with some table cell and in the presence of table spans a cell extends across multiple grid squares. When enough bounding boxes are known for a rectangular table, it is possible to compute the geometrical border lines between the grid rows and columns. Eventually this information is used to generate the missing bounding boxes. Additionally, the existence of unused grid squares indicates that the table rows have unequal number of columns and the overall structure is non-strict. The generation of missing bounding boxes for non-strict HTML tables is ambiguous and therefore quite challenging. Thus, we have decided to simply discard those tables. In case of PubTabNet we have computed missing bounding boxes for 48% of the simple and 69% of the complex tables. Regarding FinTabNet, 68% of the simple and 98% of the complex tables require the generation of bounding boxes.</text>
<text><loc_41><loc_398><loc_234><loc_411>Figure 7 illustrates the distribution of the tables across different dimensions per dataset.</text>
<section_header_level_1><loc_41><loc_418><loc_125><loc_424>1.2. Synthetic datasets</section_header_level_1>
<text><loc_41><loc_430><loc_234><loc_451>Aiming to train and evaluate our models in a broader spectrum of table data we have synthesized four types of datasets. Each one contains tables with different appear-</text>
<text><loc_252><loc_103><loc_445><loc_131>ances in regard to their size, structure, style and content. Every synthetic dataset contains 150k examples, summing up to 600k synthetic examples. All datasets are divided into Train, Test and Val splits (80%, 10%, 10%).</text>
<text><loc_252><loc_133><loc_445><loc_147>The process of generating a synthetic dataset can be decomposed into the following steps:</text>
<unordered_list><list_item><loc_252><loc_149><loc_445><loc_200>1. Prepare styling and content templates: The styling templates have been manually designed and organized into groups of scope specific appearances (e.g. financial data, marketing data, etc.) Additionally, we have prepared curated collections of content templates by extracting the most frequently used terms out of non-synthetic datasets (e.g. PubTabNet, FinTabNet, etc.).</list_item>
<list_item><loc_252><loc_202><loc_445><loc_283>2. Generate table structures: The structure of each synthetic dataset assumes a horizontal table header which potentially spans over multiple rows and a table body that may contain a combination of row spans and column spans. However, spans are not allowed to cross the header - body boundary. The table structure is described by the parameters: Total number of table rows and columns, number of header rows, type of spans (header only spans, row only spans, column only spans, both row and column spans), maximum span size and the ratio of the table area covered by spans.</list_item>
<list_item><loc_252><loc_286><loc_445><loc_314>3. Generate content: Based on the dataset theme , a set of suitable content templates is chosen first. Then, this content can be combined with purely random text to produce the synthetic content.</list_item>
<list_item><loc_252><loc_316><loc_445><loc_345>4. Apply styling templates: Depending on the domain of the synthetic dataset, a set of styling templates is first manually selected. Then, a style is randomly selected to format the appearance of the synthesized table.</list_item>
<list_item><loc_252><loc_347><loc_445><loc_383>5. Render the complete tables: The synthetic table is finally rendered by a web browser engine to generate the bounding boxes for each table cell. A batching technique is utilized to optimize the runtime overhead of the rendering process.</list_item>
</unordered_list>
<section_header_level_1><location><page_11><loc_50><loc_18><loc_89><loc_21></location>2. Prediction post-processing for PDF documents</section_header_level_1>
<text><location><page_11><loc_50><loc_10><loc_89><loc_17></location>Although TableFormer can predict the table structure and the bounding boxes for tables recognized inside PDF documents, this is not enough when a full reconstruction of the original table is required. This happens mainly due the following reasons:</text>
<figure>
<location><page_12><loc_9><loc_81><loc_89><loc_91></location>
<caption>Figure 7: Distribution of the tables across different dimensions per dataset. Simple vs complex tables per dataset and split, strict vs non strict html structures per dataset and table complexity, missing bboxes per dataset and table complexity.</caption>
</figure>
<unordered_list>
<list_item><location><page_12><loc_10><loc_71><loc_47><loc_73></location>· TableFormer output does not include the table cell content.</list_item>
<list_item><location><page_12><loc_10><loc_67><loc_47><loc_69></location>· There are occasional inaccuracies in the predictions of the bounding boxes.</list_item>
<section_header_level_1><loc_252><loc_393><loc_445><loc_408>2. Prediction post-processing for PDF documents</section_header_level_1>
<text><loc_252><loc_415><loc_445><loc_451>Although TableFormer can predict the table structure and the bounding boxes for tables recognized inside PDF documents, this is not enough when a full reconstruction of the original table is required. This happens mainly due the following reasons:</text>
<page_footer><loc_239><loc_463><loc_247><loc_469>11</page_footer>
<page_break>
<picture><loc_44><loc_47><loc_445><loc_93><caption><loc_41><loc_104><loc_445><loc_118>Figure 7: Distribution of the tables across different dimensions per dataset. Simple vs complex tables per dataset and split, strict vs non strict html structures per dataset and table complexity, missing bboxes per dataset and table complexity.</caption></picture>
<unordered_list><list_item><loc_50><loc_133><loc_234><loc_146>· TableFormer output does not include the table cell content.</list_item>
<list_item><loc_50><loc_154><loc_234><loc_167>· There are occasional inaccuracies in the predictions of the bounding boxes.</list_item>
</unordered_list>
<text><location><page_12><loc_8><loc_50><loc_47><loc_65></location>However, it is possible to mitigate those limitations by combining the TableFormer predictions with the information already present inside a programmatic PDF document. More specifically, PDF documents can be seen as a sequence of PDF cells where each cell is described by its content and bounding box. If we are able to associate the PDF cells with the predicted table cells, we can directly link the PDF cell content to the table cell structure and use the PDF bounding boxes to correct misalignments in the predicted table cell bounding boxes.</text>
<text><location><page_12><loc_8><loc_47><loc_47><loc_50></location>Here is a step-by-step description of the prediction postprocessing:</text>
<unordered_list>
<list_item><location><page_12><loc_8><loc_42><loc_47><loc_47></location>1. Get the minimal grid dimensions - number of rows and columns for the predicted table structure. This represents the most granular grid for the underlying table structure.</list_item>
<list_item><location><page_12><loc_8><loc_36><loc_47><loc_42></location>2. Generate pair-wise matches between the bounding boxes of the PDF cells and the predicted cells. The Intersection Over Union (IOU) metric is used to evaluate the quality of the matches.</list_item>
<list_item><location><page_12><loc_8><loc_33><loc_47><loc_36></location>3. Use a carefully selected IOU threshold to designate the matches as "good" ones and "bad" ones.</list_item>
<list_item><location><page_12><loc_8><loc_29><loc_47><loc_33></location>3.a. If all IOU scores in a column are below the threshold, discard all predictions (structure and bounding boxes) for that column.</list_item>
<list_item><location><page_12><loc_8><loc_24><loc_47><loc_28></location>4. Find the best-fitting content alignment for the predicted cells with good IOU per each column. The alignment of the column can be identified by the following formula:</list_item>
<text><loc_41><loc_176><loc_234><loc_250>However, it is possible to mitigate those limitations by combining the TableFormer predictions with the information already present inside a programmatic PDF document. More specifically, PDF documents can be seen as a sequence of PDF cells where each cell is described by its content and bounding box. If we are able to associate the PDF cells with the predicted table cells, we can directly link the PDF cell content to the table cell structure and use the PDF bounding boxes to correct misalignments in the predicted table cell bounding boxes.</text>
<text><loc_41><loc_252><loc_234><loc_265>Here is a step-by-step description of the prediction postprocessing:</text>
<unordered_list><list_item><loc_41><loc_267><loc_234><loc_288>1. Get the minimal grid dimensions - number of rows and columns for the predicted table structure. This represents the most granular grid for the underlying table structure.</list_item>
<list_item><loc_41><loc_290><loc_234><loc_318>2. Generate pair-wise matches between the bounding boxes of the PDF cells and the predicted cells. The Intersection Over Union (IOU) metric is used to evaluate the quality of the matches.</list_item>
<list_item><loc_41><loc_320><loc_234><loc_334>3. Use a carefully selected IOU threshold to designate the matches as "good" ones and "bad" ones.</list_item>
<list_item><loc_41><loc_336><loc_234><loc_356>3.a. If all IOU scores in a column are below the threshold, discard all predictions (structure and bounding boxes) for that column.</list_item>
<list_item><loc_41><loc_359><loc_234><loc_379>4. Find the best-fitting content alignment for the predicted cells with good IOU per each column. The alignment of the column can be identified by the following formula:</list_item>
</unordered_list>
<formula><location><page_12><loc_18><loc_17><loc_47><loc_21></location></formula>
<text><location><page_12><loc_8><loc_13><loc_47><loc_16></location>where c is one of { left, centroid, right } and x$_{c}$ is the xcoordinate for the corresponding point.</text>
<unordered_list>
<list_item><location><page_12><loc_8><loc_10><loc_47><loc_13></location>5. Use the alignment computed in step 4, to compute the median x -coordinate for all table columns and the me-</list_item>
<formula><loc_90><loc_394><loc_234><loc_413></formula>
<text><loc_41><loc_421><loc_234><loc_435>where c is one of { left, centroid, right } and x$_{c}$ is the xcoordinate for the corresponding point.</text>
<unordered_list><list_item><loc_41><loc_437><loc_234><loc_450>5. Use the alignment computed in step 4, to compute the median x -coordinate for all table columns and the me-</list_item>
</unordered_list>
<text><location><page_12><loc_50><loc_68><loc_89><loc_73></location>dian cell size for all table cells. The usage of median during the computations, helps to eliminate outliers caused by occasional column spans which are usually wider than the normal.</text>
<unordered_list>
<list_item><location><page_12><loc_50><loc_65><loc_89><loc_67></location>6. Snap all cells with bad IOU to their corresponding median x -coordinates and cell sizes.</list_item>
<list_item><location><page_12><loc_50><loc_51><loc_89><loc_64></location>7. Generate a new set of pair-wise matches between the corrected bounding boxes and PDF cells. This time use a modified version of the IOU metric, where the area of the intersection between the predicted and PDF cells is divided by the PDF cell area. In case there are multiple matches for the same PDF cell, the prediction with the higher score is preferred. This covers the cases where the PDF cells are smaller than the area of predicted or corrected prediction cells.</list_item>
<list_item><location><page_12><loc_50><loc_42><loc_89><loc_51></location>8. In some rare occasions, we have noticed that TableFormer can confuse a single column as two. When the postprocessing steps are applied, this results with two predicted columns pointing to the same PDF column. In such case we must de-duplicate the columns according to highest total column intersection score.</list_item>
<list_item><location><page_12><loc_50><loc_28><loc_89><loc_41></location>9. Pick up the remaining orphan cells. There could be cases, when after applying all the previous post-processing steps, some PDF cells could still remain without any match to predicted cells. However, it is still possible to deduce the correct matching for an orphan PDF cell by mapping its bounding box on the geometry of the grid. This mapping decides if the content of the orphan cell will be appended to an already matched table cell, or a new table cell should be created to match with the orphan.</list_item>
<text><loc_252><loc_133><loc_445><loc_161>dian cell size for all table cells. The usage of median during the computations, helps to eliminate outliers caused by occasional column spans which are usually wider than the normal.</text>
<unordered_list><list_item><loc_252><loc_164><loc_445><loc_177>6. Snap all cells with bad IOU to their corresponding median x -coordinates and cell sizes.</list_item>
<list_item><loc_252><loc_179><loc_445><loc_245>7. Generate a new set of pair-wise matches between the corrected bounding boxes and PDF cells. This time use a modified version of the IOU metric, where the area of the intersection between the predicted and PDF cells is divided by the PDF cell area. In case there are multiple matches for the same PDF cell, the prediction with the higher score is preferred. This covers the cases where the PDF cells are smaller than the area of predicted or corrected prediction cells.</list_item>
<list_item><loc_252><loc_247><loc_445><loc_290>8. In some rare occasions, we have noticed that TableFormer can confuse a single column as two. When the postprocessing steps are applied, this results with two predicted columns pointing to the same PDF column. In such case we must de-duplicate the columns according to highest total column intersection score.</list_item>
<list_item><loc_252><loc_293><loc_445><loc_359>9. Pick up the remaining orphan cells. There could be cases, when after applying all the previous post-processing steps, some PDF cells could still remain without any match to predicted cells. However, it is still possible to deduce the correct matching for an orphan PDF cell by mapping its bounding box on the geometry of the grid. This mapping decides if the content of the orphan cell will be appended to an already matched table cell, or a new table cell should be created to match with the orphan.</list_item>
</unordered_list>
<text><location><page_12><loc_50><loc_24><loc_89><loc_28></location>9a. Compute the top and bottom boundary of the horizontal band for each grid row (min/max y coordinates per row).</text>
<unordered_list>
<list_item><location><page_12><loc_50><loc_21><loc_89><loc_23></location>9b. Intersect the orphan's bounding box with the row bands, and map the cell to the closest grid row.</list_item>
<list_item><location><page_12><loc_50><loc_16><loc_89><loc_20></location>9c. Compute the left and right boundary of the vertical band for each grid column (min/max x coordinates per column).</list_item>
<list_item><location><page_12><loc_50><loc_13><loc_89><loc_16></location>9d. Intersect the orphan's bounding box with the column bands, and map the cell to the closest grid column.</list_item>
<list_item><location><page_12><loc_50><loc_10><loc_89><loc_13></location>9e. If the table cell under the identified row and column is not empty, extend its content with the content of the or-</list_item>
<text><loc_252><loc_361><loc_445><loc_381>9a. Compute the top and bottom boundary of the horizontal band for each grid row (min/max y coordinates per row).</text>
<unordered_list><list_item><loc_252><loc_384><loc_445><loc_397>9b. Intersect the orphan's bounding box with the row bands, and map the cell to the closest grid row.</list_item>
<list_item><loc_252><loc_399><loc_445><loc_420>9c. Compute the left and right boundary of the vertical band for each grid column (min/max x coordinates per column).</list_item>
<list_item><loc_252><loc_422><loc_445><loc_435>9d. Intersect the orphan's bounding box with the column bands, and map the cell to the closest grid column.</list_item>
<list_item><loc_252><loc_437><loc_445><loc_450>9e. If the table cell under the identified row and column is not empty, extend its content with the content of the or-</list_item>
</unordered_list>
<text><location><page_13><loc_8><loc_89><loc_15><loc_91></location>phan cell.</text>
<text><location><page_13><loc_8><loc_86><loc_47><loc_89></location>9f. Otherwise create a new structural cell and match it wit the orphan cell.</text>
<text><location><page_13><loc_8><loc_83><loc_47><loc_86></location>Aditional images with examples of TableFormer predictions and post-processing can be found below.</text>
<table>
<location><page_13><loc_14><loc_73><loc_39><loc_80></location>
</table>
<table>
<location><page_13><loc_14><loc_63><loc_39><loc_70></location>
</table>
<table>
<location><page_13><loc_14><loc_54><loc_39><loc_61></location>
</table>
<table>
<location><page_13><loc_14><loc_38><loc_41><loc_50></location>
<caption>Figure 8: Example of a table with multi-line header.</caption>
</table>
<table>
<location><page_13><loc_51><loc_83><loc_91><loc_87></location>
</table>
<table>
<location><page_13><loc_51><loc_77><loc_91><loc_80></location>
</table>
<table>
<location><page_13><loc_51><loc_71><loc_91><loc_75></location>
</table>
<figure>
<location><page_13><loc_51><loc_63><loc_70><loc_68></location>
</figure>
<table>
<location><page_13><loc_51><loc_63><loc_70><loc_68></location>
<caption>Figure 9: Example of a table with big empty distance between cells.</caption>
</table>
<table>
<location><page_13><loc_55><loc_45><loc_80><loc_51></location>
</table>
<table>
<location><page_13><loc_55><loc_37><loc_80><loc_43></location>
</table>
<table>
<location><page_13><loc_55><loc_28><loc_80><loc_34></location>
</table>
<figure>
<location><page_13><loc_55><loc_16><loc_85><loc_25></location>
</figure>
<table>
<location><page_13><loc_55><loc_16><loc_85><loc_25></location>
<caption>Figure 10: Example of a complex table with empty cells.</caption>
</table>
<table>
<location><page_14><loc_8><loc_57><loc_46><loc_65></location>
</table>
<figure>
<location><page_14><loc_8><loc_56><loc_46><loc_87></location>
<caption>Figure 11: Simple table with different style and empty cells.</caption>
</figure>
<table>
<location><page_14><loc_8><loc_38><loc_51><loc_43></location>
</table>
<table>
<location><page_14><loc_8><loc_32><loc_51><loc_36></location>
</table>
<table>
<location><page_14><loc_8><loc_25><loc_51><loc_30></location>
</table>
<figure>
<location><page_14><loc_8><loc_17><loc_29><loc_23></location>
<caption>Figure 12: Simple table predictions and post processing.</caption>
</figure>
<table>
<location><page_14><loc_52><loc_73><loc_87><loc_80></location>
</table>
<table>
<location><page_14><loc_52><loc_65><loc_87><loc_71></location>
</table>
<table>
<location><page_14><loc_54><loc_55><loc_86><loc_64></location>
</table>
<figure>
<location><page_14><loc_52><loc_55><loc_87><loc_89></location>
<caption>Figure 13: Table predictions example on colorful table.</caption>
</figure>
<table>
<location><page_14><loc_52><loc_40><loc_85><loc_46></location>
</table>
<table>
<location><page_14><loc_52><loc_32><loc_85><loc_38></location>
</table>
<table>
<location><page_14><loc_52><loc_25><loc_85><loc_31></location>
</table>
<table>
<location><page_14><loc_52><loc_16><loc_87><loc_23></location>
<caption>Figure 14: Example with multi-line text.</caption>
</table>
<figure>
<location><page_15><loc_9><loc_69><loc_46><loc_83></location>
</figure>
<table>
<location><page_15><loc_9><loc_69><loc_46><loc_83></location>
</table>
<figure>
<location><page_15><loc_9><loc_53><loc_46><loc_67></location>
</figure>
<table>
<location><page_15><loc_9><loc_53><loc_46><loc_67></location>
</table>
<figure>
<location><page_15><loc_9><loc_37><loc_46><loc_51></location>
</figure>
<figure>
<location><page_15><loc_8><loc_20><loc_52><loc_36></location>
</figure>
<table>
<location><page_15><loc_8><loc_20><loc_52><loc_36></location>
<caption>Figure 15: Example with triangular table.</caption>
</table>
<table>
<location><page_15><loc_53><loc_72><loc_86><loc_85></location>
</table>
<table>
<location><page_15><loc_53><loc_57><loc_86><loc_69></location>
</table>
<figure>
<location><page_15><loc_53><loc_41><loc_86><loc_54></location>
</figure>
<table>
<location><page_15><loc_53><loc_41><loc_86><loc_54></location>
</table>
<figure>
<location><page_15><loc_58><loc_20><loc_81><loc_38></location>
</figure>
<table>
<location><page_15><loc_58><loc_20><loc_81><loc_38></location>
<caption>Figure 16: Example of how post-processing helps to restore mis-aligned bounding boxes prediction artifact.</caption>
</table>
<figure>
<location><page_16><loc_11><loc_37><loc_86><loc_68></location>
<caption>Figure 17: Example of long table. End-to-end example from initial PDF cells to prediction of bounding boxes, post processing and prediction of structure.</caption>
</figure>
</document>
<page_footer><loc_239><loc_463><loc_247><loc_469>12</page_footer>
<page_break>
<text><loc_41><loc_47><loc_73><loc_53>phan cell.</text>
<text><loc_41><loc_55><loc_234><loc_68>9f. Otherwise create a new structural cell and match it wit the orphan cell.</text>
<text><loc_41><loc_70><loc_234><loc_83>Aditional images with examples of TableFormer predictions and post-processing can be found below.</text>
<otsl><loc_69><loc_99><loc_195><loc_135></otsl>
<otsl><loc_68><loc_148><loc_195><loc_184></otsl>
<otsl><loc_69><loc_195><loc_195><loc_232></otsl>
<otsl><loc_68><loc_250><loc_203><loc_308><caption><loc_52><loc_317><loc_223><loc_323>Figure 8: Example of a table with multi-line header.</caption></otsl>
<page_footer><loc_239><loc_463><loc_247><loc_469>13</page_footer>
<otsl><loc_254><loc_64><loc_454><loc_86></otsl>
<otsl><loc_253><loc_98><loc_454><loc_117></otsl>
<otsl><loc_253><loc_124><loc_454><loc_147></otsl>
<picture><loc_253><loc_160><loc_348><loc_185></picture>
<otsl><loc_253><loc_160><loc_348><loc_185><caption><loc_252><loc_194><loc_445><loc_207>Figure 9: Example of a table with big empty distance between cells.</caption></otsl>
<otsl><loc_274><loc_245><loc_400><loc_276></otsl>
<otsl><loc_274><loc_287><loc_400><loc_317></otsl>
<otsl><loc_274><loc_328><loc_401><loc_358></otsl>
<picture><loc_273><loc_374><loc_424><loc_420></picture>
<otsl><loc_273><loc_374><loc_424><loc_420><caption><loc_255><loc_430><loc_443><loc_435>Figure 10: Example of a complex table with empty cells.</caption></otsl>
<page_break>
<otsl><loc_42><loc_173><loc_231><loc_217></otsl>
<picture><loc_42><loc_66><loc_231><loc_218><caption><loc_41><loc_225><loc_234><loc_238>Figure 11: Simple table with different style and empty cells.</caption></picture>
<otsl><loc_42><loc_286><loc_254><loc_310></otsl>
<otsl><loc_42><loc_318><loc_254><loc_342></otsl>
<otsl><loc_42><loc_350><loc_254><loc_374></otsl>
<picture><loc_41><loc_386><loc_145><loc_414><caption><loc_45><loc_424><loc_230><loc_430>Figure 12: Simple table predictions and post processing.</caption></picture>
<page_footer><loc_239><loc_463><loc_247><loc_469>14</page_footer>
<otsl><loc_261><loc_102><loc_437><loc_135></otsl>
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<otsl><loc_268><loc_182><loc_428><loc_226></otsl>
<picture><loc_260><loc_57><loc_437><loc_227><caption><loc_258><loc_235><loc_440><loc_240>Figure 13: Table predictions example on colorful table.</caption></picture>
<otsl><loc_261><loc_272><loc_424><loc_302></otsl>
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<otsl><loc_261><loc_345><loc_425><loc_374></otsl>
<otsl><loc_261><loc_385><loc_436><loc_422><caption><loc_282><loc_432><loc_416><loc_437>Figure 14: Example with multi-line text.</caption></otsl>
<page_break>
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<otsl><loc_41><loc_319><loc_261><loc_399><caption><loc_69><loc_407><loc_206><loc_412>Figure 15: Example with triangular table.</caption></otsl>
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<otsl><loc_289><loc_308><loc_405><loc_401><caption><loc_252><loc_412><loc_445><loc_425>Figure 16: Example of how post-processing helps to restore mis-aligned bounding boxes prediction artifact.</caption></otsl>
<page_break>
<picture><loc_55><loc_160><loc_432><loc_314><caption><loc_41><loc_321><loc_445><loc_334>Figure 17: Example of long table. End-to-end example from initial PDF cells to prediction of bounding boxes, post processing and prediction of structure.</caption></picture>
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<document>
<section_header_level_1><location><page_1><loc_18><loc_85><loc_83><loc_89></location>DocLayNet: A Large Human-Annotated Dataset for Document-Layout Analysis</section_header_level_1>
<text><location><page_1><loc_15><loc_77><loc_32><loc_83></location>Birgit Pfitzmann IBM Research Rueschlikon, Switzerland bpf@zurich.ibm.com</text>
<text><location><page_1><loc_42><loc_77><loc_58><loc_83></location>Christoph Auer IBM Research Rueschlikon, Switzerland cau@zurich.ibm.com</text>
<text><location><page_1><loc_69><loc_77><loc_85><loc_83></location>Michele Dolfi IBM Research Rueschlikon, Switzerland dol@zurich.ibm.com</text>
<text><location><page_1><loc_28><loc_70><loc_45><loc_76></location>Ahmed S. Nassar IBM Research Rueschlikon, Switzerland ahn@zurich.ibm.com</text>
<text><location><page_1><loc_55><loc_70><loc_72><loc_76></location>Peter Staar IBM Research Rueschlikon, Switzerland taa@zurich.ibm.com</text>
<section_header_level_1><location><page_1><loc_9><loc_67><loc_18><loc_69></location>ABSTRACT</section_header_level_1>
<text><location><page_1><loc_9><loc_33><loc_48><loc_67></location>Accurate document layout analysis is a key requirement for highquality PDF document conversion. With the recent availability of public, large ground-truth datasets such as PubLayNet and DocBank, deep-learning models have proven to be very effective at layout detection and segmentation. While these datasets are of adequate size to train such models, they severely lack in layout variability since they are sourced from scientific article repositories such as PubMed and arXiv only. Consequently, the accuracy of the layout segmentation drops significantly when these models are applied on more challenging and diverse layouts. In this paper, we present DocLayNet , a new, publicly available, document-layout annotation dataset in COCO format. It contains 80863 manually annotated pages from diverse data sources to represent a wide variability in layouts. For each PDF page, the layout annotations provide labelled bounding-boxes with a choice of 11 distinct classes. DocLayNet also provides a subset of double- and triple-annotated pages to determine the inter-annotator agreement. In multiple experiments, we provide baseline accuracy scores (in mAP) for a set of popular object detection models. We also demonstrate that these models fall approximately 10% behind the inter-annotator agreement. Furthermore, we provide evidence that DocLayNet is of sufficient size. Lastly, we compare models trained on PubLayNet, DocBank and DocLayNet, showing that layout predictions of the DocLayNettrained models are more robust and thus the preferred choice for general-purpose document-layout analysis.</text>
<section_header_level_1><location><page_1><loc_9><loc_29><loc_22><loc_30></location>CCS CONCEPTS</section_header_level_1>
<text><location><page_1><loc_9><loc_25><loc_49><loc_29></location>· Information systems → Document structure ; · Applied computing → Document analysis ; · Computing methodologies → Machine learning ; Computer vision ; Object detection ;</text>
<text><location><page_1><loc_9><loc_15><loc_48><loc_20></location>Permission to make digital or hard copies of part or all of this work for personal or classroom use is granted without fee provided that copies are not made or distributed for profit or commercial advantage and that copies bear this notice and the full citation on the first page. Copyrights for third-party components of this work must be honored. For all other uses, contact the owner/author(s).</text>
<text><location><page_1><loc_9><loc_14><loc_32><loc_15></location>KDD '22, August 14-18, 2022, Washington, DC, USA</text>
<text><location><page_1><loc_9><loc_13><loc_31><loc_14></location>© 2022 Copyright held by the owner/author(s).</text>
<text><location><page_1><loc_9><loc_12><loc_26><loc_13></location>ACM ISBN 978-1-4503-9385-0/22/08.</text>
<text><location><page_1><loc_9><loc_11><loc_27><loc_12></location>https://doi.org/10.1145/3534678.3539043</text>
<figure>
<location><page_1><loc_53><loc_34><loc_90><loc_68></location>
<caption>Figure 1: Four examples of complex page layouts across different document categories</caption>
</figure>
<section_header_level_1><location><page_1><loc_52><loc_24><loc_62><loc_25></location>KEYWORDS</section_header_level_1>
<text><location><page_1><loc_52><loc_21><loc_91><loc_23></location>PDF document conversion, layout segmentation, object-detection, data set, Machine Learning</text>
<section_header_level_1><location><page_1><loc_52><loc_18><loc_66><loc_19></location>ACM Reference Format:</section_header_level_1>
<text><location><page_1><loc_52><loc_11><loc_91><loc_18></location>Birgit Pfitzmann, Christoph Auer, Michele Dolfi, Ahmed S. Nassar, and Peter Staar. 2022. DocLayNet: A Large Human-Annotated Dataset for DocumentLayout Analysis. In Proceedings of the 28th ACM SIGKDD Conference on Knowledge Discovery and Data Mining (KDD '22), August 14-18, 2022, Washington, DC, USA. ACM, New York, NY, USA, 9 pages. https://doi.org/10.1145/ 3534678.3539043</text>
<section_header_level_1><location><page_2><loc_9><loc_88><loc_26><loc_89></location>1 INTRODUCTION</section_header_level_1>
<text><location><page_2><loc_9><loc_71><loc_50><loc_86></location>Despite the substantial improvements achieved with machine-learning (ML) approaches and deep neural networks in recent years, document conversion remains a challenging problem, as demonstrated by the numerous public competitions held on this topic [1-4]. The challenge originates from the huge variability in PDF documents regarding layout, language and formats (scanned, programmatic or a combination of both). Engineering a single ML model that can be applied on all types of documents and provides high-quality layout segmentation remains to this day extremely challenging [5]. To highlight the variability in document layouts, we show a few example documents from the DocLayNet dataset in Figure 1.</text>
<text><location><page_2><loc_9><loc_37><loc_48><loc_71></location>A key problem in the process of document conversion is to understand the structure of a single document page, i.e. which segments of text should be grouped together in a unit. To train models for this task, there are currently two large datasets available to the community, PubLayNet [6] and DocBank [7]. They were introduced in 2019 and 2020 respectively and significantly accelerated the implementation of layout detection and segmentation models due to their sizes of 300K and 500K ground-truth pages. These sizes were achieved by leveraging an automation approach. The benefit of automated ground-truth generation is obvious: one can generate large ground-truth datasets at virtually no cost. However, the automation introduces a constraint on the variability in the dataset, because corresponding structured source data must be available. PubLayNet and DocBank were both generated from scientific document repositories (PubMed and arXiv), which provide XML or L A T E X sources. Those scientific documents present a limited variability in their layouts, because they are typeset in uniform templates provided by the publishers. Obviously, documents such as technical manuals, annual company reports, legal text, government tenders, etc. have very different and partially unique layouts. As a consequence, the layout predictions obtained from models trained on PubLayNet or DocBank is very reasonable when applied on scientific documents. However, for more artistic or free-style layouts, we see sub-par prediction quality from these models, which we demonstrate in Section 5.</text>
<text><location><page_2><loc_9><loc_27><loc_48><loc_36></location>In this paper, we present the DocLayNet dataset. It provides pageby-page layout annotation ground-truth using bounding-boxes for 11 distinct class labels on 80863 unique document pages, of which a fraction carry double- or triple-annotations. DocLayNet is similar in spirit to PubLayNet and DocBank and will likewise be made available to the public 1 in order to stimulate the document-layout analysis community. It distinguishes itself in the following aspects:</text>
<unordered_list>
<list_item><location><page_2><loc_11><loc_22><loc_48><loc_26></location>(1) Human Annotation : In contrast to PubLayNet and DocBank, we relied on human annotation instead of automation approaches to generate the data set.</list_item>
<list_item><location><page_2><loc_11><loc_20><loc_48><loc_22></location>(2) Large Layout Variability : We include diverse and complex layouts from a large variety of public sources.</list_item>
<list_item><location><page_2><loc_11><loc_15><loc_48><loc_19></location>(3) Detailed Label Set : We define 11 class labels to distinguish layout features in high detail. PubLayNet provides 5 labels; DocBank provides 13, although not a superset of ours.</list_item>
<list_item><location><page_2><loc_11><loc_13><loc_48><loc_15></location>(4) Redundant Annotations : A fraction of the pages in the DocLayNet data set carry more than one human annotation.</list_item>
<doctag><page_header><loc_15><loc_138><loc_30><loc_350>arXiv:2206.01062v1 [cs.CV] 2 Jun 2022</page_header>
<section_header_level_1><loc_88><loc_53><loc_413><loc_76>DocLayNet: A Large Human-Annotated Dataset for Document-Layout Analysis</section_header_level_1>
<text><loc_74><loc_84><loc_158><loc_114>Birgit Pfitzmann IBM Research Rueschlikon, Switzerland bpf@zurich.ibm.com</text>
<text><loc_208><loc_84><loc_292><loc_114>Christoph Auer IBM Research Rueschlikon, Switzerland cau@zurich.ibm.com</text>
<text><loc_343><loc_84><loc_426><loc_114>Michele Dolfi IBM Research Rueschlikon, Switzerland dol@zurich.ibm.com</text>
<text><loc_141><loc_121><loc_225><loc_151>Ahmed S. Nassar IBM Research Rueschlikon, Switzerland ahn@zurich.ibm.com</text>
<text><loc_275><loc_121><loc_359><loc_151>Peter Staar IBM Research Rueschlikon, Switzerland taa@zurich.ibm.com</text>
<section_header_level_1><loc_44><loc_156><loc_91><loc_163>ABSTRACT</section_header_level_1>
<text><loc_44><loc_166><loc_241><loc_337>Accurate document layout analysis is a key requirement for highquality PDF document conversion. With the recent availability of public, large ground-truth datasets such as PubLayNet and DocBank, deep-learning models have proven to be very effective at layout detection and segmentation. While these datasets are of adequate size to train such models, they severely lack in layout variability since they are sourced from scientific article repositories such as PubMed and arXiv only. Consequently, the accuracy of the layout segmentation drops significantly when these models are applied on more challenging and diverse layouts. In this paper, we present DocLayNet , a new, publicly available, document-layout annotation dataset in COCO format. It contains 80863 manually annotated pages from diverse data sources to represent a wide variability in layouts. For each PDF page, the layout annotations provide labelled bounding-boxes with a choice of 11 distinct classes. DocLayNet also provides a subset of double- and triple-annotated pages to determine the inter-annotator agreement. In multiple experiments, we provide baseline accuracy scores (in mAP) for a set of popular object detection models. We also demonstrate that these models fall approximately 10% behind the inter-annotator agreement. Furthermore, we provide evidence that DocLayNet is of sufficient size. Lastly, we compare models trained on PubLayNet, DocBank and DocLayNet, showing that layout predictions of the DocLayNettrained models are more robust and thus the preferred choice for general-purpose document-layout analysis.</text>
<section_header_level_1><loc_44><loc_348><loc_110><loc_354>CCS CONCEPTS</section_header_level_1>
<text><loc_44><loc_357><loc_243><loc_377>· Information systems → Document structure ; · Applied computing → Document analysis ; · Computing methodologies → Machine learning ; Computer vision ; Object detection ;</text>
<text><loc_44><loc_401><loc_241><loc_425>Permission to make digital or hard copies of part or all of this work for personal or classroom use is granted without fee provided that copies are not made or distributed for profit or commercial advantage and that copies bear this notice and the full citation on the first page. Copyrights for third-party components of this work must be honored. For all other uses, contact the owner/author(s).</text>
<text><loc_44><loc_426><loc_162><loc_430>KDD '22, August 14-18, 2022, Washington, DC, USA</text>
<text><loc_44><loc_432><loc_153><loc_436>© 2022 Copyright held by the owner/author(s).</text>
<text><loc_44><loc_437><loc_128><loc_441>ACM ISBN 978-1-4503-9385-0/22/08.</text>
<text><loc_44><loc_442><loc_136><loc_446>https://doi.org/10.1145/3534678.3539043</text>
<picture><loc_264><loc_158><loc_452><loc_332><caption><loc_260><loc_341><loc_457><loc_353>Figure 1: Four examples of complex page layouts across different document categories</caption></picture>
<section_header_level_1><loc_260><loc_374><loc_310><loc_381>KEYWORDS</section_header_level_1>
<text><loc_260><loc_384><loc_457><loc_396>PDF document conversion, layout segmentation, object-detection, data set, Machine Learning</text>
<section_header_level_1><loc_260><loc_404><loc_331><loc_409>ACM Reference Format:</section_header_level_1>
<text><loc_260><loc_410><loc_457><loc_447>Birgit Pfitzmann, Christoph Auer, Michele Dolfi, Ahmed S. Nassar, and Peter Staar. 2022. DocLayNet: A Large Human-Annotated Dataset for DocumentLayout Analysis. In Proceedings of the 28th ACM SIGKDD Conference on Knowledge Discovery and Data Mining (KDD '22), August 14-18, 2022, Washington, DC, USA. ACM, New York, NY, USA, 9 pages. https://doi.org/10.1145/ 3534678.3539043</text>
<page_break>
<page_header><loc_44><loc_38><loc_456><loc_43>KDD 22, August 14-18, 2022, Washington, DC, USA Birgit Pfitzmann, Christoph Auer, Michele Dolfi, Ahmed S. Nassar, and Peter Staar</page_header>
<section_header_level_1><loc_44><loc_54><loc_128><loc_61>1 INTRODUCTION</section_header_level_1>
<text><loc_44><loc_70><loc_248><loc_145>Despite the substantial improvements achieved with machine-learning (ML) approaches and deep neural networks in recent years, document conversion remains a challenging problem, as demonstrated by the numerous public competitions held on this topic [1-4]. The challenge originates from the huge variability in PDF documents regarding layout, language and formats (scanned, programmatic or a combination of both). Engineering a single ML model that can be applied on all types of documents and provides high-quality layout segmentation remains to this day extremely challenging [5]. To highlight the variability in document layouts, we show a few example documents from the DocLayNet dataset in Figure 1.</text>
<text><loc_44><loc_146><loc_241><loc_317>A key problem in the process of document conversion is to understand the structure of a single document page, i.e. which segments of text should be grouped together in a unit. To train models for this task, there are currently two large datasets available to the community, PubLayNet [6] and DocBank [7]. They were introduced in 2019 and 2020 respectively and significantly accelerated the implementation of layout detection and segmentation models due to their sizes of 300K and 500K ground-truth pages. These sizes were achieved by leveraging an automation approach. The benefit of automated ground-truth generation is obvious: one can generate large ground-truth datasets at virtually no cost. However, the automation introduces a constraint on the variability in the dataset, because corresponding structured source data must be available. PubLayNet and DocBank were both generated from scientific document repositories (PubMed and arXiv), which provide XML or L A T E X sources. Those scientific documents present a limited variability in their layouts, because they are typeset in uniform templates provided by the publishers. Obviously, documents such as technical manuals, annual company reports, legal text, government tenders, etc. have very different and partially unique layouts. As a consequence, the layout predictions obtained from models trained on PubLayNet or DocBank is very reasonable when applied on scientific documents. However, for more artistic or free-style layouts, we see sub-par prediction quality from these models, which we demonstrate in Section 5.</text>
<text><loc_44><loc_319><loc_241><loc_366>In this paper, we present the DocLayNet dataset. It provides pageby-page layout annotation ground-truth using bounding-boxes for 11 distinct class labels on 80863 unique document pages, of which a fraction carry double- or triple-annotations. DocLayNet is similar in spirit to PubLayNet and DocBank and will likewise be made available to the public 1 in order to stimulate the document-layout analysis community. It distinguishes itself in the following aspects:</text>
<unordered_list><list_item><loc_53><loc_369><loc_241><loc_388>(1) Human Annotation : In contrast to PubLayNet and DocBank, we relied on human annotation instead of automation approaches to generate the data set.</list_item>
<list_item><loc_53><loc_390><loc_240><loc_402>(2) Large Layout Variability : We include diverse and complex layouts from a large variety of public sources.</list_item>
<list_item><loc_53><loc_404><loc_241><loc_423>(3) Detailed Label Set : We define 11 class labels to distinguish layout features in high detail. PubLayNet provides 5 labels; DocBank provides 13, although not a superset of ours.</list_item>
<list_item><loc_53><loc_424><loc_241><loc_437>(4) Redundant Annotations : A fraction of the pages in the DocLayNet data set carry more than one human annotation.</list_item>
</unordered_list>
<text><location><page_2><loc_56><loc_87><loc_91><loc_89></location>This enables experimentation with annotation uncertainty and quality control analysis.</text>
<unordered_list>
<list_item><location><page_2><loc_54><loc_80><loc_91><loc_86></location>(5) Pre-defined Train-, Test- & Validation-set : Like DocBank, we provide fixed train-, test- & validation-sets to ensure proportional representation of the class-labels. Further, we prevent leakage of unique layouts across sets, which has a large effect on model accuracy scores.</list_item>
<footnote><loc_44><loc_443><loc_176><loc_447>$^{1}$https://developer.ibm.com/exchanges/data/all/doclaynet</footnote>
<text><loc_279><loc_55><loc_456><loc_67>This enables experimentation with annotation uncertainty and quality control analysis.</text>
<unordered_list><list_item><loc_269><loc_69><loc_457><loc_102>(5) Pre-defined Train-, Test- & Validation-set : Like DocBank, we provide fixed train-, test- & validation-sets to ensure proportional representation of the class-labels. Further, we prevent leakage of unique layouts across sets, which has a large effect on model accuracy scores.</list_item>
</unordered_list>
<text><location><page_2><loc_52><loc_72><loc_91><loc_79></location>All aspects outlined above are detailed in Section 3. In Section 4, we will elaborate on how we designed and executed this large-scale human annotation campaign. We will also share key insights and lessons learned that might prove helpful for other parties planning to set up annotation campaigns.</text>
<text><location><page_2><loc_52><loc_61><loc_91><loc_72></location>In Section 5, we will present baseline accuracy numbers for a variety of object detection methods (Faster R-CNN, Mask R-CNN and YOLOv5) trained on DocLayNet. We further show how the model performance is impacted by varying the DocLayNet dataset size, reducing the label set and modifying the train/test-split. Last but not least, we compare the performance of models trained on PubLayNet, DocBank and DocLayNet and demonstrate that a model trained on DocLayNet provides overall more robust layout recovery.</text>
<section_header_level_1><location><page_2><loc_52><loc_58><loc_69><loc_59></location>2 RELATED WORK</section_header_level_1>
<text><location><page_2><loc_52><loc_41><loc_91><loc_56></location>While early approaches in document-layout analysis used rulebased algorithms and heuristics [8], the problem is lately addressed with deep learning methods. The most common approach is to leverage object detection models [9-15]. In the last decade, the accuracy and speed of these models has increased dramatically. Furthermore, most state-of-the-art object detection methods can be trained and applied with very little work, thanks to a standardisation effort of the ground-truth data format [16] and common deep-learning frameworks [17]. Reference data sets such as PubLayNet [6] and DocBank provide their data in the commonly accepted COCO format [16].</text>
<text><location><page_2><loc_52><loc_30><loc_91><loc_41></location>Lately, new types of ML models for document-layout analysis have emerged in the community [18-21]. These models do not approach the problem of layout analysis purely based on an image representation of the page, as computer vision methods do. Instead, they combine the text tokens and image representation of a page in order to obtain a segmentation. While the reported accuracies appear to be promising, a broadly accepted data format which links geometric and textual features has yet to establish.</text>
<section_header_level_1><location><page_2><loc_52><loc_27><loc_78><loc_29></location>3 THE DOCLAYNET DATASET</section_header_level_1>
<text><location><page_2><loc_52><loc_15><loc_91><loc_25></location>DocLayNet contains 80863 PDF pages. Among these, 7059 carry two instances of human annotations, and 1591 carry three. This amounts to 91104 total annotation instances. The annotations provide layout information in the shape of labeled, rectangular boundingboxes. We define 11 distinct labels for layout features, namely Caption , Footnote , Formula , List-item , Page-footer , Page-header , Picture , Section-header , Table , Text , and Title . Our reasoning for picking this particular label set is detailed in Section 4.</text>
<text><location><page_2><loc_52><loc_11><loc_91><loc_14></location>In addition to open intellectual property constraints for the source documents, we required that the documents in DocLayNet adhere to a few conditions. Firstly, we kept scanned documents</text>
<figure>
<location><page_3><loc_14><loc_72><loc_43><loc_88></location>
<caption>Figure 2: Distribution of DocLayNet pages across document categories.</caption>
</figure>
<text><location><page_3><loc_9><loc_54><loc_48><loc_64></location>to a minimum, since they introduce difficulties in annotation (see Section 4). As a second condition, we focussed on medium to large documents ( > 10 pages) with technical content, dense in complex tables, figures, plots and captions. Such documents carry a lot of information value, but are often hard to analyse with high accuracy due to their challenging layouts. Counterexamples of documents not included in the dataset are receipts, invoices, hand-written documents or photographs showing "text in the wild".</text>
<text><location><page_3><loc_9><loc_36><loc_48><loc_53></location>The pages in DocLayNet can be grouped into six distinct categories, namely Financial Reports , Manuals , Scientific Articles , Laws & Regulations , Patents and Government Tenders . Each document category was sourced from various repositories. For example, Financial Reports contain both free-style format annual reports 2 which expose company-specific, artistic layouts as well as the more formal SEC filings. The two largest categories ( Financial Reports and Manuals ) contain a large amount of free-style layouts in order to obtain maximum variability. In the other four categories, we boosted the variability by mixing documents from independent providers, such as different government websites or publishers. In Figure 2, we show the document categories contained in DocLayNet with their respective sizes.</text>
<text><location><page_3><loc_9><loc_23><loc_48><loc_35></location>We did not control the document selection with regard to language. The vast majority of documents contained in DocLayNet (close to 95%) are published in English language. However, DocLayNet also contains a number of documents in other languages such as German (2.5%), French (1.0%) and Japanese (1.0%). While the document language has negligible impact on the performance of computer vision methods such as object detection and segmentation models, it might prove challenging for layout analysis methods which exploit textual features.</text>
<text><location><page_3><loc_9><loc_14><loc_48><loc_23></location>To ensure that future benchmarks in the document-layout analysis community can be easily compared, we have split up DocLayNet into pre-defined train-, test- and validation-sets. In this way, we can avoid spurious variations in the evaluation scores due to random splitting in train-, test- and validation-sets. We also ensured that less frequent labels are represented in train and test sets in equal proportions.</text>
<text><location><page_3><loc_52><loc_80><loc_91><loc_89></location>Table 1 shows the overall frequency and distribution of the labels among the different sets. Importantly, we ensure that subsets are only split on full-document boundaries. This avoids that pages of the same document are spread over train, test and validation set, which can give an undesired evaluation advantage to models and lead to overestimation of their prediction accuracy. We will show the impact of this decision in Section 5.</text>
<text><location><page_3><loc_52><loc_66><loc_91><loc_79></location>In order to accommodate the different types of models currently in use by the community, we provide DocLayNet in an augmented COCO format [16]. This entails the standard COCO ground-truth file (in JSON format) with the associated page images (in PNG format, 1025 × 1025 pixels). Furthermore, custom fields have been added to each COCO record to specify document category, original document filename and page number. In addition, we also provide the original PDF pages, as well as sidecar files containing parsed PDF text and text-cell coordinates (in JSON). All additional files are linked to the primary page images by their matching filenames.</text>
<text><location><page_3><loc_52><loc_26><loc_91><loc_65></location>Despite being cost-intense and far less scalable than automation, human annotation has several benefits over automated groundtruth generation. The first and most obvious reason to leverage human annotations is the freedom to annotate any type of document without requiring a programmatic source. For most PDF documents, the original source document is not available. The latter is not a hard constraint with human annotation, but it is for automated methods. A second reason to use human annotations is that the latter usually provide a more natural interpretation of the page layout. The human-interpreted layout can significantly deviate from the programmatic layout used in typesetting. For example, "invisible" tables might be used solely for aligning text paragraphs on columns. Such typesetting tricks might be interpreted by automated methods incorrectly as an actual table, while the human annotation will interpret it correctly as Text or other styles. The same applies to multi-line text elements, when authors decided to space them as "invisible" list elements without bullet symbols. A third reason to gather ground-truth through human annotation is to estimate a "natural" upper bound on the segmentation accuracy. As we will show in Section 4, certain documents featuring complex layouts can have different but equally acceptable layout interpretations. This natural upper bound for segmentation accuracy can be found by annotating the same pages multiple times by different people and evaluating the inter-annotator agreement. Such a baseline consistency evaluation is very useful to define expectations for a good target accuracy in trained deep neural network models and avoid overfitting (see Table 1). On the flip side, achieving high annotation consistency proved to be a key challenge in human annotation, as we outline in Section 4.</text>
<section_header_level_1><location><page_3><loc_52><loc_22><loc_77><loc_23></location>4 ANNOTATION CAMPAIGN</section_header_level_1>
<text><location><page_3><loc_52><loc_11><loc_91><loc_20></location>The annotation campaign was carried out in four phases. In phase one, we identified and prepared the data sources for annotation. In phase two, we determined the class labels and how annotations should be done on the documents in order to obtain maximum consistency. The latter was guided by a detailed requirement analysis and exhaustive experiments. In phase three, we trained the annotation staff and performed exams for quality assurance. In phase four,</text>
<table>
<location><page_4><loc_16><loc_63><loc_84><loc_83></location>
<caption>Table 1: DocLayNet dataset overview. Along with the frequency of each class label, we present the relative occurrence (as % of row "Total") in the train, test and validation sets. The inter-annotator agreement is computed as the mAP@0.5-0.95 metric between pairwise annotations from the triple-annotated pages, from which we obtain accuracy ranges.</caption>
<row_0><col_0><body></col_0><col_1><body></col_1><col_2><col_header>% of Total</col_2><col_3><col_header>% of Total</col_3><col_4><col_header>% of Total</col_4><col_5><col_header>% of Total</col_5><col_6><col_header>triple inter-annotator mAP @ 0.5-0.95 (%)</col_6><col_7><col_header>triple inter-annotator mAP @ 0.5-0.95 (%)</col_7><col_8><col_header>triple inter-annotator mAP @ 0.5-0.95 (%)</col_8><col_9><col_header>triple inter-annotator mAP @ 0.5-0.95 (%)</col_9><col_10><col_header>triple inter-annotator mAP @ 0.5-0.95 (%)</col_10><col_11><col_header>triple inter-annotator mAP @ 0.5-0.95 (%)</col_11></row_0>
<row_1><col_0><col_header>class label</col_0><col_1><col_header>Count</col_1><col_2><col_header>Train</col_2><col_3><col_header>Test</col_3><col_4><col_header>Val</col_4><col_5><col_header>All</col_5><col_6><col_header>Fin</col_6><col_7><col_header>Man</col_7><col_8><col_header>Sci</col_8><col_9><col_header>Law</col_9><col_10><col_header>Pat</col_10><col_11><col_header>Ten</col_11></row_1>
<row_2><col_0><row_header>Caption</col_0><col_1><body>22524</col_1><col_2><body>2.04</col_2><col_3><body>1.77</col_3><col_4><body>2.32</col_4><col_5><body>84-89</col_5><col_6><body>40-61</col_6><col_7><body>86-92</col_7><col_8><body>94-99</col_8><col_9><body>95-99</col_9><col_10><body>69-78</col_10><col_11><body>n/a</col_11></row_2>
<row_3><col_0><row_header>Footnote</col_0><col_1><body>6318</col_1><col_2><body>0.60</col_2><col_3><body>0.31</col_3><col_4><body>0.58</col_4><col_5><body>83-91</col_5><col_6><body>n/a</col_6><col_7><body>100</col_7><col_8><body>62-88</col_8><col_9><body>85-94</col_9><col_10><body>n/a</col_10><col_11><body>82-97</col_11></row_3>
<row_4><col_0><row_header>Formula</col_0><col_1><body>25027</col_1><col_2><body>2.25</col_2><col_3><body>1.90</col_3><col_4><body>2.96</col_4><col_5><body>83-85</col_5><col_6><body>n/a</col_6><col_7><body>n/a</col_7><col_8><body>84-87</col_8><col_9><body>86-96</col_9><col_10><body>n/a</col_10><col_11><body>n/a</col_11></row_4>
<row_5><col_0><row_header>List-item</col_0><col_1><body>185660</col_1><col_2><body>17.19</col_2><col_3><body>13.34</col_3><col_4><body>15.82</col_4><col_5><body>87-88</col_5><col_6><body>74-83</col_6><col_7><body>90-92</col_7><col_8><body>97-97</col_8><col_9><body>81-85</col_9><col_10><body>75-88</col_10><col_11><body>93-95</col_11></row_5>
<row_6><col_0><row_header>Page-footer</col_0><col_1><body>70878</col_1><col_2><body>6.51</col_2><col_3><body>5.58</col_3><col_4><body>6.00</col_4><col_5><body>93-94</col_5><col_6><body>88-90</col_6><col_7><body>95-96</col_7><col_8><body>100</col_8><col_9><body>92-97</col_9><col_10><body>100</col_10><col_11><body>96-98</col_11></row_6>
<row_7><col_0><row_header>Page-header</col_0><col_1><body>58022</col_1><col_2><body>5.10</col_2><col_3><body>6.70</col_3><col_4><body>5.06</col_4><col_5><body>85-89</col_5><col_6><body>66-76</col_6><col_7><body>90-94</col_7><col_8><body>98-100</col_8><col_9><body>91-92</col_9><col_10><body>97-99</col_10><col_11><body>81-86</col_11></row_7>
<row_8><col_0><row_header>Picture</col_0><col_1><body>45976</col_1><col_2><body>4.21</col_2><col_3><body>2.78</col_3><col_4><body>5.31</col_4><col_5><body>69-71</col_5><col_6><body>56-59</col_6><col_7><body>82-86</col_7><col_8><body>69-82</col_8><col_9><body>80-95</col_9><col_10><body>66-71</col_10><col_11><body>59-76</col_11></row_8>
<row_9><col_0><row_header>Section-header</col_0><col_1><body>142884</col_1><col_2><body>12.60</col_2><col_3><body>15.77</col_3><col_4><body>12.85</col_4><col_5><body>83-84</col_5><col_6><body>76-81</col_6><col_7><body>90-92</col_7><col_8><body>94-95</col_8><col_9><body>87-94</col_9><col_10><body>69-73</col_10><col_11><body>78-86</col_11></row_9>
<row_10><col_0><row_header>Table</col_0><col_1><body>34733</col_1><col_2><body>3.20</col_2><col_3><body>2.27</col_3><col_4><body>3.60</col_4><col_5><body>77-81</col_5><col_6><body>75-80</col_6><col_7><body>83-86</col_7><col_8><body>98-99</col_8><col_9><body>58-80</col_9><col_10><body>79-84</col_10><col_11><body>70-85</col_11></row_10>
<row_11><col_0><row_header>Text</col_0><col_1><body>510377</col_1><col_2><body>45.82</col_2><col_3><body>49.28</col_3><col_4><body>45.00</col_4><col_5><body>84-86</col_5><col_6><body>81-86</col_6><col_7><body>88-93</col_7><col_8><body>89-93</col_8><col_9><body>87-92</col_9><col_10><body>71-79</col_10><col_11><body>87-95</col_11></row_11>
<row_12><col_0><row_header>Title</col_0><col_1><body>5071</col_1><col_2><body>0.47</col_2><col_3><body>0.30</col_3><col_4><body>0.50</col_4><col_5><body>60-72</col_5><col_6><body>24-63</col_6><col_7><body>50-63</col_7><col_8><body>94-100</col_8><col_9><body>82-96</col_9><col_10><body>68-79</col_10><col_11><body>24-56</col_11></row_12>
<row_13><col_0><row_header>Total</col_0><col_1><body>1107470</col_1><col_2><body>941123</col_2><col_3><body>99816</col_3><col_4><body>66531</col_4><col_5><body>82-83</col_5><col_6><body>71-74</col_6><col_7><body>79-81</col_7><col_8><body>89-94</col_8><col_9><body>86-91</col_9><col_10><body>71-76</col_10><col_11><body>68-85</col_11></row_13>
</table>
<figure>
<location><page_4><loc_9><loc_32><loc_48><loc_61></location>
<caption>Figure 3: Corpus Conversion Service annotation user interface. The PDF page is shown in the background, with overlaid text-cells (in darker shades). The annotation boxes can be drawn by dragging a rectangle over each segment with the respective label from the palette on the right.</caption>
</figure>
<text><location><page_4><loc_9><loc_15><loc_48><loc_20></location>we distributed the annotation workload and performed continuous quality controls. Phase one and two required a small team of experts only. For phases three and four, a group of 40 dedicated annotators were assembled and supervised.</text>
<text><location><page_4><loc_9><loc_11><loc_48><loc_14></location>Phase 1: Data selection and preparation. Our inclusion criteria for documents were described in Section 3. A large effort went into ensuring that all documents are free to use. The data sources</text>
<text><location><page_4><loc_52><loc_53><loc_91><loc_61></location>include publication repositories such as arXiv$^{3}$, government offices, company websites as well as data directory services for financial reports and patents. Scanned documents were excluded wherever possible because they can be rotated or skewed. This would not allow us to perform annotation with rectangular bounding-boxes and therefore complicate the annotation process.</text>
<text><location><page_4><loc_52><loc_36><loc_91><loc_52></location>Preparation work included uploading and parsing the sourced PDF documents in the Corpus Conversion Service (CCS) [22], a cloud-native platform which provides a visual annotation interface and allows for dataset inspection and analysis. The annotation interface of CCS is shown in Figure 3. The desired balance of pages between the different document categories was achieved by selective subsampling of pages with certain desired properties. For example, we made sure to include the title page of each document and bias the remaining page selection to those with figures or tables. The latter was achieved by leveraging pre-trained object detection models from PubLayNet, which helped us estimate how many figures and tables a given page contains.</text>
<text><location><page_4><loc_52><loc_12><loc_91><loc_36></location>Phase 2: Label selection and guideline. We reviewed the collected documents and identified the most common structural features they exhibit. This was achieved by identifying recurrent layout elements and lead us to the definition of 11 distinct class labels. These 11 class labels are Caption , Footnote , Formula , List-item , Pagefooter , Page-header , Picture , Section-header , Table , Text , and Title . Critical factors that were considered for the choice of these class labels were (1) the overall occurrence of the label, (2) the specificity of the label, (3) recognisability on a single page (i.e. no need for context from previous or next page) and (4) overall coverage of the page. Specificity ensures that the choice of label is not ambiguous, while coverage ensures that all meaningful items on a page can be annotated. We refrained from class labels that are very specific to a document category, such as Abstract in the Scientific Articles category. We also avoided class labels that are tightly linked to the semantics of the text. Labels such as Author and Affiliation , as seen in DocBank, are often only distinguishable by discriminating on</text>
<text><location><page_5><loc_9><loc_87><loc_48><loc_89></location>the textual content of an element, which goes beyond visual layout recognition, in particular outside the Scientific Articles category.</text>
<text><location><page_5><loc_9><loc_69><loc_48><loc_86></location>At first sight, the task of visual document-layout interpretation appears intuitive enough to obtain plausible annotations in most cases. However, during early trial-runs in the core team, we observed many cases in which annotators use different annotation styles, especially for documents with challenging layouts. For example, if a figure is presented with subfigures, one annotator might draw a single figure bounding-box, while another might annotate each subfigure separately. The same applies for lists, where one might annotate all list items in one block or each list item separately. In essence, we observed that challenging layouts would be annotated in different but plausible ways. To illustrate this, we show in Figure 4 multiple examples of plausible but inconsistent annotations on the same pages.</text>
<text><location><page_5><loc_9><loc_57><loc_48><loc_68></location>Obviously, this inconsistency in annotations is not desirable for datasets which are intended to be used for model training. To minimise these inconsistencies, we created a detailed annotation guideline. While perfect consistency across 40 annotation staff members is clearly not possible to achieve, we saw a huge improvement in annotation consistency after the introduction of our annotation guideline. A few selected, non-trivial highlights of the guideline are:</text>
<unordered_list>
<list_item><location><page_5><loc_11><loc_51><loc_48><loc_56></location>(1) Every list-item is an individual object instance with class label List-item . This definition is different from PubLayNet and DocBank, where all list-items are grouped together into one List object.</list_item>
<list_item><location><page_5><loc_11><loc_45><loc_48><loc_50></location>(2) A List-item is a paragraph with hanging indentation. Singleline elements can qualify as List-item if the neighbour elements expose hanging indentation. Bullet or enumeration symbols are not a requirement.</list_item>
<list_item><location><page_5><loc_11><loc_42><loc_48><loc_45></location>(3) For every Caption , there must be exactly one corresponding Picture or Table .</list_item>
<list_item><location><page_5><loc_11><loc_40><loc_48><loc_42></location>(4) Connected sub-pictures are grouped together in one Picture object.</list_item>
<list_item><location><page_5><loc_11><loc_38><loc_43><loc_39></location>(5) Formula numbers are included in a Formula object.</list_item>
<list_item><location><page_5><loc_11><loc_34><loc_48><loc_38></location>(6) Emphasised text (e.g. in italic or bold) at the beginning of a paragraph is not considered a Section-header , unless it appears exclusively on its own line.</list_item>
<text><loc_259><loc_106><loc_457><loc_139>All aspects outlined above are detailed in Section 3. In Section 4, we will elaborate on how we designed and executed this large-scale human annotation campaign. We will also share key insights and lessons learned that might prove helpful for other parties planning to set up annotation campaigns.</text>
<text><loc_260><loc_141><loc_457><loc_194>In Section 5, we will present baseline accuracy numbers for a variety of object detection methods (Faster R-CNN, Mask R-CNN and YOLOv5) trained on DocLayNet. We further show how the model performance is impacted by varying the DocLayNet dataset size, reducing the label set and modifying the train/test-split. Last but not least, we compare the performance of models trained on PubLayNet, DocBank and DocLayNet and demonstrate that a model trained on DocLayNet provides overall more robust layout recovery.</text>
<section_header_level_1><loc_260><loc_203><loc_345><loc_209>2 RELATED WORK</section_header_level_1>
<text><loc_259><loc_219><loc_457><loc_293>While early approaches in document-layout analysis used rulebased algorithms and heuristics [8], the problem is lately addressed with deep learning methods. The most common approach is to leverage object detection models [9-15]. In the last decade, the accuracy and speed of these models has increased dramatically. Furthermore, most state-of-the-art object detection methods can be trained and applied with very little work, thanks to a standardisation effort of the ground-truth data format [16] and common deep-learning frameworks [17]. Reference data sets such as PubLayNet [6] and DocBank provide their data in the commonly accepted COCO format [16].</text>
<text><loc_260><loc_295><loc_457><loc_348>Lately, new types of ML models for document-layout analysis have emerged in the community [18-21]. These models do not approach the problem of layout analysis purely based on an image representation of the page, as computer vision methods do. Instead, they combine the text tokens and image representation of a page in order to obtain a segmentation. While the reported accuracies appear to be promising, a broadly accepted data format which links geometric and textual features has yet to establish.</text>
<section_header_level_1><loc_260><loc_357><loc_390><loc_363>3 THE DOCLAYNET DATASET</section_header_level_1>
<text><loc_260><loc_373><loc_457><loc_426>DocLayNet contains 80863 PDF pages. Among these, 7059 carry two instances of human annotations, and 1591 carry three. This amounts to 91104 total annotation instances. The annotations provide layout information in the shape of labeled, rectangular boundingboxes. We define 11 distinct labels for layout features, namely Caption , Footnote , Formula , List-item , Page-footer , Page-header , Picture , Section-header , Table , Text , and Title . Our reasoning for picking this particular label set is detailed in Section 4.</text>
<text><loc_260><loc_428><loc_456><loc_447>In addition to open intellectual property constraints for the source documents, we required that the documents in DocLayNet adhere to a few conditions. Firstly, we kept scanned documents</text>
<page_break>
<page_header><loc_44><loc_38><loc_284><loc_43>DocLayNet: A Large Human-Annotated Dataset for Document-Layout Analysis</page_header>
<page_header><loc_299><loc_38><loc_456><loc_43>KDD 22, August 14-18, 2022, Washington, DC, USA</page_header>
<picture><loc_72><loc_59><loc_215><loc_139><caption><loc_44><loc_149><loc_240><loc_161>Figure 2: Distribution of DocLayNet pages across document categories.</caption></picture>
<text><loc_44><loc_178><loc_240><loc_232>to a minimum, since they introduce difficulties in annotation (see Section 4). As a second condition, we focussed on medium to large documents ( > 10 pages) with technical content, dense in complex tables, figures, plots and captions. Such documents carry a lot of information value, but are often hard to analyse with high accuracy due to their challenging layouts. Counterexamples of documents not included in the dataset are receipts, invoices, hand-written documents or photographs showing "text in the wild".</text>
<text><loc_44><loc_233><loc_241><loc_322>The pages in DocLayNet can be grouped into six distinct categories, namely Financial Reports , Manuals , Scientific Articles , Laws & Regulations , Patents and Government Tenders . Each document category was sourced from various repositories. For example, Financial Reports contain both free-style format annual reports 2 which expose company-specific, artistic layouts as well as the more formal SEC filings. The two largest categories ( Financial Reports and Manuals ) contain a large amount of free-style layouts in order to obtain maximum variability. In the other four categories, we boosted the variability by mixing documents from independent providers, such as different government websites or publishers. In Figure 2, we show the document categories contained in DocLayNet with their respective sizes.</text>
<text><loc_44><loc_323><loc_241><loc_384>We did not control the document selection with regard to language. The vast majority of documents contained in DocLayNet (close to 95%) are published in English language. However, DocLayNet also contains a number of documents in other languages such as German (2.5%), French (1.0%) and Japanese (1.0%). While the document language has negligible impact on the performance of computer vision methods such as object detection and segmentation models, it might prove challenging for layout analysis methods which exploit textual features.</text>
<text><loc_44><loc_385><loc_241><loc_432>To ensure that future benchmarks in the document-layout analysis community can be easily compared, we have split up DocLayNet into pre-defined train-, test- and validation-sets. In this way, we can avoid spurious variations in the evaluation scores due to random splitting in train-, test- and validation-sets. We also ensured that less frequent labels are represented in train and test sets in equal proportions.</text>
<footnote><loc_44><loc_443><loc_160><loc_447>$^{2}$e.g. AAPL from https://www.annualreports.com/</footnote>
<text><loc_259><loc_55><loc_457><loc_102>Table 1 shows the overall frequency and distribution of the labels among the different sets. Importantly, we ensure that subsets are only split on full-document boundaries. This avoids that pages of the same document are spread over train, test and validation set, which can give an undesired evaluation advantage to models and lead to overestimation of their prediction accuracy. We will show the impact of this decision in Section 5.</text>
<text><loc_260><loc_104><loc_456><loc_171>In order to accommodate the different types of models currently in use by the community, we provide DocLayNet in an augmented COCO format [16]. This entails the standard COCO ground-truth file (in JSON format) with the associated page images (in PNG format, 1025 × 1025 pixels). Furthermore, custom fields have been added to each COCO record to specify document category, original document filename and page number. In addition, we also provide the original PDF pages, as well as sidecar files containing parsed PDF text and text-cell coordinates (in JSON). All additional files are linked to the primary page images by their matching filenames.</text>
<text><loc_259><loc_173><loc_457><loc_372>Despite being cost-intense and far less scalable than automation, human annotation has several benefits over automated groundtruth generation. The first and most obvious reason to leverage human annotations is the freedom to annotate any type of document without requiring a programmatic source. For most PDF documents, the original source document is not available. The latter is not a hard constraint with human annotation, but it is for automated methods. A second reason to use human annotations is that the latter usually provide a more natural interpretation of the page layout. The human-interpreted layout can significantly deviate from the programmatic layout used in typesetting. For example, "invisible" tables might be used solely for aligning text paragraphs on columns. Such typesetting tricks might be interpreted by automated methods incorrectly as an actual table, while the human annotation will interpret it correctly as Text or other styles. The same applies to multi-line text elements, when authors decided to space them as "invisible" list elements without bullet symbols. A third reason to gather ground-truth through human annotation is to estimate a "natural" upper bound on the segmentation accuracy. As we will show in Section 4, certain documents featuring complex layouts can have different but equally acceptable layout interpretations. This natural upper bound for segmentation accuracy can be found by annotating the same pages multiple times by different people and evaluating the inter-annotator agreement. Such a baseline consistency evaluation is very useful to define expectations for a good target accuracy in trained deep neural network models and avoid overfitting (see Table 1). On the flip side, achieving high annotation consistency proved to be a key challenge in human annotation, as we outline in Section 4.</text>
<section_header_level_1><loc_260><loc_383><loc_384><loc_390>4 ANNOTATION CAMPAIGN</section_header_level_1>
<text><loc_260><loc_399><loc_457><loc_446>The annotation campaign was carried out in four phases. In phase one, we identified and prepared the data sources for annotation. In phase two, we determined the class labels and how annotations should be done on the documents in order to obtain maximum consistency. The latter was guided by a detailed requirement analysis and exhaustive experiments. In phase three, we trained the annotation staff and performed exams for quality assurance. In phase four,</text>
<page_break>
<page_header><loc_44><loc_38><loc_456><loc_43>KDD 22, August 14-18, 2022, Washington, DC, USA Birgit Pfitzmann, Christoph Auer, Michele Dolfi, Ahmed S. Nassar, and Peter Staar</page_header>
<otsl><loc_81><loc_87><loc_419><loc_186><ecel><ecel><ched>% of Total<lcel><lcel><lcel><ched>triple inter-annotator mAP @ 0.5-0.95 (%)<lcel><lcel><lcel><lcel><lcel><nl><ched>class label<ched>Count<ched>Train<ched>Test<ched>Val<ched>All<ched>Fin<ched>Man<ched>Sci<ched>Law<ched>Pat<ched>Ten<nl><rhed>Caption<fcel>22524<fcel>2.04<fcel>1.77<fcel>2.32<fcel>84-89<fcel>40-61<fcel>86-92<fcel>94-99<fcel>95-99<fcel>69-78<fcel>n/a<nl><rhed>Footnote<fcel>6318<fcel>0.60<fcel>0.31<fcel>0.58<fcel>83-91<fcel>n/a<fcel>100<fcel>62-88<fcel>85-94<fcel>n/a<fcel>82-97<nl><rhed>Formula<fcel>25027<fcel>2.25<fcel>1.90<fcel>2.96<fcel>83-85<fcel>n/a<fcel>n/a<fcel>84-87<fcel>86-96<fcel>n/a<fcel>n/a<nl><rhed>List-item<fcel>185660<fcel>17.19<fcel>13.34<fcel>15.82<fcel>87-88<fcel>74-83<fcel>90-92<fcel>97-97<fcel>81-85<fcel>75-88<fcel>93-95<nl><rhed>Page-footer<fcel>70878<fcel>6.51<fcel>5.58<fcel>6.00<fcel>93-94<fcel>88-90<fcel>95-96<fcel>100<fcel>92-97<fcel>100<fcel>96-98<nl><rhed>Page-header<fcel>58022<fcel>5.10<fcel>6.70<fcel>5.06<fcel>85-89<fcel>66-76<fcel>90-94<fcel>98-100<fcel>91-92<fcel>97-99<fcel>81-86<nl><rhed>Picture<fcel>45976<fcel>4.21<fcel>2.78<fcel>5.31<fcel>69-71<fcel>56-59<fcel>82-86<fcel>69-82<fcel>80-95<fcel>66-71<fcel>59-76<nl><rhed>Section-header<fcel>142884<fcel>12.60<fcel>15.77<fcel>12.85<fcel>83-84<fcel>76-81<fcel>90-92<fcel>94-95<fcel>87-94<fcel>69-73<fcel>78-86<nl><rhed>Table<fcel>34733<fcel>3.20<fcel>2.27<fcel>3.60<fcel>77-81<fcel>75-80<fcel>83-86<fcel>98-99<fcel>58-80<fcel>79-84<fcel>70-85<nl><rhed>Text<fcel>510377<fcel>45.82<fcel>49.28<fcel>45.00<fcel>84-86<fcel>81-86<fcel>88-93<fcel>89-93<fcel>87-92<fcel>71-79<fcel>87-95<nl><rhed>Title<fcel>5071<fcel>0.47<fcel>0.30<fcel>0.50<fcel>60-72<fcel>24-63<fcel>50-63<fcel>94-100<fcel>82-96<fcel>68-79<fcel>24-56<nl><rhed>Total<fcel>1107470<fcel>941123<fcel>99816<fcel>66531<fcel>82-83<fcel>71-74<fcel>79-81<fcel>89-94<fcel>86-91<fcel>71-76<fcel>68-85<nl><caption><loc_44><loc_54><loc_456><loc_73>Table 1: DocLayNet dataset overview. Along with the frequency of each class label, we present the relative occurrence (as % of row "Total") in the train, test and validation sets. The inter-annotator agreement is computed as the mAP@0.5-0.95 metric between pairwise annotations from the triple-annotated pages, from which we obtain accuracy ranges.</caption></otsl>
<picture><loc_43><loc_196><loc_242><loc_341><caption><loc_44><loc_350><loc_242><loc_383>Figure 3: Corpus Conversion Service annotation user interface. The PDF page is shown in the background, with overlaid text-cells (in darker shades). The annotation boxes can be drawn by dragging a rectangle over each segment with the respective label from the palette on the right.</caption></picture>
<text><loc_44><loc_400><loc_240><loc_426>we distributed the annotation workload and performed continuous quality controls. Phase one and two required a small team of experts only. For phases three and four, a group of 40 dedicated annotators were assembled and supervised.</text>
<text><loc_44><loc_428><loc_241><loc_447>Phase 1: Data selection and preparation. Our inclusion criteria for documents were described in Section 3. A large effort went into ensuring that all documents are free to use. The data sources</text>
<text><loc_260><loc_197><loc_457><loc_237>include publication repositories such as arXiv$^{3}$, government offices, company websites as well as data directory services for financial reports and patents. Scanned documents were excluded wherever possible because they can be rotated or skewed. This would not allow us to perform annotation with rectangular bounding-boxes and therefore complicate the annotation process.</text>
<text><loc_260><loc_239><loc_457><loc_320>Preparation work included uploading and parsing the sourced PDF documents in the Corpus Conversion Service (CCS) [22], a cloud-native platform which provides a visual annotation interface and allows for dataset inspection and analysis. The annotation interface of CCS is shown in Figure 3. The desired balance of pages between the different document categories was achieved by selective subsampling of pages with certain desired properties. For example, we made sure to include the title page of each document and bias the remaining page selection to those with figures or tables. The latter was achieved by leveraging pre-trained object detection models from PubLayNet, which helped us estimate how many figures and tables a given page contains.</text>
<text><loc_259><loc_321><loc_457><loc_438>Phase 2: Label selection and guideline. We reviewed the collected documents and identified the most common structural features they exhibit. This was achieved by identifying recurrent layout elements and lead us to the definition of 11 distinct class labels. These 11 class labels are Caption , Footnote , Formula , List-item , Pagefooter , Page-header , Picture , Section-header , Table , Text , and Title . Critical factors that were considered for the choice of these class labels were (1) the overall occurrence of the label, (2) the specificity of the label, (3) recognisability on a single page (i.e. no need for context from previous or next page) and (4) overall coverage of the page. Specificity ensures that the choice of label is not ambiguous, while coverage ensures that all meaningful items on a page can be annotated. We refrained from class labels that are very specific to a document category, such as Abstract in the Scientific Articles category. We also avoided class labels that are tightly linked to the semantics of the text. Labels such as Author and Affiliation , as seen in DocBank, are often only distinguishable by discriminating on</text>
<footnote><loc_260><loc_443><loc_302><loc_448>$^{3}$https://arxiv.org/</footnote>
<page_break>
<page_header><loc_44><loc_38><loc_284><loc_43>DocLayNet: A Large Human-Annotated Dataset for Document-Layout Analysis</page_header>
<page_header><loc_299><loc_38><loc_456><loc_43>KDD 22, August 14-18, 2022, Washington, DC, USA</page_header>
<text><loc_44><loc_55><loc_240><loc_67>the textual content of an element, which goes beyond visual layout recognition, in particular outside the Scientific Articles category.</text>
<text><loc_44><loc_69><loc_241><loc_157>At first sight, the task of visual document-layout interpretation appears intuitive enough to obtain plausible annotations in most cases. However, during early trial-runs in the core team, we observed many cases in which annotators use different annotation styles, especially for documents with challenging layouts. For example, if a figure is presented with subfigures, one annotator might draw a single figure bounding-box, while another might annotate each subfigure separately. The same applies for lists, where one might annotate all list items in one block or each list item separately. In essence, we observed that challenging layouts would be annotated in different but plausible ways. To illustrate this, we show in Figure 4 multiple examples of plausible but inconsistent annotations on the same pages.</text>
<text><loc_44><loc_159><loc_241><loc_213>Obviously, this inconsistency in annotations is not desirable for datasets which are intended to be used for model training. To minimise these inconsistencies, we created a detailed annotation guideline. While perfect consistency across 40 annotation staff members is clearly not possible to achieve, we saw a huge improvement in annotation consistency after the introduction of our annotation guideline. A few selected, non-trivial highlights of the guideline are:</text>
<unordered_list><list_item><loc_53><loc_220><loc_240><loc_246>(1) Every list-item is an individual object instance with class label List-item . This definition is different from PubLayNet and DocBank, where all list-items are grouped together into one List object.</list_item>
<list_item><loc_53><loc_248><loc_241><loc_274>(2) A List-item is a paragraph with hanging indentation. Singleline elements can qualify as List-item if the neighbour elements expose hanging indentation. Bullet or enumeration symbols are not a requirement.</list_item>
<list_item><loc_53><loc_275><loc_240><loc_288>(3) For every Caption , there must be exactly one corresponding Picture or Table .</list_item>
<list_item><loc_53><loc_289><loc_240><loc_301>(4) Connected sub-pictures are grouped together in one Picture object.</list_item>
<list_item><loc_53><loc_303><loc_216><loc_308>(5) Formula numbers are included in a Formula object.</list_item>
<list_item><loc_53><loc_310><loc_240><loc_329>(6) Emphasised text (e.g. in italic or bold) at the beginning of a paragraph is not considered a Section-header , unless it appears exclusively on its own line.</list_item>
</unordered_list>
<text><location><page_5><loc_9><loc_27><loc_48><loc_33></location>The complete annotation guideline is over 100 pages long and a detailed description is obviously out of scope for this paper. Nevertheless, it will be made publicly available alongside with DocLayNet for future reference.</text>
<text><location><page_5><loc_9><loc_11><loc_48><loc_27></location>Phase 3: Training. After a first trial with a small group of people, we realised that providing the annotation guideline and a set of random practice pages did not yield the desired quality level for layout annotation. Therefore we prepared a subset of pages with two different complexity levels, each with a practice and an exam part. 974 pages were reference-annotated by one proficient core team member. Annotation staff were then given the task to annotate the same subsets (blinded from the reference). By comparing the annotations of each staff member with the reference annotations, we could quantify how closely their annotations matched the reference. Only after passing two exam levels with high annotation quality, staff were admitted into the production phase. Practice iterations</text>
<figure>
<location><page_5><loc_52><loc_42><loc_91><loc_89></location>
<caption>Figure 4: Examples of plausible annotation alternatives for the same page. Criteria in our annotation guideline can resolve cases A to C, while the case D remains ambiguous.</caption>
</figure>
<text><location><page_5><loc_65><loc_42><loc_78><loc_42></location>05237a14f2524e3f53c8454b074409d05078038a6a36b770fcc8ec7e540deae0</text>
<text><location><page_5><loc_52><loc_31><loc_91><loc_34></location>were carried out over a timeframe of 12 weeks, after which 8 of the 40 initially allocated annotators did not pass the bar.</text>
<text><location><page_5><loc_52><loc_10><loc_91><loc_31></location>Phase 4: Production annotation. The previously selected 80K pages were annotated with the defined 11 class labels by 32 annotators. This production phase took around three months to complete. All annotations were created online through CCS, which visualises the programmatic PDF text-cells as an overlay on the page. The page annotation are obtained by drawing rectangular bounding-boxes, as shown in Figure 3. With regard to the annotation practices, we implemented a few constraints and capabilities on the tooling level. First, we only allow non-overlapping, vertically oriented, rectangular boxes. For the large majority of documents, this constraint was sufficient and it speeds up the annotation considerably in comparison with arbitrary segmentation shapes. Second, annotator staff were not able to see each other's annotations. This was enforced by design to avoid any bias in the annotation, which could skew the numbers of the inter-annotator agreement (see Table 1). We wanted</text>
<table>
<location><page_6><loc_10><loc_56><loc_47><loc_75></location>
<caption>Table 2: Prediction performance (mAP@0.5-0.95) of object detection networks on DocLayNet test set. The MRCNN (Mask R-CNN) and FRCNN (Faster R-CNN) models with ResNet-50 or ResNet-101 backbone were trained based on the network architectures from the detectron2 model zoo (Mask R-CNN R50, R101-FPN 3x, Faster R-CNN R101-FPN 3x), with default configurations. The YOLO implementation utilized was YOLOv5x6 [13]. All models were initialised using pre-trained weights from the COCO 2017 dataset.</caption>
<row_0><col_0><body></col_0><col_1><col_header>human</col_1><col_2><col_header>MRCNN</col_2><col_3><col_header>MRCNN</col_3><col_4><col_header>FRCNN</col_4><col_5><col_header>YOLO</col_5></row_0>
<row_1><col_0><body></col_0><col_1><col_header>human</col_1><col_2><col_header>R50</col_2><col_3><col_header>R101</col_3><col_4><col_header>R101</col_4><col_5><col_header>v5x6</col_5></row_1>
<row_2><col_0><row_header>Caption</col_0><col_1><body>84-89</col_1><col_2><body>68.4</col_2><col_3><body>71.5</col_3><col_4><body>70.1</col_4><col_5><body>77.7</col_5></row_2>
<row_3><col_0><row_header>Footnote</col_0><col_1><body>83-91</col_1><col_2><body>70.9</col_2><col_3><body>71.8</col_3><col_4><body>73.7</col_4><col_5><body>77.2</col_5></row_3>
<row_4><col_0><row_header>Formula</col_0><col_1><body>83-85</col_1><col_2><body>60.1</col_2><col_3><body>63.4</col_3><col_4><body>63.5</col_4><col_5><body>66.2</col_5></row_4>
<row_5><col_0><row_header>List-item</col_0><col_1><body>87-88</col_1><col_2><body>81.2</col_2><col_3><body>80.8</col_3><col_4><body>81.0</col_4><col_5><body>86.2</col_5></row_5>
<row_6><col_0><row_header>Page-footer</col_0><col_1><body>93-94</col_1><col_2><body>61.6</col_2><col_3><body>59.3</col_3><col_4><body>58.9</col_4><col_5><body>61.1</col_5></row_6>
<row_7><col_0><row_header>Page-header</col_0><col_1><body>85-89</col_1><col_2><body>71.9</col_2><col_3><body>70.0</col_3><col_4><body>72.0</col_4><col_5><body>67.9</col_5></row_7>
<row_8><col_0><row_header>Picture</col_0><col_1><body>69-71</col_1><col_2><body>71.7</col_2><col_3><body>72.7</col_3><col_4><body>72.0</col_4><col_5><body>77.1</col_5></row_8>
<row_9><col_0><row_header>Section-header</col_0><col_1><body>83-84</col_1><col_2><body>67.6</col_2><col_3><body>69.3</col_3><col_4><body>68.4</col_4><col_5><body>74.6</col_5></row_9>
<row_10><col_0><row_header>Table</col_0><col_1><body>77-81</col_1><col_2><body>82.2</col_2><col_3><body>82.9</col_3><col_4><body>82.2</col_4><col_5><body>86.3</col_5></row_10>
<row_11><col_0><row_header>Text</col_0><col_1><body>84-86</col_1><col_2><body>84.6</col_2><col_3><body>85.8</col_3><col_4><body>85.4</col_4><col_5><body>88.1</col_5></row_11>
<row_12><col_0><row_header>Title</col_0><col_1><body>60-72</col_1><col_2><body>76.7</col_2><col_3><body>80.4</col_3><col_4><body>79.9</col_4><col_5><body>82.7</col_5></row_12>
<row_13><col_0><row_header>All</col_0><col_1><body>82-83</col_1><col_2><body>72.4</col_2><col_3><body>73.5</col_3><col_4><body>73.4</col_4><col_5><body>76.8</col_5></row_13>
</table>
<text><location><page_6><loc_9><loc_27><loc_48><loc_53></location>to avoid this at any cost in order to have clear, unbiased baseline numbers for human document-layout annotation. Third, we introduced the feature of snapping boxes around text segments to obtain a pixel-accurate annotation and again reduce time and effort. The CCS annotation tool automatically shrinks every user-drawn box to the minimum bounding-box around the enclosed text-cells for all purely text-based segments, which excludes only Table and Picture . For the latter, we instructed annotation staff to minimise inclusion of surrounding whitespace while including all graphical lines. A downside of snapping boxes to enclosed text cells is that some wrongly parsed PDF pages cannot be annotated correctly and need to be skipped. Fourth, we established a way to flag pages as rejected for cases where no valid annotation according to the label guidelines could be achieved. Example cases for this would be PDF pages that render incorrectly or contain layouts that are impossible to capture with non-overlapping rectangles. Such rejected pages are not contained in the final dataset. With all these measures in place, experienced annotation staff managed to annotate a single page in a typical timeframe of 20s to 60s, depending on its complexity.</text>
<section_header_level_1><location><page_6><loc_9><loc_24><loc_24><loc_26></location>5 EXPERIMENTS</section_header_level_1>
<text><location><page_6><loc_9><loc_10><loc_48><loc_23></location>The primary goal of DocLayNet is to obtain high-quality ML models capable of accurate document-layout analysis on a wide variety of challenging layouts. As discussed in Section 2, object detection models are currently the easiest to use, due to the standardisation of ground-truth data in COCO format [16] and the availability of general frameworks such as detectron2 [17]. Furthermore, baseline numbers in PubLayNet and DocBank were obtained using standard object detection models such as Mask R-CNN and Faster R-CNN. As such, we will relate to these object detection methods in this</text>
<figure>
<location><page_6><loc_53><loc_67><loc_90><loc_89></location>
<caption>Figure 5: Prediction performance (mAP@0.5-0.95) of a Mask R-CNN network with ResNet50 backbone trained on increasing fractions of the DocLayNet dataset. The learning curve flattens around the 80% mark, indicating that increasing the size of the DocLayNet dataset with similar data will not yield significantly better predictions.</caption>
</figure>
<text><location><page_6><loc_52><loc_49><loc_91><loc_52></location>paper and leave the detailed evaluation of more recent methods mentioned in Section 2 for future work.</text>
<text><location><page_6><loc_52><loc_39><loc_91><loc_49></location>In this section, we will present several aspects related to the performance of object detection models on DocLayNet. Similarly as in PubLayNet, we will evaluate the quality of their predictions using mean average precision (mAP) with 10 overlaps that range from 0.5 to 0.95 in steps of 0.05 (mAP@0.5-0.95). These scores are computed by leveraging the evaluation code provided by the COCO API [16].</text>
<section_header_level_1><location><page_6><loc_52><loc_36><loc_76><loc_37></location>Baselines for Object Detection</section_header_level_1>
<text><location><page_6><loc_52><loc_11><loc_91><loc_35></location>In Table 2, we present baseline experiments (given in mAP) on Mask R-CNN [12], Faster R-CNN [11], and YOLOv5 [13]. Both training and evaluation were performed on RGB images with dimensions of 1025 × 1025 pixels. For training, we only used one annotation in case of redundantly annotated pages. As one can observe, the variation in mAP between the models is rather low, but overall between 6 and 10% lower than the mAP computed from the pairwise human annotations on triple-annotated pages. This gives a good indication that the DocLayNet dataset poses a worthwhile challenge for the research community to close the gap between human recognition and ML approaches. It is interesting to see that Mask R-CNN and Faster R-CNN produce very comparable mAP scores, indicating that pixel-based image segmentation derived from bounding-boxes does not help to obtain better predictions. On the other hand, the more recent Yolov5x model does very well and even out-performs humans on selected labels such as Text , Table and Picture . This is not entirely surprising, as Text , Table and Picture are abundant and the most visually distinctive in a document.</text>
<text><location><page_7><loc_9><loc_84><loc_48><loc_89></location>Table 3: Performance of a Mask R-CNN R50 network in mAP@0.5-0.95 scores trained on DocLayNet with different class label sets. The reduced label sets were obtained by either down-mapping or dropping labels.</text>
<table>
<location><page_7><loc_13><loc_63><loc_44><loc_81></location>
<caption>Table 4: Performance of a Mask R-CNN R50 network with document-wise and page-wise split for different label sets. Naive page-wise split will result in GLYPH<tildelow> 10% point improvement.</caption>
<row_0><col_0><col_header>Class-count</col_0><col_1><col_header>11</col_1><col_2><col_header>6</col_2><col_3><col_header>5</col_3><col_4><col_header>4</col_4></row_0>
<row_1><col_0><row_header>Caption</col_0><col_1><body>68</col_1><col_2><body>Text</col_2><col_3><body>Text</col_3><col_4><body>Text</col_4></row_1>
<row_2><col_0><row_header>Footnote</col_0><col_1><body>71</col_1><col_2><body>Text</col_2><col_3><body>Text</col_3><col_4><body>Text</col_4></row_2>
<row_3><col_0><row_header>Formula</col_0><col_1><body>60</col_1><col_2><body>Text</col_2><col_3><body>Text</col_3><col_4><body>Text</col_4></row_3>
<row_4><col_0><row_header>List-item</col_0><col_1><body>81</col_1><col_2><body>Text</col_2><col_3><body>82</col_3><col_4><body>Text</col_4></row_4>
<row_5><col_0><row_header>Page-footer</col_0><col_1><body>62</col_1><col_2><body>62</col_2><col_3><body>-</col_3><col_4><body>-</col_4></row_5>
<row_6><col_0><row_header>Page-header</col_0><col_1><body>72</col_1><col_2><body>68</col_2><col_3><body>-</col_3><col_4><body>-</col_4></row_6>
<row_7><col_0><row_header>Picture</col_0><col_1><body>72</col_1><col_2><body>72</col_2><col_3><body>72</col_3><col_4><body>72</col_4></row_7>
<row_8><col_0><row_header>Section-header</col_0><col_1><body>68</col_1><col_2><body>67</col_2><col_3><body>69</col_3><col_4><body>68</col_4></row_8>
<row_9><col_0><row_header>Table</col_0><col_1><body>82</col_1><col_2><body>83</col_2><col_3><body>82</col_3><col_4><body>82</col_4></row_9>
<row_10><col_0><row_header>Text</col_0><col_1><body>85</col_1><col_2><body>84</col_2><col_3><body>84</col_3><col_4><body>84</col_4></row_10>
<row_11><col_0><row_header>Title</col_0><col_1><body>77</col_1><col_2><body>Sec.-h.</col_2><col_3><body>Sec.-h.</col_3><col_4><body>Sec.-h.</col_4></row_11>
<row_12><col_0><row_header>Overall</col_0><col_1><body>72</col_1><col_2><body>73</col_2><col_3><body>78</col_3><col_4><body>77</col_4></row_12>
</table>
<section_header_level_1><location><page_7><loc_9><loc_58><loc_21><loc_60></location>Learning Curve</section_header_level_1>
<text><location><page_7><loc_9><loc_33><loc_48><loc_58></location>One of the fundamental questions related to any dataset is if it is "large enough". To answer this question for DocLayNet, we performed a data ablation study in which we evaluated a Mask R-CNN model trained on increasing fractions of the DocLayNet dataset. As can be seen in Figure 5, the mAP score rises sharply in the beginning and eventually levels out. To estimate the error-bar on the metrics, we ran the training five times on the entire data-set. This resulted in a 1% error-bar, depicted by the shaded area in Figure 5. In the inset of Figure 5, we show the exact same data-points, but with a logarithmic scale on the x-axis. As is expected, the mAP score increases linearly as a function of the data-size in the inset. The curve ultimately flattens out between the 80% and 100% mark, with the 80% mark falling within the error-bars of the 100% mark. This provides a good indication that the model would not improve significantly by yet increasing the data size. Rather, it would probably benefit more from improved data consistency (as discussed in Section 3), data augmentation methods [23], or the addition of more document categories and styles.</text>
<section_header_level_1><location><page_7><loc_9><loc_30><loc_27><loc_32></location>Impact of Class Labels</section_header_level_1>
<text><location><page_7><loc_9><loc_11><loc_48><loc_30></location>The choice and number of labels can have a significant effect on the overall model performance. Since PubLayNet, DocBank and DocLayNet all have different label sets, it is of particular interest to understand and quantify this influence of the label set on the model performance. We investigate this by either down-mapping labels into more common ones (e.g. Caption → Text ) or excluding them from the annotations entirely. Furthermore, it must be stressed that all mappings and exclusions were performed on the data before model training. In Table 3, we present the mAP scores for a Mask R-CNN R50 network on different label sets. Where a label is down-mapped, we show its corresponding label, otherwise it was excluded. We present three different label sets, with 6, 5 and 4 different labels respectively. The set of 5 labels contains the same labels as PubLayNet. However, due to the different definition of</text>
<table>
<location><page_7><loc_58><loc_61><loc_85><loc_81></location>
<row_0><col_0><body>Class-count</col_0><col_1><col_header>11</col_1><col_2><col_header>11</col_2><col_3><col_header>5</col_3><col_4><col_header>5</col_4></row_0>
<row_1><col_0><body>Split</col_0><col_1><col_header>Doc</col_1><col_2><col_header>Page</col_2><col_3><col_header>Doc</col_3><col_4><col_header>Page</col_4></row_1>
<row_2><col_0><row_header>Caption</col_0><col_1><body>68</col_1><col_2><body>83</col_2><col_3><body></col_3><col_4><body></col_4></row_2>
<row_3><col_0><row_header>Footnote</col_0><col_1><body>71</col_1><col_2><body>84</col_2><col_3><body></col_3><col_4><body></col_4></row_3>
<row_4><col_0><row_header>Formula</col_0><col_1><body>60</col_1><col_2><body>66</col_2><col_3><body></col_3><col_4><body></col_4></row_4>
<row_5><col_0><row_header>List-item</col_0><col_1><body>81</col_1><col_2><body>88</col_2><col_3><body>82</col_3><col_4><body>88</col_4></row_5>
<row_6><col_0><row_header>Page-footer</col_0><col_1><body>62</col_1><col_2><body>89</col_2><col_3><body></col_3><col_4><body></col_4></row_6>
<row_7><col_0><row_header>Page-header</col_0><col_1><body>72</col_1><col_2><body>90</col_2><col_3><body></col_3><col_4><body></col_4></row_7>
<row_8><col_0><row_header>Picture</col_0><col_1><body>72</col_1><col_2><body>82</col_2><col_3><body>72</col_3><col_4><body>82</col_4></row_8>
<row_9><col_0><row_header>Section-header</col_0><col_1><body>68</col_1><col_2><body>83</col_2><col_3><body>69</col_3><col_4><body>83</col_4></row_9>
<row_10><col_0><row_header>Table</col_0><col_1><body>82</col_1><col_2><body>89</col_2><col_3><body>82</col_3><col_4><body>90</col_4></row_10>
<row_11><col_0><row_header>Text</col_0><col_1><body>85</col_1><col_2><body>91</col_2><col_3><body>84</col_3><col_4><body>90</col_4></row_11>
<row_12><col_0><row_header>Title</col_0><col_1><body>77</col_1><col_2><body>81</col_2><col_3><body></col_3><col_4><body></col_4></row_12>
<row_13><col_0><row_header>All</col_0><col_1><body>72</col_1><col_2><body>84</col_2><col_3><body>78</col_3><col_4><body>87</col_4></row_13>
</table>
<text><location><page_7><loc_52><loc_47><loc_91><loc_58></location>lists in PubLayNet (grouped list-items) versus DocLayNet (separate list-items), the label set of size 4 is the closest to PubLayNet, in the assumption that the List is down-mapped to Text in PubLayNet. The results in Table 3 show that the prediction accuracy on the remaining class labels does not change significantly when other classes are merged into them. The overall macro-average improves by around 5%, in particular when Page-footer and Page-header are excluded.</text>
<section_header_level_1><location><page_7><loc_52><loc_44><loc_90><loc_46></location>Impact of Document Split in Train and Test Set</section_header_level_1>
<text><location><page_7><loc_52><loc_25><loc_91><loc_44></location>Many documents in DocLayNet have a unique styling. In order to avoid overfitting on a particular style, we have split the train-, test- and validation-sets of DocLayNet on document boundaries, i.e. every document contributes pages to only one set. To the best of our knowledge, this was not considered in PubLayNet or DocBank. To quantify how this affects model performance, we trained and evaluated a Mask R-CNN R50 model on a modified dataset version. Here, the train-, test- and validation-sets were obtained by a randomised draw over the individual pages. As can be seen in Table 4, the difference in model performance is surprisingly large: pagewise splitting gains ˜ 10% in mAP over the document-wise splitting. Thus, random page-wise splitting of DocLayNet can easily lead to accidental overestimation of model performance and should be avoided.</text>
<section_header_level_1><location><page_7><loc_52><loc_22><loc_68><loc_23></location>Dataset Comparison</section_header_level_1>
<text><location><page_7><loc_52><loc_11><loc_91><loc_21></location>Throughout this paper, we claim that DocLayNet's wider variety of document layouts leads to more robust layout detection models. In Table 5, we provide evidence for that. We trained models on each of the available datasets (PubLayNet, DocBank and DocLayNet) and evaluated them on the test sets of the other datasets. Due to the different label sets and annotation styles, a direct comparison is not possible. Hence, we focussed on the common labels among the datasets. Between PubLayNet and DocLayNet, these are Picture ,</text>
<table>
<location><page_8><loc_12><loc_57><loc_45><loc_78></location>
<caption>Table 5: Prediction Performance (mAP@0.5-0.95) of a Mask R-CNN R50 network across the PubLayNet, DocBank & DocLayNet data-sets. By evaluating on common label classes of each dataset, we observe that the DocLayNet-trained model has much less pronounced variations in performance across all datasets.</caption>
<row_0><col_0><body></col_0><col_1><body></col_1><col_2><col_header>Testing on</col_2><col_3><col_header>Testing on</col_3><col_4><col_header>Testing on</col_4></row_0>
<row_1><col_0><col_header>Training on</col_0><col_1><col_header>labels</col_1><col_2><col_header>PLN</col_2><col_3><col_header>DB</col_3><col_4><col_header>DLN</col_4></row_1>
<row_2><col_0><row_header>PubLayNet (PLN)</col_0><col_1><row_header>Figure</col_1><col_2><body>96</col_2><col_3><body>43</col_3><col_4><body>23</col_4></row_2>
<row_3><col_0><row_header>PubLayNet (PLN)</col_0><col_1><row_header>Sec-header</col_1><col_2><body>87</col_2><col_3><body>-</col_3><col_4><body>32</col_4></row_3>
<row_4><col_0><row_header>PubLayNet (PLN)</col_0><col_1><row_header>Table</col_1><col_2><body>95</col_2><col_3><body>24</col_3><col_4><body>49</col_4></row_4>
<row_5><col_0><row_header>PubLayNet (PLN)</col_0><col_1><row_header>Text</col_1><col_2><body>96</col_2><col_3><body>-</col_3><col_4><body>42</col_4></row_5>
<row_6><col_0><row_header>PubLayNet (PLN)</col_0><col_1><row_header>total</col_1><col_2><body>93</col_2><col_3><body>34</col_3><col_4><body>30</col_4></row_6>
<row_7><col_0><row_header>DocBank (DB)</col_0><col_1><row_header>Figure</col_1><col_2><body>77</col_2><col_3><body>71</col_3><col_4><body>31</col_4></row_7>
<row_8><col_0><row_header>DocBank (DB)</col_0><col_1><row_header>Table</col_1><col_2><body>19</col_2><col_3><body>65</col_3><col_4><body>22</col_4></row_8>
<row_9><col_0><row_header>DocBank (DB)</col_0><col_1><row_header>total</col_1><col_2><body>48</col_2><col_3><body>68</col_3><col_4><body>27</col_4></row_9>
<row_10><col_0><row_header>DocLayNet (DLN)</col_0><col_1><row_header>Figure</col_1><col_2><body>67</col_2><col_3><body>51</col_3><col_4><body>72</col_4></row_10>
<row_11><col_0><row_header>DocLayNet (DLN)</col_0><col_1><row_header>Sec-header</col_1><col_2><body>53</col_2><col_3><body>-</col_3><col_4><body>68</col_4></row_11>
<row_12><col_0><row_header>DocLayNet (DLN)</col_0><col_1><row_header>Table</col_1><col_2><body>87</col_2><col_3><body>43</col_3><col_4><body>82</col_4></row_12>
<row_13><col_0><row_header>DocLayNet (DLN)</col_0><col_1><row_header>Text</col_1><col_2><body>77</col_2><col_3><body>-</col_3><col_4><body>84</col_4></row_13>
<row_14><col_0><row_header>DocLayNet (DLN)</col_0><col_1><row_header>total</col_1><col_2><body>59</col_2><col_3><body>47</col_3><col_4><body>78</col_4></row_14>
</table>
<text><location><page_8><loc_9><loc_44><loc_48><loc_51></location>Section-header , Table and Text . Before training, we either mapped or excluded DocLayNet's other labels as specified in table 3, and also PubLayNet's List to Text . Note that the different clustering of lists (by list-element vs. whole list objects) naturally decreases the mAP score for Text .</text>
<text><location><page_8><loc_9><loc_26><loc_48><loc_44></location>For comparison of DocBank with DocLayNet, we trained only on Picture and Table clusters of each dataset. We had to exclude Text because successive paragraphs are often grouped together into a single object in DocBank. This paragraph grouping is incompatible with the individual paragraphs of DocLayNet. As can be seen in Table 5, DocLayNet trained models yield better performance compared to the previous datasets. It is noteworthy that the models trained on PubLayNet and DocBank perform very well on their own test set, but have a much lower performance on the foreign datasets. While this also applies to DocLayNet, the difference is far less pronounced. Thus we conclude that DocLayNet trained models are overall more robust and will produce better results for challenging, unseen layouts.</text>
<section_header_level_1><location><page_8><loc_9><loc_22><loc_25><loc_24></location>Example Predictions</section_header_level_1>
<text><location><page_8><loc_9><loc_11><loc_48><loc_22></location>To conclude this section, we illustrate the quality of layout predictions one can expect from DocLayNet-trained models by providing a selection of examples without any further post-processing applied. Figure 6 shows selected layout predictions on pages from the test-set of DocLayNet. Results look decent in general across document categories, however one can also observe mistakes such as overlapping clusters of different classes, or entirely missing boxes due to low confidence.</text>
<section_header_level_1><location><page_8><loc_52><loc_88><loc_66><loc_89></location>6 CONCLUSION</section_header_level_1>
<text><location><page_8><loc_52><loc_76><loc_91><loc_87></location>In this paper, we presented the DocLayNet dataset. It provides the document conversion and layout analysis research community a new and challenging dataset to improve and fine-tune novel ML methods on. In contrast to many other datasets, DocLayNet was created by human annotation in order to obtain reliable layout ground-truth on a wide variety of publication- and typesettingstyles. Including a large proportion of documents outside the scientific publishing domain adds significant value in this respect.</text>
<text><location><page_8><loc_52><loc_64><loc_91><loc_76></location>From the dataset, we have derived on the one hand reference metrics for human performance on document-layout annotation (through double and triple annotations) and on the other hand evaluated the baseline performance of commonly used object detection methods. We also illustrated the impact of various dataset-related aspects on model performance through data-ablation experiments, both from a size and class-label perspective. Last but not least, we compared the accuracy of models trained on other public datasets and showed that DocLayNet trained models are more robust.</text>
<text><location><page_8><loc_52><loc_60><loc_91><loc_64></location>To date, there is still a significant gap between human and ML accuracy on the layout interpretation task, and we hope that this work will inspire the research community to close that gap.</text>
<section_header_level_1><location><page_8><loc_52><loc_56><loc_63><loc_58></location>REFERENCES</section_header_level_1>
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<list_item><location><page_8><loc_52><loc_49><loc_91><loc_53></location>[2] Christian Clausner, Apostolos Antonacopoulos, and Stefan Pletschacher. Icdar2017 competition on recognition of documents with complex layouts rdcl2017. In 2017 14th IAPR International Conference on Document Analysis and Recognition (ICDAR) , volume 01, pages 1404-1410, 2017.</list_item>
<list_item><location><page_8><loc_52><loc_46><loc_91><loc_49></location>[3] Hervé Déjean, Jean-Luc Meunier, Liangcai Gao, Yilun Huang, Yu Fang, Florian Kleber, and Eva-Maria Lang. ICDAR 2019 Competition on Table Detection and Recognition (cTDaR), April 2019. http://sac.founderit.com/.</list_item>
<list_item><location><page_8><loc_52><loc_42><loc_91><loc_46></location>[4] Antonio Jimeno Yepes, Peter Zhong, and Douglas Burdick. Competition on scientific literature parsing. In Proceedings of the International Conference on Document Analysis and Recognition , ICDAR, pages 605-617. LNCS 12824, SpringerVerlag, sep 2021.</list_item>
<list_item><location><page_8><loc_52><loc_38><loc_91><loc_42></location>[5] Logan Markewich, Hao Zhang, Yubin Xing, Navid Lambert-Shirzad, Jiang Zhexin, Roy Lee, Zhi Li, and Seok-Bum Ko. Segmentation for document layout analysis: not dead yet. International Journal on Document Analysis and Recognition (IJDAR) , pages 1-11, 01 2022.</list_item>
<list_item><location><page_8><loc_52><loc_35><loc_91><loc_38></location>[6] Xu Zhong, Jianbin Tang, and Antonio Jimeno-Yepes. Publaynet: Largest dataset ever for document layout analysis. In Proceedings of the International Conference on Document Analysis and Recognition , ICDAR, pages 1015-1022, sep 2019.</list_item>
<list_item><location><page_8><loc_52><loc_30><loc_91><loc_35></location>[7] Minghao Li, Yiheng Xu, Lei Cui, Shaohan Huang, Furu Wei, Zhoujun Li, and Ming Zhou. Docbank: A benchmark dataset for document layout analysis. In Proceedings of the 28th International Conference on Computational Linguistics , COLING, pages 949-960. International Committee on Computational Linguistics, dec 2020.</list_item>
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<list_item><location><page_8><loc_52><loc_23><loc_91><loc_27></location>[9] Ross B. Girshick, Jeff Donahue, Trevor Darrell, and Jitendra Malik. Rich feature hierarchies for accurate object detection and semantic segmentation. In IEEE Conference on Computer Vision and Pattern Recognition , CVPR, pages 580-587. IEEE Computer Society, jun 2014.</list_item>
<list_item><location><page_8><loc_52><loc_21><loc_91><loc_23></location>[10] Ross B. Girshick. Fast R-CNN. In 2015 IEEE International Conference on Computer Vision , ICCV, pages 1440-1448. IEEE Computer Society, dec 2015.</list_item>
<list_item><location><page_8><loc_52><loc_18><loc_91><loc_21></location>[11] Shaoqing Ren, Kaiming He, Ross Girshick, and Jian Sun. Faster r-cnn: Towards real-time object detection with region proposal networks. IEEE Transactions on Pattern Analysis and Machine Intelligence , 39(6):1137-1149, 2017.</list_item>
<list_item><location><page_8><loc_52><loc_15><loc_91><loc_18></location>[12] Kaiming He, Georgia Gkioxari, Piotr Dollár, and Ross B. Girshick. Mask R-CNN. In IEEE International Conference on Computer Vision , ICCV, pages 2980-2988. IEEE Computer Society, Oct 2017.</list_item>
<list_item><location><page_8><loc_52><loc_11><loc_91><loc_15></location>[13] Glenn Jocher, Alex Stoken, Ayush Chaurasia, Jirka Borovec, NanoCode012, TaoXie, Yonghye Kwon, Kalen Michael, Liu Changyu, Jiacong Fang, Abhiram V, Laughing, tkianai, yxNONG, Piotr Skalski, Adam Hogan, Jebastin Nadar, imyhxy, Lorenzo Mammana, Alex Wang, Cristi Fati, Diego Montes, Jan Hajek, Laurentiu</list_item>
<text><loc_44><loc_336><loc_241><loc_363>The complete annotation guideline is over 100 pages long and a detailed description is obviously out of scope for this paper. Nevertheless, it will be made publicly available alongside with DocLayNet for future reference.</text>
<text><loc_44><loc_364><loc_241><loc_446>Phase 3: Training. After a first trial with a small group of people, we realised that providing the annotation guideline and a set of random practice pages did not yield the desired quality level for layout annotation. Therefore we prepared a subset of pages with two different complexity levels, each with a practice and an exam part. 974 pages were reference-annotated by one proficient core team member. Annotation staff were then given the task to annotate the same subsets (blinded from the reference). By comparing the annotations of each staff member with the reference annotations, we could quantify how closely their annotations matched the reference. Only after passing two exam levels with high annotation quality, staff were admitted into the production phase. Practice iterations</text>
<picture><loc_258><loc_54><loc_457><loc_290><caption><loc_260><loc_299><loc_457><loc_318>Figure 4: Examples of plausible annotation alternatives for the same page. Criteria in our annotation guideline can resolve cases A to C, while the case D remains ambiguous.</caption></picture>
<text><loc_327><loc_289><loc_389><loc_291>05237a14f2524e3f53c8454b074409d05078038a6a36b770fcc8ec7e540deae0</text>
<text><loc_259><loc_332><loc_456><loc_344>were carried out over a timeframe of 12 weeks, after which 8 of the 40 initially allocated annotators did not pass the bar.</text>
<text><loc_259><loc_346><loc_457><loc_448>Phase 4: Production annotation. The previously selected 80K pages were annotated with the defined 11 class labels by 32 annotators. This production phase took around three months to complete. All annotations were created online through CCS, which visualises the programmatic PDF text-cells as an overlay on the page. The page annotation are obtained by drawing rectangular bounding-boxes, as shown in Figure 3. With regard to the annotation practices, we implemented a few constraints and capabilities on the tooling level. First, we only allow non-overlapping, vertically oriented, rectangular boxes. For the large majority of documents, this constraint was sufficient and it speeds up the annotation considerably in comparison with arbitrary segmentation shapes. Second, annotator staff were not able to see each other's annotations. This was enforced by design to avoid any bias in the annotation, which could skew the numbers of the inter-annotator agreement (see Table 1). We wanted</text>
<page_break>
<page_header><loc_44><loc_38><loc_456><loc_43>KDD 22, August 14-18, 2022, Washington, DC, USA Birgit Pfitzmann, Christoph Auer, Michele Dolfi, Ahmed S. Nassar, and Peter Staar</page_header>
<otsl><loc_51><loc_124><loc_233><loc_222><ecel><ched>human<ched>MRCNN<lcel><ched>FRCNN<ched>YOLO<nl><ecel><ucel><ched>R50<ched>R101<ched>R101<ched>v5x6<nl><rhed>Caption<fcel>84-89<fcel>68.4<fcel>71.5<fcel>70.1<fcel>77.7<nl><rhed>Footnote<fcel>83-91<fcel>70.9<fcel>71.8<fcel>73.7<fcel>77.2<nl><rhed>Formula<fcel>83-85<fcel>60.1<fcel>63.4<fcel>63.5<fcel>66.2<nl><rhed>List-item<fcel>87-88<fcel>81.2<fcel>80.8<fcel>81.0<fcel>86.2<nl><rhed>Page-footer<fcel>93-94<fcel>61.6<fcel>59.3<fcel>58.9<fcel>61.1<nl><rhed>Page-header<fcel>85-89<fcel>71.9<fcel>70.0<fcel>72.0<fcel>67.9<nl><rhed>Picture<fcel>69-71<fcel>71.7<fcel>72.7<fcel>72.0<fcel>77.1<nl><rhed>Section-header<fcel>83-84<fcel>67.6<fcel>69.3<fcel>68.4<fcel>74.6<nl><rhed>Table<fcel>77-81<fcel>82.2<fcel>82.9<fcel>82.2<fcel>86.3<nl><rhed>Text<fcel>84-86<fcel>84.6<fcel>85.8<fcel>85.4<fcel>88.1<nl><rhed>Title<fcel>60-72<fcel>76.7<fcel>80.4<fcel>79.9<fcel>82.7<nl><rhed>All<fcel>82-83<fcel>72.4<fcel>73.5<fcel>73.4<fcel>76.8<nl><caption><loc_44><loc_55><loc_242><loc_116>Table 2: Prediction performance (mAP@0.5-0.95) of object detection networks on DocLayNet test set. The MRCNN (Mask R-CNN) and FRCNN (Faster R-CNN) models with ResNet-50 or ResNet-101 backbone were trained based on the network architectures from the detectron2 model zoo (Mask R-CNN R50, R101-FPN 3x, Faster R-CNN R101-FPN 3x), with default configurations. The YOLO implementation utilized was YOLOv5x6 [13]. All models were initialised using pre-trained weights from the COCO 2017 dataset.</caption></otsl>
<text><loc_44><loc_234><loc_241><loc_364>to avoid this at any cost in order to have clear, unbiased baseline numbers for human document-layout annotation. Third, we introduced the feature of snapping boxes around text segments to obtain a pixel-accurate annotation and again reduce time and effort. The CCS annotation tool automatically shrinks every user-drawn box to the minimum bounding-box around the enclosed text-cells for all purely text-based segments, which excludes only Table and Picture . For the latter, we instructed annotation staff to minimise inclusion of surrounding whitespace while including all graphical lines. A downside of snapping boxes to enclosed text cells is that some wrongly parsed PDF pages cannot be annotated correctly and need to be skipped. Fourth, we established a way to flag pages as rejected for cases where no valid annotation according to the label guidelines could be achieved. Example cases for this would be PDF pages that render incorrectly or contain layouts that are impossible to capture with non-overlapping rectangles. Such rejected pages are not contained in the final dataset. With all these measures in place, experienced annotation staff managed to annotate a single page in a typical timeframe of 20s to 60s, depending on its complexity.</text>
<section_header_level_1><loc_44><loc_371><loc_120><loc_378>5 EXPERIMENTS</section_header_level_1>
<text><loc_44><loc_387><loc_241><loc_448>The primary goal of DocLayNet is to obtain high-quality ML models capable of accurate document-layout analysis on a wide variety of challenging layouts. As discussed in Section 2, object detection models are currently the easiest to use, due to the standardisation of ground-truth data in COCO format [16] and the availability of general frameworks such as detectron2 [17]. Furthermore, baseline numbers in PubLayNet and DocBank were obtained using standard object detection models such as Mask R-CNN and Faster R-CNN. As such, we will relate to these object detection methods in this</text>
<picture><loc_264><loc_57><loc_452><loc_164><caption><loc_260><loc_176><loc_457><loc_216>Figure 5: Prediction performance (mAP@0.5-0.95) of a Mask R-CNN network with ResNet50 backbone trained on increasing fractions of the DocLayNet dataset. The learning curve flattens around the 80% mark, indicating that increasing the size of the DocLayNet dataset with similar data will not yield significantly better predictions.</caption></picture>
<text><loc_260><loc_242><loc_456><loc_255>paper and leave the detailed evaluation of more recent methods mentioned in Section 2 for future work.</text>
<text><loc_260><loc_256><loc_456><loc_303>In this section, we will present several aspects related to the performance of object detection models on DocLayNet. Similarly as in PubLayNet, we will evaluate the quality of their predictions using mean average precision (mAP) with 10 overlaps that range from 0.5 to 0.95 in steps of 0.05 (mAP@0.5-0.95). These scores are computed by leveraging the evaluation code provided by the COCO API [16].</text>
<section_header_level_1><loc_260><loc_314><loc_381><loc_320>Baselines for Object Detection</section_header_level_1>
<text><loc_260><loc_323><loc_456><loc_446>In Table 2, we present baseline experiments (given in mAP) on Mask R-CNN [12], Faster R-CNN [11], and YOLOv5 [13]. Both training and evaluation were performed on RGB images with dimensions of 1025 × 1025 pixels. For training, we only used one annotation in case of redundantly annotated pages. As one can observe, the variation in mAP between the models is rather low, but overall between 6 and 10% lower than the mAP computed from the pairwise human annotations on triple-annotated pages. This gives a good indication that the DocLayNet dataset poses a worthwhile challenge for the research community to close the gap between human recognition and ML approaches. It is interesting to see that Mask R-CNN and Faster R-CNN produce very comparable mAP scores, indicating that pixel-based image segmentation derived from bounding-boxes does not help to obtain better predictions. On the other hand, the more recent Yolov5x model does very well and even out-performs humans on selected labels such as Text , Table and Picture . This is not entirely surprising, as Text , Table and Picture are abundant and the most visually distinctive in a document.</text>
<page_break>
<page_header><loc_44><loc_38><loc_284><loc_43>DocLayNet: A Large Human-Annotated Dataset for Document-Layout Analysis</page_header>
<page_header><loc_299><loc_38><loc_456><loc_43>KDD 22, August 14-18, 2022, Washington, DC, USA</page_header>
<text><loc_44><loc_55><loc_242><loc_81>Table 3: Performance of a Mask R-CNN R50 network in mAP@0.5-0.95 scores trained on DocLayNet with different class label sets. The reduced label sets were obtained by either down-mapping or dropping labels.</text>
<otsl><loc_66><loc_95><loc_218><loc_187><ched>Class-count<ched>11<ched>6<ched>5<ched>4<nl><rhed>Caption<fcel>68<fcel>Text<fcel>Text<fcel>Text<nl><rhed>Footnote<fcel>71<fcel>Text<fcel>Text<fcel>Text<nl><rhed>Formula<fcel>60<fcel>Text<fcel>Text<fcel>Text<nl><rhed>List-item<fcel>81<fcel>Text<fcel>82<fcel>Text<nl><rhed>Page-footer<fcel>62<fcel>62<fcel>-<fcel>-<nl><rhed>Page-header<fcel>72<fcel>68<fcel>-<fcel>-<nl><rhed>Picture<fcel>72<fcel>72<fcel>72<fcel>72<nl><rhed>Section-header<fcel>68<fcel>67<fcel>69<fcel>68<nl><rhed>Table<fcel>82<fcel>83<fcel>82<fcel>82<nl><rhed>Text<fcel>85<fcel>84<fcel>84<fcel>84<nl><rhed>Title<fcel>77<fcel>Sec.-h.<fcel>Sec.-h.<fcel>Sec.-h.<nl><rhed>Overall<fcel>72<fcel>73<fcel>78<fcel>77<nl><caption><loc_260><loc_55><loc_457><loc_81>Table 4: Performance of a Mask R-CNN R50 network with document-wise and page-wise split for different label sets. Naive page-wise split will result in GLYPH<tildelow> 10% point improvement.</caption></otsl>
<section_header_level_1><loc_44><loc_202><loc_107><loc_208>Learning Curve</section_header_level_1>
<text><loc_43><loc_211><loc_241><loc_334>One of the fundamental questions related to any dataset is if it is "large enough". To answer this question for DocLayNet, we performed a data ablation study in which we evaluated a Mask R-CNN model trained on increasing fractions of the DocLayNet dataset. As can be seen in Figure 5, the mAP score rises sharply in the beginning and eventually levels out. To estimate the error-bar on the metrics, we ran the training five times on the entire data-set. This resulted in a 1% error-bar, depicted by the shaded area in Figure 5. In the inset of Figure 5, we show the exact same data-points, but with a logarithmic scale on the x-axis. As is expected, the mAP score increases linearly as a function of the data-size in the inset. The curve ultimately flattens out between the 80% and 100% mark, with the 80% mark falling within the error-bars of the 100% mark. This provides a good indication that the model would not improve significantly by yet increasing the data size. Rather, it would probably benefit more from improved data consistency (as discussed in Section 3), data augmentation methods [23], or the addition of more document categories and styles.</text>
<section_header_level_1><loc_44><loc_342><loc_134><loc_349>Impact of Class Labels</section_header_level_1>
<text><loc_44><loc_352><loc_241><loc_447>The choice and number of labels can have a significant effect on the overall model performance. Since PubLayNet, DocBank and DocLayNet all have different label sets, it is of particular interest to understand and quantify this influence of the label set on the model performance. We investigate this by either down-mapping labels into more common ones (e.g. Caption → Text ) or excluding them from the annotations entirely. Furthermore, it must be stressed that all mappings and exclusions were performed on the data before model training. In Table 3, we present the mAP scores for a Mask R-CNN R50 network on different label sets. Where a label is down-mapped, we show its corresponding label, otherwise it was excluded. We present three different label sets, with 6, 5 and 4 different labels respectively. The set of 5 labels contains the same labels as PubLayNet. However, due to the different definition of</text>
<otsl><loc_288><loc_95><loc_427><loc_193><fcel>Class-count<ched>11<lcel><ched>5<lcel><nl><fcel>Split<ched>Doc<ched>Page<ched>Doc<ched>Page<nl><rhed>Caption<fcel>68<fcel>83<ecel><ecel><nl><rhed>Footnote<fcel>71<fcel>84<ecel><ecel><nl><rhed>Formula<fcel>60<fcel>66<ecel><ecel><nl><rhed>List-item<fcel>81<fcel>88<fcel>82<fcel>88<nl><rhed>Page-footer<fcel>62<fcel>89<ecel><ecel><nl><rhed>Page-header<fcel>72<fcel>90<ecel><ecel><nl><rhed>Picture<fcel>72<fcel>82<fcel>72<fcel>82<nl><rhed>Section-header<fcel>68<fcel>83<fcel>69<fcel>83<nl><rhed>Table<fcel>82<fcel>89<fcel>82<fcel>90<nl><rhed>Text<fcel>85<fcel>91<fcel>84<fcel>90<nl><rhed>Title<fcel>77<fcel>81<ecel><ecel><nl><rhed>All<fcel>72<fcel>84<fcel>78<fcel>87<nl></otsl>
<text><loc_260><loc_209><loc_457><loc_263>lists in PubLayNet (grouped list-items) versus DocLayNet (separate list-items), the label set of size 4 is the closest to PubLayNet, in the assumption that the List is down-mapped to Text in PubLayNet. The results in Table 3 show that the prediction accuracy on the remaining class labels does not change significantly when other classes are merged into them. The overall macro-average improves by around 5%, in particular when Page-footer and Page-header are excluded.</text>
<section_header_level_1><loc_260><loc_271><loc_449><loc_278>Impact of Document Split in Train and Test Set</section_header_level_1>
<text><loc_259><loc_281><loc_457><loc_376>Many documents in DocLayNet have a unique styling. In order to avoid overfitting on a particular style, we have split the train-, test- and validation-sets of DocLayNet on document boundaries, i.e. every document contributes pages to only one set. To the best of our knowledge, this was not considered in PubLayNet or DocBank. To quantify how this affects model performance, we trained and evaluated a Mask R-CNN R50 model on a modified dataset version. Here, the train-, test- and validation-sets were obtained by a randomised draw over the individual pages. As can be seen in Table 4, the difference in model performance is surprisingly large: pagewise splitting gains ˜ 10% in mAP over the document-wise splitting. Thus, random page-wise splitting of DocLayNet can easily lead to accidental overestimation of model performance and should be avoided.</text>
<section_header_level_1><loc_260><loc_384><loc_342><loc_391>Dataset Comparison</section_header_level_1>
<text><loc_260><loc_394><loc_457><loc_447>Throughout this paper, we claim that DocLayNet's wider variety of document layouts leads to more robust layout detection models. In Table 5, we provide evidence for that. We trained models on each of the available datasets (PubLayNet, DocBank and DocLayNet) and evaluated them on the test sets of the other datasets. Due to the different label sets and annotation styles, a direct comparison is not possible. Hence, we focussed on the common labels among the datasets. Between PubLayNet and DocLayNet, these are Picture ,</text>
<page_break>
<page_header><loc_44><loc_38><loc_456><loc_43>KDD 22, August 14-18, 2022, Washington, DC, USA Birgit Pfitzmann, Christoph Auer, Michele Dolfi, Ahmed S. Nassar, and Peter Staar</page_header>
<otsl><loc_59><loc_109><loc_225><loc_215><ecel><ecel><ched>Testing on<lcel><lcel><nl><ched>Training on<ched>labels<ched>PLN<ched>DB<ched>DLN<nl><rhed>PubLayNet (PLN)<rhed>Figure<fcel>96<fcel>43<fcel>23<nl><ucel><rhed>Sec-header<fcel>87<fcel>-<fcel>32<nl><ucel><rhed>Table<fcel>95<fcel>24<fcel>49<nl><ucel><rhed>Text<fcel>96<fcel>-<fcel>42<nl><ucel><rhed>total<fcel>93<fcel>34<fcel>30<nl><rhed>DocBank (DB)<rhed>Figure<fcel>77<fcel>71<fcel>31<nl><ucel><rhed>Table<fcel>19<fcel>65<fcel>22<nl><ucel><rhed>total<fcel>48<fcel>68<fcel>27<nl><rhed>DocLayNet (DLN)<rhed>Figure<fcel>67<fcel>51<fcel>72<nl><ucel><rhed>Sec-header<fcel>53<fcel>-<fcel>68<nl><ucel><rhed>Table<fcel>87<fcel>43<fcel>82<nl><ucel><rhed>Text<fcel>77<fcel>-<fcel>84<nl><ucel><rhed>total<fcel>59<fcel>47<fcel>78<nl><caption><loc_44><loc_55><loc_242><loc_95>Table 5: Prediction Performance (mAP@0.5-0.95) of a Mask R-CNN R50 network across the PubLayNet, DocBank & DocLayNet data-sets. By evaluating on common label classes of each dataset, we observe that the DocLayNet-trained model has much less pronounced variations in performance across all datasets.</caption></otsl>
<text><loc_44><loc_247><loc_240><loc_280>Section-header , Table and Text . Before training, we either mapped or excluded DocLayNet's other labels as specified in table 3, and also PubLayNet's List to Text . Note that the different clustering of lists (by list-element vs. whole list objects) naturally decreases the mAP score for Text .</text>
<text><loc_44><loc_281><loc_241><loc_370>For comparison of DocBank with DocLayNet, we trained only on Picture and Table clusters of each dataset. We had to exclude Text because successive paragraphs are often grouped together into a single object in DocBank. This paragraph grouping is incompatible with the individual paragraphs of DocLayNet. As can be seen in Table 5, DocLayNet trained models yield better performance compared to the previous datasets. It is noteworthy that the models trained on PubLayNet and DocBank perform very well on their own test set, but have a much lower performance on the foreign datasets. While this also applies to DocLayNet, the difference is far less pronounced. Thus we conclude that DocLayNet trained models are overall more robust and will produce better results for challenging, unseen layouts.</text>
<section_header_level_1><loc_44><loc_382><loc_127><loc_388>Example Predictions</section_header_level_1>
<text><loc_44><loc_392><loc_241><loc_445>To conclude this section, we illustrate the quality of layout predictions one can expect from DocLayNet-trained models by providing a selection of examples without any further post-processing applied. Figure 6 shows selected layout predictions on pages from the test-set of DocLayNet. Results look decent in general across document categories, however one can also observe mistakes such as overlapping clusters of different classes, or entirely missing boxes due to low confidence.</text>
<section_header_level_1><loc_260><loc_54><loc_331><loc_61>6 CONCLUSION</section_header_level_1>
<text><loc_260><loc_64><loc_457><loc_118>In this paper, we presented the DocLayNet dataset. It provides the document conversion and layout analysis research community a new and challenging dataset to improve and fine-tune novel ML methods on. In contrast to many other datasets, DocLayNet was created by human annotation in order to obtain reliable layout ground-truth on a wide variety of publication- and typesettingstyles. Including a large proportion of documents outside the scientific publishing domain adds significant value in this respect.</text>
<text><loc_260><loc_119><loc_457><loc_180>From the dataset, we have derived on the one hand reference metrics for human performance on document-layout annotation (through double and triple annotations) and on the other hand evaluated the baseline performance of commonly used object detection methods. We also illustrated the impact of various dataset-related aspects on model performance through data-ablation experiments, both from a size and class-label perspective. Last but not least, we compared the accuracy of models trained on other public datasets and showed that DocLayNet trained models are more robust.</text>
<text><loc_259><loc_181><loc_456><loc_201>To date, there is still a significant gap between human and ML accuracy on the layout interpretation task, and we hope that this work will inspire the research community to close that gap.</text>
<section_header_level_1><loc_260><loc_212><loc_316><loc_218>REFERENCES</section_header_level_1>
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<figure>
<location><page_9><loc_9><loc_44><loc_91><loc_89></location>
<caption>Text Caption List-Item Formula Table Section-Header Picture Page-Header Page-Footer Title</caption>
</figure>
<text><location><page_9><loc_9><loc_36><loc_91><loc_41></location>Figure 6: Example layout predictions on selected pages from the DocLayNet test-set. (A, D) exhibit favourable results on coloured backgrounds. (B, C) show accurate list-item and paragraph differentiation despite densely-spaced lines. (E) demonstrates good table and figure distinction. (F) shows predictions on a Chinese patent with multiple overlaps, label confusion and missing boxes.</text>
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</document>
<page_break>
<page_header><loc_44><loc_38><loc_284><loc_43>DocLayNet: A Large Human-Annotated Dataset for Document-Layout Analysis</page_header>
<page_header><loc_299><loc_38><loc_456><loc_43>KDD 22, August 14-18, 2022, Washington, DC, USA</page_header>
<picture><loc_43><loc_53><loc_455><loc_279><caption><loc_51><loc_279><loc_260><loc_283>Text Caption List-Item Formula Table Section-Header Picture Page-Header Page-Footer Title</caption></picture>
<text><loc_44><loc_293><loc_457><loc_319>Figure 6: Example layout predictions on selected pages from the DocLayNet test-set. (A, D) exhibit favourable results on coloured backgrounds. (B, C) show accurate list-item and paragraph differentiation despite densely-spaced lines. (E) demonstrates good table and figure distinction. (F) shows predictions on a Chinese patent with multiple overlaps, label confusion and missing boxes.</text>
<text><loc_57><loc_333><loc_241><loc_347>Diaconu, Mai Thanh Minh, Marc, albinxavi, fatih, oleg, and wanghao yang. ultralytics/yolov5: v6.0 - yolov5n nano models, roboflow integration, tensorflow export, opencv dnn support, October 2021.</text>
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<list_item><loc_44><loc_363><loc_240><loc_372>[15] Mingxing Tan, Ruoming Pang, and Quoc V. Le. Efficientdet: Scalable and efficient object detection. CoRR , abs/1911.09070, 2019.</list_item>
<list_item><loc_44><loc_373><loc_241><loc_387>[16] Tsung-Yi Lin, Michael Maire, Serge J. Belongie, Lubomir D. Bourdev, Ross B. Girshick, James Hays, Pietro Perona, Deva Ramanan, Piotr Dollár, and C. Lawrence Zitnick. Microsoft COCO: common objects in context, 2014.</list_item>
<list_item><loc_44><loc_388><loc_241><loc_397>[17] Yuxin Wu, Alexander Kirillov, Francisco Massa, Wan-Yen Lo, and Ross Girshick. Detectron2, 2019.</list_item>
<list_item><loc_44><loc_398><loc_241><loc_422>[18] Nikolaos Livathinos, Cesar Berrospi, Maksym Lysak, Viktor Kuropiatnyk, Ahmed Nassar, Andre Carvalho, Michele Dolfi, Christoph Auer, Kasper Dinkla, and Peter W. J. Staar. Robust pdf document conversion using recurrent neural networks. In Proceedings of the 35th Conference on Artificial Intelligence , AAAI, pages 1513715145, feb 2021.</list_item>
<list_item><loc_44><loc_423><loc_241><loc_448>[19] Yiheng Xu, Minghao Li, Lei Cui, Shaohan Huang, Furu Wei, and Ming Zhou. Layoutlm: Pre-training of text and layout for document image understanding. In Proceedings of the 26th ACM SIGKDD International Conference on Knowledge Discovery and Data Mining , KDD, pages 1192-1200, New York, USA, 2020. Association for Computing Machinery.</list_item>
<list_item><loc_260><loc_333><loc_457><loc_342>[20] Shoubin Li, Xuyan Ma, Shuaiqun Pan, Jun Hu, Lin Shi, and Qing Wang. Vtlayout: Fusion of visual and text features for document layout analysis, 2021.</list_item>
<list_item><loc_260><loc_343><loc_457><loc_357>[21] Peng Zhang, Can Li, Liang Qiao, Zhanzhan Cheng, Shiliang Pu, Yi Niu, and Fei Wu. Vsr: A unified framework for document layout analysis combining vision, semantics and relations, 2021.</list_item>
<list_item><loc_260><loc_358><loc_457><loc_377>[22] Peter W J Staar, Michele Dolfi, Christoph Auer, and Costas Bekas. Corpus conversion service: A machine learning platform to ingest documents at scale. In Proceedings of the 24th ACM SIGKDD International Conference on Knowledge Discovery and Data Mining , KDD, pages 774-782. ACM, 2018.</list_item>
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</unordered_list>
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<document>
<text><location><page_1><loc_22><loc_81><loc_79><loc_85></location>order to compute the TED score. Inference timing results for all experiments were obtained from the same machine on a single core with AMD EPYC 7763 CPU @2.45 GHz.</text>
<section_header_level_1><location><page_1><loc_22><loc_77><loc_52><loc_79></location>5.1 Hyper Parameter Optimization</section_header_level_1>
<text><location><page_1><loc_22><loc_68><loc_79><loc_77></location>We have chosen the PubTabNet data set to perform HPO, since it includes a highly diverse set of tables. Also we report TED scores separately for simple and complex tables (tables with cell spans). Results are presented in Table. 1. It is evident that with OTSL, our model achieves the same TED score and slightly better mAP scores in comparison to HTML. However OTSL yields a 2x speed up in the inference runtime over HTML.</text>
<table>
<location><page_1><loc_23><loc_41><loc_78><loc_57></location>
<caption>Table 1. HPO performed in OTSL and HTML representation on the same transformer-based TableFormer [9] architecture, trained only on PubTabNet [22]. Effects of reducing the # of layers in encoder and decoder stages of the model show that smaller models trained on OTSL perform better, especially in recognizing complex table structures, and maintain a much higher mAP score than the HTML counterpart.</caption>
<row_0><col_0><col_header>#</col_0><col_1><col_header>#</col_1><col_2><col_header>Language</col_2><col_3><col_header>TEDs</col_3><col_4><col_header>TEDs</col_4><col_5><col_header>TEDs</col_5><col_6><col_header>mAP</col_6><col_7><col_header>Inference</col_7></row_0>
<row_1><col_0><col_header>enc-layers</col_0><col_1><col_header>dec-layers</col_1><col_2><col_header>Language</col_2><col_3><col_header>simple</col_3><col_4><col_header>complex</col_4><col_5><col_header>all</col_5><col_6><col_header>(0.75)</col_6><col_7><col_header>time (secs)</col_7></row_1>
<row_2><col_0><body>6</col_0><col_1><body>6</col_1><col_2><body>OTSL HTML</col_2><col_3><body>0.965 0.969</col_3><col_4><body>0.934 0.927</col_4><col_5><body>0.955 0.955</col_5><col_6><body>0.88 0.857</col_6><col_7><body>2.73 5.39</col_7></row_2>
<row_3><col_0><body>4</col_0><col_1><body>4</col_1><col_2><body>OTSL HTML</col_2><col_3><body>0.938</col_3><col_4><body>0.904</col_4><col_5><body>0.927</col_5><col_6><body>0.853</col_6><col_7><body>1.97</col_7></row_3>
<row_4><col_0><body></col_0><col_1><body></col_1><col_2><body>OTSL</col_2><col_3><body>0.952 0.923</col_3><col_4><body>0.909</col_4><col_5><body>0.938</col_5><col_6><body>0.843</col_6><col_7><body>3.77</col_7></row_4>
<row_5><col_0><body>2</col_0><col_1><body>4</col_1><col_2><body>HTML</col_2><col_3><body>0.945</col_3><col_4><body>0.897 0.901</col_4><col_5><body>0.915 0.931</col_5><col_6><body>0.859 0.834</col_6><col_7><body>1.91 3.81</col_7></row_5>
<row_6><col_0><body>4</col_0><col_1><body>2</col_1><col_2><body>OTSL HTML</col_2><col_3><body>0.952 0.944</col_3><col_4><body>0.92 0.903</col_4><col_5><body>0.942 0.931</col_5><col_6><body>0.857 0.824</col_6><col_7><body>1.22 2</col_7></row_6>
</table>
<section_header_level_1><location><page_1><loc_22><loc_35><loc_43><loc_36></location>5.2 Quantitative Results</section_header_level_1>
<text><location><page_1><loc_22><loc_22><loc_79><loc_34></location>We picked the model parameter configuration that produced the best prediction quality (enc=6, dec=6, heads=8) with PubTabNet alone, then independently trained and evaluated it on three publicly available data sets: PubTabNet (395k samples), FinTabNet (113k samples) and PubTables-1M (about 1M samples). Performance results are presented in Table. 2. It is clearly evident that the model trained on OTSL outperforms HTML across the board, keeping high TEDs and mAP scores even on difficult financial tables (FinTabNet) that contain sparse and large tables.</text>
<text><location><page_1><loc_22><loc_16><loc_79><loc_22></location>Additionally, the results show that OTSL has an advantage over HTML when applied on a bigger data set like PubTables-1M and achieves significantly improved scores. Finally, OTSL achieves faster inference due to fewer decoding steps which is a result of the reduced sequence representation.</text>
</document>
<doctag><page_header><loc_159><loc_58><loc_366><loc_65>Optimized Table Tokenization for Table Structure Recognition</page_header>
<page_header><loc_389><loc_58><loc_393><loc_65>9</page_header>
<text><loc_110><loc_74><loc_393><loc_97>order to compute the TED score. Inference timing results for all experiments were obtained from the same machine on a single core with AMD EPYC 7763 CPU @2.45 GHz.</text>
<section_header_level_1><loc_110><loc_105><loc_260><loc_113>5.1 Hyper Parameter Optimization</section_header_level_1>
<text><loc_110><loc_116><loc_393><loc_161>We have chosen the PubTabNet data set to perform HPO, since it includes a highly diverse set of tables. Also we report TED scores separately for simple and complex tables (tables with cell spans). Results are presented in Table. 1. It is evident that with OTSL, our model achieves the same TED score and slightly better mAP scores in comparison to HTML. However OTSL yields a 2x speed up in the inference runtime over HTML.</text>
<otsl><loc_114><loc_213><loc_388><loc_296><ched>#<ched>#<ched>Language<ched>TEDs<lcel><lcel><ched>mAP<ched>Inference<nl><ched>enc-layers<ched>dec-layers<ucel><ched>simple<ched>complex<ched>all<ched>(0.75)<ched>time (secs)<nl><fcel>6<fcel>6<fcel>OTSL HTML<fcel>0.965 0.969<fcel>0.934 0.927<fcel>0.955 0.955<fcel>0.88 0.857<fcel>2.73 5.39<nl><fcel>4<fcel>4<fcel>OTSL HTML<fcel>0.938<fcel>0.904<fcel>0.927<fcel>0.853<fcel>1.97<nl><ecel><ecel><fcel>OTSL<fcel>0.952 0.923<fcel>0.909<fcel>0.938<fcel>0.843<fcel>3.77<nl><fcel>2<fcel>4<fcel>HTML<fcel>0.945<fcel>0.897 0.901<fcel>0.915 0.931<fcel>0.859 0.834<fcel>1.91 3.81<nl><fcel>4<fcel>2<fcel>OTSL HTML<fcel>0.952 0.944<fcel>0.92 0.903<fcel>0.942 0.931<fcel>0.857 0.824<fcel>1.22 2<nl><caption><loc_110><loc_172><loc_393><loc_207>Table 1. HPO performed in OTSL and HTML representation on the same transformer-based TableFormer [9] architecture, trained only on PubTabNet [22]. Effects of reducing the # of layers in encoder and decoder stages of the model show that smaller models trained on OTSL perform better, especially in recognizing complex table structures, and maintain a much higher mAP score than the HTML counterpart.</caption></otsl>
<section_header_level_1><loc_110><loc_319><loc_216><loc_327>5.2 Quantitative Results</section_header_level_1>
<text><loc_110><loc_330><loc_393><loc_390>We picked the model parameter configuration that produced the best prediction quality (enc=6, dec=6, heads=8) with PubTabNet alone, then independently trained and evaluated it on three publicly available data sets: PubTabNet (395k samples), FinTabNet (113k samples) and PubTables-1M (about 1M samples). Performance results are presented in Table. 2. It is clearly evident that the model trained on OTSL outperforms HTML across the board, keeping high TEDs and mAP scores even on difficult financial tables (FinTabNet) that contain sparse and large tables.</text>
<text><loc_110><loc_390><loc_393><loc_421>Additionally, the results show that OTSL has an advantage over HTML when applied on a bigger data set like PubTables-1M and achieves significantly improved scores. Finally, OTSL achieves faster inference due to fewer decoding steps which is a result of the reduced sequence representation.</text>
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<section_header_level_1><location><page_1><loc_22><loc_82><loc_79><loc_85></location>Optimized Table Tokenization for Table Structure Recognition</section_header_level_1>
<text><location><page_1><loc_23><loc_75><loc_78><loc_79></location>Maksym Lysak [0000 0002 3723 $^{6960]}$, Ahmed Nassar[0000 0002 9468 $^{0822]}$, Nikolaos Livathinos [0000 0001 8513 $^{3491]}$, Christoph Auer[0000 0001 5761 $^{0422]}$, [0000 0002 8088 0823]</text>
<text><location><page_1><loc_38><loc_74><loc_49><loc_75></location>and Peter Staar</text>
<text><location><page_1><loc_46><loc_72><loc_55><loc_73></location>IBM Research</text>
<text><location><page_1><loc_36><loc_70><loc_64><loc_71></location>{mly,ahn,nli,cau,taa}@zurich.ibm.com</text>
<text><location><page_1><loc_27><loc_41><loc_74><loc_66></location>Abstract. Extracting tables from documents is a crucial task in any document conversion pipeline. Recently, transformer-based models have demonstrated that table-structure can be recognized with impressive accuracy using Image-to-Markup-Sequence (Im2Seq) approaches. Taking only the image of a table, such models predict a sequence of tokens (e.g. in HTML, LaTeX) which represent the structure of the table. Since the token representation of the table structure has a significant impact on the accuracy and run-time performance of any Im2Seq model, we investigate in this paper how table-structure representation can be optimised. We propose a new, optimised table-structure language (OTSL) with a minimized vocabulary and specific rules. The benefits of OTSL are that it reduces the number of tokens to 5 (HTML needs 28+) and shortens the sequence length to half of HTML on average. Consequently, model accuracy improves significantly, inference time is halved compared to HTML-based models, and the predicted table structures are always syntactically correct. This in turn eliminates most post-processing needs. Popular table structure data-sets will be published in OTSL format to the community.</text>
<text><location><page_1><loc_27><loc_37><loc_74><loc_40></location>Keywords: Table Structure Recognition · Data Representation · Transformers · Optimization.</text>
<section_header_level_1><location><page_1><loc_22><loc_33><loc_37><loc_34></location>1 Introduction</section_header_level_1>
<text><location><page_1><loc_22><loc_21><loc_79><loc_31></location>Tables are ubiquitous in documents such as scientific papers, patents, reports, manuals, specification sheets or marketing material. They often encode highly valuable information and therefore need to be extracted with high accuracy. Unfortunately, tables appear in documents in various sizes, styling and structure, making it difficult to recover their correct structure with simple analytical methods. Therefore, accurate table extraction is achieved these days with machine-learning based methods.</text>
<text><location><page_1><loc_22><loc_16><loc_79><loc_20></location>In modern document understanding systems [1,15], table extraction is typically a two-step process. Firstly, every table on a page is located with a bounding box, and secondly, their logical row and column structure is recognized. As of</text>
<figure>
<location><page_2><loc_24><loc_46><loc_76><loc_74></location>
<caption>Fig. 1. Comparison between HTML and OTSL table structure representation: (A) table-example with complex row and column headers, including a 2D empty span, (B) minimal graphical representation of table structure using rectangular layout, (C) HTML representation, (D) OTSL representation. This example demonstrates many of the key-features of OTSL, namely its reduced vocabulary size (12 versus 5 in this case), its reduced sequence length (55 versus 30) and a enhanced internal structure (variable token sequence length per row in HTML versus a fixed length of rows in OTSL).</caption>
</figure>
<text><location><page_2><loc_22><loc_34><loc_79><loc_43></location>today, table detection in documents is a well understood problem, and the latest state-of-the-art (SOTA) object detection methods provide an accuracy comparable to human observers [7,8,10,14,23]. On the other hand, the problem of table structure recognition (TSR) is a lot more challenging and remains a very active area of research, in which many novel machine learning algorithms are being explored [3,4,5,9,11,12,13,14,17,18,21,22].</text>
<text><location><page_2><loc_22><loc_16><loc_79><loc_34></location>Recently emerging SOTA methods for table structure recognition employ transformer-based models, in which an image of the table is provided to the network in order to predict the structure of the table as a sequence of tokens. These image-to-sequence (Im2Seq) models are extremely powerful, since they allow for a purely data-driven solution. The tokens of the sequence typically belong to a markup language such as HTML, Latex or Markdown, which allow to describe table structure as rows, columns and spanning cells in various configurations. In Figure 1, we illustrate how HTML is used to represent the table-structure of a particular example table. Public table-structure data sets such as PubTabNet [22], and FinTabNet [21], which were created in a semi-automated way from paired PDF and HTML sources (e.g. PubMed Central), popularized primarily the use of HTML as ground-truth representation format for TSR.</text>
<text><location><page_3><loc_22><loc_73><loc_79><loc_85></location>While the majority of research in TSR is currently focused on the development and application of novel neural model architectures, the table structure representation language (e.g. HTML in PubTabNet and FinTabNet) is usually adopted as is for the sequence tokenization in Im2Seq models. In this paper, we aim for the opposite and investigate the impact of the table structure representation language with an otherwise unmodified Im2Seq transformer-based architecture. Since the current state-of-the-art Im2Seq model is TableFormer [9], we select this model to perform our experiments.</text>
<text><location><page_3><loc_22><loc_58><loc_79><loc_73></location>The main contribution of this paper is the introduction of a new optimised table structure language (OTSL), specifically designed to describe table-structure in an compact and structured way for Im2Seq models. OTSL has a number of key features, which make it very attractive to use in Im2Seq models. Specifically, compared to other languages such as HTML, OTSL has a minimized vocabulary which yields short sequence length, strong inherent structure (e.g. strict rectangular layout) and a strict syntax with rules that only look backwards. The latter allows for syntax validation during inference and ensures a syntactically correct table-structure. These OTSL features are illustrated in Figure 1, in comparison to HTML.</text>
<text><location><page_3><loc_22><loc_45><loc_79><loc_58></location>The paper is structured as follows. In section 2, we give an overview of the latest developments in table-structure reconstruction. In section 3 we review the current HTML table encoding (popularised by PubTabNet and FinTabNet) and discuss its flaws. Subsequently, we introduce OTSL in section 4, which includes the language definition, syntax rules and error-correction procedures. In section 5, we apply OTSL on the TableFormer architecture, compare it to TableFormer models trained on HTML and ultimately demonstrate the advantages of using OTSL. Finally, in section 6 we conclude our work and outline next potential steps.</text>
<section_header_level_1><location><page_3><loc_22><loc_40><loc_39><loc_42></location>2 Related Work</section_header_level_1>
<text><location><page_3><loc_22><loc_16><loc_79><loc_38></location>Approaches to formalize the logical structure and layout of tables in electronic documents date back more than two decades [16]. In the recent past, a wide variety of computer vision methods have been explored to tackle the problem of table structure recognition, i.e. the correct identification of columns, rows and spanning cells in a given table. Broadly speaking, the current deeplearning based approaches fall into three categories: object detection (OD) methods, Graph-Neural-Network (GNN) methods and Image-to-Markup-Sequence (Im2Seq) methods. Object-detection based methods [11,12,13,14,21] rely on tablestructure annotation using (overlapping) bounding boxes for training, and produce bounding-box predictions to define table cells, rows, and columns on a table image. Graph Neural Network (GNN) based methods [3,6,17,18], as the name suggests, represent tables as graph structures. The graph nodes represent the content of each table cell, an embedding vector from the table image, or geometric coordinates of the table cell. The edges of the graph define the relationship between the nodes, e.g. if they belong to the same column, row, or table cell.</text>
<text><location><page_4><loc_22><loc_67><loc_79><loc_85></location>Other work [20] aims at predicting a grid for each table and deciding which cells must be merged using an attention network. Im2Seq methods cast the problem as a sequence generation task [4,5,9,22], and therefore need an internal tablestructure representation language, which is often implemented with standard markup languages (e.g. HTML, LaTeX, Markdown). In theory, Im2Seq methods have a natural advantage over the OD and GNN methods by virtue of directly predicting the table-structure. As such, no post-processing or rules are needed in order to obtain the table-structure, which is necessary with OD and GNN approaches. In practice, this is not entirely true, because a predicted sequence of table-structure markup does not necessarily have to be syntactically correct. Hence, depending on the quality of the predicted sequence, some post-processing needs to be performed to ensure a syntactically valid (let alone correct) sequence.</text>
<text><location><page_4><loc_22><loc_39><loc_79><loc_67></location>Within the Im2Seq method, we find several popular models, namely the encoder-dual-decoder model (EDD) [22], TableFormer [9], Tabsplitter[2] and Ye et. al. [19]. EDD uses two consecutive long short-term memory (LSTM) decoders to predict a table in HTML representation. The tag decoder predicts a sequence of HTML tags. For each decoded table cell ( <td> ), the attention is passed to the cell decoder to predict the content with an embedded OCR approach. The latter makes it susceptible to transcription errors in the cell content of the table. TableFormer address this reliance on OCR and uses two transformer decoders for HTML structure and cell bounding box prediction in an end-to-end architecture. The predicted cell bounding box is then used to extract text tokens from an originating (digital) PDF page, circumventing any need for OCR. TabSplitter [2] proposes a compact double-matrix representation of table rows and columns to do error detection and error correction of HTML structure sequences based on predictions from [19]. This compact double-matrix representation can not be used directly by the Img2seq model training, so the model uses HTML as an intermediate form. Chi et. al. [4] introduce a data set and a baseline method using bidirectional LSTMs to predict LaTeX code. Kayal [5] introduces Gated ResNet transformers to predict LaTeX code, and a separate OCR module to extract content.</text>
<text><location><page_4><loc_22><loc_26><loc_79><loc_38></location>Im2Seq approaches have shown to be well-suited for the TSR task and allow a full end-to-end network design that can output the final table structure without pre- or post-processing logic. Furthermore, Im2Seq models have demonstrated to deliver state-of-the-art prediction accuracy [9]. This motivated the authors to investigate if the performance (both in accuracy and inference time) can be further improved by optimising the table structure representation language. We believe this is a necessary step before further improving neural network architectures for this task.</text>
<section_header_level_1><location><page_4><loc_22><loc_22><loc_44><loc_24></location>3 Problem Statement</section_header_level_1>
<text><location><page_4><loc_22><loc_16><loc_79><loc_20></location>All known Im2Seq based models for TSR fundamentally work in similar ways. Given an image of a table, the Im2Seq model predicts the structure of the table by generating a sequence of tokens. These tokens originate from a finite vocab-</text>
<text><location><page_5><loc_22><loc_76><loc_79><loc_85></location>ulary and can be interpreted as a table structure. For example, with the HTML tokens <table> , </table> , <tr> , </tr> , <td> and </td> , one can construct simple table structures without any spanning cells. In reality though, one needs at least 28 HTML tokens to describe the most common complex tables observed in real-world documents [21,22], due to a variety of spanning cells definitions in the HTML token vocabulary.</text>
<figure>
<location><page_5><loc_22><loc_57><loc_78><loc_71></location>
<caption>Fig. 2. Frequency of tokens in HTML and OTSL as they appear in PubTabNet.</caption>
</figure>
<text><location><page_5><loc_22><loc_33><loc_79><loc_54></location>Obviously, HTML and other general-purpose markup languages were not designed for Im2Seq models. As such, they have some serious drawbacks. First, the token vocabulary needs to be artificially large in order to describe all plausible tabular structures. Since most Im2Seq models use an autoregressive approach, they generate the sequence token by token. Therefore, to reduce inference time, a shorter sequence length is critical. Every table-cell is represented by at least two tokens ( <td> and </td> ). Furthermore, when tokenizing the HTML structure, one needs to explicitly enumerate possible column-spans and row-spans as words. In practice, this ends up requiring 28 different HTML tokens (when including column- and row-spans up to 10 cells) just to describe every table in the PubTabNet dataset. Clearly, not every token is equally represented, as is depicted in Figure 2. This skewed distribution of tokens in combination with variable token row-length makes it challenging for models to learn the HTML structure.</text>
<text><location><page_5><loc_22><loc_27><loc_79><loc_32></location>Additionally, it would be desirable if the representation would easily allow an early detection of invalid sequences on-the-go, before the prediction of the entire table structure is completed. HTML is not well-suited for this purpose as the verification of incomplete sequences is non-trivial or even impossible.</text>
<text><location><page_5><loc_22><loc_16><loc_79><loc_26></location>In a valid HTML table, the token sequence must describe a 2D grid of table cells, serialised in row-major ordering, where each row and each column have the same length (while considering row- and column-spans). Furthermore, every opening tag in HTML needs to be matched by a closing tag in a correct hierarchical manner. Since the number of tokens for each table row and column can vary significantly, especially for large tables with many row- and column-spans, it is complex to verify the consistency of predicted structures during sequence</text>
<text><location><page_6><loc_22><loc_82><loc_79><loc_85></location>generation. Implicitly, this also means that Im2Seq models need to learn these complex syntax rules, simply to deliver valid output.</text>
<text><location><page_6><loc_22><loc_63><loc_79><loc_82></location>In practice, we observe two major issues with prediction quality when training Im2Seq models on HTML table structure generation from images. On the one hand, we find that on large tables, the visual attention of the model often starts to drift and is not accurately moving forward cell by cell anymore. This manifests itself in either in an increasing location drift for proposed table-cells in later rows on the same column or even complete loss of vertical alignment, as illustrated in Figure 5. Addressing this with post-processing is partially possible, but clearly undesired. On the other hand, we find many instances of predictions with structural inconsistencies or plain invalid HTML output, as shown in Figure 6, which are nearly impossible to properly correct. Both problems seriously impact the TSR model performance, since they reflect not only in the task of pure structure recognition but also in the equally crucial recognition or matching of table cell content.</text>
<section_header_level_1><location><page_6><loc_22><loc_58><loc_61><loc_60></location>4 Optimised Table Structure Language</section_header_level_1>
<text><location><page_6><loc_22><loc_44><loc_79><loc_56></location>To mitigate the issues with HTML in Im2Seq-based TSR models laid out before, we propose here our Optimised Table Structure Language (OTSL). OTSL is designed to express table structure with a minimized vocabulary and a simple set of rules, which are both significantly reduced compared to HTML. At the same time, OTSL enables easy error detection and correction during sequence generation. We further demonstrate how the compact structure representation and minimized sequence length improves prediction accuracy and inference time in the TableFormer architecture.</text>
<section_header_level_1><location><page_6><loc_22><loc_40><loc_43><loc_41></location>4.1 Language Definition</section_header_level_1>
<text><location><page_6><loc_22><loc_34><loc_79><loc_38></location>In Figure 3, we illustrate how the OTSL is defined. In essence, the OTSL defines only 5 tokens that directly describe a tabular structure based on an atomic 2D grid.</text>
<text><location><page_6><loc_24><loc_33><loc_67><loc_34></location>The OTSL vocabulary is comprised of the following tokens:</text>
<unordered_list>
<list_item><location><page_6><loc_23><loc_30><loc_75><loc_31></location>-"C" cell a new table cell that either has or does not have cell content</list_item>
<list_item><location><page_6><loc_23><loc_27><loc_79><loc_29></location>-"L" cell left-looking cell , merging with the left neighbor cell to create a span</list_item>
<list_item><location><page_6><loc_23><loc_24><loc_79><loc_26></location>-"U" cell up-looking cell , merging with the upper neighbor cell to create a span</list_item>
<list_item><location><page_6><loc_23><loc_22><loc_74><loc_23></location>-"X" cell cross cell , to merge with both left and upper neighbor cells</list_item>
<list_item><location><page_6><loc_23><loc_20><loc_54><loc_21></location>-"NL" new-line , switch to the next row.</list_item>
<doctag><page_header><loc_15><loc_132><loc_30><loc_350>arXiv:2305.03393v1 [cs.CV] 5 May 2023</page_header>
<section_header_level_1><loc_110><loc_73><loc_393><loc_92>Optimized Table Tokenization for Table Structure Recognition</section_header_level_1>
<text><loc_114><loc_107><loc_389><loc_126>Maksym Lysak [0000 0002 3723 $^{6960]}$, Ahmed Nassar[0000 0002 9468 $^{0822]}$, Nikolaos Livathinos [0000 0001 8513 $^{3491]}$, Christoph Auer[0000 0001 5761 $^{0422]}$, [0000 0002 8088 0823]</text>
<text><loc_188><loc_123><loc_244><loc_129>and Peter Staar</text>
<text><loc_228><loc_137><loc_275><loc_142>IBM Research</text>
<text><loc_182><loc_144><loc_321><loc_149>{mly,ahn,nli,cau,taa}@zurich.ibm.com</text>
<text><loc_133><loc_171><loc_369><loc_293>Abstract. Extracting tables from documents is a crucial task in any document conversion pipeline. Recently, transformer-based models have demonstrated that table-structure can be recognized with impressive accuracy using Image-to-Markup-Sequence (Im2Seq) approaches. Taking only the image of a table, such models predict a sequence of tokens (e.g. in HTML, LaTeX) which represent the structure of the table. Since the token representation of the table structure has a significant impact on the accuracy and run-time performance of any Im2Seq model, we investigate in this paper how table-structure representation can be optimised. We propose a new, optimised table-structure language (OTSL) with a minimized vocabulary and specific rules. The benefits of OTSL are that it reduces the number of tokens to 5 (HTML needs 28+) and shortens the sequence length to half of HTML on average. Consequently, model accuracy improves significantly, inference time is halved compared to HTML-based models, and the predicted table structures are always syntactically correct. This in turn eliminates most post-processing needs. Popular table structure data-sets will be published in OTSL format to the community.</text>
<text><loc_133><loc_302><loc_369><loc_314>Keywords: Table Structure Recognition · Data Representation · Transformers · Optimization.</text>
<section_header_level_1><loc_110><loc_330><loc_187><loc_336>1 Introduction</section_header_level_1>
<text><loc_110><loc_346><loc_393><loc_397>Tables are ubiquitous in documents such as scientific papers, patents, reports, manuals, specification sheets or marketing material. They often encode highly valuable information and therefore need to be extracted with high accuracy. Unfortunately, tables appear in documents in various sizes, styling and structure, making it difficult to recover their correct structure with simple analytical methods. Therefore, accurate table extraction is achieved these days with machine-learning based methods.</text>
<text><loc_110><loc_399><loc_393><loc_420>In modern document understanding systems [1,15], table extraction is typically a two-step process. Firstly, every table on a page is located with a bounding box, and secondly, their logical row and column structure is recognized. As of</text>
<page_break>
<page_header><loc_110><loc_59><loc_114><loc_64>2</page_header>
<page_header><loc_137><loc_59><loc_189><loc_64>M. Lysak, et al.</page_header>
<picture><loc_121><loc_132><loc_379><loc_269><caption><loc_110><loc_80><loc_393><loc_126>Fig. 1. Comparison between HTML and OTSL table structure representation: (A) table-example with complex row and column headers, including a 2D empty span, (B) minimal graphical representation of table structure using rectangular layout, (C) HTML representation, (D) OTSL representation. This example demonstrates many of the key-features of OTSL, namely its reduced vocabulary size (12 versus 5 in this case), its reduced sequence length (55 versus 30) and a enhanced internal structure (variable token sequence length per row in HTML versus a fixed length of rows in OTSL).</caption></picture>
<text><loc_110><loc_286><loc_393><loc_329>today, table detection in documents is a well understood problem, and the latest state-of-the-art (SOTA) object detection methods provide an accuracy comparable to human observers [7,8,10,14,23]. On the other hand, the problem of table structure recognition (TSR) is a lot more challenging and remains a very active area of research, in which many novel machine learning algorithms are being explored [3,4,5,9,11,12,13,14,17,18,21,22].</text>
<text><loc_110><loc_331><loc_393><loc_420>Recently emerging SOTA methods for table structure recognition employ transformer-based models, in which an image of the table is provided to the network in order to predict the structure of the table as a sequence of tokens. These image-to-sequence (Im2Seq) models are extremely powerful, since they allow for a purely data-driven solution. The tokens of the sequence typically belong to a markup language such as HTML, Latex or Markdown, which allow to describe table structure as rows, columns and spanning cells in various configurations. In Figure 1, we illustrate how HTML is used to represent the table-structure of a particular example table. Public table-structure data sets such as PubTabNet [22], and FinTabNet [21], which were created in a semi-automated way from paired PDF and HTML sources (e.g. PubMed Central), popularized primarily the use of HTML as ground-truth representation format for TSR.</text>
<page_break>
<page_header><loc_159><loc_59><loc_366><loc_64>Optimized Table Tokenization for Table Structure Recognition</page_header>
<page_header><loc_389><loc_59><loc_393><loc_64>3</page_header>
<text><loc_110><loc_75><loc_393><loc_133>While the majority of research in TSR is currently focused on the development and application of novel neural model architectures, the table structure representation language (e.g. HTML in PubTabNet and FinTabNet) is usually adopted as is for the sequence tokenization in Im2Seq models. In this paper, we aim for the opposite and investigate the impact of the table structure representation language with an otherwise unmodified Im2Seq transformer-based architecture. Since the current state-of-the-art Im2Seq model is TableFormer [9], we select this model to perform our experiments.</text>
<text><loc_110><loc_136><loc_393><loc_209>The main contribution of this paper is the introduction of a new optimised table structure language (OTSL), specifically designed to describe table-structure in an compact and structured way for Im2Seq models. OTSL has a number of key features, which make it very attractive to use in Im2Seq models. Specifically, compared to other languages such as HTML, OTSL has a minimized vocabulary which yields short sequence length, strong inherent structure (e.g. strict rectangular layout) and a strict syntax with rules that only look backwards. The latter allows for syntax validation during inference and ensures a syntactically correct table-structure. These OTSL features are illustrated in Figure 1, in comparison to HTML.</text>
<text><loc_110><loc_211><loc_393><loc_277>The paper is structured as follows. In section 2, we give an overview of the latest developments in table-structure reconstruction. In section 3 we review the current HTML table encoding (popularised by PubTabNet and FinTabNet) and discuss its flaws. Subsequently, we introduce OTSL in section 4, which includes the language definition, syntax rules and error-correction procedures. In section 5, we apply OTSL on the TableFormer architecture, compare it to TableFormer models trained on HTML and ultimately demonstrate the advantages of using OTSL. Finally, in section 6 we conclude our work and outline next potential steps.</text>
<section_header_level_1><loc_110><loc_292><loc_193><loc_298>2 Related Work</section_header_level_1>
<text><loc_110><loc_309><loc_396><loc_420>Approaches to formalize the logical structure and layout of tables in electronic documents date back more than two decades [16]. In the recent past, a wide variety of computer vision methods have been explored to tackle the problem of table structure recognition, i.e. the correct identification of columns, rows and spanning cells in a given table. Broadly speaking, the current deeplearning based approaches fall into three categories: object detection (OD) methods, Graph-Neural-Network (GNN) methods and Image-to-Markup-Sequence (Im2Seq) methods. Object-detection based methods [11,12,13,14,21] rely on tablestructure annotation using (overlapping) bounding boxes for training, and produce bounding-box predictions to define table cells, rows, and columns on a table image. Graph Neural Network (GNN) based methods [3,6,17,18], as the name suggests, represent tables as graph structures. The graph nodes represent the content of each table cell, an embedding vector from the table image, or geometric coordinates of the table cell. The edges of the graph define the relationship between the nodes, e.g. if they belong to the same column, row, or table cell.</text>
<page_break>
<page_header><loc_110><loc_59><loc_114><loc_64>4</page_header>
<page_header><loc_137><loc_59><loc_189><loc_64>M. Lysak, et al.</page_header>
<text><loc_110><loc_75><loc_393><loc_164>Other work [20] aims at predicting a grid for each table and deciding which cells must be merged using an attention network. Im2Seq methods cast the problem as a sequence generation task [4,5,9,22], and therefore need an internal tablestructure representation language, which is often implemented with standard markup languages (e.g. HTML, LaTeX, Markdown). In theory, Im2Seq methods have a natural advantage over the OD and GNN methods by virtue of directly predicting the table-structure. As such, no post-processing or rules are needed in order to obtain the table-structure, which is necessary with OD and GNN approaches. In practice, this is not entirely true, because a predicted sequence of table-structure markup does not necessarily have to be syntactically correct. Hence, depending on the quality of the predicted sequence, some post-processing needs to be performed to ensure a syntactically valid (let alone correct) sequence.</text>
<text><loc_110><loc_166><loc_393><loc_307>Within the Im2Seq method, we find several popular models, namely the encoder-dual-decoder model (EDD) [22], TableFormer [9], Tabsplitter[2] and Ye et. al. [19]. EDD uses two consecutive long short-term memory (LSTM) decoders to predict a table in HTML representation. The tag decoder predicts a sequence of HTML tags. For each decoded table cell ( <td> ), the attention is passed to the cell decoder to predict the content with an embedded OCR approach. The latter makes it susceptible to transcription errors in the cell content of the table. TableFormer address this reliance on OCR and uses two transformer decoders for HTML structure and cell bounding box prediction in an end-to-end architecture. The predicted cell bounding box is then used to extract text tokens from an originating (digital) PDF page, circumventing any need for OCR. TabSplitter [2] proposes a compact double-matrix representation of table rows and columns to do error detection and error correction of HTML structure sequences based on predictions from [19]. This compact double-matrix representation can not be used directly by the Img2seq model training, so the model uses HTML as an intermediate form. Chi et. al. [4] introduce a data set and a baseline method using bidirectional LSTMs to predict LaTeX code. Kayal [5] introduces Gated ResNet transformers to predict LaTeX code, and a separate OCR module to extract content.</text>
<text><loc_110><loc_309><loc_393><loc_368>Im2Seq approaches have shown to be well-suited for the TSR task and allow a full end-to-end network design that can output the final table structure without pre- or post-processing logic. Furthermore, Im2Seq models have demonstrated to deliver state-of-the-art prediction accuracy [9]. This motivated the authors to investigate if the performance (both in accuracy and inference time) can be further improved by optimising the table structure representation language. We believe this is a necessary step before further improving neural network architectures for this task.</text>
<section_header_level_1><loc_110><loc_382><loc_220><loc_389>3 Problem Statement</section_header_level_1>
<text><loc_110><loc_399><loc_393><loc_420>All known Im2Seq based models for TSR fundamentally work in similar ways. Given an image of a table, the Im2Seq model predicts the structure of the table by generating a sequence of tokens. These tokens originate from a finite vocab-</text>
<page_break>
<page_header><loc_159><loc_59><loc_366><loc_64>Optimized Table Tokenization for Table Structure Recognition</page_header>
<page_header><loc_389><loc_59><loc_393><loc_64>5</page_header>
<text><loc_110><loc_75><loc_393><loc_118>ulary and can be interpreted as a table structure. For example, with the HTML tokens <table> , </table> , <tr> , </tr> , <td> and </td> , one can construct simple table structures without any spanning cells. In reality though, one needs at least 28 HTML tokens to describe the most common complex tables observed in real-world documents [21,22], due to a variety of spanning cells definitions in the HTML token vocabulary.</text>
<picture><loc_112><loc_147><loc_389><loc_215><caption><loc_119><loc_140><loc_384><loc_145>Fig. 2. Frequency of tokens in HTML and OTSL as they appear in PubTabNet.</caption></picture>
<text><loc_110><loc_232><loc_393><loc_336>Obviously, HTML and other general-purpose markup languages were not designed for Im2Seq models. As such, they have some serious drawbacks. First, the token vocabulary needs to be artificially large in order to describe all plausible tabular structures. Since most Im2Seq models use an autoregressive approach, they generate the sequence token by token. Therefore, to reduce inference time, a shorter sequence length is critical. Every table-cell is represented by at least two tokens ( <td> and </td> ). Furthermore, when tokenizing the HTML structure, one needs to explicitly enumerate possible column-spans and row-spans as words. In practice, this ends up requiring 28 different HTML tokens (when including column- and row-spans up to 10 cells) just to describe every table in the PubTabNet dataset. Clearly, not every token is equally represented, as is depicted in Figure 2. This skewed distribution of tokens in combination with variable token row-length makes it challenging for models to learn the HTML structure.</text>
<text><loc_110><loc_338><loc_393><loc_367>Additionally, it would be desirable if the representation would easily allow an early detection of invalid sequences on-the-go, before the prediction of the entire table structure is completed. HTML is not well-suited for this purpose as the verification of incomplete sequences is non-trivial or even impossible.</text>
<text><loc_110><loc_369><loc_393><loc_420>In a valid HTML table, the token sequence must describe a 2D grid of table cells, serialised in row-major ordering, where each row and each column have the same length (while considering row- and column-spans). Furthermore, every opening tag in HTML needs to be matched by a closing tag in a correct hierarchical manner. Since the number of tokens for each table row and column can vary significantly, especially for large tables with many row- and column-spans, it is complex to verify the consistency of predicted structures during sequence</text>
<page_break>
<page_header><loc_110><loc_59><loc_114><loc_64>6</page_header>
<page_header><loc_137><loc_59><loc_189><loc_64>M. Lysak, et al.</page_header>
<text><loc_110><loc_75><loc_393><loc_88>generation. Implicitly, this also means that Im2Seq models need to learn these complex syntax rules, simply to deliver valid output.</text>
<text><loc_110><loc_91><loc_393><loc_187>In practice, we observe two major issues with prediction quality when training Im2Seq models on HTML table structure generation from images. On the one hand, we find that on large tables, the visual attention of the model often starts to drift and is not accurately moving forward cell by cell anymore. This manifests itself in either in an increasing location drift for proposed table-cells in later rows on the same column or even complete loss of vertical alignment, as illustrated in Figure 5. Addressing this with post-processing is partially possible, but clearly undesired. On the other hand, we find many instances of predictions with structural inconsistencies or plain invalid HTML output, as shown in Figure 6, which are nearly impossible to properly correct. Both problems seriously impact the TSR model performance, since they reflect not only in the task of pure structure recognition but also in the equally crucial recognition or matching of table cell content.</text>
<section_header_level_1><loc_110><loc_202><loc_304><loc_209>4 Optimised Table Structure Language</section_header_level_1>
<text><loc_110><loc_220><loc_393><loc_279>To mitigate the issues with HTML in Im2Seq-based TSR models laid out before, we propose here our Optimised Table Structure Language (OTSL). OTSL is designed to express table structure with a minimized vocabulary and a simple set of rules, which are both significantly reduced compared to HTML. At the same time, OTSL enables easy error detection and correction during sequence generation. We further demonstrate how the compact structure representation and minimized sequence length improves prediction accuracy and inference time in the TableFormer architecture.</text>
<section_header_level_1><loc_110><loc_294><loc_214><loc_300>4.1 Language Definition</section_header_level_1>
<text><loc_110><loc_309><loc_393><loc_329>In Figure 3, we illustrate how the OTSL is defined. In essence, the OTSL defines only 5 tokens that directly describe a tabular structure based on an atomic 2D grid.</text>
<text><loc_122><loc_332><loc_334><loc_337>The OTSL vocabulary is comprised of the following tokens:</text>
<unordered_list><list_item><loc_115><loc_346><loc_376><loc_352>-"C" cell a new table cell that either has or does not have cell content</list_item>
<list_item><loc_115><loc_354><loc_393><loc_367>-"L" cell left-looking cell , merging with the left neighbor cell to create a span</list_item>
<list_item><loc_115><loc_369><loc_393><loc_382>-"U" cell up-looking cell , merging with the upper neighbor cell to create a span</list_item>
<list_item><loc_115><loc_385><loc_371><loc_390>-"X" cell cross cell , to merge with both left and upper neighbor cells</list_item>
<list_item><loc_115><loc_393><loc_268><loc_398>-"NL" new-line , switch to the next row.</list_item>
</unordered_list>
<text><location><page_6><loc_22><loc_16><loc_79><loc_19></location>A notable attribute of OTSL is that it has the capability of achieving lossless conversion to HTML.</text>
<figure>
<location><page_7><loc_27><loc_65><loc_73><loc_79></location>
<caption>Fig. 3. OTSL description of table structure: A - table example; B - graphical representation of table structure; C - mapping structure on a grid; D - OTSL structure encoding; E - explanation on cell encoding</caption>
</figure>
<section_header_level_1><location><page_7><loc_22><loc_60><loc_40><loc_61></location>4.2 Language Syntax</section_header_level_1>
<text><location><page_7><loc_22><loc_58><loc_59><loc_59></location>The OTSL representation follows these syntax rules:</text>
<unordered_list>
<list_item><location><page_7><loc_23><loc_54><loc_79><loc_56></location>1. Left-looking cell rule : The left neighbour of an "L" cell must be either another "L" cell or a "C" cell.</list_item>
<list_item><location><page_7><loc_23><loc_51><loc_79><loc_53></location>2. Up-looking cell rule : The upper neighbour of a "U" cell must be either another "U" cell or a "C" cell.</list_item>
<text><loc_110><loc_407><loc_393><loc_420>A notable attribute of OTSL is that it has the capability of achieving lossless conversion to HTML.</text>
<page_break>
<page_header><loc_159><loc_59><loc_366><loc_64>Optimized Table Tokenization for Table Structure Recognition</page_header>
<page_header><loc_389><loc_59><loc_393><loc_64>7</page_header>
<picture><loc_135><loc_103><loc_367><loc_177><caption><loc_110><loc_79><loc_393><loc_98>Fig. 3. OTSL description of table structure: A - table example; B - graphical representation of table structure; C - mapping structure on a grid; D - OTSL structure encoding; E - explanation on cell encoding</caption></picture>
<section_header_level_1><loc_110><loc_193><loc_202><loc_198>4.2 Language Syntax</section_header_level_1>
<text><loc_110><loc_205><loc_297><loc_211>The OTSL representation follows these syntax rules:</text>
<unordered_list><list_item><loc_114><loc_219><loc_393><loc_232>1. Left-looking cell rule : The left neighbour of an "L" cell must be either another "L" cell or a "C" cell.</list_item>
<list_item><loc_114><loc_234><loc_393><loc_247>2. Up-looking cell rule : The upper neighbour of a "U" cell must be either another "U" cell or a "C" cell.</list_item>
</unordered_list>
<section_header_level_1><location><page_7><loc_23><loc_49><loc_37><loc_50></location>3. Cross cell rule :</section_header_level_1>
<unordered_list>
<list_item><location><page_7><loc_25><loc_44><loc_79><loc_49></location>The left neighbour of an "X" cell must be either another "X" cell or a "U" cell, and the upper neighbour of an "X" cell must be either another "X" cell or an "L" cell.</list_item>
<list_item><location><page_7><loc_23><loc_43><loc_78><loc_44></location>4. First row rule : Only "L" cells and "C" cells are allowed in the first row.</list_item>
<list_item><location><page_7><loc_23><loc_40><loc_79><loc_43></location>5. First column rule : Only "U" cells and "C" cells are allowed in the first column.</list_item>
<list_item><location><page_7><loc_23><loc_37><loc_79><loc_40></location>6. Rectangular rule : The table representation is always rectangular - all rows must have an equal number of tokens, terminated with "NL" token.</list_item>
<section_header_level_1><loc_114><loc_249><loc_185><loc_255>3. Cross cell rule :</section_header_level_1>
<unordered_list><list_item><loc_124><loc_257><loc_393><loc_278>The left neighbour of an "X" cell must be either another "X" cell or a "U" cell, and the upper neighbour of an "X" cell must be either another "X" cell or an "L" cell.</list_item>
<list_item><loc_114><loc_280><loc_388><loc_285>4. First row rule : Only "L" cells and "C" cells are allowed in the first row.</list_item>
<list_item><loc_114><loc_287><loc_393><loc_300>5. First column rule : Only "U" cells and "C" cells are allowed in the first column.</list_item>
<list_item><loc_114><loc_302><loc_393><loc_315>6. Rectangular rule : The table representation is always rectangular - all rows must have an equal number of tokens, terminated with "NL" token.</list_item>
</unordered_list>
<text><location><page_7><loc_22><loc_19><loc_79><loc_35></location>The application of these rules gives OTSL a set of unique properties. First of all, the OTSL enforces a strictly rectangular structure representation, where every new-line token starts a new row. As a consequence, all rows and all columns have exactly the same number of tokens, irrespective of cell spans. Secondly, the OTSL representation is unambiguous: Every table structure is represented in one way. In this representation every table cell corresponds to a "C"-cell token, which in case of spans is always located in the top-left corner of the table cell definition. Third, OTSL syntax rules are only backward-looking. As a consequence, every predicted token can be validated straight during sequence generation by looking at the previously predicted sequence. As such, OTSL can guarantee that every predicted sequence is syntactically valid.</text>
<text><location><page_7><loc_22><loc_16><loc_79><loc_19></location>These characteristics can be easily learned by sequence generator networks, as we demonstrate further below. We find strong indications that this pattern</text>
<text><location><page_8><loc_22><loc_82><loc_79><loc_85></location>reduces significantly the column drift seen in the HTML based models (see Figure 5).</text>
<section_header_level_1><location><page_8><loc_22><loc_78><loc_52><loc_80></location>4.3 Error-detection and -mitigation</section_header_level_1>
<text><location><page_8><loc_22><loc_62><loc_79><loc_77></location>The design of OTSL allows to validate a table structure easily on an unfinished sequence. The detection of an invalid sequence token is a clear indication of a prediction mistake, however a valid sequence by itself does not guarantee prediction correctness. Different heuristics can be used to correct token errors in an invalid sequence and thus increase the chances for accurate predictions. Such heuristics can be applied either after the prediction of each token, or at the end on the entire predicted sequence. For example a simple heuristic which can correct the predicted OTSL sequence on-the-fly is to verify if the token with the highest prediction confidence invalidates the predicted sequence, and replace it by the token with the next highest confidence until OTSL rules are satisfied.</text>
<section_header_level_1><location><page_8><loc_22><loc_58><loc_37><loc_59></location>5 Experiments</section_header_level_1>
<text><location><page_8><loc_22><loc_43><loc_79><loc_56></location>To evaluate the impact of OTSL on prediction accuracy and inference times, we conducted a series of experiments based on the TableFormer model (Figure 4) with two objectives: Firstly we evaluate the prediction quality and performance of OTSL vs. HTML after performing Hyper Parameter Optimization (HPO) on the canonical PubTabNet data set. Secondly we pick the best hyper-parameters found in the first step and evaluate how OTSL impacts the performance of TableFormer after training on other publicly available data sets (FinTabNet, PubTables-1M [14]). The ground truth (GT) from all data sets has been converted into OTSL format for this purpose, and will be made publicly available.</text>
<figure>
<location><page_8><loc_23><loc_25><loc_77><loc_36></location>
<caption>Fig. 4. Architecture sketch of the TableFormer model, which is a representative for the Im2Seq approach.</caption>
</figure>
<text><location><page_8><loc_22><loc_16><loc_79><loc_22></location>We rely on standard metrics such as Tree Edit Distance score (TEDs) for table structure prediction, and Mean Average Precision (mAP) with 0.75 Intersection Over Union (IOU) threshold for the bounding-box predictions of table cells. The predicted OTSL structures were converted back to HTML format in</text>
<text><location><page_9><loc_22><loc_81><loc_79><loc_85></location>order to compute the TED score. Inference timing results for all experiments were obtained from the same machine on a single core with AMD EPYC 7763 CPU @2.45 GHz.</text>
<section_header_level_1><location><page_9><loc_22><loc_78><loc_52><loc_79></location>5.1 Hyper Parameter Optimization</section_header_level_1>
<text><location><page_9><loc_22><loc_68><loc_79><loc_77></location>We have chosen the PubTabNet data set to perform HPO, since it includes a highly diverse set of tables. Also we report TED scores separately for simple and complex tables (tables with cell spans). Results are presented in Table. 1. It is evident that with OTSL, our model achieves the same TED score and slightly better mAP scores in comparison to HTML. However OTSL yields a 2x speed up in the inference runtime over HTML.</text>
<table>
<location><page_9><loc_23><loc_41><loc_78><loc_57></location>
<caption>Table 1. HPO performed in OTSL and HTML representation on the same transformer-based TableFormer [9] architecture, trained only on PubTabNet [22]. Effects of reducing the # of layers in encoder and decoder stages of the model show that smaller models trained on OTSL perform better, especially in recognizing complex table structures, and maintain a much higher mAP score than the HTML counterpart.</caption>
<row_0><col_0><col_header>#</col_0><col_1><col_header>#</col_1><col_2><col_header>Language</col_2><col_3><col_header>TEDs</col_3><col_4><col_header>TEDs</col_4><col_5><col_header>TEDs</col_5><col_6><col_header>mAP</col_6><col_7><col_header>Inference</col_7></row_0>
<row_1><col_0><col_header>enc-layers</col_0><col_1><col_header>dec-layers</col_1><col_2><col_header>Language</col_2><col_3><col_header>simple</col_3><col_4><col_header>complex</col_4><col_5><col_header>all</col_5><col_6><col_header>(0.75)</col_6><col_7><col_header>time (secs)</col_7></row_1>
<row_2><col_0><body>6</col_0><col_1><body>6</col_1><col_2><body>OTSL HTML</col_2><col_3><body>0.965 0.969</col_3><col_4><body>0.934 0.927</col_4><col_5><body>0.955 0.955</col_5><col_6><body>0.88 0.857</col_6><col_7><body>2.73 5.39</col_7></row_2>
<row_3><col_0><body>4</col_0><col_1><body>4</col_1><col_2><body>OTSL HTML</col_2><col_3><body>0.938 0.952</col_3><col_4><body>0.904</col_4><col_5><body>0.927</col_5><col_6><body>0.853</col_6><col_7><body>1.97</col_7></row_3>
<row_4><col_0><body>2</col_0><col_1><body>4</col_1><col_2><body>OTSL</col_2><col_3><body>0.923 0.945</col_3><col_4><body>0.909 0.897</col_4><col_5><body>0.938</col_5><col_6><body>0.843</col_6><col_7><body>3.77</col_7></row_4>
<row_5><col_0><body></col_0><col_1><body></col_1><col_2><body>HTML</col_2><col_3><body></col_3><col_4><body>0.901</col_4><col_5><body>0.915 0.931</col_5><col_6><body>0.859 0.834</col_6><col_7><body>1.91 3.81</col_7></row_5>
<row_6><col_0><body>4</col_0><col_1><body>2</col_1><col_2><body>OTSL HTML</col_2><col_3><body>0.952 0.944</col_3><col_4><body>0.92 0.903</col_4><col_5><body>0.942 0.931</col_5><col_6><body>0.857 0.824</col_6><col_7><body>1.22 2</col_7></row_6>
</table>
<section_header_level_1><location><page_9><loc_22><loc_35><loc_43><loc_36></location>5.2 Quantitative Results</section_header_level_1>
<text><location><page_9><loc_22><loc_22><loc_79><loc_34></location>We picked the model parameter configuration that produced the best prediction quality (enc=6, dec=6, heads=8) with PubTabNet alone, then independently trained and evaluated it on three publicly available data sets: PubTabNet (395k samples), FinTabNet (113k samples) and PubTables-1M (about 1M samples). Performance results are presented in Table. 2. It is clearly evident that the model trained on OTSL outperforms HTML across the board, keeping high TEDs and mAP scores even on difficult financial tables (FinTabNet) that contain sparse and large tables.</text>
<text><location><page_9><loc_22><loc_16><loc_79><loc_22></location>Additionally, the results show that OTSL has an advantage over HTML when applied on a bigger data set like PubTables-1M and achieves significantly improved scores. Finally, OTSL achieves faster inference due to fewer decoding steps which is a result of the reduced sequence representation.</text>
<table>
<location><page_10><loc_23><loc_67><loc_77><loc_80></location>
<caption>Table 2. TSR and cell detection results compared between OTSL and HTML on the PubTabNet [22], FinTabNet [21] and PubTables-1M [14] data sets using TableFormer [9] (with enc=6, dec=6, heads=8).</caption>
<row_0><col_0><body></col_0><col_1><col_header>Language</col_1><col_2><col_header>TEDs</col_2><col_3><col_header>TEDs</col_3><col_4><col_header>TEDs</col_4><col_5><col_header>mAP(0.75)</col_5><col_6><col_header>Inference time (secs)</col_6></row_0>
<row_1><col_0><body></col_0><col_1><col_header>Language</col_1><col_2><col_header>simple</col_2><col_3><col_header>complex</col_3><col_4><col_header>all</col_4><col_5><col_header>mAP(0.75)</col_5><col_6><col_header>Inference time (secs)</col_6></row_1>
<row_2><col_0><row_header>PubTabNet</col_0><col_1><row_header>OTSL</col_1><col_2><body>0.965</col_2><col_3><body>0.934</col_3><col_4><body>0.955</col_4><col_5><body>0.88</col_5><col_6><body>2.73</col_6></row_2>
<row_3><col_0><row_header>PubTabNet</col_0><col_1><row_header>HTML</col_1><col_2><body>0.969</col_2><col_3><body>0.927</col_3><col_4><body>0.955</col_4><col_5><body>0.857</col_5><col_6><body>5.39</col_6></row_3>
<row_4><col_0><row_header>FinTabNet</col_0><col_1><row_header>OTSL</col_1><col_2><body>0.955</col_2><col_3><body>0.961</col_3><col_4><body>0.959</col_4><col_5><body>0.862</col_5><col_6><body>1.85</col_6></row_4>
<row_5><col_0><row_header>FinTabNet</col_0><col_1><row_header>HTML</col_1><col_2><body>0.917</col_2><col_3><body>0.922</col_3><col_4><body>0.92</col_4><col_5><body>0.722</col_5><col_6><body>3.26</col_6></row_5>
<row_6><col_0><row_header>PubTables-1M</col_0><col_1><row_header>OTSL</col_1><col_2><body>0.987</col_2><col_3><body>0.964</col_3><col_4><body>0.977</col_4><col_5><body>0.896</col_5><col_6><body>1.79</col_6></row_6>
<row_7><col_0><row_header>PubTables-1M</col_0><col_1><row_header>HTML</col_1><col_2><body>0.983</col_2><col_3><body>0.944</col_3><col_4><body>0.966</col_4><col_5><body>0.889</col_5><col_6><body>3.26</col_6></row_7>
</table>
<section_header_level_1><location><page_10><loc_22><loc_62><loc_42><loc_64></location>5.3 Qualitative Results</section_header_level_1>
<text><location><page_10><loc_22><loc_54><loc_79><loc_61></location>To illustrate the qualitative differences between OTSL and HTML, Figure 5 demonstrates less overlap and more accurate bounding boxes with OTSL. In Figure 6, OTSL proves to be more effective in handling tables with longer token sequences, resulting in even more precise structure prediction and bounding boxes.</text>
<figure>
<location><page_10><loc_27><loc_16><loc_74><loc_44></location>
<caption>Fig. 5. The OTSL model produces more accurate bounding boxes with less overlap (E) than the HTML model (D), when predicting the structure of a sparse table (A), at twice the inference speed because of shorter sequence length (B),(C). "PMC2807444_006_00.png" PubTabNet. μ</caption>
</figure>
<text><location><page_10><loc_37><loc_15><loc_38><loc_16></location>μ</text>
<text><location><page_10><loc_49><loc_12><loc_49><loc_14></location>≥</text>
<figure>
<location><page_11><loc_28><loc_20><loc_73><loc_77></location>
<caption>Fig. 6. Visualization of predicted structure and detected bounding boxes on a complex table with many rows. The OTSL model (B) captured repeating pattern of horizontally merged cells from the GT (A), unlike the HTML model (C). The HTML model also didn't complete the HTML sequence correctly and displayed a lot more of drift and overlap of bounding boxes. "PMC5406406_003_01.png" PubTabNet.</caption>
</figure>
<section_header_level_1><location><page_12><loc_22><loc_84><loc_36><loc_85></location>6 Conclusion</section_header_level_1>
<text><location><page_12><loc_22><loc_74><loc_79><loc_81></location>We demonstrated that representing tables in HTML for the task of table structure recognition with Im2Seq models is ill-suited and has serious limitations. Furthermore, we presented in this paper an Optimized Table Structure Language (OTSL) which, when compared to commonly used general purpose languages, has several key benefits.</text>
<text><location><page_12><loc_22><loc_59><loc_79><loc_74></location>First and foremost, given the same network configuration, inference time for a table-structure prediction is about 2 times faster compared to the conventional HTML approach. This is primarily owed to the shorter sequence length of the OTSL representation. Additional performance benefits can be obtained with HPO (hyper parameter optimization). As we demonstrate in our experiments, models trained on OTSL can be significantly smaller, e.g. by reducing the number of encoder and decoder layers, while preserving comparatively good prediction quality. This can further improve inference performance, yielding 5-6 times faster inference speed in OTSL with prediction quality comparable to models trained on HTML (see Table 1).</text>
<text><location><page_12><loc_22><loc_41><loc_79><loc_59></location>Secondly, OTSL has more inherent structure and a significantly restricted vocabulary size. This allows autoregressive models to perform better in the TED metric, but especially with regards to prediction accuracy of the table-cell bounding boxes (see Table 2). As shown in Figure 5, we observe that the OTSL drastically reduces the drift for table cell bounding boxes at high row count and in sparse tables. This leads to more accurate predictions and a significant reduction in post-processing complexity, which is an undesired necessity in HTML-based Im2Seq models. Significant novelty lies in OTSL syntactical rules, which are few, simple and always backwards looking. Each new token can be validated only by analyzing the sequence of previous tokens, without requiring the entire sequence to detect mistakes. This in return allows to perform structural error detection and correction on-the-fly during sequence generation.</text>
<section_header_level_1><location><page_12><loc_22><loc_36><loc_32><loc_38></location>References</section_header_level_1>
<unordered_list>
<list_item><location><page_12><loc_23><loc_29><loc_79><loc_34></location>1. Auer, C., Dolfi, M., Carvalho, A., Ramis, C.B., Staar, P.W.J.: Delivering document conversion as a cloud service with high throughput and responsiveness. CoRR abs/2206.00785 (2022). https://doi.org/10.48550/arXiv.2206.00785 , https://doi.org/10.48550/arXiv.2206.00785</list_item>
<list_item><location><page_12><loc_23><loc_23><loc_79><loc_28></location>2. Chen, B., Peng, D., Zhang, J., Ren, Y., Jin, L.: Complex table structure recognition in the wild using transformer and identity matrix-based augmentation. In: Porwal, U., Fornés, A., Shafait, F. (eds.) Frontiers in Handwriting Recognition. pp. 545561. Springer International Publishing, Cham (2022)</list_item>
<list_item><location><page_12><loc_23><loc_20><loc_79><loc_23></location>3. Chi, Z., Huang, H., Xu, H.D., Yu, H., Yin, W., Mao, X.L.: Complicated table structure recognition. arXiv preprint arXiv:1908.04729 (2019)</list_item>
<list_item><location><page_12><loc_23><loc_16><loc_79><loc_20></location>4. Deng, Y., Rosenberg, D., Mann, G.: Challenges in end-to-end neural scientific table recognition. In: 2019 International Conference on Document Analysis and Recognition (ICDAR). pp. 894-901. IEEE (2019)</list_item>
<text><loc_110><loc_324><loc_393><loc_405>The application of these rules gives OTSL a set of unique properties. First of all, the OTSL enforces a strictly rectangular structure representation, where every new-line token starts a new row. As a consequence, all rows and all columns have exactly the same number of tokens, irrespective of cell spans. Secondly, the OTSL representation is unambiguous: Every table structure is represented in one way. In this representation every table cell corresponds to a "C"-cell token, which in case of spans is always located in the top-left corner of the table cell definition. Third, OTSL syntax rules are only backward-looking. As a consequence, every predicted token can be validated straight during sequence generation by looking at the previously predicted sequence. As such, OTSL can guarantee that every predicted sequence is syntactically valid.</text>
<text><loc_110><loc_407><loc_393><loc_420>These characteristics can be easily learned by sequence generator networks, as we demonstrate further below. We find strong indications that this pattern</text>
<page_break>
<page_header><loc_110><loc_59><loc_114><loc_64>8</page_header>
<page_header><loc_137><loc_59><loc_189><loc_64>M. Lysak, et al.</page_header>
<text><loc_110><loc_75><loc_393><loc_88>reduces significantly the column drift seen in the HTML based models (see Figure 5).</text>
<section_header_level_1><loc_110><loc_102><loc_261><loc_108>4.3 Error-detection and -mitigation</section_header_level_1>
<text><loc_110><loc_115><loc_393><loc_189>The design of OTSL allows to validate a table structure easily on an unfinished sequence. The detection of an invalid sequence token is a clear indication of a prediction mistake, however a valid sequence by itself does not guarantee prediction correctness. Different heuristics can be used to correct token errors in an invalid sequence and thus increase the chances for accurate predictions. Such heuristics can be applied either after the prediction of each token, or at the end on the entire predicted sequence. For example a simple heuristic which can correct the predicted OTSL sequence on-the-fly is to verify if the token with the highest prediction confidence invalidates the predicted sequence, and replace it by the token with the next highest confidence until OTSL rules are satisfied.</text>
<section_header_level_1><loc_110><loc_203><loc_187><loc_209>5 Experiments</section_header_level_1>
<text><loc_110><loc_219><loc_393><loc_285>To evaluate the impact of OTSL on prediction accuracy and inference times, we conducted a series of experiments based on the TableFormer model (Figure 4) with two objectives: Firstly we evaluate the prediction quality and performance of OTSL vs. HTML after performing Hyper Parameter Optimization (HPO) on the canonical PubTabNet data set. Secondly we pick the best hyper-parameters found in the first step and evaluate how OTSL impacts the performance of TableFormer after training on other publicly available data sets (FinTabNet, PubTables-1M [14]). The ground truth (GT) from all data sets has been converted into OTSL format for this purpose, and will be made publicly available.</text>
<picture><loc_115><loc_321><loc_386><loc_375><caption><loc_110><loc_306><loc_393><loc_318>Fig. 4. Architecture sketch of the TableFormer model, which is a representative for the Im2Seq approach.</caption></picture>
<text><loc_110><loc_392><loc_393><loc_420>We rely on standard metrics such as Tree Edit Distance score (TEDs) for table structure prediction, and Mean Average Precision (mAP) with 0.75 Intersection Over Union (IOU) threshold for the bounding-box predictions of table cells. The predicted OTSL structures were converted back to HTML format in</text>
<page_break>
<page_header><loc_159><loc_59><loc_366><loc_64>Optimized Table Tokenization for Table Structure Recognition</page_header>
<page_header><loc_389><loc_59><loc_393><loc_64>9</page_header>
<text><loc_110><loc_75><loc_393><loc_96>order to compute the TED score. Inference timing results for all experiments were obtained from the same machine on a single core with AMD EPYC 7763 CPU @2.45 GHz.</text>
<section_header_level_1><loc_110><loc_107><loc_260><loc_112>5.1 Hyper Parameter Optimization</section_header_level_1>
<text><loc_110><loc_117><loc_393><loc_160>We have chosen the PubTabNet data set to perform HPO, since it includes a highly diverse set of tables. Also we report TED scores separately for simple and complex tables (tables with cell spans). Results are presented in Table. 1. It is evident that with OTSL, our model achieves the same TED score and slightly better mAP scores in comparison to HTML. However OTSL yields a 2x speed up in the inference runtime over HTML.</text>
<otsl><loc_114><loc_213><loc_388><loc_296><ched>#<ched>#<ched>Language<ched>TEDs<lcel><lcel><ched>mAP<ched>Inference<nl><ched>enc-layers<ched>dec-layers<ucel><ched>simple<ched>complex<ched>all<ched>(0.75)<ched>time (secs)<nl><fcel>6<fcel>6<fcel>OTSL HTML<fcel>0.965 0.969<fcel>0.934 0.927<fcel>0.955 0.955<fcel>0.88 0.857<fcel>2.73 5.39<nl><fcel>4<fcel>4<fcel>OTSL HTML<fcel>0.938 0.952<fcel>0.904<fcel>0.927<fcel>0.853<fcel>1.97<nl><fcel>2<fcel>4<fcel>OTSL<fcel>0.923 0.945<fcel>0.909 0.897<fcel>0.938<fcel>0.843<fcel>3.77<nl><ecel><ecel><fcel>HTML<ecel><fcel>0.901<fcel>0.915 0.931<fcel>0.859 0.834<fcel>1.91 3.81<nl><fcel>4<fcel>2<fcel>OTSL HTML<fcel>0.952 0.944<fcel>0.92 0.903<fcel>0.942 0.931<fcel>0.857 0.824<fcel>1.22 2<nl><caption><loc_110><loc_174><loc_393><loc_206>Table 1. HPO performed in OTSL and HTML representation on the same transformer-based TableFormer [9] architecture, trained only on PubTabNet [22]. Effects of reducing the # of layers in encoder and decoder stages of the model show that smaller models trained on OTSL perform better, especially in recognizing complex table structures, and maintain a much higher mAP score than the HTML counterpart.</caption></otsl>
<section_header_level_1><loc_110><loc_321><loc_216><loc_326>5.2 Quantitative Results</section_header_level_1>
<text><loc_110><loc_331><loc_393><loc_390>We picked the model parameter configuration that produced the best prediction quality (enc=6, dec=6, heads=8) with PubTabNet alone, then independently trained and evaluated it on three publicly available data sets: PubTabNet (395k samples), FinTabNet (113k samples) and PubTables-1M (about 1M samples). Performance results are presented in Table. 2. It is clearly evident that the model trained on OTSL outperforms HTML across the board, keeping high TEDs and mAP scores even on difficult financial tables (FinTabNet) that contain sparse and large tables.</text>
<text><loc_110><loc_392><loc_393><loc_420>Additionally, the results show that OTSL has an advantage over HTML when applied on a bigger data set like PubTables-1M and achieves significantly improved scores. Finally, OTSL achieves faster inference due to fewer decoding steps which is a result of the reduced sequence representation.</text>
<page_break>
<page_header><loc_110><loc_59><loc_118><loc_64>10</page_header>
<page_header><loc_137><loc_59><loc_189><loc_64>M. Lysak, et al.</page_header>
<otsl><loc_117><loc_99><loc_385><loc_166><ecel><ched>Language<ched>TEDs<lcel><lcel><ched>mAP(0.75)<ched>Inference time (secs)<nl><ecel><ucel><ched>simple<ched>complex<ched>all<ucel><ucel><nl><rhed>PubTabNet<rhed>OTSL<fcel>0.965<fcel>0.934<fcel>0.955<fcel>0.88<fcel>2.73<nl><ucel><rhed>HTML<fcel>0.969<fcel>0.927<fcel>0.955<fcel>0.857<fcel>5.39<nl><rhed>FinTabNet<rhed>OTSL<fcel>0.955<fcel>0.961<fcel>0.959<fcel>0.862<fcel>1.85<nl><ucel><rhed>HTML<fcel>0.917<fcel>0.922<fcel>0.92<fcel>0.722<fcel>3.26<nl><rhed>PubTables-1M<rhed>OTSL<fcel>0.987<fcel>0.964<fcel>0.977<fcel>0.896<fcel>1.79<nl><ucel><rhed>HTML<fcel>0.983<fcel>0.944<fcel>0.966<fcel>0.889<fcel>3.26<nl><caption><loc_110><loc_73><loc_393><loc_92>Table 2. TSR and cell detection results compared between OTSL and HTML on the PubTabNet [22], FinTabNet [21] and PubTables-1M [14] data sets using TableFormer [9] (with enc=6, dec=6, heads=8).</caption></otsl>
<section_header_level_1><loc_110><loc_182><loc_210><loc_188>5.3 Qualitative Results</section_header_level_1>
<text><loc_110><loc_196><loc_393><loc_231>To illustrate the qualitative differences between OTSL and HTML, Figure 5 demonstrates less overlap and more accurate bounding boxes with OTSL. In Figure 6, OTSL proves to be more effective in handling tables with longer token sequences, resulting in even more precise structure prediction and bounding boxes.</text>
<picture><loc_133><loc_281><loc_369><loc_419><caption><loc_110><loc_251><loc_393><loc_278>Fig. 5. The OTSL model produces more accurate bounding boxes with less overlap (E) than the HTML model (D), when predicting the structure of a sparse table (A), at twice the inference speed because of shorter sequence length (B),(C). "PMC2807444_006_00.png" PubTabNet. μ</caption></picture>
<text><loc_186><loc_420><loc_188><loc_426>μ</text>
<text><loc_246><loc_432><loc_247><loc_438>≥</text>
<page_break>
<page_header><loc_159><loc_59><loc_366><loc_64>Optimized Table Tokenization for Table Structure Recognition</page_header>
<page_header><loc_385><loc_59><loc_393><loc_64>11</page_header>
<picture><loc_138><loc_115><loc_365><loc_400><caption><loc_110><loc_79><loc_393><loc_112>Fig. 6. Visualization of predicted structure and detected bounding boxes on a complex table with many rows. The OTSL model (B) captured repeating pattern of horizontally merged cells from the GT (A), unlike the HTML model (C). The HTML model also didn't complete the HTML sequence correctly and displayed a lot more of drift and overlap of bounding boxes. "PMC5406406_003_01.png" PubTabNet.</caption></picture>
<page_break>
<page_header><loc_110><loc_59><loc_118><loc_64>12</page_header>
<page_header><loc_137><loc_59><loc_189><loc_64>M. Lysak, et al.</page_header>
<section_header_level_1><loc_110><loc_74><loc_179><loc_81>6 Conclusion</section_header_level_1>
<text><loc_110><loc_93><loc_393><loc_128>We demonstrated that representing tables in HTML for the task of table structure recognition with Im2Seq models is ill-suited and has serious limitations. Furthermore, we presented in this paper an Optimized Table Structure Language (OTSL) which, when compared to commonly used general purpose languages, has several key benefits.</text>
<text><loc_110><loc_131><loc_393><loc_204>First and foremost, given the same network configuration, inference time for a table-structure prediction is about 2 times faster compared to the conventional HTML approach. This is primarily owed to the shorter sequence length of the OTSL representation. Additional performance benefits can be obtained with HPO (hyper parameter optimization). As we demonstrate in our experiments, models trained on OTSL can be significantly smaller, e.g. by reducing the number of encoder and decoder layers, while preserving comparatively good prediction quality. This can further improve inference performance, yielding 5-6 times faster inference speed in OTSL with prediction quality comparable to models trained on HTML (see Table 1).</text>
<text><loc_110><loc_207><loc_393><loc_296>Secondly, OTSL has more inherent structure and a significantly restricted vocabulary size. This allows autoregressive models to perform better in the TED metric, but especially with regards to prediction accuracy of the table-cell bounding boxes (see Table 2). As shown in Figure 5, we observe that the OTSL drastically reduces the drift for table cell bounding boxes at high row count and in sparse tables. This leads to more accurate predictions and a significant reduction in post-processing complexity, which is an undesired necessity in HTML-based Im2Seq models. Significant novelty lies in OTSL syntactical rules, which are few, simple and always backwards looking. Each new token can be validated only by analyzing the sequence of previous tokens, without requiring the entire sequence to detect mistakes. This in return allows to perform structural error detection and correction on-the-fly during sequence generation.</text>
<section_header_level_1><loc_110><loc_312><loc_162><loc_318>References</section_header_level_1>
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<list_item><location><page_13><loc_22><loc_31><loc_79><loc_36></location>14. Smock, B., Pesala, R., Abraham, R.: PubTables-1M: Towards comprehensive table extraction from unstructured documents. In: Proceedings of the IEEE/CVF Conference on Computer Vision and Pattern Recognition (CVPR). pp. 4634-4642 (June 2022)</list_item>
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<page_break>
<page_header><loc_159><loc_59><loc_366><loc_64>Optimized Table Tokenization for Table Structure Recognition</page_header>
<page_header><loc_385><loc_59><loc_393><loc_64>13</page_header>
<unordered_list><list_item><loc_114><loc_76><loc_393><loc_94>5. Kayal, P., Anand, M., Desai, H., Singh, M.: Tables to latex: structure and content extraction from scientific tables. International Journal on Document Analysis and Recognition (IJDAR) pp. 1-10 (2022)</list_item>
<list_item><loc_114><loc_96><loc_393><loc_122>6. Lee, E., Kwon, J., Yang, H., Park, J., Lee, S., Koo, H.I., Cho, N.I.: Table structure recognition based on grid shape graph. In: 2022 Asia-Pacific Signal and Information Processing Association Annual Summit and Conference (APSIPA ASC). pp. 18681873. IEEE (2022)</list_item>
<list_item><loc_114><loc_124><loc_393><loc_136>7. Li, M., Cui, L., Huang, S., Wei, F., Zhou, M., Li, Z.: Tablebank: A benchmark dataset for table detection and recognition (2019)</list_item>
<list_item><loc_114><loc_138><loc_393><loc_171>8. Livathinos, N., Berrospi, C., Lysak, M., Kuropiatnyk, V., Nassar, A., Carvalho, A., Dolfi, M., Auer, C., Dinkla, K., Staar, P.: Robust pdf document conversion using recurrent neural networks. Proceedings of the AAAI Conference on Artificial Intelligence 35 (17), 15137-15145 (May 2021), https://ojs.aaai.org/index.php/ AAAI/article/view/17777</list_item>
<list_item><loc_114><loc_172><loc_393><loc_191>9. Nassar, A., Livathinos, N., Lysak, M., Staar, P.: Tableformer: Table structure understanding with transformers. In: Proceedings of the IEEE/CVF Conference on Computer Vision and Pattern Recognition (CVPR). pp. 4614-4623 (June 2022)</list_item>
<list_item><loc_110><loc_193><loc_393><loc_233>10. Pfitzmann, B., Auer, C., Dolfi, M., Nassar, A.S., Staar, P.W.J.: Doclaynet: A large human-annotated dataset for document-layout segmentation. In: Zhang, A., Rangwala, H. (eds.) KDD '22: The 28th ACM SIGKDD Conference on Knowledge Discovery and Data Mining, Washington, DC, USA, August 14 - 18, 2022. pp. 3743-3751. ACM (2022). https://doi.org/10.1145/3534678.3539043 , https:// doi.org/10.1145/3534678.3539043</list_item>
<list_item><loc_110><loc_235><loc_393><loc_261>11. Prasad, D., Gadpal, A., Kapadni, K., Visave, M., Sultanpure, K.: Cascadetabnet: An approach for end to end table detection and structure recognition from imagebased documents. In: Proceedings of the IEEE/CVF conference on computer vision and pattern recognition workshops. pp. 572-573 (2020)</list_item>
<list_item><loc_110><loc_262><loc_393><loc_288>12. Schreiber, S., Agne, S., Wolf, I., Dengel, A., Ahmed, S.: Deepdesrt: Deep learning for detection and structure recognition of tables in document images. In: 2017 14th IAPR international conference on document analysis and recognition (ICDAR). vol. 1, pp. 1162-1167. IEEE (2017)</list_item>
<list_item><loc_110><loc_290><loc_393><loc_316>13. Siddiqui, S.A., Fateh, I.A., Rizvi, S.T.R., Dengel, A., Ahmed, S.: Deeptabstr: Deep learning based table structure recognition. In: 2019 International Conference on Document Analysis and Recognition (ICDAR). pp. 1403-1409 (2019). https:// doi.org/10.1109/ICDAR.2019.00226</list_item>
<list_item><loc_110><loc_318><loc_393><loc_344>14. Smock, B., Pesala, R., Abraham, R.: PubTables-1M: Towards comprehensive table extraction from unstructured documents. In: Proceedings of the IEEE/CVF Conference on Computer Vision and Pattern Recognition (CVPR). pp. 4634-4642 (June 2022)</list_item>
<list_item><loc_110><loc_345><loc_393><loc_385>15. Staar, P.W.J., Dolfi, M., Auer, C., Bekas, C.: Corpus conversion service: A machine learning platform to ingest documents at scale. In: Proceedings of the 24th ACM SIGKDD International Conference on Knowledge Discovery & Data Mining. pp. 774-782. KDD '18, Association for Computing Machinery, New York, NY, USA (2018). https://doi.org/10.1145/3219819.3219834 , https://doi.org/10. 1145/3219819.3219834</list_item>
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</document>
<page_break>
<page_header><loc_110><loc_59><loc_118><loc_64>14</page_header>
<page_header><loc_137><loc_59><loc_189><loc_64>M. Lysak, et al.</page_header>
<unordered_list><list_item><loc_110><loc_76><loc_393><loc_94>18. Xue, W., Yu, B., Wang, W., Tao, D., Li, Q.: Tgrnet: A table graph reconstruction network for table structure recognition. In: Proceedings of the IEEE/CVF International Conference on Computer Vision. pp. 1295-1304 (2021)</list_item>
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<list_item><loc_110><loc_124><loc_393><loc_136>20. Zhang, Z., Zhang, J., Du, J., Wang, F.: Split, embed and merge: An accurate table structure recognizer. Pattern Recognition 126 , 108565 (2022)</list_item>
<list_item><loc_110><loc_138><loc_393><loc_171>21. Zheng, X., Burdick, D., Popa, L., Zhong, X., Wang, N.X.R.: Global table extractor (gte): A framework for joint table identification and cell structure recognition using visual context. In: 2021 IEEE Winter Conference on Applications of Computer Vision (WACV). pp. 697-706 (2021). https://doi.org/10.1109/WACV48630.2021. 00074</list_item>
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<document>
<text><location><page_1><loc_12><loc_88><loc_53><loc_94></location>pulleys, provided the inner race of the bearing is clamped to the supporting structure by the nut and bolt. Plates must be attached to the structure in a positive manner to eliminate rotation or misalignment when tightening the bolts or screws.</text>
<text><location><page_1><loc_12><loc_77><loc_53><loc_86></location>The two general types of self-locking nuts currently in use are the all-metal type and the fiber lock type. For the sake of simplicity, only three typical kinds of self-locking nuts are considered in this handbook: the Boots self-locking and the stainless steel self-locking nuts, representing the all-metal types; and the elastic stop nut, representing the fiber insert type.</text>
<section_header_level_1><location><page_1><loc_12><loc_73><loc_28><loc_75></location>Boots Self-Locking Nut</section_header_level_1>
<text><location><page_1><loc_12><loc_64><loc_54><loc_73></location>The Boots self-locking nut is of one piece, all-metal construction designed to hold tight despite severe vibration. Note in Figure 7-26 that it has two sections and is essentially two nuts in one: a locking nut and a load-carrying nut. The two sections are connected with a spring, which is an integral part of the nut.</text>
<text><location><page_1><loc_12><loc_52><loc_53><loc_62></location>The spring keeps the locking and load-carrying sections such a distance apart that the two sets of threads are out of phase or spaced so that a bolt, which has been screwed through the load-carrying section, must push the locking section outward against the force of the spring to engage the threads of the locking section properly.</text>
<text><location><page_1><loc_12><loc_38><loc_54><loc_50></location>The spring, through the medium of the locking section, exerts a constant locking force on the bolt in the same direction as a force that would tighten the nut. In this nut, the load-carrying section has the thread strength of a standard nut of comparable size, while the locking section presses against the threads of the bolt and locks the nut firmly in position. Only a wrench applied to the nut loosens it. The nut can be removed and reused without impairing its efficiency.</text>
<text><location><page_1><loc_12><loc_33><loc_53><loc_36></location>Boots self-locking nuts are made with three different spring styles and in various shapes and sizes. The wing type that is</text>
<figure>
<location><page_1><loc_12><loc_10><loc_52><loc_31></location>
<caption>Figure 7-26. Self-locking nuts.</caption>
</figure>
<text><location><page_1><loc_54><loc_85><loc_95><loc_94></location>the most common ranges in size for No. 6 up to 1 / 4 inch, the Rol-top ranges from 1 / 4 inch to 1 / 6 inch, and the bellows type ranges in size from No. 8 up to 3 / 8 inch. Wing-type nuts are made of anodized aluminum alloy, cadmium-plated carbon steel, or stainless steel. The Rol-top nut is cadmium-plated steel, and the bellows type is made of aluminum alloy only.</text>
<text><location><page_1><loc_54><loc_83><loc_55><loc_85></location>.</text>
<section_header_level_1><location><page_1><loc_54><loc_82><loc_76><loc_83></location>Stainless Steel Self-Locking Nut</section_header_level_1>
<text><location><page_1><loc_54><loc_54><loc_96><loc_81></location>The stainless steel self-locking nut may be spun on and off by hand as its locking action takes places only when the nut is seated against a solid surface and tightened. The nut consists of two parts: a case with a beveled locking shoulder and key and a thread insert with a locking shoulder and slotted keyway. Until the nut is tightened, it spins on the bolt easily, because the threaded insert is the proper size for the bolt. However, when the nut is seated against a solid surface and tightened, the locking shoulder of the insert is pulled downward and wedged against the locking shoulder of the case. This action compresses the threaded insert and causes it to clench the bolt tightly. The cross-sectional view in Figure 7-27 shows how the key of the case fits into the slotted keyway of the insert so that when the case is turned, the threaded insert is turned with it. Note that the slot is wider than the key. This permits the slot to be narrowed and the insert to be compressed when the nut is tightened.</text>
<section_header_level_1><location><page_1><loc_54><loc_51><loc_65><loc_52></location>Elastic Stop Nut</section_header_level_1>
<text><location><page_1><loc_54><loc_47><loc_93><loc_50></location>The elastic stop nut is a standard nut with the height increased to accommodate a fiber locking collar. This</text>
<figure>
<location><page_1><loc_54><loc_11><loc_94><loc_46></location>
<caption>Figure 7-27. Stainless steel self-locking nut.</caption>
</figure>
</document>
<doctag><text><loc_61><loc_28><loc_264><loc_60>pulleys, provided the inner race of the bearing is clamped to the supporting structure by the nut and bolt. Plates must be attached to the structure in a positive manner to eliminate rotation or misalignment when tightening the bolts or screws.</text>
<text><loc_61><loc_69><loc_264><loc_116>The two general types of self-locking nuts currently in use are the all-metal type and the fiber lock type. For the sake of simplicity, only three typical kinds of self-locking nuts are considered in this handbook: the Boots self-locking and the stainless steel self-locking nuts, representing the all-metal types; and the elastic stop nut, representing the fiber insert type.</text>
<section_header_level_1><loc_61><loc_125><loc_141><loc_133>Boots Self-Locking Nut</section_header_level_1>
<text><loc_61><loc_134><loc_268><loc_182>The Boots self-locking nut is of one piece, all-metal construction designed to hold tight despite severe vibration. Note in Figure 7-26 that it has two sections and is essentially two nuts in one: a locking nut and a load-carrying nut. The two sections are connected with a spring, which is an integral part of the nut.</text>
<text><loc_61><loc_191><loc_267><loc_239>The spring keeps the locking and load-carrying sections such a distance apart that the two sets of threads are out of phase or spaced so that a bolt, which has been screwed through the load-carrying section, must push the locking section outward against the force of the spring to engage the threads of the locking section properly.</text>
<text><loc_61><loc_248><loc_268><loc_311>The spring, through the medium of the locking section, exerts a constant locking force on the bolt in the same direction as a force that would tighten the nut. In this nut, the load-carrying section has the thread strength of a standard nut of comparable size, while the locking section presses against the threads of the bolt and locks the nut firmly in position. Only a wrench applied to the nut loosens it. The nut can be removed and reused without impairing its efficiency.</text>
<text><loc_61><loc_320><loc_264><loc_336>Boots self-locking nuts are made with three different spring styles and in various shapes and sizes. The wing type that is</text>
<picture><loc_59><loc_343><loc_261><loc_449><caption><loc_61><loc_454><loc_155><loc_461>Figure 7-26. Self-locking nuts.</caption></picture>
<text><loc_270><loc_28><loc_473><loc_76>the most common ranges in size for No. 6 up to 1 / 4 inch, the Rol-top ranges from 1 / 4 inch to 1 / 6 inch, and the bellows type ranges in size from No. 8 up to 3 / 8 inch. Wing-type nuts are made of anodized aluminum alloy, cadmium-plated carbon steel, or stainless steel. The Rol-top nut is cadmium-plated steel, and the bellows type is made of aluminum alloy only.</text>
<text><loc_270><loc_77><loc_274><loc_84>.</text>
<section_header_level_1><loc_270><loc_85><loc_380><loc_92>Stainless Steel Self-Locking Nut</section_header_level_1>
<text><loc_270><loc_94><loc_478><loc_231>The stainless steel self-locking nut may be spun on and off by hand as its locking action takes places only when the nut is seated against a solid surface and tightened. The nut consists of two parts: a case with a beveled locking shoulder and key and a thread insert with a locking shoulder and slotted keyway. Until the nut is tightened, it spins on the bolt easily, because the threaded insert is the proper size for the bolt. However, when the nut is seated against a solid surface and tightened, the locking shoulder of the insert is pulled downward and wedged against the locking shoulder of the case. This action compresses the threaded insert and causes it to clench the bolt tightly. The cross-sectional view in Figure 7-27 shows how the key of the case fits into the slotted keyway of the insert so that when the case is turned, the threaded insert is turned with it. Note that the slot is wider than the key. This permits the slot to be narrowed and the insert to be compressed when the nut is tightened.</text>
<section_header_level_1><loc_270><loc_240><loc_327><loc_247>Elastic Stop Nut</section_header_level_1>
<text><loc_270><loc_249><loc_465><loc_264>The elastic stop nut is a standard nut with the height increased to accommodate a fiber locking collar. This</text>
<picture><loc_270><loc_272><loc_470><loc_447><caption><loc_270><loc_452><loc_405><loc_459>Figure 7-27. Stainless steel self-locking nut.</caption></picture>
<page_footer><loc_453><loc_470><loc_472><loc_478>7-45</page_footer>
</doctag>

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item-0 at level 0: unspecified: group _root_
item-1 at level 1: title: Evolving general practice consul ... Britain: issues of length and context
item-2 at level 2: paragraph: George K Freeman, John P Horder, ... on P Hill, Nayan C Shah, Andrew Wilson
item-3 at level 2: paragraph: Centre for Primary Care and Soci ... ersity of Leicester, Leicester LE5 4PW
item-4 at level 2: text: In 1999 Shah1 and others said th ... per consultation in general practice?
item-5 at level 2: text: We report on the outcome of exte ... review identified 14 relevant papers.
item-6 at level 2: section_header: Summary points
item-7 at level 3: list: group list
item-8 at level 4: list_item: Longer consultations are associa ... ith a range of better patient outcomes
item-9 at level 4: list_item: Modern consultations in general ... th more serious and chronic conditions
item-10 at level 4: list_item: Increasing patient participation ... interaction, which demands extra time
item-11 at level 4: list_item: Difficulties with access and wit ... e and lead to further pressure on time
item-12 at level 4: list_item: Longer consultations should be a ... t to maximise interpersonal continuity
item-13 at level 4: list_item: Research on implementation is needed
item-14 at level 2: section_header: Longer consultations: benefits for patients
item-15 at level 3: text: The systematic review consistent ... ther some doctors insist on more time.
item-16 at level 3: text: A national survey in 1998 report ... s the effects of their own experience.
item-17 at level 2: section_header: Context of modern consultations
item-18 at level 3: text: Shorter consultations were more ... potential length of the consultation.
item-19 at level 2: section_header: Participatory consultation style
item-20 at level 3: text: The most effective consultations ... style usually lengthens consultations.
item-21 at level 2: section_header: Extended professional agenda
item-22 at level 3: text: The traditional consultation in ... agerial expectations of good practice.
item-23 at level 3: text: Adequate time is essential. It m ... inevitably leads to pressure on time.
item-24 at level 2: section_header: Access problems
item-25 at level 3: text: In a service free at the point o ... ort notice squeeze consultation times.
item-26 at level 3: text: While appointment systems can an ... for the inadequate access to doctors.
item-27 at level 3: text: In response to perception of del ... ntation is currently being negotiated.
item-28 at level 3: text: Virtually all patients think tha ... e that is free at the point of access.
item-29 at level 3: text: A further government initiative ... ealth advice and first line treatment.
item-30 at level 2: section_header: Loss of interpersonal continuity
item-31 at level 3: text: If a patient has to consult seve ... unning and professional frustration.18
item-32 at level 3: text: Mechanic described how loss of l ... patient and professional satisfaction.
item-33 at level 2: section_header: Health service reforms
item-34 at level 3: text: Finally, for the past 15 years t ... ents and staff) and what is delivered.
item-35 at level 2: section_header: The future
item-36 at level 3: text: We think that the way ahead must ... p further the care of chronic disease.
item-37 at level 3: text: The challenge posed to general p ... ermedicalisation need to be exploited.
item-38 at level 3: text: We must ensure better communicat ... between planned and ad hoc consulting.
item-39 at level 2: section_header: Next steps
item-40 at level 3: text: General practitioners do not beh ... ailable time in complex consultations.
item-41 at level 3: text: Devising appropriate incentives ... and interpersonal knowledge and trust.
item-42 at level 2: section_header: Acknowledgments
item-43 at level 3: text: We thank the other members of th ... Practitioners for administrative help.
item-44 at level 2: section_header: References
item-45 at level 3: list: group list
item-46 at level 4: list_item: Shah NC. Viewpoint: Consultation ... y men!”. Br J Gen Pract 49:497 (1999).
item-47 at level 4: list_item: Mechanic D. How should hamsters ... BMJ 323:266268 (2001). PMID: 11485957
item-48 at level 4: list_item: Howie JGR, Porter AMD, Heaney DJ ... n Pract 41:4854 (1991). PMID: 2031735
item-49 at level 4: list_item: Howie JGR, Heaney DJ, Maxwell M, ... BMJ 319:738743 (1999). PMID: 10487999
item-50 at level 4: list_item: Kaplan SH, Greenfield S, Ware JE ... c disease. Med Care 27:110125 (1989).
item-51 at level 4: list_item: Airey C, Erens B. National surve ... e, 1998. London: NHS Executive (1999).
item-52 at level 4: list_item: Hart JT. Expectations of health ... h Expect 1:313 (1998). PMID: 11281857
item-53 at level 4: list_item: Tuckett D, Boulton M, Olson C, W ... London: Tavistock Publications (1985).
item-54 at level 4: list_item: General Medical Council. Draft r ... ctors/index.htm (accessed 2 Jan 2002).
item-55 at level 4: list_item: Balint M. The doctor, his patien ... the illness. London: Tavistock (1957).
item-56 at level 4: list_item: Stott NCH, Davies RH. The except ... J R Coll Gen Pract 29:210205 (1979).
item-57 at level 4: list_item: Hill AP, Hill AP. Challenges for ... nium. London: King's Fund7586 (2000).
item-58 at level 4: list_item: National service framework for c ... . London: Department of Health (2000).
item-59 at level 4: list_item: Hart JT. A new kind of doctor: t ... ommunity. London: Merlin Press (1988).
item-60 at level 4: list_item: Morrison I, Smith R. Hamster hea ... J 321:15411542 (2000). PMID: 11124164
item-61 at level 4: list_item: Arber S, Sawyer L. Do appointmen ... BMJ 284:478480 (1982). PMID: 6800503
item-62 at level 4: list_item: Hjortdahl P, Borchgrevink CF. Co ... MJ 303:11811184 (1991). PMID: 1747619
item-63 at level 4: list_item: Howie JGR, Hopton JL, Heaney DJ, ... Pract 42:181185 (1992). PMID: 1389427
item-64 at level 4: list_item: Freeman G, Shepperd S, Robinson ... ), Summer 2000. London: NCCSDO (2001).
item-65 at level 4: list_item: Wilson A, McDonald P, Hayes L, C ... Pract 41:184187 (1991). PMID: 1878267
item-66 at level 4: list_item: De Maeseneer J, Hjortdahl P, Sta ... J 320:16161617 (2000). PMID: 10856043
item-67 at level 4: list_item: Freeman G, Hjortdahl P. What fut ... MJ 314:18701873 (1997). PMID: 9224130
item-68 at level 4: list_item: Kibbe DC, Bentz E, McLaughlin CP ... Pract 36:304308 (1993). PMID: 8454977
item-69 at level 4: list_item: Williams M, Neal RD. Time for a ... ct 48:17831786 (1998). PMID: 10198490

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# Evolving general practice consultation in Britain: issues of length and context
George K Freeman, John P Horder, John G R Howie, A Pali Hungin, Alison P Hill, Nayan C Shah, Andrew Wilson
Centre for Primary Care and Social Medicine, Imperial College of Science, Technology and Medicine, London W6 8RP; Royal College of General Practitioners, London SW7 1PU; Department of General Practice, University of Edinburgh, Edinburgh EH8 9DX; Centre for Health Studies, University of Durham, Durham DH1 3HN; Kilburn Park Medical Centre, London NW6; Department of General Practice and Primary Health Care, University of Leicester, Leicester LE5 4PW
In 1999 Shah1 and others said that the Royal College of General Practitioners should advocate longer consultations in general practice as a matter of policy. The college set up a working group chaired by A P Hungin, and a systematic review of literature on consultation length in general practice was commissioned. The working group agreed that the available evidence would be hard to interpret without discussion of the changing context within which consultations now take place. For many years general practitioners and those who have surveyed patients' opinions in the United Kingdom have complained about short consultation time, despite a steady increase in actual mean length. Recently Mechanic pointed out that this is also true in the United States.2 Is there any justification for a further increase in mean time allocated per consultation in general practice?
We report on the outcome of extensive debate among a group of general practitioners with an interest in the process of care, with reference to the interim findings of the commissioned systematic review and our personal databases. The review identified 14 relevant papers.
## Summary points
- Longer consultations are associated with a range of better patient outcomes
- Modern consultations in general practice deal with patients with more serious and chronic conditions
- Increasing patient participation means more complex interaction, which demands extra time
- Difficulties with access and with loss of continuity add to perceived stress and poor performance and lead to further pressure on time
- Longer consultations should be a professional priority, combined with increased use of technology and more flexible practice management to maximise interpersonal continuity
- Research on implementation is needed
## Longer consultations: benefits for patients
The systematic review consistently showed that doctors with longer consultation times prescribe less and offer more advice on lifestyle and other health promoting activities. Longer consultations have been significantly associated with better recognition and handling of psychosocial problems3 and with better patient enablement.4 Also clinical care for some chronic illnesses is better in practices with longer booked intervals between one appointment and the next.5 It is not clear whether time is itself the main influence or whether some doctors insist on more time.
A national survey in 1998 reported that most (87%) patients were satisfied with the length of their most recent consultation.6 Satisfaction with any service will be high if expectations are met or exceeded. But expectations are modified by previous experience.7 The result is that primary care patients are likely to be satisfied with what they are used to unless the context modifies the effects of their own experience.
## Context of modern consultations
Shorter consultations were more appropriate when the population was younger, when even a brief absence from employment due to sickness required a doctor's note, and when many simple remedies were available only on prescription. Recently at least five important influences have increased the content and hence the potential length of the consultation.
## Participatory consultation style
The most effective consultations are those in which doctors most directly acknowledge and perhaps respond to patients' problems and concerns. In addition, for patients to be committed to taking advantage of medical advice they must agree with both the goals and methods proposed. A landmark publication in the United Kingdom was Meetings Between Experts, which argued that while doctors are the experts about medical problems in general patients are the experts on how they themselves experience these problems.8 New emphasis on teaching consulting skills in general practice advocated specific attention to the patient's agenda, beliefs, understanding, and agreement. Currently the General Medical Council, aware that communication difficulties underlie many complaints about doctors, has further emphasised the importance of involving patients in consultations in its revised guidance to medical schools.9 More patient involvement should give a better outcome, but this participatory style usually lengthens consultations.
## Extended professional agenda
The traditional consultation in general practice was brief.2 The patient presented symptoms and the doctor prescribed treatment. In 1957 Balint gave new insights into the meaning of symptoms.10 By 1979 an enhanced model of consultation was presented, in which the doctors dealt with ongoing as well as presenting problems and added health promotion and education about future appropriate use of services.11 Now, with an ageing population and more community care of chronic illness, there are more issues to be considered at each consultation. Ideas of what constitutes good general practice are more complex.12 Good practice now includes both extended care of chronic medical problems—for example, coronary heart disease13—and a public health role. At first this model was restricted to those who lead change (“early adopters”) and enthusiasts14 but now it is embedded in professional and managerial expectations of good practice.
Adequate time is essential. It may be difficult for an elderly patient with several active problems to undress, be examined, and get adequate professional consideration in under 15 minutes. Here the doctor is faced with the choice of curtailing the consultation or of reducing the time available for the next patient. Having to cope with these situations often contributes to professional dissatisfaction.15 This combination of more care, more options, and more genuine discussion of those options with informed patient choice inevitably leads to pressure on time.
## Access problems
In a service free at the point of access, rising demand will tend to increase rationing by delay. But attempts to improve access by offering more consultations at short notice squeeze consultation times.
While appointment systems can and should reduce queuing time for consultations, they have long tended to be used as a brake on total demand.16 This may seriously erode patients' confidence in being able to see their doctor or nurse when they need to. Patients are offered appointments further ahead but may keep these even if their symptoms have remitted “just in case.” Availability of consultations is thus blocked. Receptionists are then inappropriately blamed for the inadequate access to doctors.
In response to perception of delay, the government has set targets in the NHS plan of “guaranteed access to a primary care professional within 24 hours and to a primary care doctor within 48 hours.” Implementation is currently being negotiated.
Virtually all patients think that they would not consult unless it was absolutely necessary. They do not think they are wasting NHS time and do not like being made to feel so. But underlying general practitioners' willingness to make patients wait several days is their perception that few of the problems are urgent. Patients and general practitioners evidently do not agree about the urgency of so called minor problems. To some extent general practice in the United Kingdom may have scored an “own goal” by setting up perceived access barriers (appointment systems and out of hours cooperatives) in the attempt to increase professional standards and control demand in a service that is free at the point of access.
A further government initiative has been to bypass general practice with new services—notably, walk-in centres (primary care clinics in which no appointment is needed) and NHS Direct (a professional telephone helpline giving advice on simple remedies and access to services). Introduced widely and rapidly, these services each potentially provide significant features of primary care—namely, quick access to skilled health advice and first line treatment.
## Loss of interpersonal continuity
If a patient has to consult several different professionals, particularly over a short period of time, there is inevitable duplication of stories, risk of naive diagnoses, potential for conflicting advice, and perhaps loss of trust. Trust is essential if patients are to accept the “wait and see” management policy which is, or should be, an important part of the management of self limiting conditions, which are often on the boundary between illness and non-illness.17 Such duplication again increases pressure for more extra (unscheduled) consultations resulting in late running and professional frustration.18
Mechanic described how loss of longitudinal (and perhaps personal and relational19) continuity influences the perception and use of time through an inability to build on previous consultations.2 Knowing the doctor well, particularly in smaller practices, is associated with enhanced patient enablement in shorter time.4 Though Mechanic pointed out that three quarters of UK patients have been registered with their general practitioner five years or more, this may be misleading. Practices are growing, with larger teams and more registered patients. Being registered with a doctor in a larger practice is usually no guarantee that the patient will be able to see the same doctor or the doctor of his or her choice, who may be different. Thus the system does not encourage adequate personal continuity. This adds to pressure on time and reduces both patient and professional satisfaction.
## Health service reforms
Finally, for the past 15 years the NHS has experienced unprecedented change with a succession of major administrative reforms. Recent reforms have focused on an NHS led by primary care, including the aim of shifting care from the secondary specialist sector to primary care. One consequence is increased demand for primary care of patients with more serious and less stable problems. With the limited piloting of reforms we do not know whether such major redirection can be achieved without greatly altering the delicate balance between expectations (of both patients and staff) and what is delivered.
## The future
We think that the way ahead must embrace both longer mean consultation times and more flexibility. More time is needed for high quality consultations with patients with major and complex problems of all kinds. But patients also need access to simpler services and advice. This should be more appropriate (and cost less) when it is given by professionals who know the patient and his or her medical history and social circumstances. For doctors, the higher quality associated with longer consultations may lead to greater professional satisfaction and, if these longer consultations are combined with more realistic scheduling, to reduced levels of stress.20 They will also find it easier to develop further the care of chronic disease.
The challenge posed to general practice by walk-in centres and NHS Direct is considerable, and the diversion of funding from primary care is large. The risk of waste and duplication increases as more layers of complexity are added to a primary care service that started out as something familiar, simple, and local and which is still envied in other developed countries.21 Access needs to be simple, and the advantages of personal knowledge and trust in minimising duplication and overmedicalisation need to be exploited.
We must ensure better communication and access so that patients can more easily deal with minor issues and queries with someone they know and trust and avoid the formality and inconvenience of a full face to face consultation. Too often this has to be with a different professional, unfamiliar with the nuances of the case. There should be far more managerial emphasis on helping patients to interact with their chosen practitioner22; such a programme has been described.23 Modern information systems make it much easier to record which doctor(s) a patient prefers to see and to monitor how often this is achieved. The telephone is hardly modern but is underused. Email avoids the problems inherent in arranging simultaneous availability necessary for telephone consultations but at the cost of reducing the communication of emotions. There is a place for both.2 Access without prior appointment is a valued feature of primary care, and we need to know more about the right balance between planned and ad hoc consulting.
## Next steps
General practitioners do not behave in a uniform way. They can be categorised as slow, medium, and fast and react in different ways to changes in consulting speed.18 They are likely to have differing views about a widespread move to lengthen consultation time. We do not need further confirmation that longer consultations are desirable and necessary, but research could show us the best way to learn how to introduce them with minimal disruption to the way in which patients and practices like primary care to be provided.24 We also need to learn how to make the most of available time in complex consultations.
Devising appropriate incentives and helping practices move beyond just reacting to demand in the traditional way by working harder and faster is perhaps our greatest challenge in the United Kingdom. The new primary are trusts need to work together with the growing primary care research networks to carry out the necessary development work. In particular, research is needed on how a primary care team can best provide the right balance of quick access and interpersonal knowledge and trust.
## Acknowledgments
We thank the other members of the working group: Susan Childs, Paul Freeling, Iona Heath, Marshall Marinker, and Bonnie Sibbald. We also thank Fenny Green of the Royal College of General Practitioners for administrative help.
## References
- Shah NC. Viewpoint: Consultation time—time for a change? Still the “perfunctory work of perfunctory men!”. Br J Gen Pract 49:497 (1999).
- Mechanic D. How should hamsters run? Some observations about sufficient patient time in primary care. BMJ 323:266268 (2001). PMID: 11485957
- Howie JGR, Porter AMD, Heaney DJ, Hopton JL. Long to short consultation ratio: a proxy measure of quality of care for general practice. Br J Gen Pract 41:4854 (1991). PMID: 2031735
- Howie JGR, Heaney DJ, Maxwell M, Walker JJ, Freeman GK, Rai H. Quality at general practice consultations: cross-sectional survey. BMJ 319:738743 (1999). PMID: 10487999
- Kaplan SH, Greenfield S, Ware JE. Assessing the effects of physician-patient interactions on the outcome of chronic disease. Med Care 27:110125 (1989).
- Airey C, Erens B. National surveys of NHS patients: general practice, 1998. London: NHS Executive (1999).
- Hart JT. Expectations of health care: promoted, managed or shared?. Health Expect 1:313 (1998). PMID: 11281857
- Tuckett D, Boulton M, Olson C, Williams A. Meetings between experts: an approach to sharing ideas in medical consultations. London: Tavistock Publications (1985).
- General Medical Council. Draft recommendations on undergraduate medical education. July 2001. www.gmc-uk.org/med\_ed/tomorrowsdoctors/index.htm (accessed 2 Jan 2002).
- Balint M. The doctor, his patient and the illness. London: Tavistock (1957).
- Stott NCH, Davies RH. The exceptional potential in each primary care consultation. J R Coll Gen Pract 29:210205 (1979).
- Hill AP, Hill AP. Challenges for primary care. What's gone wrong with health care? Challenges for the new millennium. London: King's Fund7586 (2000).
- National service framework for coronary heart disease. London: Department of Health (2000).
- Hart JT. A new kind of doctor: the general practitioner's part in the health of the community. London: Merlin Press (1988).
- Morrison I, Smith R. Hamster health care. BMJ 321:15411542 (2000). PMID: 11124164
- Arber S, Sawyer L. Do appointment systems work?. BMJ 284:478480 (1982). PMID: 6800503
- Hjortdahl P, Borchgrevink CF. Continuity of care: influence of general practitioners' knowledge about their patients on use of resources in consultations. BMJ 303:11811184 (1991). PMID: 1747619
- Howie JGR, Hopton JL, Heaney DJ, Porter AMD. Attitudes to medical care, the organization of work, and stress among general practitioners. Br J Gen Pract 42:181185 (1992). PMID: 1389427
- Freeman G, Shepperd S, Robinson I, Ehrich K, Richards SC, Pitman P. Continuity of care: report of a scoping exercise for the national co-ordinating centre for NHS Service Delivery and Organisation R&amp;D (NCCSDO), Summer 2000. London: NCCSDO (2001).
- Wilson A, McDonald P, Hayes L, Cooney J. Longer booking intervals in general practice: effects on doctors' stress and arousal. Br J Gen Pract 41:184187 (1991). PMID: 1878267
- De Maeseneer J, Hjortdahl P, Starfield B. Fix what's wrong, not what's right, with general practice in Britain. BMJ 320:16161617 (2000). PMID: 10856043
- Freeman G, Hjortdahl P. What future for continuity of care in general practice?. BMJ 314:18701873 (1997). PMID: 9224130
- Kibbe DC, Bentz E, McLaughlin CP. Continuous quality improvement for continuity of care. J Fam Pract 36:304308 (1993). PMID: 8454977
- Williams M, Neal RD. Time for a change? The process of lengthening booking intervals in general practice. Br J Gen Pract 48:17831786 (1998). PMID: 10198490

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<document>
<section_header_level_1><location><page_1><loc_22><loc_83><loc_52><loc_84></location>JavaScript Code Example</section_header_level_1>
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<text><location><page_1><loc_22><loc_57><loc_78><loc_63></location>Duis autem vel eum iriure dolor in hendrerit in vulputate velit esse molestie consequat, vel illum dolore eu feugiat nulla facilisis at vero eros et accumsan et iusto odio dignissim qui blandit praesent luptatum zzril delenit augue duis dolore te feugait nulla facilisi. Lorem ipsum dolor sit amet,</text>
<paragraph><location><page_1><loc_36><loc_55><loc_63><loc_56></location>Listing 1: Simple JavaScript Program</paragraph>
<code><location><page_1><loc_22><loc_49><loc_43><loc_54></location>function add(a, b) { return a + b; } console.log(add(3, 5));</code>
<text><location><page_1><loc_22><loc_29><loc_78><loc_47></location>Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet. Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet. Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet.</text>
<text><location><page_1><loc_22><loc_23><loc_78><loc_29></location>Duis autem vel eum iriure dolor in hendrerit in vulputate velit esse molestie consequat, vel illum dolore eu feugiat nulla facilisis at vero eros et accumsan et iusto odio dignissim qui blandit praesent luptatum zzril delenit augue duis dolore te feugait nulla facilisi. Lorem ipsum dolor sit amet,</text>
<section_header_level_1><location><page_2><loc_22><loc_84><loc_32><loc_85></location>Formula</section_header_level_1>
<text><location><page_2><loc_22><loc_66><loc_80><loc_82></location>Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet. Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet. Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet.</text>
<text><location><page_2><loc_22><loc_58><loc_80><loc_65></location>Duis autem vel eum iriure dolor in hendrerit in vulputate velit esse molestie consequat, vel illum dolore eu feugiat nulla facilisis at vero eros et accumsan et iusto odio dignissim qui blandit praesent luptatum zzril delenit augue duis dolore te feugait nulla facilisi. Lorem ipsum dolor sit amet, consectetuer adipiscing elit, sed diam nonummy nibh euismod tincidunt.</text>
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<text><location><page_2><loc_22><loc_29><loc_80><loc_37></location>Duis autem vel eum iriure dolor in hendrerit in vulputate velit esse molestie consequat, vel illum dolore eu feugiat nulla facilisis at vero eros et accumsan et iusto odio dignissim qui blandit praesent luptatum zzril delenit augue duis dolore te feugait nulla facilisi. Lorem ipsum dolor sit amet, consectetuer adipiscing elit, sed diam nonummy nibh euismod tincidunt ut laoreet dolore magna aliquam erat volutpat.</text>
<text><location><page_2><loc_22><loc_21><loc_80><loc_29></location>Duis autem vel eum iriure dolor in hendrerit in vulputate velit esse molestie consequat, vel illum dolore eu feugiat nulla facilisis at vero eros et accumsan et iusto odio dignissim qui blandit praesent luptatum zzril delenit augue duis dolore te feugait nulla facilisi. Lorem ipsum dolor sit amet, consectetuer adipiscing elit, sed diam nonummy nibh euismod tincidunt ut laoreet dolore magna aliquam erat volutpat.</text>
</document>
<doctag><section_header_level_1><loc_109><loc_79><loc_258><loc_87>JavaScript Code Example</section_header_level_1>
<text><loc_109><loc_94><loc_390><loc_183>Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet. Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet. Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet.</text>
<text><loc_109><loc_185><loc_390><loc_213>Duis autem vel eum iriure dolor in hendrerit in vulputate velit esse molestie consequat, vel illum dolore eu feugiat nulla facilisis at vero eros et accumsan et iusto odio dignissim qui blandit praesent luptatum zzril delenit augue duis dolore te feugait nulla facilisi. Lorem ipsum dolor sit amet,</text>
<paragraph><loc_182><loc_221><loc_317><loc_226>Listing 1: Simple JavaScript Program</paragraph>
<code<loc_110><loc_231><loc_215><loc_257><_unknown_>function add(a, b) { return a + b; } console.log(add(3, 5));</code
<text><loc_109><loc_265><loc_390><loc_353>Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet. Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet. Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet.</text>
<text><loc_109><loc_355><loc_390><loc_383>Duis autem vel eum iriure dolor in hendrerit in vulputate velit esse molestie consequat, vel illum dolore eu feugiat nulla facilisis at vero eros et accumsan et iusto odio dignissim qui blandit praesent luptatum zzril delenit augue duis dolore te feugait nulla facilisi. Lorem ipsum dolor sit amet,</text>
<page_footer><loc_248><loc_439><loc_252><loc_445>1</page_footer>
<page_break>
<section_header_level_1><loc_112><loc_74><loc_161><loc_82>Formula</section_header_level_1>
<text><loc_112><loc_89><loc_401><loc_172>Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet. Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet. Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet.</text>
<text><loc_112><loc_174><loc_401><loc_208>Duis autem vel eum iriure dolor in hendrerit in vulputate velit esse molestie consequat, vel illum dolore eu feugiat nulla facilisis at vero eros et accumsan et iusto odio dignissim qui blandit praesent luptatum zzril delenit augue duis dolore te feugait nulla facilisi. Lorem ipsum dolor sit amet, consectetuer adipiscing elit, sed diam nonummy nibh euismod tincidunt.</text>
<formula><loc_236><loc_215><loc_278><loc_222></formula>
<text><loc_112><loc_227><loc_401><loc_311>Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet. Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet. Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet.</text>
<text><loc_112><loc_313><loc_401><loc_353>Duis autem vel eum iriure dolor in hendrerit in vulputate velit esse molestie consequat, vel illum dolore eu feugiat nulla facilisis at vero eros et accumsan et iusto odio dignissim qui blandit praesent luptatum zzril delenit augue duis dolore te feugait nulla facilisi. Lorem ipsum dolor sit amet, consectetuer adipiscing elit, sed diam nonummy nibh euismod tincidunt ut laoreet dolore magna aliquam erat volutpat.</text>
<text><loc_112><loc_355><loc_401><loc_396>Duis autem vel eum iriure dolor in hendrerit in vulputate velit esse molestie consequat, vel illum dolore eu feugiat nulla facilisis at vero eros et accumsan et iusto odio dignissim qui blandit praesent luptatum zzril delenit augue duis dolore te feugait nulla facilisi. Lorem ipsum dolor sit amet, consectetuer adipiscing elit, sed diam nonummy nibh euismod tincidunt ut laoreet dolore magna aliquam erat volutpat.</text>
<page_footer><loc_255><loc_413><loc_259><loc_418>1</page_footer>
</doctag>

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| Index | Customer Id | First Name | Last Name | Company | City | Country | Phone 1 | Phone 2 | Email | Subscription Date | Website |
|---------|-----------------|--------------|-------------|---------------------------------|-------------------|----------------------------|------------------------|-----------------------|-----------------------------|---------------------|-----------------------------|
| 1 | DD37Cf93aecA6Dc | Sheryl | Baxter | Rasmussen Group | East Leonard | Chile | 229.077.5154 | 397.884.0519x718 | zunigavanessa@smith.info | 2020-08-24 | http://www.stephenson.com/ |
| 2 | 1Ef7b82A4CAAD10 | Preston | Lozano, Dr | Vega-Gentry | East Jimmychester | Djibouti | 5153435776 | 686-620-1820x944 | vmata@colon.com | 2021-04-23 | http://www.hobbs.com/ |
| 3 | 6F94879bDAfE5a6 | Roy | Berry | Murillo-Perry | Isabelborough | Antigua and Barbuda | +1-539-402-0259 | (496)978-3969x58947 | beckycarr@hogan.com | 2020-03-25 | http://www.lawrence.com/ |
| 4 | 5Cef8BFA16c5e3c | Linda | Olsen | Dominguez, Mcmillan and Donovan | Bensonview | Dominican Republic | 001-808-617-6467x12895 | +1-813-324-8756 | stanleyblackwell@benson.org | 2020-06-02 | http://www.good-lyons.com/ |
| 5 | 053d585Ab6b3159 | Joanna | Bender | Martin, Lang and Andrade | West Priscilla | Slovakia (Slovak Republic) | 001-234-203-0635x76146 | 001-199-446-3860x3486 | colinalvarado@miles.net | 2021-04-17 | https://goodwin-ingram.com/ |

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| Index | Customer Id | First Name | Last Name | Company | City | Country | Phone 1 | Phone 2 | Email | Subscription Date | Website |
|---------|-----------------|--------------|-------------|--------------------------------|-------------------|----------------------------|------------------------|-----------------------|-----------------------------|---------------------|-----------------------------|
| 1 | DD37Cf93aecA6Dc | Sheryl | Baxter | Rasmussen Group | East Leonard | Chile | 229.077.5154 | 397.884.0519x718 | zunigavanessa@smith.info | 2020-08-24 | http://www.stephenson.com/ |
| 2 | 1Ef7b82A4CAAD10 | Preston | Lozano | Vega-Gentry | East Jimmychester | Djibouti | 5153435776 | 686-620-1820x944 | vmata@colon.com | 2021-04-23 | http://www.hobbs.com/ |
| 3 | 6F94879bDAfE5a6 | Roy | Berry | Murillo-Perry | Isabelborough | Antigua and Barbuda | +1-539-402-0259 | (496)978-3969x58947 | beckycarr@hogan.com | 2020-03-25 | http://www.lawrence.com/ |
| 4 | 5Cef8BFA16c5e3c | Linda | Olsen | Dominguez|Mcmillan and Donovan | Bensonview | Dominican Republic | 001-808-617-6467x12895 | +1-813-324-8756 | stanleyblackwell@benson.org | 2020-06-02 | http://www.good-lyons.com/ |
| 5 | 053d585Ab6b3159 | Joanna | Bender | Martin|Lang and Andrade | West Priscilla | Slovakia (Slovak Republic) | 001-234-203-0635x76146 | 001-199-446-3860x3486 | colinalvarado@miles.net | 2021-04-17 | https://goodwin-ingram.com/ |

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| Index | Customer Id | First Name | Last Name | Company | City | Country | Phone 1 | Phone 2 | Email | Subscription Date | Website |
|---------|-----------------|--------------|-------------|--------------------------------|-------------------|----------------------------|------------------------|-----------------------|-----------------------------|---------------------|-----------------------------|
| 1 | DD37Cf93aecA6Dc | Sheryl | Baxter | Rasmussen Group | East Leonard | Chile | 229.077.5154 | 397.884.0519x718 | zunigavanessa@smith.info | 2020-08-24 | http://www.stephenson.com/ |
| 2 | 1Ef7b82A4CAAD10 | Preston | Lozano | Vega-Gentry | East Jimmychester | Djibouti | 5153435776 | 686-620-1820x944 | vmata@colon.com | 2021-04-23 | http://www.hobbs.com/ |
| 3 | 6F94879bDAfE5a6 | Roy | Berry | Murillo-Perry | Isabelborough | Antigua and Barbuda | +1-539-402-0259 | (496)978-3969x58947 | beckycarr@hogan.com | 2020-03-25 | http://www.lawrence.com/ |
| 4 | 5Cef8BFA16c5e3c | Linda | Olsen | Dominguez;Mcmillan and Donovan | Bensonview | Dominican Republic | 001-808-617-6467x12895 | +1-813-324-8756 | stanleyblackwell@benson.org | 2020-06-02 | http://www.good-lyons.com/ |
| 5 | 053d585Ab6b3159 | Joanna | Bender | Martin;Lang and Andrade | West Priscilla | Slovakia (Slovak Republic) | 001-234-203-0635x76146 | 001-199-446-3860x3486 | colinalvarado@miles.net | 2021-04-17 | https://goodwin-ingram.com/ |

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| Index | Customer Id | First Name | Last Name | Company | City | Country | Phone 1 | Phone 2 | Email | Subscription Date | Website |
|---------|-----------------|--------------|-------------|-----------------|-------------------|----------------------------|------------------------|-----------------------|-----------------------------|---------------------|-----------------------------|
| 1 | DD37Cf93aecA6Dc | Sheryl | Baxter | Rasmussen Group | East Leonard | Chile | 229.077.5154 | 397.884.0519x718 | zunigavanessa@smith.info | 2020-08-24 | http://www.stephenson.com/ |
| 2 | 1Ef7b82A4CAAD10 | Preston | Lozano | Vega-Gentry | East Jimmychester | Djibouti | 5153435776 | 686-620-1820x944 | vmata@colon.com | 2021-04-23 | http://www.hobbs.com/ |
| 3 | 6F94879bDAfE5a6 | Roy | Berry | Murillo-Perry | Isabelborough | Antigua and Barbuda | +1-539-402-0259 | (496)978-3969x58947 | beckycarr@hogan.com | 2020-03-25 | http://www.lawrence.com/ |
| 4 | 5Cef8BFA16c5e3c | Linda | Olsen | Dominguez Mcmillan and Donovan | Bensonview | Dominican Republic | 001-808-617-6467x12895 | +1-813-324-8756 | stanleyblackwell@benson.org | 2020-06-02 | http://www.good-lyons.com/ |
| 5 | 053d585Ab6b3159 | Joanna | Bender | Martin Lang and Andrade | West Priscilla | Slovakia (Slovak Republic) | 001-234-203-0635x76146 | 001-199-446-3860x3486 | colinalvarado@miles.net | 2021-04-17 | https://goodwin-ingram.com/ |

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item-0 at level 0: unspecified: group _root_
item-1 at level 1: title: KRAB-zinc finger protein gene ex ... retrotransposons in the murine lineage
item-2 at level 2: paragraph: Wolf Gernot; 1: The Eunice Kenne ... tes of Health: Bethesda: United States
item-3 at level 2: section_header: Abstract
item-4 at level 3: text: The Krüppel-associated box zinc ... edundant role restricting TE activity.
item-5 at level 2: section_header: Introduction
item-6 at level 3: text: Nearly half of the human and mou ... s are active beyond early development.
item-7 at level 3: text: TEs, especially long terminal re ... f evolutionarily young KRAB-ZFP genes.
item-8 at level 2: section_header: Results
item-9 at level 3: section_header: Mouse KRAB-ZFPs target retrotransposons
item-10 at level 4: text: We analyzed the RNA expression p ... duplications (Kauzlaric et al., 2017).
item-11 at level 4: text: To determine the binding sites o ... ctive in the early embryo (Figure 1A).
item-12 at level 4: text: We generally observed that KRAB- ... responsible for this silencing effect.
item-13 at level 4: text: To further test the hypothesis t ... t easily evade repression by mutation.
item-14 at level 4: text: Our KRAB-ZFP ChIP-seq dataset al ... ntirely shift the mode of DNA binding.
item-15 at level 3: section_header: Genetic deletion of KRAB-ZFP gen ... leads to retrotransposon reactivation
item-16 at level 4: text: The majority of KRAB-ZFP genes a ... ung et al., 2014; Deniz et al., 2018).
item-17 at level 3: section_header: KRAB-ZFP cluster deletions license TE-borne enhancers
item-18 at level 4: text: We next used our RNA-seq dataset ... vating effects of TEs on nearby genes.
item-19 at level 4: text: While we generally observed that ... he internal region and not on the LTR.
item-20 at level 3: section_header: ETn retrotransposition in Chr4-cl KO and WT mice
item-21 at level 4: text: IAP, ETn/ETnERV and MuLV/RLTR4 r ... s may contribute to reduced viability.
item-22 at level 4: text: We reasoned that retrotransposon ... Tn insertions at a high recovery rate.
item-23 at level 4: text: Using this dataset, we first con ... nsertions in our pedigree (Figure 4A).
item-24 at level 4: text: To validate some of the novel ET ... ess might have truncated this element.
item-25 at level 4: text: Besides novel ETn insertions tha ... tions (Figure 4—figure supplement 3D).
item-26 at level 4: text: Finally, we asked whether there ... s clearly also play an important role.
item-27 at level 2: section_header: Discussion
item-28 at level 3: text: C2H2 zinc finger proteins, about ... ) depending upon their insertion site.
item-29 at level 3: text: Despite a lack of widespread ETn ... ion of the majority of KRAB-ZFP genes.
item-30 at level 2: section_header: Materials and methods
item-31 at level 3: section_header: Cell lines and transgenic mice
item-32 at level 4: text: Mouse ES cells and F9 EC cells w ... KO/KO and KO/WT (B6/129 F2) offspring.
item-33 at level 3: section_header: Generation of KRAB-ZFP expressing cell lines
item-34 at level 4: text: KRAB-ZFP ORFs were PCR-amplified ... led and further expanded for ChIP-seq.
item-35 at level 3: section_header: CRISPR/Cas9 mediated deletion of KRAB-ZFP clusters and an MMETn insertion
item-36 at level 4: text: All gRNAs were expressed from th ... PCR genotyping (Supplementary file 3).
item-37 at level 3: section_header: ChIP-seq analysis
item-38 at level 4: text: For ChIP-seq analysis of KRAB-ZF ... 010 or Khil et al., 2012 respectively.
item-39 at level 4: text: ChIP-seq libraries were construc ... were re-mapped using Bowtie (--best).
item-40 at level 3: section_header: Luciferase reporter assays
item-41 at level 4: text: For KRAB-ZFP repression assays, ... after transfection as described above.
item-42 at level 3: section_header: RNA-seq analysis
item-43 at level 4: text: Whole RNA was purified using RNe ... lemented in the R function p.adjust().
item-44 at level 3: section_header: Reduced representation bisulfite sequencing (RRBS-seq)
item-45 at level 4: text: For RRBS-seq analysis, Chr4-cl W ... h sample were considered for analysis.
item-46 at level 3: section_header: Retrotransposition assay
item-47 at level 4: text: The retrotransposition vectors p ... were stained with Amido Black (Sigma).
item-48 at level 3: section_header: Capture-seq screen
item-49 at level 4: text: To identify novel retrotransposo ... assembly using the Unicycler software.
item-50 at level 2: section_header: Tables
item-51 at level 3: table with [9x5]
item-51 at level 4: caption: Table 1.: * Number of protein-coding KRAB-ZFP genes identified in a previously published screen (Imbeault et al., 2017) and the ChIP-seq data column indicates the number of KRAB-ZFPs for which ChIP-seq was performed in this study.
item-52 at level 3: table with [31x5]
item-52 at level 4: caption: Key resources table:
item-53 at level 2: section_header: Figures
item-54 at level 3: picture
item-54 at level 4: caption: Figure 1.: Genome-wide binding patterns of mouse KRAB-ZFPs.
(A) Probability heatmap of KRAB-ZFP binding to TEs. Blue color intensity (main field) corresponds to -log10 (adjusted p-value) enrichment of ChIP-seq peak overlap with TE groups (Fishers exact test). The green/red color intensity (top panel) represents mean KAP1 (GEO accession: GSM1406445) and H3K9me3 (GEO accession: GSM1327148) enrichment (respectively) at peaks overlapping significantly targeted TEs (adjusted p-value<1e-5) in WT ES cells. (B) Summarized ChIP-seq signal for indicated KRAB-ZFPs and previously published KAP1 and H3K9me3 in WT ES cells across 127 intact ETn elements. (C) Heatmaps of KRAB-ZFP ChIP-seq signal at ChIP-seq peaks. For better comparison, peaks for all three KRAB-ZFPs were called with the same parameters (p<1e-10, peak enrichment >20). The top panel shows a schematic of the arrangement of the contact amino acid composition of each zinc finger. Zinc fingers are grouped and colored according to similarity, with amino acid differences relative to the five consensus fingers highlighted in white.
Figure 1—source data 1.KRAB-ZFP expression in 40 mouse tissues and cell lines (ENCODE).Mean values of replicates are shown as log2 transcripts per million.
Figure 1—source data 2.Probability heatmap of KRAB-ZFP binding to TEs.Values corresponds to -log10 (adjusted p-value) enrichment of ChIP-seq peak overlap with TE groups (Fishers exact test).
item-55 at level 3: picture
item-55 at level 4: caption: Figure 1—figure supplement 1.: ES cell-specific expression of KRAB-ZFP gene clusters.
(A) Heatmap showing expression patterns of mouse KRAB-ZFPs in 40 mouse tissues and cell lines (ENCODE). Heatmap colors indicate gene expression levels in log2 transcripts per million (TPM). The asterisk indicates a group of 30 KRAB-ZFPs that are exclusively expressed in ES cells. (B) Physical location of the genes encoding for the 30 KRAB-ZFPs that are exclusively expressed in ES cells. (C) Phylogenetic (Maximum likelihood) tree of the KRAB domains of mouse KRAB-ZFPs. KRAB-ZFPs encoded on the gene clusters on chromosome 2 and 4 are highlighted. The scale bar at the bottom indicates amino acid substitutions per site.
item-56 at level 3: picture
item-56 at level 4: caption: Figure 1—figure supplement 2.: KRAB-ZFP binding motifs and their repression activity.
(A) Comparison of computationally predicted (bottom) and experimentally determined (top) KRAB-ZFP binding motifs. Only significant pairs are shown (FDR < 0.1). (B) Luciferase reporter assays to confirm KRAB-ZFP repression of the identified target sites. Bars show the luciferase activity (normalized to Renilla luciferase) of reporter plasmids containing the indicated target sites cloned upstream of the SV40 promoter. Reporter plasmids were co-transfected into 293 T cells with a Renilla luciferase plasmid for normalization and plasmids expressing the targeting KRAB-ZFP. Normalized mean luciferase activity (from three replicates) is shown relative to luciferase activity of the reporter plasmid co-transfected with an empty pcDNA3.1 vector.
item-57 at level 3: picture
item-57 at level 4: caption: Figure 1—figure supplement 3.: KRAB-ZFP binding to ETn retrotransposons.
(A) Comparison of the PBSLys1,2 sequence with Zfp961 binding motifs in nonrepetitive peaks (Nonrep) and peaks at ETn elements. (B) Retrotransposition assays of original (ETnI1-neoTNF and MusD2-neoTNF Ribet et al., 2004) and modified reporter vectors where the Rex2 or Gm13051 binding motifs where removed. Schematic of reporter vectors are displayed at the top. HeLa cells were transfected as described in the Materials and Methods section and neo-resistant colonies, indicating retrotransposition events, were selected and stained. (C) Stem-loop structure of the ETn RNA export signal, the Gm13051 motif on the corresponding DNA is marked with red circles, the part of the motif that was deleted is indicated with grey crosses (adapted from Legiewicz et al., 2010).
item-58 at level 3: picture
item-58 at level 4: caption: Figure 2.: Retrotransposon reactivation in KRAB-ZFP cluster KO ES cells.
(A) RNA-seq analysis of TE expression in five KRAB-ZFP cluster KO ES cells. Green and grey squares on top of the panel represent KRAB-ZFPs with or without ChIP-seq data, respectively, within each deleted gene cluster. Reactivated TEs that are bound by one or several KRAB-ZFPs are indicated by green squares in the panel. Significantly up- and downregulated elements (adjusted p-value<0.05) are highlighted in red and green, respectively. (B) Differential KAP1 binding and H3K9me3 enrichment at TE groups (summarized across all insertions) in Chr2-cl and Chr4-cl KO ES cells. TE groups targeted by one or several KRAB-ZFPs encoded within the deleted clusters are highlighted in blue (differential enrichment over the entire TE sequences) and red (differential enrichment at TE regions that overlap with KRAB-ZFP ChIP-seq peaks). (C) DNA methylation status of CpG sites at indicated TE groups in WT and Chr4-cl KO ES cells grown in serum containing media or in hypomethylation-inducing media (2i + Vitamin C). P-values were calculated using paired t-test.
Figure 2—source data 1.Differential H3K9me3 and KAP1 distribution in WT and KRAB-ZFP cluster KO ES cells at TE families and KRAB-ZFP bound TE insertions.Differential read counts and statistical testing were determined by DESeq2.
item-59 at level 3: picture
item-59 at level 4: caption: Figure 2—figure supplement 1.: Epigenetic changes at TEs and TE-borne enhancers in KRAB-ZFP cluster KO ES cells.
(A) Differential analysis of summative (all individual insertions combined) H3K9me3 enrichment at TE groups in Chr10-cl, Chr13.1-cl and Chr13.2-cl KO ES cells. TE groups targeted by one or several KRAB-ZFPs encoded within the deleted clusters are highlighted in orange (differential enrichment over the entire TE sequences) and red (differential enrichment at TE regions that overlap with KRAB-ZFP ChIP-seq peaks). (B) Top: Schematic view of the Cd59a/Cd59b locus with a 5 truncated ETn insertion. ChIP-seq (Input subtracted from ChIP) data for overexpressed epitope-tagged Gm13051 (a Chr4-cl KRAB-ZFP) in F9 EC cells, and re-mapped KAP1 (GEO accession: GSM1406445) and H3K9me3 (GEO accession: GSM1327148) in WT ES cells are shown together with RNA-seq data from Chr4-cl WT and KO ES cells (mapped using Bowtie (-a -m 1 --strata -v 2) to exclude reads that cannot be uniquely mapped). Bottom: Transcriptional activity of a 5 kb fragment with or without fragments of the ETn insertion was tested by luciferase reporter assay in Chr4-cl WT and KO ES cells.
item-60 at level 3: picture
item-60 at level 4: caption: Figure 3.: TE-dependent gene activation in KRAB-ZFP cluster KO ES cells.
(A) Differential gene expression in Chr2-cl and Chr4-cl KO ES cells. Significantly up- and downregulated genes (adjusted p-value<0.05) are highlighted in red and green, respectively, KRAB-ZFP genes within the deleted clusters are shown in blue. (B) Correlation of TEs and gene deregulation. Plots show enrichment of TE groups within 100 kb of up- and downregulated genes relative to all genes. Significantly overrepresented LTR and LINE groups (adjusted p-value<0.1) are highlighted in blue and red, respectively. (C) Schematic view of the downstream region of Chst1 where a 5 truncated ETn insertion is located. ChIP-seq (Input subtracted from ChIP) data for overexpressed epitope-tagged Gm13051 (a Chr4-cl KRAB-ZFP) in F9 EC cells, and re-mapped KAP1 (GEO accession: GSM1406445) and H3K9me3 (GEO accession: GSM1327148) in WT ES cells are shown together with RNA-seq data from Chr4-cl WT and KO ES cells (mapped using Bowtie (-a -m 1 --strata -v 2) to exclude reads that cannot be uniquely mapped). (D) RT-qPCR analysis of Chst1 mRNA expression in Chr4-cl WT and KO ES cells with or without the CRISPR/Cas9 deleted ETn insertion near Chst1. Values represent mean expression (normalized to Gapdh) from three biological replicates per sample (each performed in three technical replicates) in arbitrary units. Error bars represent standard deviation and asterisks indicate significance (p<0.01, Students t-test). n.s.: not significant. (E) Mean coverage of ChIP-seq data (Input subtracted from ChIP) in Chr4-cl WT and KO ES cells over 127 full-length ETn insertions. The binding sites of the Chr4-cl KRAB-ZFPs Rex2 and Gm13051 are indicated by dashed lines.
item-61 at level 3: picture
item-61 at level 4: caption: Figure 4.: ETn retrotransposition in Chr4-cl KO mice.
(A) Pedigree of mice used for transposon insertion screening by capture-seq in mice of different strain backgrounds. The number of novel ETn insertions (only present in one animal) are indicated. For animals whose direct ancestors have not been screened, the ETn insertions are shown in parentheses since parental inheritance cannot be excluded in that case. Germ line insertions are indicated by asterisks. All DNA samples were prepared from tail tissues unless noted (-S: spleen, -E: ear, -B:Blood) (B) Statistical analysis of ETn insertion frequency in tail tissue from 30 Chr4-cl KO, KO/WT and WT mice that were derived from one Chr4-c KO x KO/WT and two Chr4-cl KO/WT x KO/WT matings. Only DNA samples that were collected from juvenile tails were considered for this analysis. P-values were calculated using one-sided Wilcoxon Rank Sum Test. In the last panel, KO, WT and KO/WT mice derived from all matings were combined for the statistical analysis.
Figure 4—source data 1.Coordinates of identified novel ETn insertions and supporting capture-seq read counts.Genomic regions indicate cluster of supporting reads.
Figure 4—source data 2.Sequences of capture-seq probes used to enrich genomic DNA for ETn and MuLV (RLTR4) insertions.
item-62 at level 3: picture
item-62 at level 4: caption: Figure 4—figure supplement 1.: Birth statistics of KRAB-ZFP cluster KO mice and TE reactivation in adult tissues.
(A) Birth statistics of Chr4- and Chr2-cl mice derived from KO/WT x KO/WT matings in different strain backgrounds. (B) RNA-seq analysis of TE expression in Chr2- (left) and Chr4-cl (right) KO tissues. TE groups with the highest reactivation phenotype in ES cells are shown separately. Significantly up- and downregulated elements (adjusted p-value<0.05) are highlighted in red and green, respectively. Experiments were performed in at least two biological replicates.
item-63 at level 3: picture
item-63 at level 4: caption: Figure 4—figure supplement 2.: Identification of polymorphic ETn and MuLV retrotransposon insertions in Chr4-cl KO and WT mice.
Heatmaps show normalized capture-seq read counts in RPM (Read Per Million) for identified polymorphic ETn (A) and MuLV (B) loci in different mouse strains. Only loci with strong support for germ line ETn or MuLV insertions (at least 100 or 3000 ETn or MuLV RPM, respectively) in at least two animals are shown. Non-polymorphic insertion loci with high read counts in all screened mice were excluded for better visibility. The sample information (sample name and cell type/tissue) is annotated at the bottom, with the strain information indicated by color at the top. The color gradient indicates log10(RPM+1).
item-64 at level 3: picture
item-64 at level 4: caption: Figure 4—figure supplement 3.: Confirmation of novel ETn insertions identified by capture-seq.
(A) PCR validation of novel ETn insertions in genomic DNA of three littermates (IDs: T09673, T09674 and T00436) and their parents (T3913 and T3921). Primer sequences are shown in Supplementary file 3. (B) ETn capture-seq read counts (RPM) at putative novel somatic (loci identified exclusively in one single animal), novel germ line (loci identified in several littermates) insertions, and at B6 reference ETn elements. (C) Heatmap shows capture-seq read counts (RPM) of a Chr4-cl KO mouse (ID: C6733) as determined in different tissues. Each row represents a novel ETn locus that was identified in at least one tissue. The color gradient indicates log10(RPM+1). (D) Heatmap shows the capture-seq RPM in technical replicates using the same Chr4-cl KO DNA sample (rep1/rep2) or replicates with DNA samples prepared from different sections of the tail from the same mouse at different ages (tail1/tail2). Each row represents a novel ETn locus that was identified in at least one of the displayed samples. The color gradient indicates log10(RPM+1).
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item-123 at level 1: caption: Table 1.: * Number of protein-co ... ChIP-seq was performed in this study.
item-124 at level 1: caption: Key resources table:
item-125 at level 1: caption: Figure 1.: Genome-wide binding p ... with TE groups (Fishers exact test).
item-126 at level 1: caption: Figure 1—figure supplement 1.: E ... tes amino acid substitutions per site.
item-127 at level 1: caption: Figure 1—figure supplement 2.: K ... sfected with an empty pcDNA3.1 vector.
item-128 at level 1: caption: Figure 1—figure supplement 3.: K ... (adapted from Legiewicz et al., 2010).
item-129 at level 1: caption: Figure 2.: Retrotransposon react ... cal testing were determined by DESeq2.
item-130 at level 1: caption: Figure 2—figure supplement 1.: E ... r assay in Chr4-cl WT and KO ES cells.
item-131 at level 1: caption: Figure 3.: TE-dependent gene act ... Gm13051 are indicated by dashed lines.
item-132 at level 1: caption: Figure 4.: ETn retrotranspositio ... A for ETn and MuLV (RLTR4) insertions.
item-133 at level 1: caption: Figure 4—figure supplement 1.: B ... in at least two biological replicates.
item-134 at level 1: caption: Figure 4—figure supplement 2.: I ... color gradient indicates log10(RPM+1).
item-135 at level 1: caption: Figure 4—figure supplement 3.: C ... color gradient indicates log10(RPM+1).
item-2 at level 2: paragraph: Gernot Wolf, Alberto de Iaco, Mi ... Ralls, Didier Trono, Todd S Macfarlan
item-3 at level 2: paragraph: The Eunice Kennedy Shriver Natio ... Lausanne (EPFL), Lausanne, Switzerland
item-4 at level 2: section_header: Abstract
item-5 at level 3: text: The Krüppel-associated box zinc ... edundant role restricting TE activity.
item-6 at level 2: section_header: Introduction
item-7 at level 3: text: Nearly half of the human and mou ... s are active beyond early development.
item-8 at level 3: text: TEs, especially long terminal re ... f evolutionarily young KRAB-ZFP genes.
item-9 at level 2: section_header: Results
item-10 at level 3: section_header: Mouse KRAB-ZFPs target retrotransposons
item-11 at level 4: text: We analyzed the RNA expression p ... duplications (Kauzlaric et al., 2017).
item-12 at level 4: text: To determine the binding sites o ... ctive in the early embryo (Figure 1A).
item-13 at level 4: picture
item-13 at level 5: caption: Figure 1. Genome-wide binding patterns of mouse KRAB-ZFPs. (A) Probability heatmap of KRAB-ZFP binding to TEs. Blue color intensity (main field) corresponds to -log10 (adjusted p-value) enrichment of ChIP-seq peak overlap with TE groups (Fishers exact test). The green/red color intensity (top panel) represents mean KAP1 (GEO accession: GSM1406445) and H3K9me3 (GEO accession: GSM1327148) enrichment (respectively) at peaks overlapping significantly targeted TEs (adjusted p-value<1e-5) in WT ES cells. (B) Summarized ChIP-seq signal for indicated KRAB-ZFPs and previously published KAP1 and H3K9me3 in WT ES cells across 127 intact ETn elements. (C) Heatmaps of KRAB-ZFP ChIP-seq signal at ChIP-seq peaks. For better comparison, peaks for all three KRAB-ZFPs were called with the same parameters (p<1e-10, peak enrichment >20). The top panel shows a schematic of the arrangement of the contact amino acid composition of each zinc finger. Zinc fingers are grouped and colored according to similarity, with amino acid differences relative to the five consensus fingers highlighted in white.
item-14 at level 4: table with [9x5]
item-14 at level 5: caption: Table 1. KRAB-ZFP genes clusters in the mouse genome that were investigated in this study. * Number of protein-coding KRAB-ZFP genes identified in a previously published screen (Imbeault et al., 2017) and the ChIP-seq data column indicates the number of KRAB-ZFPs for which ChIP-seq was performed in this study.
item-15 at level 4: text: We generally observed that KRAB- ... responsible for this silencing effect.
item-16 at level 4: text: To further test the hypothesis t ... t easily evade repression by mutation.
item-17 at level 4: text: Our KRAB-ZFP ChIP-seq dataset al ... ntirely shift the mode of DNA binding.
item-18 at level 3: section_header: Genetic deletion of KRAB-ZFP gen ... leads to retrotransposon reactivation
item-19 at level 4: text: The majority of KRAB-ZFP genes a ... ung et al., 2014; Deniz et al., 2018).
item-20 at level 4: picture
item-20 at level 5: caption: Figure 2. Retrotransposon reactivation in KRAB-ZFP cluster KO ES cells. (A) RNA-seq analysis of TE expression in five KRAB-ZFP cluster KO ES cells. Green and grey squares on top of the panel represent KRAB-ZFPs with or without ChIP-seq data, respectively, within each deleted gene cluster. Reactivated TEs that are bound by one or several KRAB-ZFPs are indicated by green squares in the panel. Significantly up- and downregulated elements (adjusted p-value<0.05) are highlighted in red and green, respectively. (B) Differential KAP1 binding and H3K9me3 enrichment at TE groups (summarized across all insertions) in Chr2-cl and Chr4-cl KO ES cells. TE groups targeted by one or several KRAB-ZFPs encoded within the deleted clusters are highlighted in blue (differential enrichment over the entire TE sequences) and red (differential enrichment at TE regions that overlap with KRAB-ZFP ChIP-seq peaks). (C) DNA methylation status of CpG sites at indicated TE groups in WT and Chr4-cl KO ES cells grown in serum containing media or in hypomethylation-inducing media (2i + Vitamin C). P-values were calculated using paired t-test.
item-21 at level 3: section_header: KRAB-ZFP cluster deletions license TE-borne enhancers
item-22 at level 4: text: We next used our RNA-seq dataset ... vating effects of TEs on nearby genes.
item-23 at level 4: picture
item-23 at level 5: caption: Figure 3. TE-dependent gene activation in KRAB-ZFP cluster KO ES cells. (A) Differential gene expression in Chr2-cl and Chr4-cl KO ES cells. Significantly up- and downregulated genes (adjusted p-value<0.05) are highlighted in red and green, respectively, KRAB-ZFP genes within the deleted clusters are shown in blue. (B) Correlation of TEs and gene deregulation. Plots show enrichment of TE groups within 100 kb of up- and downregulated genes relative to all genes. Significantly overrepresented LTR and LINE groups (adjusted p-value<0.1) are highlighted in blue and red, respectively. (C) Schematic view of the downstream region of Chst1 where a 5 truncated ETn insertion is located. ChIP-seq (Input subtracted from ChIP) data for overexpressed epitope-tagged Gm13051 (a Chr4-cl KRAB-ZFP) in F9 EC cells, and re-mapped KAP1 (GEO accession: GSM1406445) and H3K9me3 (GEO accession: GSM1327148) in WT ES cells are shown together with RNA-seq data from Chr4-cl WT and KO ES cells (mapped using Bowtie (-a -m 1 --strata -v 2) to exclude reads that cannot be uniquely mapped). (D) RT-qPCR analysis of Chst1 mRNA expression in Chr4-cl WT and KO ES cells with or without the CRISPR/Cas9 deleted ETn insertion near Chst1. Values represent mean expression (normalized to Gapdh) from three biological replicates per sample (each performed in three technical replicates) in arbitrary units. Error bars represent standard deviation and asterisks indicate significance (p<0.01, Students t-test). n.s.: not significant. (E) Mean coverage of ChIP-seq data (Input subtracted from ChIP) in Chr4-cl WT and KO ES cells over 127 full-length ETn insertions. The binding sites of the Chr4-cl KRAB-ZFPs Rex2 and Gm13051 are indicated by dashed lines.
item-24 at level 4: text: While we generally observed that ... he internal region and not on the LTR.
item-25 at level 3: section_header: ETn retrotransposition in Chr4-cl KO and WT mice
item-26 at level 4: text: IAP, ETn/ETnERV and MuLV/RLTR4 r ... s may contribute to reduced viability.
item-27 at level 4: text: We reasoned that retrotransposon ... Tn insertions at a high recovery rate.
item-28 at level 4: text: Using this dataset, we first con ... nsertions in our pedigree (Figure 4A).
item-29 at level 4: picture
item-29 at level 5: caption: Figure 4. ETn retrotransposition in Chr4-cl KO mice. (A) Pedigree of mice used for transposon insertion screening by capture-seq in mice of different strain backgrounds. The number of novel ETn insertions (only present in one animal) are indicated. For animals whose direct ancestors have not been screened, the ETn insertions are shown in parentheses since parental inheritance cannot be excluded in that case. Germ line insertions are indicated by asterisks. All DNA samples were prepared from tail tissues unless noted (-S: spleen, -E: ear, -B:Blood) (B) Statistical analysis of ETn insertion frequency in tail tissue from 30 Chr4-cl KO, KO/WT and WT mice that were derived from one Chr4-c KO x KO/WT and two Chr4-cl KO/WT x KO/WT matings. Only DNA samples that were collected from juvenile tails were considered for this analysis. P-values were calculated using one-sided Wilcoxon Rank Sum Test. In the last panel, KO, WT and KO/WT mice derived from all matings were combined for the statistical analysis.
item-30 at level 4: text: To validate some of the novel ET ... ess might have truncated this element.
item-31 at level 4: text: Besides novel ETn insertions tha ... tions (Figure 4—figure supplement 3D).
item-32 at level 4: text: Finally, we asked whether there ... s clearly also play an important role.
item-33 at level 2: section_header: Discussion
item-34 at level 3: text: C2H2 zinc finger proteins, about ... ) depending upon their insertion site.
item-35 at level 3: text: Despite a lack of widespread ETn ... ion of the majority of KRAB-ZFP genes.
item-36 at level 2: section_header: Materials and methods
item-37 at level 3: table with [31x5]
item-37 at level 4: caption: Key resources table
item-38 at level 3: section_header: Cell lines and transgenic mice
item-39 at level 4: text: Mouse ES cells and F9 EC cells w ... KO/KO and KO/WT (B6/129 F2) offspring.
item-40 at level 3: section_header: Generation of KRAB-ZFP expressing cell lines
item-41 at level 4: text: KRAB-ZFP ORFs were PCR-amplified ... led and further expanded for ChIP-seq.
item-42 at level 3: section_header: CRISPR/Cas9 mediated deletion of KRAB-ZFP clusters and an MMETn insertion
item-43 at level 4: text: All gRNAs were expressed from th ... PCR genotyping (Supplementary file 3).
item-44 at level 3: section_header: ChIP-seq analysis
item-45 at level 4: text: For ChIP-seq analysis of KRAB-ZF ... 010 or Khil et al., 2012 respectively.
item-46 at level 4: text: ChIP-seq libraries were construc ... were re-mapped using Bowtie (--best).
item-47 at level 3: section_header: Luciferase reporter assays
item-48 at level 4: text: For KRAB-ZFP repression assays, ... after transfection as described above.
item-49 at level 3: section_header: RNA-seq analysis
item-50 at level 4: text: Whole RNA was purified using RNe ... lemented in the R function p.adjust().
item-51 at level 3: section_header: Reduced representation bisulfite sequencing (RRBS-seq)
item-52 at level 4: text: For RRBS-seq analysis, Chr4-cl W ... h sample were considered for analysis.
item-53 at level 3: section_header: Retrotransposition assay
item-54 at level 4: text: The retrotransposition vectors p ... were stained with Amido Black (Sigma).
item-55 at level 3: section_header: Capture-seq screen
item-56 at level 4: text: To identify novel retrotransposo ... assembly using the Unicycler software.
item-57 at level 2: section_header: Funding Information
item-58 at level 3: text: This paper was supported by the following grants:
item-59 at level 3: list: group list
item-60 at level 4: list_item: http://dx.doi.org/10.13039/10000 ... ment 1ZIAHD008933 to Todd S Macfarlan.
item-61 at level 4: list_item: http://dx.doi.org/10.13039/50110 ... ndation 310030_152879 to Didier Trono.
item-62 at level 4: list_item: http://dx.doi.org/10.13039/50110 ... dation 310030B_173337 to Didier Trono.
item-63 at level 4: list_item: http://dx.doi.org/10.13039/50110 ... ch Council No. 268721 to Didier Trono.
item-64 at level 4: list_item: http://dx.doi.org/10.13039/50110 ... rch Council No 694658 to Didier Trono.
item-65 at level 2: section_header: Acknowledgements
item-66 at level 3: text: We thank Alex Grinberg, Jeanne Y ... 268721; Transpos-X, No. 694658) (DT).
item-67 at level 2: section_header: Additional information
item-68 at level 2: section_header: Additional files
item-69 at level 2: section_header: Data availability
item-70 at level 3: text: All NGS data has been deposited ... GenBank database (MH449667- MH449669).
item-71 at level 3: text: The following datasets were generated:
item-72 at level 3: text: Wolf G. Retrotransposon reactiva ... ession Omnibus (2019). NCBI: GSE115291
item-73 at level 3: text: Wolf G. Mus musculus musculus st ... e. NCBI GenBank (2019). NCBI: MH449667
item-74 at level 3: text: Wolf G. Mus musculus musculus st ... e. NCBI GenBank (2019). NCBI: MH449668
item-75 at level 3: text: Wolf G. Mus musculus musculus st ... e. NCBI GenBank (2019). NCBI: MH449669
item-76 at level 3: text: The following previously published datasets were used:
item-77 at level 3: text: Castro-Diaz N, Ecco G, Coluccio ... ssion Omnibus (2014). NCBI: GSM1406445
item-78 at level 3: text: Andrew ZX. H3K9me3_ChIPSeq (Ctrl ... ssion Omnibus (2014). NCBI: GSM1327148
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item-136 at level 4: list_item: Zhang Y, Liu T, Meyer CA, Eeckho ... .1186/gb-2008-9-9-r137, PMID: 18798982
item-137 at level 1: caption: Figure 1. Genome-wide binding pa ... onsensus fingers highlighted in white.
item-138 at level 1: caption: Table 1. KRAB-ZFP genes clusters ... ChIP-seq was performed in this study.
item-139 at level 1: caption: Figure 2. Retrotransposon reacti ... s were calculated using paired t-test.
item-140 at level 1: caption: Figure 3. TE-dependent gene acti ... Gm13051 are indicated by dashed lines.
item-141 at level 1: caption: Figure 4. ETn retrotransposition ... combined for the statistical analysis.
item-142 at level 1: caption: Key resources table

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@ -1,6 +1,8 @@
# KRAB-zinc finger protein gene expansion in response to active retrotransposons in the murine lineage
Wolf Gernot; 1: The Eunice Kennedy Shriver National Institute of Child Health and Human Development, The National Institutes of Health: Bethesda: United States; de Iaco Alberto; 2: School of Life Sciences, École Polytechnique Fédérale de Lausanne (EPFL): Lausanne: Switzerland; Sun Ming-An; 1: The Eunice Kennedy Shriver National Institute of Child Health and Human Development, The National Institutes of Health: Bethesda: United States; Bruno Melania; 1: The Eunice Kennedy Shriver National Institute of Child Health and Human Development, The National Institutes of Health: Bethesda: United States; Tinkham Matthew; 1: The Eunice Kennedy Shriver National Institute of Child Health and Human Development, The National Institutes of Health: Bethesda: United States; Hoang Don; 1: The Eunice Kennedy Shriver National Institute of Child Health and Human Development, The National Institutes of Health: Bethesda: United States; Mitra Apratim; 1: The Eunice Kennedy Shriver National Institute of Child Health and Human Development, The National Institutes of Health: Bethesda: United States; Ralls Sherry; 1: The Eunice Kennedy Shriver National Institute of Child Health and Human Development, The National Institutes of Health: Bethesda: United States; Trono Didier; 2: School of Life Sciences, École Polytechnique Fédérale de Lausanne (EPFL): Lausanne: Switzerland; Macfarlan Todd S; 1: The Eunice Kennedy Shriver National Institute of Child Health and Human Development, The National Institutes of Health: Bethesda: United States
Gernot Wolf, Alberto de Iaco, Ming-An Sun, Melania Bruno, Matthew Tinkham, Don Hoang, Apratim Mitra, Sherry Ralls, Didier Trono, Todd S Macfarlan
The Eunice Kennedy Shriver National Institute of Child Health and Human Development, The National Institutes of Health, Bethesda, United States; School of Life Sciences, École Polytechnique Fédérale de Lausanne (EPFL), Lausanne, Switzerland
## Abstract
@ -20,6 +22,23 @@ We analyzed the RNA expression profiles of mouse KRAB-ZFPs across a wide range o
To determine the binding sites of the KRAB-ZFPs within these and other gene clusters, we expressed epitope-tagged KRAB-ZFPs using stably integrating vectors in mouse embryonic carcinoma (EC) or ES cells (Table 1, Supplementary file 1) and performed chromatin immunoprecipitation followed by deep sequencing (ChIP-seq). We then determined whether the identified binding sites are significantly enriched over annotated TEs and used the non-repetitive peak fraction to identify binding motifs. We discarded 7 of 68 ChIP-seq datasets because we could not obtain a binding motif or a target TE and manual inspection confirmed low signal to noise ratio. Of the remaining 61 KRAB-ZFPs, 51 significantly overlapped at least one TE subfamily (adjusted p-value&lt;1e-5). Altogether, 81 LTR retrotransposon, 18 LINE, 10 SINE and one DNA transposon subfamilies were targeted by at least one of the 51 KRAB-ZFPs (Figure 1A and Supplementary file 1). Chr2-cl KRAB-ZFPs preferably bound IAPEz retrotransposons and L1-type LINEs, while Chr4-cl KRAB-ZFPs targeted various retrotransposons, including the closely related MMETn (hereafter referred to as ETn) and ETnERV (also known as MusD) elements (Figure 1A). ETn elements are non-autonomous LTR retrotransposons that require trans-complementation by the fully coding ETnERV elements that contain Gag, Pro and Pol genes (Ribet et al., 2004). These elements have accumulated to ~240 and~100 copies in the reference C57BL/6 genome, respectively, with ~550 solitary LTRs (Baust et al., 2003). Both ETn and ETnERVs are still active, generating polymorphisms and mutations in several mouse strains (Gagnier et al., 2019). The validity of our ChIP-seq screen was confirmed by the identification of binding motifs - which often resembled the computationally predicted motifs (Figure 1—figure supplement 2A) - for the majority of screened KRAB-ZFPs (Supplementary file 1). Moreover, predicted and experimentally determined motifs were found in targeted TEs in most cases (Supplementary file 1), and reporter repression assays confirmed KRAB-ZFP induced silencing for all the tested sequences (Figure 1—figure supplement 2B). Finally, we observed KAP1 and H3K9me3 enrichment at most of the targeted TEs in wild type ES cells, indicating that most of these KRAB-ZFPs are functionally active in the early embryo (Figure 1A).
Figure 1. Genome-wide binding patterns of mouse KRAB-ZFPs. (A) Probability heatmap of KRAB-ZFP binding to TEs. Blue color intensity (main field) corresponds to -log10 (adjusted p-value) enrichment of ChIP-seq peak overlap with TE groups (Fishers exact test). The green/red color intensity (top panel) represents mean KAP1 (GEO accession: GSM1406445) and H3K9me3 (GEO accession: GSM1327148) enrichment (respectively) at peaks overlapping significantly targeted TEs (adjusted p-value&lt;1e-5) in WT ES cells. (B) Summarized ChIP-seq signal for indicated KRAB-ZFPs and previously published KAP1 and H3K9me3 in WT ES cells across 127 intact ETn elements. (C) Heatmaps of KRAB-ZFP ChIP-seq signal at ChIP-seq peaks. For better comparison, peaks for all three KRAB-ZFPs were called with the same parameters (p&lt;1e-10, peak enrichment &gt;20). The top panel shows a schematic of the arrangement of the contact amino acid composition of each zinc finger. Zinc fingers are grouped and colored according to similarity, with amino acid differences relative to the five consensus fingers highlighted in white.
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Table 1. KRAB-ZFP genes clusters in the mouse genome that were investigated in this study. * Number of protein-coding KRAB-ZFP genes identified in a previously published screen (Imbeault et al., 2017) and the ChIP-seq data column indicates the number of KRAB-ZFPs for which ChIP-seq was performed in this study.
| Cluster | Location | Size (Mb) | # of KRAB-ZFPs* | ChIP-seq data |
|-----------|------------|-------------|-------------------|-----------------|
| Chr2 | Chr2 qH4 | 3.1 | 40 | 17 |
| Chr4 | Chr4 qE1 | 2.3 | 21 | 19 |
| Chr10 | Chr10 qC1 | 0.6 | 6 | 1 |
| Chr13.1 | Chr13 qB3 | 1.2 | 6 | 2 |
| Chr13.2 | Chr13 qB3 | 0.8 | 26 | 12 |
| Chr8 | Chr8 qB3.3 | 0.1 | 4 | 4 |
| Chr9 | Chr9 qA3 | 0.1 | 4 | 2 |
| Other | - | - | 248 | 4 |
We generally observed that KRAB-ZFPs present exclusively in mouse target TEs that are restricted to the mouse genome, indicating KRAB-ZFPs and their targets emerged together. For example, several mouse-specific KRAB-ZFPs in Chr2-cl and Chr4-cl target IAP and ETn elements which are only found in the mouse genome and are highly active. This is the strongest data to date supporting that recent KRAB-ZFP expansions in these young clusters is a response to recent TE activity. Likewise, ZFP599 and ZFP617, both conserved in Muroidea, bind to various ORR1-type LTRs which are present in the rat genome (Supplementary file 1). However, ZFP961, a KRAB-ZFP encoded on a small gene cluster on chromosome 8 that is conserved in Muroidea targets TEs that are only found in the mouse genome (e.g. ETn), a paradox we have previously observed with ZFP809, which also targets TEs that are evolutionarily younger than itself (Wolf et al., 2015b). The ZFP961 binding site is located at the 5 end of the internal region of ETn and ETnERV elements, a sequence that usually contains the primer binding site (PBS), which is required to prime retroviral reverse transcription. Indeed, the ZFP961 motif closely resembles the PBSLys1,2 (Figure 1—figure supplement 3A), which had been previously identified as a KAP1-dependent target of retroviral repression (Yamauchi et al., 1995; Wolf et al., 2008). Repression of the PBSLys1,2 by ZFP961 was also confirmed in reporter assays (Figure 1—figure supplement 2B), indicating that ZFP961 is likely responsible for this silencing effect.
To further test the hypothesis that KRAB-ZFPs target sites necessary for retrotransposition, we utilized previously generated ETn and ETnERV retrotransposition reporters in which we mutated KRAB-ZFP binding sites (Ribet et al., 2004). Whereas the ETnERV reporters are sufficient for retrotransposition, the ETn reporter requires ETnERV genes supplied in trans. We tested and confirmed that the REX2/ZFP600 and GM13051 binding sites within these TEs are required for efficient retrotransposition (Figure 1—figure supplement 3B). REX2 and ZFP600 both bind a target about 200 bp from the start of the internal region (Figure 1B), a region that often encodes the packaging signal. GM13051 binds a target coding for part of a highly structured mRNA export signal (Legiewicz et al., 2010) near the 3 end of the internal region of ETn (Figure 1—figure supplement 3C). Both signals are characterized by stem-loop intramolecular base-pairing in which a single mutation can disrupt loop formation. This indicates that at least some KRAB-ZFPs evolved to bind functionally essential target sequences which cannot easily evade repression by mutation.
@ -30,10 +49,18 @@ Our KRAB-ZFP ChIP-seq dataset also provided unique insights into the emergence o
The majority of KRAB-ZFP genes are harbored in large, highly repetitive clusters that have formed by successive complex segmental duplications (Kauzlaric et al., 2017), rendering them inaccessible to conventional gene targeting. We therefore developed a strategy to delete entire KRAB-ZFP gene clusters in ES cells (including the Chr2-cl and Chr4-cl as well as two clusters on chromosome 13 and a cluster on chromosome 10) using two CRISPR/Cas9 gRNAs targeting unique regions flanking each cluster, and short single-stranded repair oligos with homologies to both sides of the projected cut sites. Using this approach, we generated five cluster KO ES cell lines in at least two biological replicates and performed RNA sequencing (RNA-seq) to determine TE expression levels. Strikingly, four of the five cluster KO ES cells exhibited distinct TE reactivation phenotypes (Figure 2A). Chr2-cl KO resulted in reactivation of several L1 subfamilies as well as RLTR10 (up to more than 100-fold as compared to WT) and IAPEz ERVs. In contrast, the most strongly upregulated TEs in Chr4-cl KO cells were ETn/ETnERV (up to 10-fold as compared to WT), with several other ERV groups modestly reactivated. ETn/ETnERV elements were also upregulated in Chr13.2-cl KO ES cells while the only upregulated ERVs in Chr13.1-cl KO ES cells were MMERVK10C elements (Figure 2A). Most reactivated retrotransposons were targeted by at least one KRAB-ZFP that was encoded in the deleted cluster (Figure 2A and Supplementary file 1), indicating a direct effect of these KRAB-ZFPs on TE expression levels. Furthermore, we observed a loss of KAP1 binding and H3K9me3 at several TE subfamilies that are targeted by at least one KRAB-ZFP within the deleted Chr2-cl and Chr4-cl (Figure 2B, Figure 2—figure supplement 1A), including L1, ETn and IAPEz elements. Using reduced representation bisulfite sequencing (RRBS-seq), we found that a subset of KRAB-ZFP bound TEs were partially hypomethylated in Chr4-cl KO ES cells, but only when grown in genome-wide hypomethylation-inducing conditions (Blaschke et al., 2013; Figure 2C and Supplementary file 2). These data are consistent with the hypothesis that KRAB-ZFPs/KAP1 are not required to establish DNA methylation, but under certain conditions they protect specific TEs and imprint control regions from genome-wide demethylation (Leung et al., 2014; Deniz et al., 2018).
Figure 2. Retrotransposon reactivation in KRAB-ZFP cluster KO ES cells. (A) RNA-seq analysis of TE expression in five KRAB-ZFP cluster KO ES cells. Green and grey squares on top of the panel represent KRAB-ZFPs with or without ChIP-seq data, respectively, within each deleted gene cluster. Reactivated TEs that are bound by one or several KRAB-ZFPs are indicated by green squares in the panel. Significantly up- and downregulated elements (adjusted p-value&lt;0.05) are highlighted in red and green, respectively. (B) Differential KAP1 binding and H3K9me3 enrichment at TE groups (summarized across all insertions) in Chr2-cl and Chr4-cl KO ES cells. TE groups targeted by one or several KRAB-ZFPs encoded within the deleted clusters are highlighted in blue (differential enrichment over the entire TE sequences) and red (differential enrichment at TE regions that overlap with KRAB-ZFP ChIP-seq peaks). (C) DNA methylation status of CpG sites at indicated TE groups in WT and Chr4-cl KO ES cells grown in serum containing media or in hypomethylation-inducing media (2i + Vitamin C). P-values were calculated using paired t-test.
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### KRAB-ZFP cluster deletions license TE-borne enhancers
We next used our RNA-seq datasets to determine the effect of KRAB-ZFP cluster deletions on gene expression. We identified 195 significantly upregulated and 130 downregulated genes in Chr4-cl KO ES cells, and 108 upregulated and 59 downregulated genes in Chr2-cl KO ES cells (excluding genes on the deleted cluster) (Figure 3A). To address whether gene deregulation in Chr2-cl and Chr4-cl KO ES cells is caused by nearby TE reactivation, we determined whether genes near certain TE subfamilies are more frequently deregulated than random genes. We found a strong correlation of gene upregulation and TE proximity for several TE subfamilies, of which many became transcriptionally activated themselves (Figure 3B). For example, nearly 10% of genes that are located within 100 kb (up- or downstream of the TSS) of an ETn element are upregulated in Chr4-cl KO ES cells, as compared to 0.8% of all genes. In Chr2-cl KO ES cells, upregulated genes were significantly enriched near various LINE groups but also IAPEz-int and RLTR10-int elements, indicating that TE-binding KRAB-ZFPs in these clusters limit the potential activating effects of TEs on nearby genes.
Figure 3. TE-dependent gene activation in KRAB-ZFP cluster KO ES cells. (A) Differential gene expression in Chr2-cl and Chr4-cl KO ES cells. Significantly up- and downregulated genes (adjusted p-value&lt;0.05) are highlighted in red and green, respectively, KRAB-ZFP genes within the deleted clusters are shown in blue. (B) Correlation of TEs and gene deregulation. Plots show enrichment of TE groups within 100 kb of up- and downregulated genes relative to all genes. Significantly overrepresented LTR and LINE groups (adjusted p-value&lt;0.1) are highlighted in blue and red, respectively. (C) Schematic view of the downstream region of Chst1 where a 5 truncated ETn insertion is located. ChIP-seq (Input subtracted from ChIP) data for overexpressed epitope-tagged Gm13051 (a Chr4-cl KRAB-ZFP) in F9 EC cells, and re-mapped KAP1 (GEO accession: GSM1406445) and H3K9me3 (GEO accession: GSM1327148) in WT ES cells are shown together with RNA-seq data from Chr4-cl WT and KO ES cells (mapped using Bowtie (-a -m 1 --strata -v 2) to exclude reads that cannot be uniquely mapped). (D) RT-qPCR analysis of Chst1 mRNA expression in Chr4-cl WT and KO ES cells with or without the CRISPR/Cas9 deleted ETn insertion near Chst1. Values represent mean expression (normalized to Gapdh) from three biological replicates per sample (each performed in three technical replicates) in arbitrary units. Error bars represent standard deviation and asterisks indicate significance (p&lt;0.01, Students t-test). n.s.: not significant. (E) Mean coverage of ChIP-seq data (Input subtracted from ChIP) in Chr4-cl WT and KO ES cells over 127 full-length ETn insertions. The binding sites of the Chr4-cl KRAB-ZFPs Rex2 and Gm13051 are indicated by dashed lines.
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While we generally observed that TE-associated gene reactivation is not caused by elongated or spliced transcription starting at the retrotransposons, we did observe that the strength of the effect of ETn elements on gene expression is stronger on genes in closer proximity. About 25% of genes located within 20 kb of an ETn element, but only 5% of genes located at a distance between 50 and 100 kb from the nearest ETn insertion, become upregulated in Chr4-cl KO ES cells. Importantly however, the correlation is still significant for genes that are located at distances between 50 and 100 kb from the nearest ETn insertion, indicating that ETn elements can act as long-range enhancers of gene expression in the absence of KRAB-ZFPs that target them. To confirm that Chr4-cl KRAB-ZFPs such as GM13051 block ETn-borne enhancers, we tested the ability of a putative ETn enhancer to activate transcription in a reporter assay. For this purpose, we cloned a 5 kb fragment spanning from the GM13051 binding site within the internal region of a truncated ETn insertion to the first exon of the Cd59a gene, which is strongly activated in Chr4-cl KO ES cells (Figure 2—figure supplement 1B). We observed strong transcriptional activity of this fragment which was significantly higher in Chr4-cl KO ES cells. Surprisingly, this activity was reduced to background when the internal segment of the ETn element was not included in the fragment, suggesting the internal segment of the ETn element, but not its LTR, contains a Chr4-cl KRAB-ZFP sensitive enhancer. To further corroborate these findings, we genetically deleted an ETn element that is located about 60 kb from the TSS of Chst1, one of the top-upregulated genes in Chr4-cl KO ES cells (Figure 3C). RT-qPCR analysis revealed that the Chst1 upregulation phenotype in Chr4-cl KO ES cells diminishes when the ETn insertion is absent, providing direct evidence that a KRAB-ZFP controlled ETn-borne enhancer regulates Chst1 expression (Figure 3D). Furthermore, ChIP-seq confirmed a general increase of H3K4me3, H3K4me1 and H3K27ac marks at ETn elements in Chr4-cl KO ES cells (Figure 3E). Notably, enhancer marks were most pronounced around the GM13051 binding site near the 3 end of the internal region, confirming that the enhancer activity of ETn is located on the internal region and not on the LTR.
### ETn retrotransposition in Chr4-cl KO and WT mice
@ -44,6 +71,10 @@ We reasoned that retrotransposon activation could account for the reduced viabil
Using this dataset, we first confirmed the polymorphic nature of both ETn and MuLV retrotransposons in laboratory mouse strains (Figure 4—figure supplement 2A), highlighting the potential of these elements to retrotranspose. To identify novel insertions, we filtered out insertions that were supported by ETn/MuLV-paired reads in more than one animal. While none of the 54 ancestry-controlled mice showed a single novel MuLV insertion, we observed greatly varying numbers of up to 80 novel ETn insertions in our pedigree (Figure 4A).
Figure 4. ETn retrotransposition in Chr4-cl KO mice. (A) Pedigree of mice used for transposon insertion screening by capture-seq in mice of different strain backgrounds. The number of novel ETn insertions (only present in one animal) are indicated. For animals whose direct ancestors have not been screened, the ETn insertions are shown in parentheses since parental inheritance cannot be excluded in that case. Germ line insertions are indicated by asterisks. All DNA samples were prepared from tail tissues unless noted (-S: spleen, -E: ear, -B:Blood) (B) Statistical analysis of ETn insertion frequency in tail tissue from 30 Chr4-cl KO, KO/WT and WT mice that were derived from one Chr4-c KO x KO/WT and two Chr4-cl KO/WT x KO/WT matings. Only DNA samples that were collected from juvenile tails were considered for this analysis. P-values were calculated using one-sided Wilcoxon Rank Sum Test. In the last panel, KO, WT and KO/WT mice derived from all matings were combined for the statistical analysis.
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To validate some of the novel ETn insertions, we designed specific PCR primers for five of the insertions and screened genomic DNA of the mice in which they were identified as well as their parents. For all tested insertions, we were able to amplify their flanking sequence and show that these insertions are absent in their parents (Figure 4—figure supplement 3A). To confirm their identity, we amplified and sequenced three of the novel full-length ETn insertions. Two of these elements (Genbank accession: MH449667-68) resembled typical ETnII elements with identical 5 and 3 LTRs and target site duplications (TSD) of 4 or 6 bp, respectively. The third sequenced element (MH449669) represented a hybrid element that contains both ETnI and MusD (ETnERV) sequences. Similar insertions can be found in the B6 reference genome; however, the identified novel insertion has a 2.5 kb deletion of the 5 end of the internal region. Additionally, the 5 and 3 LTR of this element differ in one nucleotide near the start site and contain an unusually large 248 bp TSD (containing a SINE repeat) indicating that an improper integration process might have truncated this element.
Besides novel ETn insertions that were only identified in one specific animal, we also observed three ETn insertions that could be detected in several siblings but not in their parents or any of the other screened mice. This strongly indicates that these retrotransposition events occurred in the germ line of the parents from which they were passed on to some of their offspring. One of these germ line insertions was evidently passed on from the offspring to the next generation (Figure 4A). As expected, the read numbers supporting these novel germ line insertions were comparable to the read numbers that were found in the flanking regions of annotated B6 ETn insertions (Figure 4—figure supplement 3B). In contrast, virtually all novel insertions that were only found in one animal were supported by significantly fewer reads (Figure 4—figure supplement 3B). This indicates that these elements resulted from retrotransposition events in the developing embryo and not in the zygote or parental germ cells. Indeed, we detected different sets of insertions in various tissues from the same animal (Figure 4—figure supplement 3C). Even between tail samples that were collected from the same animal at different ages, only a fraction of the new insertions were present in both samples, while technical replicates from the same genomic DNA samples showed a nearly complete overlap in insertions (Figure 4—figure supplement 3D).
@ -58,6 +89,41 @@ Despite a lack of widespread ETn activation in Chr4-cl KO mice, it still remains
## Materials and methods
Key resources table
| Reagent type (species) or resource | Designation | Source or reference | Identifiers | Additional information |
|------------------------------------------|----------------------------------------|-----------------------------------|-------------------------------------|------------------------------------------------------|
| Strain, strain background (Mus musculus) | 129 × 1/SvJ | The Jackson Laboratory | 000691 | Mice used to generate mixed strain Chr4-cl KO mice |
| Cell line (Homo-sapiens) | HeLa | ATCC | ATCC CCL-2 | |
| Cell line (Mus musculus) | JM8A3.N1 C57BL/6N-Atm1Brd | KOMP Repository | PL236745 | B6 ES cells used to generate KO cell lines and mice |
| Cell line (Mus musculus) | B6;129 Gt(ROSA)26Sortm1(cre/ERT)Nat/J | The Jackson Laboratory | 004847 | ES cells used to generate KO cell lines and mice |
| Cell line (Mus musculus) | R1 ES cells | Andras Nagy lab | R1 | 129 ES cells used to generate KO cell lines and mice |
| Cell line (Mus musculus) | F9 Embryonic carcinoma cells | ATCC | ATCC CRL-1720 | |
| Antibody | Mouse monoclonal ANTI-FLAG M2 antibody | Sigma-Aldrich | Cat# F1804, RRID:AB\_262044 | ChIP (1 µg/107 cells) |
| Antibody | Rabbit polyclonal anti-HA | Abcam | Cat# ab9110, RRID:AB\_307019 | ChIP (1 µg/107 cells) |
| Antibody | Mouse monoclonal anti-HA | Covance | Cat# MMS-101P-200, RRID:AB\_10064068 | |
| Antibody | Rabbit polyclonal anti-H3K9me3 | Active Motif | Cat# 39161, RRID:AB\_2532132 | ChIP (3 µl/107 cells) |
| Antibody | Rabbit polyclonal anti-GFP | Thermo Fisher Scientific | Cat# A-11122, RRID:AB\_221569 | ChIP (1 µg/107 cells) |
| Antibody | Rabbit polyclonal anti- H3K4me3 | Abcam | Cat# ab8580, RRID:AB\_306649 | ChIP (1 µg/107 cells) |
| Antibody | Rabbit polyclonal anti- H3K4me1 | Abcam | Cat# ab8895, RRID:AB\_306847 | ChIP (1 µg/107 cells) |
| Antibody | Rabbit polyclonal anti- H3K27ac | Abcam | Cat# ab4729, RRID:AB\_2118291 | ChIP (1 µg/107 cells) |
| Recombinant DNA reagent | pCW57.1 | Addgene | RRID:Addgene\_41393 | Inducible lentiviral expression vector |
| Recombinant DNA reagent | pX330-U6-Chimeric\_BB-CBh-hSpCas9 | Addgene | RRID:Addgene\_42230 | CRISPR/Cas9 expression construct |
| Sequence-based reagent | Chr2-cl KO gRNA.1 | This paper | Cas9 gRNA | GCCGTTGCTCAGTCCAAATG |
| Sequenced-based reagent | Chr2-cl KO gRNA.2 | This paper | Cas9 gRNA | GATACCAGAGGTGGCCGCAAG |
| Sequenced-based reagent | Chr4-cl KO gRNA.1 | This paper | Cas9 gRNA | GCAAAGGGGCTCCTCGATGGA |
| Sequence-based reagent | Chr4-cl KO gRNA.2 | This paper | Cas9 gRNA | GTTTATGGCCGTGCTAAGGTC |
| Sequenced-based reagent | Chr10-cl KO gRNA.1 | This paper | Cas9 gRNA | GTTGCCTTCATCCCACCGTG |
| Sequenced-based reagent | Chr10-cl KO gRNA.2 | This paper | Cas9 gRNA | GAAGTTCGACTTGGACGGGCT |
| Sequenced-based reagent | Chr13.1-cl KO gRNA.1 | This paper | Cas9 gRNA | GTAACCCATCATGGGCCCTAC |
| Sequenced-based reagent | Chr13.1-cl KO gRNA.2 | This paper | Cas9 gRNA | GGACAGGTTATAGGTTTGAT |
| Sequenced-based reagent | Chr13.2-cl KO gRNA.1 | This paper | Cas9 gRNA | GGGTTTCTGAGAAACGTGTA |
| Sequenced-based reagent | Chr13.2-cl KO gRNA.2 | This paper | Cas9 gRNA | GTGTAATGAGTTCTTATATC |
| Commercial assay or kit | SureSelectQXT Target Enrichment kit | Agilent | G9681-90000 | |
| Software, algorithm | Bowtie | http://bowtie-bio.sourceforge.net | RRID:SCR\_005476 | |
| Software, algorithm | MACS14 | https://bio.tools/macs | RRID:SCR\_013291 | |
| Software, algorithm | Tophat | https://ccb.jhu.edu | RRID:SCR\_013035 | |
### Cell lines and transgenic mice
Mouse ES cells and F9 EC cells were cultivated as described previously (Wolf et al., 2015b) unless stated otherwise. Chr4-cl KO ES cells originate from B6;129 Gt(ROSA)26Sortm1(cre/ERT)Nat/J mice (Jackson lab), all other KRAB-ZFP cluster KO ES cell lines originate from JM8A3.N1 C57BL/6N-Atm1Brd ES cells (KOMP Repository). Chr2-cl KO and WT ES cells were initially grown in serum-containing media (Wolf et al., 2015b) but changed to 2i media (De Iaco et al., 2017) for several weeks before analysis. To generate Chr4-cl and Chr2-cl KO mice, the cluster deletions were repeated in B6 ES (KOMP repository) or R1 (Nagy lab) ES cells, respectively, and heterozygous clones were injected into B6 albino blastocysts. Chr2-cl KO mice were therefore kept on a mixed B6/Svx129/Sv-CP strain background while Chr4-cl KO mice were initially derived on a pure C57BL/6 background. For capture-seq screens, Chr4-cl KO mice were crossed with 129 × 1/SvJ mice (Jackson lab) to produce the founder mice for Chr4-cl KO and WT (B6/129 F1) offspring. Chr4-cl KO/WT (B6/129 F1) were also crossed with 129 × 1/SvJ mice to get Chr4-cl KO/WT (B6/129 F1) mice, which were intercrossed to give rise to the parents of Chr4-cl KO/KO and KO/WT (B6/129 F2) offspring.
@ -96,173 +162,99 @@ The retrotransposition vectors pCMV-MusD2, pCMV-MusD2-neoTNF and pCMV-ETnI1-neoT
To identify novel retrotransposon insertions, genomic DNA from various tissues (Supplementary file 4) was purified and used for library construction with target enrichment using the SureSelectQXT Target Enrichment kit (Agilent). Custom RNA capture probes were designed to hybridize with the 120 bp 5 ends of the 5 LTRs and the 120 bp 3 ends of the 3 LTR of about 600 intact (internal region flanked by two LTRs) MMETn/RLTRETN retrotransposons or of 140 RLTR4\_MM/RLTR4 retrotransposons that were upregulated in Chr4-cl KO ES cells (Figure 4—source data 2). Enriched libraries were sequenced on an Illumina HiSeq as paired-end 50 bp reads. R1 and R2 reads were mapped to the mm9 genome separately, using settings that only allow non-duplicated, uniquely mappable reads (Bowtie -m 1 --best --strata; samtools rmdup -s) and under settings that allow multimapping and duplicated reads (Bowtie --best). Of the latter, only reads that overlap (min. 50% of read) with RLTRETN, MMETn-int, ETnERV-int, ETnERV2-int or ETnERV3-int repeats (ETn) or RLTR4, RLTR4\_MM-int or MuLV-int repeats (RLTR4) were kept. Only uniquely mappable reads whose paired reads were overlapping with the repeats mentioned above were used for further analysis. All ETn- and RLTR4-paired reads were then clustered (as bed files) using BEDTools (bedtools merge -i -n -d 1000) to receive a list of all potential annotated and non-annotated new ETn or RLTR4 insertion sites and all overlapping ETn- or RLTR4-paired reads were counted for each sample at each locus. Finally, all regions that were located within 1 kb of an annotated RLTRETN, MMETn-int, ETnERV-int, ETnERV2-int or ETnERV3-int repeat as well as regions overlapping with previously identified polymorphic ETn elements (Nellåker et al., 2012) were removed. Genomic loci with at least 10 reads per million unique ETn- or RLTR4-paired reads were considered as insertion sites. To qualify for a de-novo insertion, we allowed no called insertions in any of the other screened mice at the locus and not a single read at the locus in the ancestors of the mouse. Insertions at the same locus in at least two siblings from the same offspring were considered as germ line insertions, if the insertion was absent in the parents and mice who were not direct descendants from these siblings. Full-length sequencing of new ETn insertions was done by Sanger sequencing of short PCR products in combination with Illumina sequencing of a large PCR product (Supplementary file 3), followed by de-novo assembly using the Unicycler software.
## Tables
## Funding Information
Table 1.: * Number of protein-coding KRAB-ZFP genes identified in a previously published screen (Imbeault et al., 2017) and the ChIP-seq data column indicates the number of KRAB-ZFPs for which ChIP-seq was performed in this study.
This paper was supported by the following grants:
| Cluster | Location | Size (Mb) | # of KRAB-ZFPs* | ChIP-seq data |
|-----------|------------|-------------|-------------------|-----------------|
| Chr2 | Chr2 qH4 | 3.1 | 40 | 17 |
| Chr4 | Chr4 qE1 | 2.3 | 21 | 19 |
| Chr10 | Chr10 qC1 | 0.6 | 6 | 1 |
| Chr13.1 | Chr13 qB3 | 1.2 | 6 | 2 |
| Chr13.2 | Chr13 qB3 | 0.8 | 26 | 12 |
| Chr8 | Chr8 qB3.3 | 0.1 | 4 | 4 |
| Chr9 | Chr9 qA3 | 0.1 | 4 | 2 |
| Other | - | - | 248 | 4 |
- http://dx.doi.org/10.13039/100009633Eunice Kennedy Shriver National Institute of Child Health and Human Development 1ZIAHD008933 to Todd S Macfarlan.
- http://dx.doi.org/10.13039/501100001711Swiss National Science Foundation 310030\_152879 to Didier Trono.
- http://dx.doi.org/10.13039/501100001711Swiss National Science Foundation 310030B\_173337 to Didier Trono.
- http://dx.doi.org/10.13039/501100000781European Research Council No. 268721 to Didier Trono.
- http://dx.doi.org/10.13039/501100000781European Research Council No 694658 to Didier Trono.
Key resources table:
## Acknowledgements
| Reagent type (species) or resource | Designation | Source or reference | Identifiers | Additional information |
|------------------------------------------|----------------------------------------|-----------------------------------|-------------------------------------|------------------------------------------------------|
| Strain, strain background (Mus musculus) | 129 × 1/SvJ | The Jackson Laboratory | 000691 | Mice used to generate mixed strain Chr4-cl KO mice |
| Cell line (Homo-sapiens) | HeLa | ATCC | ATCC CCL-2 | |
| Cell line (Mus musculus) | JM8A3.N1 C57BL/6N-Atm1Brd | KOMP Repository | PL236745 | B6 ES cells used to generate KO cell lines and mice |
| Cell line (Mus musculus) | B6;129 Gt(ROSA)26Sortm1(cre/ERT)Nat/J | The Jackson Laboratory | 004847 | ES cells used to generate KO cell lines and mice |
| Cell line (Mus musculus) | R1 ES cells | Andras Nagy lab | R1 | 129 ES cells used to generate KO cell lines and mice |
| Cell line (Mus musculus) | F9 Embryonic carcinoma cells | ATCC | ATCC CRL-1720 | |
| Antibody | Mouse monoclonal ANTI-FLAG M2 antibody | Sigma-Aldrich | Cat# F1804, RRID:AB\_262044 | ChIP (1 µg/107 cells) |
| Antibody | Rabbit polyclonal anti-HA | Abcam | Cat# ab9110, RRID:AB\_307019 | ChIP (1 µg/107 cells) |
| Antibody | Mouse monoclonal anti-HA | Covance | Cat# MMS-101P-200, RRID:AB\_10064068 | |
| Antibody | Rabbit polyclonal anti-H3K9me3 | Active Motif | Cat# 39161, RRID:AB\_2532132 | ChIP (3 µl/107 cells) |
| Antibody | Rabbit polyclonal anti-GFP | Thermo Fisher Scientific | Cat# A-11122, RRID:AB\_221569 | ChIP (1 µg/107 cells) |
| Antibody | Rabbit polyclonal anti- H3K4me3 | Abcam | Cat# ab8580, RRID:AB\_306649 | ChIP (1 µg/107 cells) |
| Antibody | Rabbit polyclonal anti- H3K4me1 | Abcam | Cat# ab8895, RRID:AB\_306847 | ChIP (1 µg/107 cells) |
| Antibody | Rabbit polyclonal anti- H3K27ac | Abcam | Cat# ab4729, RRID:AB\_2118291 | ChIP (1 µg/107 cells) |
| Recombinant DNA reagent | pCW57.1 | Addgene | RRID:Addgene\_41393 | Inducible lentiviral expression vector |
| Recombinant DNA reagent | pX330-U6-Chimeric\_BB-CBh-hSpCas9 | Addgene | RRID:Addgene\_42230 | CRISPR/Cas9 expression construct |
| Sequence-based reagent | Chr2-cl KO gRNA.1 | This paper | Cas9 gRNA | GCCGTTGCTCAGTCCAAATG |
| Sequenced-based reagent | Chr2-cl KO gRNA.2 | This paper | Cas9 gRNA | GATACCAGAGGTGGCCGCAAG |
| Sequenced-based reagent | Chr4-cl KO gRNA.1 | This paper | Cas9 gRNA | GCAAAGGGGCTCCTCGATGGA |
| Sequence-based reagent | Chr4-cl KO gRNA.2 | This paper | Cas9 gRNA | GTTTATGGCCGTGCTAAGGTC |
| Sequenced-based reagent | Chr10-cl KO gRNA.1 | This paper | Cas9 gRNA | GTTGCCTTCATCCCACCGTG |
| Sequenced-based reagent | Chr10-cl KO gRNA.2 | This paper | Cas9 gRNA | GAAGTTCGACTTGGACGGGCT |
| Sequenced-based reagent | Chr13.1-cl KO gRNA.1 | This paper | Cas9 gRNA | GTAACCCATCATGGGCCCTAC |
| Sequenced-based reagent | Chr13.1-cl KO gRNA.2 | This paper | Cas9 gRNA | GGACAGGTTATAGGTTTGAT |
| Sequenced-based reagent | Chr13.2-cl KO gRNA.1 | This paper | Cas9 gRNA | GGGTTTCTGAGAAACGTGTA |
| Sequenced-based reagent | Chr13.2-cl KO gRNA.2 | This paper | Cas9 gRNA | GTGTAATGAGTTCTTATATC |
| Commercial assay or kit | SureSelectQXT Target Enrichment kit | Agilent | G9681-90000 | |
| Software, algorithm | Bowtie | http://bowtie-bio.sourceforge.net | RRID:SCR\_005476 | |
| Software, algorithm | MACS14 | https://bio.tools/macs | RRID:SCR\_013291 | |
| Software, algorithm | Tophat | https://ccb.jhu.edu | RRID:SCR\_013035 | |
We thank Alex Grinberg, Jeanne Yimdjo and Victoria Carter for generating and maintaining transgenic mice. We also thank members of the Macfarlan and Trono labs for useful discussion, Steven Coon, James Iben, Tianwei Li and Anna Malawska for NGS and computational support. This work was supported by NIH grant 1ZIAHD008933 and the NIH DDIR Innovation Award program (TSM), and by subsidies from the Swiss National Science Foundation (310030\_152879 and 310030B\_173337) and the European Research Council (KRABnKAP, No. 268721; Transpos-X, No. 694658) (DT).
## Figures
## Additional information
Figure 1.: Genome-wide binding patterns of mouse KRAB-ZFPs.
(A) Probability heatmap of KRAB-ZFP binding to TEs. Blue color intensity (main field) corresponds to -log10 (adjusted p-value) enrichment of ChIP-seq peak overlap with TE groups (Fishers exact test). The green/red color intensity (top panel) represents mean KAP1 (GEO accession: GSM1406445) and H3K9me3 (GEO accession: GSM1327148) enrichment (respectively) at peaks overlapping significantly targeted TEs (adjusted p-value&lt;1e-5) in WT ES cells. (B) Summarized ChIP-seq signal for indicated KRAB-ZFPs and previously published KAP1 and H3K9me3 in WT ES cells across 127 intact ETn elements. (C) Heatmaps of KRAB-ZFP ChIP-seq signal at ChIP-seq peaks. For better comparison, peaks for all three KRAB-ZFPs were called with the same parameters (p&lt;1e-10, peak enrichment &gt;20). The top panel shows a schematic of the arrangement of the contact amino acid composition of each zinc finger. Zinc fingers are grouped and colored according to similarity, with amino acid differences relative to the five consensus fingers highlighted in white.
Figure 1—source data 1.KRAB-ZFP expression in 40 mouse tissues and cell lines (ENCODE).Mean values of replicates are shown as log2 transcripts per million.
Figure 1—source data 2.Probability heatmap of KRAB-ZFP binding to TEs.Values corresponds to -log10 (adjusted p-value) enrichment of ChIP-seq peak overlap with TE groups (Fishers exact test).
## Additional files
<!-- image -->
## Data availability
Figure 1—figure supplement 1.: ES cell-specific expression of KRAB-ZFP gene clusters.
(A) Heatmap showing expression patterns of mouse KRAB-ZFPs in 40 mouse tissues and cell lines (ENCODE). Heatmap colors indicate gene expression levels in log2 transcripts per million (TPM). The asterisk indicates a group of 30 KRAB-ZFPs that are exclusively expressed in ES cells. (B) Physical location of the genes encoding for the 30 KRAB-ZFPs that are exclusively expressed in ES cells. (C) Phylogenetic (Maximum likelihood) tree of the KRAB domains of mouse KRAB-ZFPs. KRAB-ZFPs encoded on the gene clusters on chromosome 2 and 4 are highlighted. The scale bar at the bottom indicates amino acid substitutions per site.
All NGS data has been deposited in GEO (GSE115291). Sequences of full-length de novo ETn insertions have been deposited in the GenBank database (MH449667- MH449669).
<!-- image -->
The following datasets were generated:
Figure 1—figure supplement 2.: KRAB-ZFP binding motifs and their repression activity.
(A) Comparison of computationally predicted (bottom) and experimentally determined (top) KRAB-ZFP binding motifs. Only significant pairs are shown (FDR &lt; 0.1). (B) Luciferase reporter assays to confirm KRAB-ZFP repression of the identified target sites. Bars show the luciferase activity (normalized to Renilla luciferase) of reporter plasmids containing the indicated target sites cloned upstream of the SV40 promoter. Reporter plasmids were co-transfected into 293 T cells with a Renilla luciferase plasmid for normalization and plasmids expressing the targeting KRAB-ZFP. Normalized mean luciferase activity (from three replicates) is shown relative to luciferase activity of the reporter plasmid co-transfected with an empty pcDNA3.1 vector.
Wolf G. Retrotransposon reactivation and mobilization upon deletions of megabase scale KRAB zinc finger gene clusters in mice. NCBI Gene Expression Omnibus (2019). NCBI: GSE115291
<!-- image -->
Wolf G. Mus musculus musculus strain C57BL/6x129X1/SvJ retrotransposon MMETn-int, complete sequence. NCBI GenBank (2019). NCBI: MH449667
Figure 1—figure supplement 3.: KRAB-ZFP binding to ETn retrotransposons.
(A) Comparison of the PBSLys1,2 sequence with Zfp961 binding motifs in nonrepetitive peaks (Nonrep) and peaks at ETn elements. (B) Retrotransposition assays of original (ETnI1-neoTNF and MusD2-neoTNF Ribet et al., 2004) and modified reporter vectors where the Rex2 or Gm13051 binding motifs where removed. Schematic of reporter vectors are displayed at the top. HeLa cells were transfected as described in the Materials and Methods section and neo-resistant colonies, indicating retrotransposition events, were selected and stained. (C) Stem-loop structure of the ETn RNA export signal, the Gm13051 motif on the corresponding DNA is marked with red circles, the part of the motif that was deleted is indicated with grey crosses (adapted from Legiewicz et al., 2010).
Wolf G. Mus musculus musculus strain C57BL/6x129X1/SvJ retrotransposon MMETn-int, complete sequence. NCBI GenBank (2019). NCBI: MH449668
<!-- image -->
Wolf G. Mus musculus musculus strain C57BL/6x129X1/SvJ retrotransposon MMETn-int, complete sequence. NCBI GenBank (2019). NCBI: MH449669
Figure 2.: Retrotransposon reactivation in KRAB-ZFP cluster KO ES cells.
(A) RNA-seq analysis of TE expression in five KRAB-ZFP cluster KO ES cells. Green and grey squares on top of the panel represent KRAB-ZFPs with or without ChIP-seq data, respectively, within each deleted gene cluster. Reactivated TEs that are bound by one or several KRAB-ZFPs are indicated by green squares in the panel. Significantly up- and downregulated elements (adjusted p-value&lt;0.05) are highlighted in red and green, respectively. (B) Differential KAP1 binding and H3K9me3 enrichment at TE groups (summarized across all insertions) in Chr2-cl and Chr4-cl KO ES cells. TE groups targeted by one or several KRAB-ZFPs encoded within the deleted clusters are highlighted in blue (differential enrichment over the entire TE sequences) and red (differential enrichment at TE regions that overlap with KRAB-ZFP ChIP-seq peaks). (C) DNA methylation status of CpG sites at indicated TE groups in WT and Chr4-cl KO ES cells grown in serum containing media or in hypomethylation-inducing media (2i + Vitamin C). P-values were calculated using paired t-test.
Figure 2—source data 1.Differential H3K9me3 and KAP1 distribution in WT and KRAB-ZFP cluster KO ES cells at TE families and KRAB-ZFP bound TE insertions.Differential read counts and statistical testing were determined by DESeq2.
The following previously published datasets were used:
<!-- image -->
Castro-Diaz N, Ecco G, Coluccio A, Kapopoulou A, Duc J, Trono D. Evollutionally dynamic L1 regulation in embryonic stem cells. NCBI Gene Expression Omnibus (2014). NCBI: GSM1406445
Figure 2—figure supplement 1.: Epigenetic changes at TEs and TE-borne enhancers in KRAB-ZFP cluster KO ES cells.
(A) Differential analysis of summative (all individual insertions combined) H3K9me3 enrichment at TE groups in Chr10-cl, Chr13.1-cl and Chr13.2-cl KO ES cells. TE groups targeted by one or several KRAB-ZFPs encoded within the deleted clusters are highlighted in orange (differential enrichment over the entire TE sequences) and red (differential enrichment at TE regions that overlap with KRAB-ZFP ChIP-seq peaks). (B) Top: Schematic view of the Cd59a/Cd59b locus with a 5 truncated ETn insertion. ChIP-seq (Input subtracted from ChIP) data for overexpressed epitope-tagged Gm13051 (a Chr4-cl KRAB-ZFP) in F9 EC cells, and re-mapped KAP1 (GEO accession: GSM1406445) and H3K9me3 (GEO accession: GSM1327148) in WT ES cells are shown together with RNA-seq data from Chr4-cl WT and KO ES cells (mapped using Bowtie (-a -m 1 --strata -v 2) to exclude reads that cannot be uniquely mapped). Bottom: Transcriptional activity of a 5 kb fragment with or without fragments of the ETn insertion was tested by luciferase reporter assay in Chr4-cl WT and KO ES cells.
<!-- image -->
Figure 3.: TE-dependent gene activation in KRAB-ZFP cluster KO ES cells.
(A) Differential gene expression in Chr2-cl and Chr4-cl KO ES cells. Significantly up- and downregulated genes (adjusted p-value&lt;0.05) are highlighted in red and green, respectively, KRAB-ZFP genes within the deleted clusters are shown in blue. (B) Correlation of TEs and gene deregulation. Plots show enrichment of TE groups within 100 kb of up- and downregulated genes relative to all genes. Significantly overrepresented LTR and LINE groups (adjusted p-value&lt;0.1) are highlighted in blue and red, respectively. (C) Schematic view of the downstream region of Chst1 where a 5 truncated ETn insertion is located. ChIP-seq (Input subtracted from ChIP) data for overexpressed epitope-tagged Gm13051 (a Chr4-cl KRAB-ZFP) in F9 EC cells, and re-mapped KAP1 (GEO accession: GSM1406445) and H3K9me3 (GEO accession: GSM1327148) in WT ES cells are shown together with RNA-seq data from Chr4-cl WT and KO ES cells (mapped using Bowtie (-a -m 1 --strata -v 2) to exclude reads that cannot be uniquely mapped). (D) RT-qPCR analysis of Chst1 mRNA expression in Chr4-cl WT and KO ES cells with or without the CRISPR/Cas9 deleted ETn insertion near Chst1. Values represent mean expression (normalized to Gapdh) from three biological replicates per sample (each performed in three technical replicates) in arbitrary units. Error bars represent standard deviation and asterisks indicate significance (p&lt;0.01, Students t-test). n.s.: not significant. (E) Mean coverage of ChIP-seq data (Input subtracted from ChIP) in Chr4-cl WT and KO ES cells over 127 full-length ETn insertions. The binding sites of the Chr4-cl KRAB-ZFPs Rex2 and Gm13051 are indicated by dashed lines.
<!-- image -->
Figure 4.: ETn retrotransposition in Chr4-cl KO mice.
(A) Pedigree of mice used for transposon insertion screening by capture-seq in mice of different strain backgrounds. The number of novel ETn insertions (only present in one animal) are indicated. For animals whose direct ancestors have not been screened, the ETn insertions are shown in parentheses since parental inheritance cannot be excluded in that case. Germ line insertions are indicated by asterisks. All DNA samples were prepared from tail tissues unless noted (-S: spleen, -E: ear, -B:Blood) (B) Statistical analysis of ETn insertion frequency in tail tissue from 30 Chr4-cl KO, KO/WT and WT mice that were derived from one Chr4-c KO x KO/WT and two Chr4-cl KO/WT x KO/WT matings. Only DNA samples that were collected from juvenile tails were considered for this analysis. P-values were calculated using one-sided Wilcoxon Rank Sum Test. In the last panel, KO, WT and KO/WT mice derived from all matings were combined for the statistical analysis.
Figure 4—source data 1.Coordinates of identified novel ETn insertions and supporting capture-seq read counts.Genomic regions indicate cluster of supporting reads.
Figure 4—source data 2.Sequences of capture-seq probes used to enrich genomic DNA for ETn and MuLV (RLTR4) insertions.
<!-- image -->
Figure 4—figure supplement 1.: Birth statistics of KRAB-ZFP cluster KO mice and TE reactivation in adult tissues.
(A) Birth statistics of Chr4- and Chr2-cl mice derived from KO/WT x KO/WT matings in different strain backgrounds. (B) RNA-seq analysis of TE expression in Chr2- (left) and Chr4-cl (right) KO tissues. TE groups with the highest reactivation phenotype in ES cells are shown separately. Significantly up- and downregulated elements (adjusted p-value&lt;0.05) are highlighted in red and green, respectively. Experiments were performed in at least two biological replicates.
<!-- image -->
Figure 4—figure supplement 2.: Identification of polymorphic ETn and MuLV retrotransposon insertions in Chr4-cl KO and WT mice.
Heatmaps show normalized capture-seq read counts in RPM (Read Per Million) for identified polymorphic ETn (A) and MuLV (B) loci in different mouse strains. Only loci with strong support for germ line ETn or MuLV insertions (at least 100 or 3000 ETn or MuLV RPM, respectively) in at least two animals are shown. Non-polymorphic insertion loci with high read counts in all screened mice were excluded for better visibility. The sample information (sample name and cell type/tissue) is annotated at the bottom, with the strain information indicated by color at the top. The color gradient indicates log10(RPM+1).
<!-- image -->
Figure 4—figure supplement 3.: Confirmation of novel ETn insertions identified by capture-seq.
(A) PCR validation of novel ETn insertions in genomic DNA of three littermates (IDs: T09673, T09674 and T00436) and their parents (T3913 and T3921). Primer sequences are shown in Supplementary file 3. (B) ETn capture-seq read counts (RPM) at putative novel somatic (loci identified exclusively in one single animal), novel germ line (loci identified in several littermates) insertions, and at B6 reference ETn elements. (C) Heatmap shows capture-seq read counts (RPM) of a Chr4-cl KO mouse (ID: C6733) as determined in different tissues. Each row represents a novel ETn locus that was identified in at least one tissue. The color gradient indicates log10(RPM+1). (D) Heatmap shows the capture-seq RPM in technical replicates using the same Chr4-cl KO DNA sample (rep1/rep2) or replicates with DNA samples prepared from different sections of the tail from the same mouse at different ages (tail1/tail2). Each row represents a novel ETn locus that was identified in at least one of the displayed samples. The color gradient indicates log10(RPM+1).
<!-- image -->
Andrew ZX. H3K9me3\_ChIPSeq (Ctrl). NCBI Gene Expression Omnibus (2014). NCBI: GSM1327148
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<section_header_level_1><location><page_1><loc_22><loc_83><loc_41><loc_84></location>Figures Example</section_header_level_1>
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<caption>Figure 1: This is an example image.</caption>
</figure>
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<figure>
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<caption>Figure 2: This is an example image.</caption>
</figure>
<text><location><page_2><loc_22><loc_15><loc_78><loc_31></location>Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet. Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet. Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum.</text>
</document>
<doctag><section_header_level_1><loc_109><loc_79><loc_206><loc_87>Figures Example</section_header_level_1>
<text><loc_109><loc_94><loc_390><loc_183>Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet. Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet. Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet.</text>
<picture><loc_110><loc_192><loc_389><loc_322><caption><loc_185><loc_334><loc_314><loc_340>Figure 1: This is an example image.</caption></picture>
<text><loc_109><loc_349><loc_390><loc_423>Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet. Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua. At vero eos et accusam et justo duo dolores et ea rebum. Stet clita kasd gubergren, no sea takimata sanctus est Lorem ipsum dolor sit amet. Lorem ipsum dolor sit amet, consetetur sadipscing elitr, sed diam nonumy eirmod tempor invidunt ut labore et dolore magna aliquyam erat, sed diam voluptua.</text>
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<picture><loc_179><loc_176><loc_320><loc_321><caption><loc_185><loc_330><loc_314><loc_336>Figure 2: This is an example image.</caption></picture>
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item-0 at level 0: unspecified: group _root_
item-1 at level 1: title: The coreceptor mutation CCR5Δ32 ... V epidemics and is selected for by HIV
item-2 at level 2: paragraph: Amy D. Sullivan, Janis Wigginton, Denise Kirschner
item-3 at level 2: paragraph: Department of Microbiology and I ... dical School, Ann Arbor, MI 48109-0620
item-4 at level 2: section_header: Abstract
item-5 at level 3: text: We explore the impact of a host ... creasing the frequency of this allele.
item-6 at level 2: text: Nineteen million people have die ... factors such as host genetics (4, 5).
item-7 at level 2: text: To exemplify the contribution of ... follow the CCR5Δ32 allelic frequency.
item-8 at level 2: text: We hypothesize that CCR5Δ32 limi ... g the frequency of this mutant allele.
item-9 at level 2: text: CCR5 is a host-cell chemokine re ... iral strain (such as X4 or R5X4) (30).
item-10 at level 2: section_header: The Model
item-11 at level 3: text: Because we are most concerned wi ... t both economic and social conditions.
item-12 at level 3: picture
item-12 at level 4: caption: Figure 1 A schematic representation of the basic compartmental HIV epidemic model. The criss-cross lines indicate the sexual mixing between different compartments. Each of these interactions has a positive probability of taking place; they also incorporate individual rates of transmission indicated as λ, but in full notation is λ î,,→i,j, where i,j,k is the phenotype of the infected partner and î, is the phenotype of the susceptible partner. Also shown are the different rates of disease progression, γ i,j,k , that vary according to genotype, gender, and stage. Thus, the interactions between different genotypes, genders, and stages are associated with a unique probability of HIV infection. M, male; F, female.
item-13 at level 3: table with [6x5]
item-13 at level 4: caption: Table 1 Children's genotype
item-14 at level 3: section_header: Parameter Estimates for the Model.
item-15 at level 4: text: Estimates for rates that govern ... d in Fig. 1 are summarized as follows:
item-16 at level 4: formula: \frac{dS_{i,j}(t)}{dt}={\chi}_{ ... ,\hat {k}{\rightarrow}i,j}S_{i,j}(t),
item-17 at level 4: formula: \hspace{1em}\hspace{1em}\hspace ... j,A}(t)-{\gamma}_{i,j,A}I_{i,j,A}(t),
item-18 at level 4: formula: \frac{dI_{i,j,B}(t)}{dt}={\gamm ... j,B}(t)-{\gamma}_{i,j,B}I_{i,j,B}(t),
item-19 at level 4: formula: \frac{dA(t)}{dt}={\gamma}_{i,j, ... \right) -{\mu}_{A}A(t)-{\delta}A(t),
item-20 at level 4: text: where, in addition to previously ... on of the infected partner, and j ≠ .
item-21 at level 4: table with [14x5]
item-21 at level 5: caption: Table 2 Transmission probabilities
item-22 at level 4: table with [8x3]
item-22 at level 5: caption: Table 3 Progression rates
item-23 at level 4: table with [20x3]
item-23 at level 5: caption: Table 4 Parameter values
item-24 at level 4: text: The effects of the CCR5 W/Δ32 an ... nting this probability of infection is
item-25 at level 4: formula: {\lambda}_{\hat {i},\hat {j},\h ... \hat {i},\hat {j},\hat {k}} \right] ,
item-26 at level 4: text: where j ≠  is either male or fe ... e those with AIDS in the simulations).
item-27 at level 4: text: The average rate of partner acqu ... owing the male rates to vary (36, 37).
item-28 at level 4: section_header: Transmission probabilities.
item-29 at level 5: text: The effect of a genetic factor i ... reported; ref. 42) (ref. 43, Table 2).
item-30 at level 5: text: Given the assumption of no treat ... ases during the end stage of disease).
item-31 at level 4: section_header: Disease progression.
item-32 at level 5: text: We assume three stages of HIV in ... ssion rates are summarized in Table 3.
item-33 at level 3: section_header: Demographic Setting.
item-34 at level 4: text: Demographic parameters are based ... [suppressing (t) notation]: χ1,j 1,j =
item-35 at level 4: formula: B_{r}\hspace{.167em}{ \,\substa ... }+I_{2,M,k})}{N_{M}} \right] + \right
item-36 at level 4: formula: p_{v} \left \left( \frac{(I_{1, ... ght] \right) \right] ,\hspace{.167em}
item-37 at level 4: text: where the probability of HIV ver ... heir values are summarized in Table 4.
item-38 at level 2: section_header: Prevalence of HIV
item-39 at level 3: section_header: Demographics and Model Validation.
item-40 at level 4: text: The model was validated by using ... 5% to capture early epidemic behavior.
item-41 at level 4: text: In deciding on our initial value ... n within given subpopulations (2, 49).
item-42 at level 4: text: In the absence of HIV infection, ... those predicted by our model (Fig. 2).
item-43 at level 4: picture
item-43 at level 5: caption: Figure 2 Model simulation of HIV infection in a population lacking the protective CCR5Δ32 allele compared with national data from Kenya (healthy adults) and Mozambique (blood donors, ref. 17). The simulated population incorporates parameter estimates from sub-Saharan African demographics. Note the two outlier points from the Mozambique data were likely caused by underreporting in the early stages of the epidemic.
item-44 at level 3: section_header: Effects of the Allele on Prevalence.
item-45 at level 4: text: After validating the model in th ... among adults for total HIV/AIDS cases.
item-46 at level 4: text: Although CCR5Δ32/Δ32 homozygosit ... frequency of the mutation as 0.105573.
item-47 at level 4: text: Fig. 3 shows the prevalence of H ... mic, reaching 18% before leveling off.
item-48 at level 4: picture
item-48 at level 5: caption: Figure 3 Prevalence of HIV/AIDS in the adult population as predicted by the model. The top curve (○) indicates prevalence in a population lacking the protective allele. We compare that to a population with 19% heterozygous and 1% homozygous for the allele (implying an allelic frequency of 0.105573. Confidence interval bands (light gray) are shown around the median simulation () providing a range of uncertainty in evaluating parameters for the effect of the mutation on the infectivity and the duration of asymptomatic HIV for heterozygotes.
item-49 at level 4: text: In contrast, when a proportion o ... gins to decline slowly after 70 years.
item-50 at level 4: text: In the above simulations we assu ... in the presence of the CCR5 mutation.
item-51 at level 4: text: Because some parameters (e.g., r ... s a major influence on disease spread.
item-52 at level 2: section_header: HIV Induces Selective Pressure on Genotype Frequency
item-53 at level 3: text: To observe changes in the freque ... for ≈1,600 years before leveling off.
item-54 at level 3: picture
item-54 at level 4: caption: Figure 4 Effects of HIV-1 on selection of the CCR5Δ32 allele. The Hardy-Weinberg equilibrium level is represented in the no-infection simulation (solid lines) for each population. Divergence from the original Hardy-Weinberg equilibrium is shown to occur in the simulations that include HIV infection (dashed lines). Fraction of the total subpopulations are presented: (A) wild types (W/W), (B) heterozygotes (W/Δ32), and (C) homozygotes (Δ32/Δ32). Note that we initiate this simulation with a much lower allelic frequency (0.00105) than used in the rest of the study to better exemplify the actual selective effect over a 1,000-year time scale. (D) The allelic selection effect over a 2,000-year time scale.
item-55 at level 2: section_header: Discussion
item-56 at level 3: text: This study illustrates how popul ... pulations where the allele is present.
item-57 at level 3: text: We also observed that HIV can pr ... is) have been present for much longer.
item-58 at level 3: text: Two mathematical models have con ... ce of the pathogen constant over time.
item-59 at level 3: text: Even within our focus on host pr ... f a protective allele such as CCR5Δ32.
item-60 at level 3: text: Although our models demonstrate ... f the population to epidemic HIV (16).
item-61 at level 3: text: In assessing the HIV/AIDS epidem ... for education and prevention programs.
item-62 at level 2: section_header: Acknowledgments
item-63 at level 3: text: We thank Mark Krosky, Katia Koel ... ers for extremely insightful comments.
item-64 at level 2: section_header: References
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item-132 at level 1: caption: Figure 1 A schematic representat ... of HIV infection. M, male; F, female.
item-133 at level 1: caption: Table 1 Children's genotype
item-134 at level 1: caption: Table 2 Transmission probabilities
item-135 at level 1: caption: Table 3 Progression rates
item-136 at level 1: caption: Table 4 Parameter values
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item-139 at level 1: caption: Figure 4 Effects of HIV-1 on sel ... n effect over a 2,000-year time scale.

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# The coreceptor mutation CCR5Δ32 influences the dynamics of HIV epidemics and is selected for by HIV
Amy D. Sullivan, Janis Wigginton, Denise Kirschner
Department of Microbiology and Immunology, University of Michigan Medical School, Ann Arbor, MI 48109-0620
## Abstract
We explore the impact of a host genetic factor on heterosexual HIV epidemics by using a deterministic mathematical model. A protective allele unequally distributed across populations is exemplified in our models by the 32-bp deletion in the host-cell chemokine receptor CCR5, CCR5Δ32. Individuals homozygous for CCR5Δ32 are protected against HIV infection whereas those heterozygous for CCR5Δ32 have lower pre-AIDS viral loads and delayed progression to AIDS. CCR5Δ32 may limit HIV spread by decreasing the probability of both risk of infection and infectiousness. In this work, we characterize epidemic HIV within three dynamic subpopulations: CCR5/CCR5 (homozygous, wild type), CCR5/CCR5Δ32 (heterozygous), and CCR5Δ32/CCR5Δ32 (homozygous, mutant). Our results indicate that prevalence of HIV/AIDS is greater in populations lacking the CCR5Δ32 alleles (homozygous wild types only) as compared with populations that include people heterozygous or homozygous for CCR5Δ32. Also, we show that HIV can provide selective pressure for CCR5Δ32, increasing the frequency of this allele.
Nineteen million people have died of AIDS since the discovery of HIV in the 1980s. In 1999 alone, 5.4 million people were newly infected with HIV (ref. 1 and http://www.unaids.org/epidemicupdate/report/Epireport.html). (For brevity, HIV-1 is referred to as HIV in this paper.) Sub-Saharan Africa has been hardest hit, with more than 20% of the general population HIV-positive in some countries (2, 3). In comparison, heterosexual epidemics in developed, market-economy countries have not reached such severe levels. Factors contributing to the severity of the epidemic in economically developing countries abound, including economic, health, and social differences such as high levels of sexually transmitted diseases and a lack of prevention programs. However, the staggering rate at which the epidemic has spread in sub-Saharan Africa has not been adequately explained. The rate and severity of this epidemic also could indicate a greater underlying susceptibility to HIV attributable not only to sexually transmitted disease, economics, etc., but also to other more ubiquitous factors such as host genetics (4, 5).
To exemplify the contribution of such a host genetic factor to HIV prevalence trends, we consider a well-characterized 32-bp deletion in the host-cell chemokine receptor CCR5, CCR5Δ32. When HIV binds to host cells, it uses the CD4 receptor on the surface of host immune cells together with a coreceptor, mainly the CCR5 and CXCR4 chemokine receptors (6). Homozygous mutations for this 32-bp deletion offer almost complete protection from HIV infection, and heterozygous mutations are associated with lower pre-AIDS viral loads and delayed progression to AIDS (714). CCR5Δ32 generally is found in populations of European descent, with allelic frequencies ranging from 0 to 0.29 (13). African and Asian populations studied outside the United States or Europe appear to lack the CCR5Δ32 allele, with an allelic frequency of almost zero (5, 13). Thus, to understand the effects of a protective allele, we use a mathematical model to track prevalence of HIV in populations with or without CCR5Δ32 heterozygous and homozygous people and also to follow the CCR5Δ32 allelic frequency.
We hypothesize that CCR5Δ32 limits epidemic HIV by decreasing infection rates, and we evaluate the relative contributions to this by the probability of infection and duration of infectivity. To capture HIV infection as a chronic infectious disease together with vertical transmission occurring in untreated mothers, we model a dynamic population (i.e., populations that vary in growth rates because of fluctuations in birth or death rates) based on realistic demographic characteristics (18). This scenario also allows tracking of the allelic frequencies over time. This work considers how a specific host genetic factor affecting HIV infectivity and viremia at the individual level might influence the epidemic in a dynamic population and how HIV exerts selective pressure, altering the frequency of this mutant allele.
CCR5 is a host-cell chemokine receptor, which is also used as a coreceptor by R5 strains of HIV that are generally acquired during sexual transmission (6, 1925). As infection progresses to AIDS the virus expands its repertoire of potential coreceptors to include other CC-family and CXC-family receptors in roughly 50% of patients (19, 26, 27). CCR5Δ32 was identified in HIV-resistant people (28). Benefits to individuals from the mutation in this allele are as follows. Persons homozygous for the CCR5Δ32 mutation are almost nonexistent in HIV-infected populations (11, 12) (see ref. 13 for review). Persons heterozygous for the mutant allele (CCR5 W/Δ32) tend to have lower pre-AIDS viral loads. Aside from the beneficial effects that lower viral loads may have for individuals, there is also an altruistic effect, as transmission rates are reduced for individuals with low viral loads (as compared with, for example, AZT and other studies; ref. 29). Finally, individuals heterozygous for the mutant allele (CCR5 W/Δ32) also have a slower progression to AIDS than those homozygous for the wild-type allele (CCR5 W/W) (710), remaining in the population 2 years longer, on average. Interestingly, the dearth of information on HIV disease progression in people homozygous for the CCR5Δ32 allele (CCR5 Δ32/Δ32) stems from the rarity of HIV infection in this group (4, 12, 28). However, in case reports of HIV-infected CCR5 Δ32/Δ32 homozygotes, a rapid decline in CD4+ T cells and a high viremia are observed, likely because of initial infection with a more aggressive viral strain (such as X4 or R5X4) (30).
## The Model
Because we are most concerned with understanding the severity of the epidemic in developing countries where the majority of infection is heterosexual, we consider a purely heterosexual model. To model the effects of the allele in the population, we examine the rate of HIV spread by using an enhanced susceptible-infected-AIDS model of epidemic HIV (for review see ref. 31). Our model compares two population scenarios: a CCR5 wild-type population and one with CCR5Δ32 heterozygotes and homozygotes in addition to the wild type. To model the scenario where there are only wild-type individuals present in the population (i.e., CCR5 W/W), we track the sexually active susceptibles at time t [Si,j (t)], where i = 1 refers to genotype (CCR5 W/W only in this case) and j is either the male or female subpopulation. We also track those who are HIV-positive at time t not yet having AIDS in Ii,j,k (t) where k refers to stage of HIV infection [primary (A) or asymptomatic (B)]. The total number of individuals with AIDS at time t are tracked in A(t). The source population are children, χ i,j (t), who mature into the sexually active population at time t (Fig. 1, Table 1). We compare the model of a population lacking the CCR5Δ32 allele to a demographically similar population with a high frequency of the allele. When genetic heterogeneity is included, male and female subpopulations are each further divided into three distinct genotypic groups, yielding six susceptible subpopulations, [Si,j (t), where i ranges from 1 to 3, where 1 = CCR5W/W; 2 = CCR5 W/Δ32; 3 = CCR5 Δ32/Δ32]. The infected classes, Ii,j,k (t), also increase in number to account for these new genotype compartments. In both settings we assume there is no treatment available and no knowledge of HIV status by people in the early acute and middle asymptomatic stages (both conditions exist in much of sub-Saharan Africa). In addition, we assume that sexual mixing in the population occurs randomly with respect to genotype and HIV disease status, all HIV-infected people eventually progress to AIDS, and no barrier contraceptives are used. These last assumptions reflect both economic and social conditions.
Figure 1 A schematic representation of the basic compartmental HIV epidemic model. The criss-cross lines indicate the sexual mixing between different compartments. Each of these interactions has a positive probability of taking place; they also incorporate individual rates of transmission indicated as λ, but in full notation is λ î,,→i,j, where i,j,k is the phenotype of the infected partner and î, is the phenotype of the susceptible partner. Also shown are the different rates of disease progression, γ i,j,k , that vary according to genotype, gender, and stage. Thus, the interactions between different genotypes, genders, and stages are associated with a unique probability of HIV infection. M, male; F, female.
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Table 1 Children's genotype
| Parents | Mother | Mother | Mother | Mother |
|-----------|----------|--------------------|------------------------------|--------------------|
| | | | | |
| Father | | W/W | W/Δ32 | Δ32/Δ32 |
| | W/W | χ1,j 1,j | χ1,j 1,j, χ2,j 2,j | χ2,j 2,j |
| | W/Δ32 | χ1,j 1,j, χ2,j 2,j | χ1,j 1,j, χ2,j 2,j, χ3,j 3,j | χ2,j 2,j, χ3,j 3,j |
| | Δ32/Δ32 | χ2,j 2,j | χ2,j 2,j, χ3,j 3,j | χ3,j 3,j |
### Parameter Estimates for the Model.
Estimates for rates that govern the interactions depicted in Fig. 1 were derived from the extensive literature on HIV. Our parameters and their estimates are summarized in Tables 24. The general form of the equations describing the rates of transition between population classes as depicted in Fig. 1 are summarized as follows:
$$ \frac{dS_{i,j}(t)}{dt}={\chi}_{i,j}(t)-{\mu}_{j}S_{i,j}(t)-{\lambda}_{\hat {\imath},\hat {},\hat {k}{\rightarrow}i,j}S_{i,j}(t), $$
$$ \hspace{1em}\hspace{1em}\hspace{.167em}\frac{dI_{i,j,A}(t)}{dt}={\lambda}_{\hat {\imath},\hat {},\hat {k}{\rightarrow}i,j}S_{i,j}(t)-{\mu}_{j}I_{i,j,A}(t)-{\gamma}_{i,j,A}I_{i,j,A}(t), $$
$$ \frac{dI_{i,j,B}(t)}{dt}={\gamma}_{i,j,A}I_{i,j,A}(t)-{\mu}_{j}I_{i,j,B}(t)-{\gamma}_{i,j,B}I_{i,j,B}(t), $$
$$ \frac{dA(t)}{dt}={\gamma}_{i,j,B} \left( { \,\substack{ ^{3} \\ {\sum} \\ _{i=1} }\, }I_{i,F,B}(t)+I_{i,M,B}(t) \right) -{\mu}_{A}A(t)-{\delta}A(t), $$
where, in addition to previously defined populations and rates (with i equals genotype, j equals gender, and k equals stage of infection, either A or B), μ j , represents the non-AIDS (natural) death rate for males and females respectively, and μA is estimated by the average (μF + μM/2). This approximation allows us to simplify the model (only one AIDS compartment) without compromising the results, as most people with AIDS die of AIDS (δAIDS) and very few of other causes (μA). These estimates include values that affect infectivity (λ î,,→i,j ), transmission (β î,,→i,j ), and disease progression (γ i , j , k ) where the î,, notation represents the genotype, gender, and stage of infection of the infected partner, and j ≠ .
Table 2 Transmission probabilities
| HIV-infected partner (îıı^^, ^^, k k^^) | Susceptible partner (i, j) | Susceptible partner (i, j) | Susceptible partner (i, j) | Susceptible partner (i, j) |
|-----------------------------------------------|------------------------------|------------------------------|------------------------------|------------------------------|
| HIV-infected partner (îıı^^, ^^, k k^^) | | | | |
| HIV-infected partner (îıı^^, ^^, k k^^) | (^^ to j) | W/W | W/Δ32 | Δ32/Δ32 |
| | | | | |
| Acute/primary | | | | |
| W/W or Δ32/Δ32 | M to F | 0.040 | 0.040 | 0.00040 |
| | F to M | 0.020 | 0.020 | 0.00020 |
| W/Δ32 | M to F | 0.030 | 0.030 | 0.00030 |
| | F to M | 0.015 | 0.015 | 0.00015 |
| Asymptomatic | | | | |
| W/W or Δ32/Δ32 | M to F | 0.0010 | 0.0010 | 10 × 106 |
| | F to M | 0.0005 | 0.0005 | 5 × 106 |
| W/Δ32 | M to F | 0.0005 | 0.0005 | 5 × 106 |
| | F to M | 0.00025 | 0.00025 | 2.5 × 106 |
Table 3 Progression rates
| Genotype | Disease stage | Males/females |
|------------|-----------------|------------------|
| | | |
| W/W | A | 3.5 |
| | B | 0.16667 |
| W/Δ32 | A | 3.5 |
| | B | 0.125 |
| Δ32/Δ32 | A | 3.5 |
| | B | 0.16667 |
Table 4 Parameter values
| Parameter | Definition | Value |
|-----------------------------------------|----------------------------------------------------------|-------------------------|
| | | |
| μ F F, μ M M | All-cause mortality for adult females (males) | 0.015 (0.016) per year |
| μχχ | All-cause childhood mortality (&lt;15 years of age) | 0.01 per year |
| B r r | Birthrate | 0.25 per woman per year |
| SA F F | Percent females acquiring new partners (sexual activity) | 10% |
| SA M M | Percent males acquiring new partners (sexual activity) | 25% |
| m F F(ς$$ {\mathrm{_{{F}}^{{2}}}} $$) | Mean (variance) no. of new partners for females | 1.8 (1.2) per year |
| ς$$ {\mathrm{_{{M}}^{{2}}}} $$ | Variance in no. of new partners for males | 5.5 per year |
| 1 p v v | Probability of vertical transmission | 0.30 per birth |
| I i,j,k i,j,k(0) | Initial total population HIV-positive | 0.50% |
| χ i,j i,j(0) | Initial total children in population (&lt;15 years of age) | 45% |
| W/W (0) | Initial total wild types (W/W) in population | 80% |
| W/Δ32(0) | Initial total heterozygotes (W/Δ32) in population | 19% |
| Δ32/Δ32(0) | Initial total homozygotes (Δ32/Δ32) in population | 1% |
| r M M(r F F) | Initial percent males (females) in total population | 49% (51%) |
| ϕ F F, ϕ M M | Number of sexual contacts a female (male) has | 30 (24) per partner |
| ɛ i,j,k i,j,k | % effect of mutation on transmission rates (see Table 2) | 0 &lt; ɛ i,j,k i,j,k &lt; 1 |
| δ | Death rate for AIDS population | 1.0 per year |
| q | Allelic frequency of Δ32 allele | 0.105573 |
The effects of the CCR5 W/Δ32 and CCR5 Δ32/Δ32 genotypes are included in our model through both the per-capita probabilities of infection, λ î,,→i,j , and the progression rates, γ i , j , k . The infectivity coefficients, λ î,,→i,j , are calculated for each population subgroup based on the following: likelihood of HIV transmission in a sexual encounter between a susceptible and an infected (βîıı^^,j,k k^^→i,j ) person; formation of new partnerships (c j j); number of contacts in a given partnership (ϕ j ); and probability of encountering an infected individual (I î,, /N  ). The formula representing this probability of infection is
$$ {\lambda}_{\hat {i},\hat {j},\hat {k}{\rightarrow}i,j}=\frac{C_{j}{\cdot}{\phi}_{j}}{N_{\hat {j}}}\hspace{.167em} \left[ { \,\substack{ \\ {\sum} \\ _{\hat {i},\hat {k}} }\, }{\beta}_{\hat {i},\hat {j},\hat {k}{\rightarrow}i,j}{\cdot}I_{\hat {i},\hat {j},\hat {k}} \right] , $$
where j ≠  is either male or female. N  represents the total population of gender  (this does not include those with AIDS in the simulations).
The average rate of partner acquisition, cj , includes the mean plus the variance to mean ratio of the relevant distribution of partner-change rates to capture the small number of high-risk people: cj = mj + (ς/m j) where the mean (mj ) and variance (ς) are annual figures for new partnerships only (32). These means are estimated from Ugandan data for the number of heterosexual partners in the past year (33) and the number of nonregular heterosexual partners (i.e., spouses or long-term partners) in the past year (34). In these sexual activity surveys, men invariably have more new partnerships; thus, we assumed that they would have fewer average contacts per partnership than women (a higher rate of new partner acquisition means fewer sexual contacts with a given partner; ref. 35). To incorporate this assumption in our model, the male contacts/partnership, ϕ M , was reduced by 20%. In a given population, the numbers of heterosexual interactions must equate between males and females. The balancing equation applied here is SA F·m F·N F = SA M·m M·N M, where SAj are the percent sexually active and Nj are the total in the populations for gender j. To specify changes in partner acquisition, we apply a male flexibility mechanism, holding the female rate of acquisition constant and allowing the male rates to vary (36, 37).
#### Transmission probabilities.
The effect of a genetic factor in a model of HIV transmission can be included by reducing the transmission coefficient. The probabilities of transmission per contact with an infected partner, βîıı^^,^^,k k^^→i,j , have been estimated in the literature (see ref. 38 for estimates in minimally treated groups). We want to capture a decreased risk in transmission based on genotype (ref. 39, Table 2). No studies have directly evaluated differences in infectivity between HIV-infected CCR5 W/Δ32 heterozygotes and HIV-infected CCR5 wild types. Thus, we base estimates for reduced transmission on studies of groups with various HIV serum viral loads (40), HTLV-I/II viral loads (41), and a study of the effect of AZT treatment on transmission (29). We decrease transmission probabilities for infecting CCR5Δ32/Δ32 persons by 100-fold to reflect the rarity of infections in these persons. However, we assume that infected CCR5Δ32/Δ32 homozygotes can infect susceptibles at a rate similar to CCR5W/W homozygotes, as the former generally have high viremias (ref. 30, Table 2). We also assume that male-to-female transmission is twice as efficient as female-to-male transmission (up to a 9-fold difference has been reported; ref. 42) (ref. 43, Table 2).
Given the assumption of no treatment, the high burden of disease in people with AIDS is assumed to greatly limit their sexual activity. Our initial model excludes people with AIDS from the sexually active groups. Subsequently, we allow persons with AIDS to be sexually active, fixing their transmission rates (βAIDS) to be the same across all CCR5 genotypes, and lower than transmission rates for primary-stage infection (as the viral burden on average is not as high as during the acute phase), and larger than transmission rates for asymptomatic-stage infection (as the viral burden characteristically increases during the end stage of disease).
#### Disease progression.
We assume three stages of HIV infection: primary (acute, stage A), asymptomatic HIV (stage B), and AIDS. The rates of transition through the first two stages are denoted by γ i,j,k i,j,k, where i represents genotype, j is male/female, and k represents either stage A or stage B. Transition rates through each of these stages are assumed to be inversely proportional to the duration of that stage; however, other distributions are possible (31, 44, 45). Although viral loads generally peak in the first 2 months of infection, steady-state viral loads are established several months beyond this (46). For group A, the primary HIV-infecteds, duration is assumed to be 3.5 months. Based on results from European cohort studies (710), the beneficial effects of the CCR5 W/Δ32 genotype are observed mainly in the asymptomatic years of HIV infection; ≈7 years after seroconversion survival rates appear to be quite similar between heterozygous and homozygous individuals. We also assume that CCR5Δ32/Δ32-infected individuals and wild-type individuals progress similarly, and that men and women progress through each disease stage at the same rate. Given these observations, and that survival after infection may be shorter in untreated populations, we choose the duration time in stage B to be 6 years for wild-type individuals and 8 years for heterozygous individuals. Transition through AIDS, δAIDS, is inversely proportional to the duration of AIDS. We estimate this value to be 1 year for the time from onset of AIDS to death. The progression rates are summarized in Table 3.
### Demographic Setting.
Demographic parameters are based on data from Malawi, Zimbabwe, and Botswana (3, 47). Estimated birth and child mortality rates are used to calculate the annual numbers of children (χ i,j i,j) maturing into the potentially sexually active, susceptible group at the age of 15 years (3). For example, in the case where the mother is CCR5 wild type and the father is CCR5 wild type or heterozygous, the number of CCR5 W/W children is calculated as follows [suppressing (t) notation]: χ1,j 1,j =
$$ B_{r}\hspace{.167em}{ \,\substack{ \\ {\sum} \\ _{k} }\, } \left[ S_{1,F}\frac{(S_{1,M}+I_{1,M,k})}{N_{M}}+ \left[ (0.5)S_{1,F}\frac{(S_{2,M}+I_{2,M,k})}{N_{M}} \right] + \right $$
$$ p_{v} \left \left( \frac{(I_{1,F,k}(S_{1,M}+I_{1,M,k}))}{N_{M}}+ \left[ (0.5)I_{1,F,k}\frac{(S_{2,M}+I_{2,M,k})}{N_{M}} \right] \right) \right] ,\hspace{.167em} $$
where the probability of HIV vertical transmission, 1 pv , and the birthrate, Br , are both included in the equations together with the Mendelian inheritance values as presented in Table 1. The generalized version of this equation (i.e., χ i,j i,j) can account for six categories of children (including gender and genotype). We assume that all children of all genotypes are at risk, although we can relax this condition if data become available to support vertical protection (e.g., ref. 48). All infected children are assumed to die before age 15. Before entering the susceptible group at age 15, there is additional loss because of mortality from all non-AIDS causes occurring less than 15 years of age at a rate of μχχ × χ i,j i,j (where μχ is the mortality under 15 years of age). Children then enter the population as susceptibles at an annual rate, ς j j × χ i,j i,j/15, where ς j distributes the children 51% females and 49% males. All parameters and their values are summarized in Table 4.
## Prevalence of HIV
### Demographics and Model Validation.
The model was validated by using parameters estimated from available demographic data. Simulations were run in the absence of HIV infection to compare the model with known population growth rates. Infection was subsequently introduced with an initial low HIV prevalence of 0.5% to capture early epidemic behavior.
In deciding on our initial values for parameters during infection, we use Joint United Nations Programme on HIV/AIDS national prevalence data for Malawi, Zimbabwe, and Botswana. Nationwide seroprevalence of HIV in these countries varies from ≈11% to over 20% (3), although there may be considerable variation within given subpopulations (2, 49).
In the absence of HIV infection, the annual percent population growth rate in the model is ≈2.5%, predicting the present-day values for an average of sub-Saharan African cities (data not shown). To validate the model with HIV infection, we compare our simulation of the HIV epidemic to existing prevalence data for Kenya and Mozambique (http://www.who.int/emc-hiv/fact-sheets/pdfs/kenya.pdf and ref. 51). Prevalence data collected from these countries follow similar trajectories to those predicted by our model (Fig. 2).
Figure 2 Model simulation of HIV infection in a population lacking the protective CCR5Δ32 allele compared with national data from Kenya (healthy adults) and Mozambique (blood donors, ref. 17). The simulated population incorporates parameter estimates from sub-Saharan African demographics. Note the two outlier points from the Mozambique data were likely caused by underreporting in the early stages of the epidemic.
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### Effects of the Allele on Prevalence.
After validating the model in the wild type-only population, both CCR5Δ32 heterozygous and homozygous people are included. Parameter values for HIV transmission, duration of illness, and numbers of contacts per partner are assumed to be the same within both settings. We then calculate HIV/AIDS prevalence among adults for total HIV/AIDS cases.
Although CCR5Δ32/Δ32 homozygosity is rarely seen in HIV-positive populations (prevalence ranges between 0 and 0.004%), 120% of people in HIV-negative populations of European descent are homozygous. Thus, to evaluate the potential impact of CCR5Δ32, we estimate there are 19% CCR5 W/Δ32 heterozygous and 1% CCR5 Δ32/Δ32 homozygous people in our population. These values are in Hardy-Weinberg equilibrium with an allelic frequency of the mutation as 0.105573.
Fig. 3 shows the prevalence of HIV in two populations: one lacking the mutant CCR5 allele and another carrying that allele. In the population lacking the protective mutation, prevalence increases logarithmically for the first 35 years of the epidemic, reaching 18% before leveling off.
Figure 3 Prevalence of HIV/AIDS in the adult population as predicted by the model. The top curve (○) indicates prevalence in a population lacking the protective allele. We compare that to a population with 19% heterozygous and 1% homozygous for the allele (implying an allelic frequency of 0.105573. Confidence interval bands (light gray) are shown around the median simulation () providing a range of uncertainty in evaluating parameters for the effect of the mutation on the infectivity and the duration of asymptomatic HIV for heterozygotes.
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In contrast, when a proportion of the population carries the CCR5Δ32 allele, the epidemic increases more slowly, but still logarithmically, for the first 50 years, and HIV/AIDS prevalence reaches ≈12% (Fig. 3). Prevalence begins to decline slowly after 70 years.
In the above simulations we assume that people with AIDS are not sexually active. However, when these individuals are included in the sexually active population the severity of the epidemic increases considerably (data not shown). Consistent with our initial simulations, prevalences are still relatively lower in the presence of the CCR5 mutation.
Because some parameters (e.g., rate constants) are difficult to estimate based on available data, we implement an uncertainty analysis to assess the variability in the model outcomes caused by any inaccuracies in estimates of the parameter values with regard to the effect of the allelic mutation. For these analyses we use Latin hypercube sampling, as described in refs. 5256, Our uncertainty and sensitivity analyses focus on infectivity vs. duration of infectiousness. To this end, we assess the effects on the dynamics of the epidemic for a range of values of the parameters governing transmission and progression rates: βîıı^^,^^,k k^^→i,j and γ i,j,k i,j,k. All other parameters are held constant. These results are presented as an interval band about the average simulation for the population carrying the CCR5Δ32 allele (Fig. 3). Although there is variability in the model outcomes, the analysis indicates that the overall model predictions are consistent for a wide range of transmission and progression rates. Further, most of the variation observed in the outcome is because of the transmission rates for both heterosexual males and females in the primary stage of infection (β2,M,A → i ,F, β2,F,A → i ,M). As mentioned above, we assume lower viral loads correlate with reduced infectivity; thus, the reduction in viral load in heterozygotes has a major influence on disease spread.
## HIV Induces Selective Pressure on Genotype Frequency
To observe changes in the frequency of the CCR5Δ32 allele in a setting with HIV infection as compared with the Hardy-Weinberg equilibrium in the absence of HIV, we follow changes in the total number of CCR5Δ32 heterozygotes and homozygotes over 1,000 years (Fig. 4). We initially perform simulations in the absence of HIV infection as a negative control to show there is not significant selection of the allele in the absence of infection. To determine how long it would take for the allelic frequency to reach present-day levels (e.g., q = 0.105573), we initiate this simulation for 1,000 years with a very small allelic frequency (q = 0.00105). In the absence of HIV, the allelic frequency is maintained in equilibrium as shown by the constant proportions of CCR5Δ32 heterozygotes and homozygotes (Fig. 4, solid lines). The selection for CCR5Δ32 in the presence of HIV is seen in comparison (Fig. 4, dashed lines). We expand the time frame of this simulation to 2,000 years to view the point at which the frequency reaches present levels (where q 0.105573 at year = 1200). Note that the allelic frequency increases for ≈1,600 years before leveling off.
Figure 4 Effects of HIV-1 on selection of the CCR5Δ32 allele. The Hardy-Weinberg equilibrium level is represented in the no-infection simulation (solid lines) for each population. Divergence from the original Hardy-Weinberg equilibrium is shown to occur in the simulations that include HIV infection (dashed lines). Fraction of the total subpopulations are presented: (A) wild types (W/W), (B) heterozygotes (W/Δ32), and (C) homozygotes (Δ32/Δ32). Note that we initiate this simulation with a much lower allelic frequency (0.00105) than used in the rest of the study to better exemplify the actual selective effect over a 1,000-year time scale. (D) The allelic selection effect over a 2,000-year time scale.
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## Discussion
This study illustrates how populations can differ in susceptibility to epidemic HIV/AIDS depending on a ubiquitous attribute such as a prevailing genotype. We have examined heterosexual HIV epidemics by using mathematical models to assess HIV transmission in dynamic populations either with or without CCR5Δ32 heterozygous and homozygous persons. The most susceptible population lacks the protective mutation in CCR5. In less susceptible populations, the majority of persons carrying the CCR5Δ32 allele are heterozygotes. We explore the hypothesis that lower viral loads (CCR5Δ32 heterozygotes) or resistance to infection (CCR5Δ32 homozygotes) observed in persons with this coreceptor mutation ultimately can influence HIV epidemic trends. Two contrasting influences of the protective CCR5 allele are conceivable: it may limit the epidemic by decreasing the probability of infection because of lower viral loads in infected heterozygotes, or it may exacerbate the epidemic by extending the time that infectious individuals remain in the sexually active population. Our results strongly suggest the former. Thus, the absence of this allele in Africa could explain the severity of HIV disease as compared with populations where the allele is present.
We also observed that HIV can provide selective pressure for the CCR5Δ32 allele within a population, increasing the allelic frequency. Other influences may have additionally selected for this allele. Infectious diseases such as plague and small pox have been postulated to select for CCR5Δ32 (57, 58). For plague, relatively high levels of CCR5Δ32 are believed to have arisen within ≈4,000 years, accounting for the prevalence of the mutation only in populations of European descent. Smallpox virus uses the CC-coreceptor, indicating that direct selection for mutations in CCR5 may have offered resistance to smallpox. Given the differences in the epidemic rates of plague (59), smallpox, and HIV, it is difficult to directly compare our results to these findings. However, our model suggests that the CCR5Δ32 mutation could have reached its present allelic frequency in Northern Europe within this time frame if selected for by a disease with virulence patterns similar to HIV. Our results further support the idea that HIV has been only recently introduced as a pathogen into African populations, as the frequency of the protective allele is almost zero, and our model predicts that selection of the mutant allele in this population by HIV alone takes at least 1,000 years. This prediction is distinct from the frequency of the CCR5Δ32 allele in European populations, where pathogens that may have influenced its frequency (e.g., Yersinia pestis) have been present for much longer.
Two mathematical models have considered the role of parasite and host genetic heterogeneity with regard to susceptibility to another pathogen, namely malaria (60, 61). In each it was determined that heterogeneity of host resistance facilitates the maintenance of diversity in parasite virulence. Given our underlying interest in the coevolution of pathogen and host, we focus on changes in a host protective mutation, holding the virulence of the pathogen constant over time.
Even within our focus on host protective mutations, numerous genetic factors, beneficial or detrimental, could potentially influence epidemics. Other genetically determined host factors affecting HIV susceptibility and disease progression include a CCR5 A/A to G/G promoter polymorphism (62), a CCR2 point mutation (11, 63), and a mutation in the CXCR4 ligand (64). The CCR2b mutation, CCR264I, is found in linkage with at least one CCR5 promoter polymorphism (65) and is prevalent in populations where CCR5Δ32 is nonexistent, such as sub-Saharan Africa (63). However, as none of these mutations have been consistently shown to be as protective as the CCR5Δ32 allele, we simplified our model to incorporate only the effect of CCR5Δ32. Subsequent models could be constructed from our model to account for the complexity of multiple protective alleles. It is interesting to note that our model predicts that even if CCR264I is present at high frequencies in Africa, its protective effects may not augment the lack of a protective allele such as CCR5Δ32.
Although our models demonstrate that genetic factors can contribute to the high prevalence of HIV in sub-Saharan Africa, demographic factors are also clearly important in this region. Our models explicitly incorporated such factors, for example, lack of treatment availability. Additional factors were implicitly controlled for by varying only the presence of the CCR5Δ32 allele. More complex models eventually could include interactions with infectious diseases that serve as cofactors in HIV transmission. The role of high sexually transmitted disease prevalences in HIV infection has long been discussed, especially in relation to core populations (15, 50, 66). Malaria, too, might influence HIV transmission, as it is associated with transient increases in semen HIV viral loads and thus could increase the susceptibility of the population to epidemic HIV (16).
In assessing the HIV/AIDS epidemic, considerable attention has been paid to the influence of core groups in driving sexually transmitted disease epidemics. Our results also highlight how characteristics more uniformly distributed in a population can affect susceptibility. We observed that the genotypic profile of a population affects its susceptibility to epidemic HIV/AIDS. Additional studies are needed to better characterize the influence of these genetic determinants on HIV transmission, as they may be crucial in estimating the severity of the epidemic in some populations. This information can influence the design of treatment strategies as well as point to the urgency for education and prevention programs.
## Acknowledgments
We thank Mark Krosky, Katia Koelle, and Kevin Chung for programming and technical assistance. We also thank Drs. V. J. DiRita, P. Kazanjian, and S. M. Blower for helpful comments and discussions. We thank the reviewers for extremely insightful comments.
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item-0 at level 0: unspecified: group _root_
item-1 at level 1: title: Risk factors associated with fai ... s: Results of a multi-country analysis
item-2 at level 2: paragraph: Burgert-Brucker Clara R.; 1: Glo ... shington, DC, United States of America
item-3 at level 2: section_header: Abstract
item-4 at level 3: text: Achieving elimination of lymphat ... ine prevalence and/or lower elevation.
item-5 at level 2: section_header: Introduction
item-6 at level 3: text: Lymphatic filariasis (LF), a dis ... 8 countries remain endemic for LF [3].
item-7 at level 3: text: The road to elimination as a pub ... t elimination be officially validated.
item-8 at level 3: text: Pre-TAS include at least one sen ... me of day that blood can be taken [5].
item-9 at level 3: text: When a country fails to meet the ... o ensure rounds of MDA are not missed.
item-10 at level 3: text: This study aims to understand wh ... e of limited LF elimination resources.
item-11 at level 2: section_header: Methods
item-12 at level 3: text: This is a secondary data analysi ... rch; no ethical approval was required.
item-13 at level 3: text: Building on previous work, we de ... available global geospatial data sets.
item-14 at level 3: section_header: Data sources
item-15 at level 4: text: Information on baseline prevalen ... publicly available sources (Table 1).
item-16 at level 3: section_header: Outcome and covariate variables
item-17 at level 4: text: The outcome of interest for this ... r than or equal to 1% Mf or 2% Ag [4].
item-18 at level 4: text: Potential covariates were derive ... is and the final categorizations used.
item-19 at level 4: section_header: Baseline prevalence
item-20 at level 5: text: Baseline prevalence can be assum ... (2) using the cut-off of <10% or ≥10%.
item-21 at level 4: section_header: Agent
item-22 at level 5: text: In terms of differences in trans ... dazole (DEC-ALB)] from the MDA domain.
item-23 at level 4: section_header: Environment
item-24 at level 5: text: LF transmission intensity is inf ... dicates a higher level of “greenness.”
item-25 at level 5: text: We included the socio-economic v ... proxy for socio-economic status [33].
item-26 at level 5: text: Finally, all or parts of distric ... s were co-endemic with onchocerciasis.
item-27 at level 4: section_header: MDA
item-28 at level 5: text: Treatment effectiveness depends ... esent a threat to elimination [41,42].
item-29 at level 5: text: We considered three approaches w ... unds ever documented in that district.
item-30 at level 4: section_header: Pre-TAS implementation
item-31 at level 5: text: Pre-TAS results can be influence ... d throughout the time period of study.
item-32 at level 3: section_header: Data inclusion criteria
item-33 at level 4: text: The dataset, summarized at the d ... al analysis dataset had 554 districts.
item-34 at level 3: section_header: Statistical analysis and modeling
item-35 at level 4: text: Statistical analysis and modelin ... d the number of variables accordingly.
item-36 at level 4: text: Sensitivity analysis was perform ... ot have been truly LF-endemic [43,44].
item-37 at level 2: section_header: Results
item-38 at level 3: text: The overall pre-TAS pass rate fo ... ts had baseline prevalences below 20%.
item-39 at level 3: text: Fig 3 shows the unadjusted analy ... overage, and sufficient rounds of MDA.
item-40 at level 3: text: The final log-binomial model inc ... igh baseline and diagnostic test used.
item-41 at level 3: text: Fig 4 shows the risk ratio resul ... of failing pre-TAS (95% CI 1.954.83).
item-42 at level 3: text: Sensitivity analyses were conduc ... gnified by large confidence intervals.
item-43 at level 3: text: Overall 74 districts in the data ... or 51% of all the failures (38 of 74).
item-44 at level 2: section_header: Discussion
item-45 at level 3: text: This paper reports for the first ... ctors associated with TAS failure [7].
item-46 at level 3: text: Though diagnostic test used was ... FTS was more sensitive than ICT [45].
item-47 at level 3: text: Elevation was the only environme ... ich impact vector chances of survival.
item-48 at level 3: text: The small number of failures ove ... search has shown the opposite [15,16].
item-49 at level 3: text: All other variables included in ... are not necessary to lower prevalence.
item-50 at level 3: text: Limitations to this study includ ... reducing LF prevalence [41,48,5153].
item-51 at level 3: text: Fourteen districts were excluded ... ta to extreme outliners in a district.
item-52 at level 3: text: As this analysis used data acros ... of individuals included in the survey.
item-53 at level 3: text: This paper provides evidence fro ... th high baseline and/or low elevation.
item-54 at level 2: section_header: Tables
item-55 at level 3: table with [18x8]
item-55 at level 4: caption: Table 1: Categorization of potential factors influencing pre-TAS results.
item-56 at level 3: table with [11x6]
item-56 at level 4: caption: Table 2: Adjusted risk ratios for pre-TAS failure from log-binomial model sensitivity analysis.
item-57 at level 2: section_header: Figures
item-58 at level 3: picture
item-58 at level 4: caption: Fig 1: Number of pre-TAS by country.
item-59 at level 3: picture
item-59 at level 4: caption: Fig 2: District-level baseline prevalence by country.
item-60 at level 3: picture
item-60 at level 4: caption: Fig 3: Percent pre-TAS failure by each characteristic (unadjusted).
item-61 at level 3: picture
item-61 at level 4: caption: Fig 4: Adjusted risk ratios for pre-TAS failure with 95% Confidence Interval from log-binomial model.
item-62 at level 3: picture
item-62 at level 4: caption: Fig 5: Analysis of failures by model combinations.
item-63 at level 2: section_header: References
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item-118 at level 1: caption: Table 1: Categorization of potential factors influencing pre-TAS results.
item-119 at level 1: caption: Table 2: Adjusted risk ratios fo ... g-binomial model sensitivity analysis.
item-120 at level 1: caption: Fig 1: Number of pre-TAS by country.
item-121 at level 1: caption: Fig 2: District-level baseline prevalence by country.
item-122 at level 1: caption: Fig 3: Percent pre-TAS failure by each characteristic (unadjusted).
item-123 at level 1: caption: Fig 4: Adjusted risk ratios for ... ence Interval from log-binomial model.
item-124 at level 1: caption: Fig 5: Analysis of failures by model combinations.
item-2 at level 2: paragraph: Clara R. Burgert-Brucker, Kathry ... garet Baker, John Kraemer, Molly Brady
item-3 at level 2: paragraph: Global Health Division, RTI Inte ... shington, DC, United States of America
item-4 at level 2: section_header: Abstract
item-5 at level 3: text: Achieving elimination of lymphat ... as at highest risk of failing pre-TAS.
item-6 at level 2: section_header: Author summary
item-7 at level 3: text: Achieving elimination of lymphat ... ine prevalence and/or lower elevation.
item-8 at level 2: section_header: Introduction
item-9 at level 3: text: Lymphatic filariasis (LF), a dis ... 8 countries remain endemic for LF [3].
item-10 at level 3: text: The road to elimination as a pub ... t elimination be officially validated.
item-11 at level 3: text: Pre-TAS include at least one sen ... me of day that blood can be taken [5].
item-12 at level 3: text: When a country fails to meet the ... o ensure rounds of MDA are not missed.
item-13 at level 3: text: This study aims to understand wh ... e of limited LF elimination resources.
item-14 at level 2: section_header: Methods
item-15 at level 3: text: This is a secondary data analysi ... rch; no ethical approval was required.
item-16 at level 3: text: Building on previous work, we de ... available global geospatial data sets.
item-17 at level 3: table with [18x8]
item-17 at level 4: caption: Table 1 Categorization of potential factors influencing pre-TAS results.
item-18 at level 3: section_header: Data sources
item-19 at level 4: text: Information on baseline prevalen ... publicly available sources (Table 1).
item-20 at level 3: section_header: Outcome and covariate variables
item-21 at level 4: text: The outcome of interest for this ... r than or equal to 1% Mf or 2% Ag [4].
item-22 at level 4: text: Potential covariates were derive ... is and the final categorizations used.
item-23 at level 4: section_header: Baseline prevalence
item-24 at level 5: text: Baseline prevalence can be assum ... (2) using the cut-off of <10% or ≥10%.
item-25 at level 4: section_header: Agent
item-26 at level 5: text: In terms of differences in trans ... dazole (DEC-ALB)] from the MDA domain.
item-27 at level 4: section_header: Environment
item-28 at level 5: text: LF transmission intensity is inf ... dicates a higher level of “greenness.”
item-29 at level 5: text: We included the socio-economic v ... proxy for socio-economic status [33].
item-30 at level 5: text: Finally, all or parts of distric ... s were co-endemic with onchocerciasis.
item-31 at level 4: section_header: MDA
item-32 at level 5: text: Treatment effectiveness depends ... esent a threat to elimination [41,42].
item-33 at level 5: text: We considered three approaches w ... unds ever documented in that district.
item-34 at level 4: section_header: Pre-TAS implementation
item-35 at level 5: text: Pre-TAS results can be influence ... d throughout the time period of study.
item-36 at level 3: section_header: Data inclusion criteria
item-37 at level 4: text: The dataset, summarized at the d ... al analysis dataset had 554 districts.
item-38 at level 3: section_header: Statistical analysis and modeling
item-39 at level 4: text: Statistical analysis and modelin ... d the number of variables accordingly.
item-40 at level 4: text: Sensitivity analysis was perform ... ot have been truly LF-endemic [43,44].
item-41 at level 2: section_header: Results
item-42 at level 3: text: The overall pre-TAS pass rate fo ... ts had baseline prevalences below 20%.
item-43 at level 3: picture
item-43 at level 4: caption: Fig 1 Number of pre-TAS by country.
item-44 at level 3: picture
item-44 at level 4: caption: Fig 2 District-level baseline prevalence by country.
item-45 at level 3: text: Fig 3 shows the unadjusted analy ... overage, and sufficient rounds of MDA.
item-46 at level 3: picture
item-46 at level 4: caption: Fig 3 Percent pre-TAS failure by each characteristic (unadjusted).
item-47 at level 3: text: The final log-binomial model inc ... igh baseline and diagnostic test used.
item-48 at level 3: text: Fig 4 shows the risk ratio resul ... of failing pre-TAS (95% CI 1.954.83).
item-49 at level 3: picture
item-49 at level 4: caption: Fig 4 Adjusted risk ratios for pre-TAS failure with 95% Confidence Interval from log-binomial model.
item-50 at level 3: text: Sensitivity analyses were conduc ... gnified by large confidence intervals.
item-51 at level 3: table with [11x6]
item-51 at level 4: caption: Table 2 Adjusted risk ratios for pre-TAS failure from log-binomial model sensitivity analysis.
item-52 at level 3: text: Overall 74 districts in the data ... or 51% of all the failures (38 of 74).
item-53 at level 3: picture
item-53 at level 4: caption: Fig 5 Analysis of failures by model combinations.
item-54 at level 2: section_header: Discussion
item-55 at level 3: text: This paper reports for the first ... ctors associated with TAS failure [7].
item-56 at level 3: text: Though diagnostic test used was ... FTS was more sensitive than ICT [45].
item-57 at level 3: text: Elevation was the only environme ... ich impact vector chances of survival.
item-58 at level 3: text: The small number of failures ove ... search has shown the opposite [15,16].
item-59 at level 3: text: All other variables included in ... are not necessary to lower prevalence.
item-60 at level 3: text: Limitations to this study includ ... reducing LF prevalence [41,48,5153].
item-61 at level 3: text: Fourteen districts were excluded ... ta to extreme outliners in a district.
item-62 at level 3: text: As this analysis used data acros ... of individuals included in the survey.
item-63 at level 3: text: This paper provides evidence fro ... th high baseline and/or low elevation.
item-64 at level 2: section_header: Acknowledgments
item-65 at level 3: text: The authors would like to thank ... e surveys financially and technically.
item-66 at level 2: section_header: References
item-67 at level 3: list: group list
item-68 at level 4: list_item: World Health Organization. Lymph ... trategic plan 20102020. Geneva; 2010.
item-69 at level 4: list_item: World Health Organization. Valid ... a public health problem. Geneva; 2017.
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item-121 at level 1: caption: Table 1 Categorization of potential factors influencing pre-TAS results.
item-122 at level 1: caption: Fig 1 Number of pre-TAS by country.
item-123 at level 1: caption: Fig 2 District-level baseline prevalence by country.
item-124 at level 1: caption: Fig 3 Percent pre-TAS failure by each characteristic (unadjusted).
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item-126 at level 1: caption: Table 2 Adjusted risk ratios for ... g-binomial model sensitivity analysis.
item-127 at level 1: caption: Fig 5 Analysis of failures by model combinations.

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# Risk factors associated with failing pre-transmission assessment surveys (pre-TAS) in lymphatic filariasis elimination programs: Results of a multi-country analysis
Burgert-Brucker Clara R.; 1: Global Health Division, RTI International, Washington, DC, United States of America; Zoerhoff Kathryn L.; 1: Global Health Division, RTI International, Washington, DC, United States of America; Headland Maureen; 1: Global Health Division, RTI International, Washington, DC, United States of America, 2: Global Health, Population, and Nutrition, FHI 360, Washington, DC, United States of America; Shoemaker Erica A.; 1: Global Health Division, RTI International, Washington, DC, United States of America; Stelmach Rachel; 1: Global Health Division, RTI International, Washington, DC, United States of America; Karim Mohammad Jahirul; 3: Department of Disease Control, Ministry of Health and Family Welfare, Dhaka, Bangladesh; Batcho Wilfrid; 4: National Control Program of Communicable Diseases, Ministry of Health, Cotonou, Benin; Bougouma Clarisse; 5: Lymphatic Filariasis Elimination Program, Ministère de la Santé, Ouagadougou, Burkina Faso; Bougma Roland; 5: Lymphatic Filariasis Elimination Program, Ministère de la Santé, Ouagadougou, Burkina Faso; Benjamin Didier Biholong; 6: National Onchocerciasis and Lymphatic Filariasis Control Program, Ministry of Health, Yaounde, Cameroon; Georges Nko'Ayissi; 6: National Onchocerciasis and Lymphatic Filariasis Control Program, Ministry of Health, Yaounde, Cameroon; Marfo Benjamin; 7: Neglected Tropical Diseases Programme, Ghana Health Service, Accra, Ghana; Lemoine Jean Frantz; 8: Ministry of Health, Port-au-Prince, Haiti; Pangaribuan Helena Ullyartha; 9: National Institute Health Research &amp; Development, Ministry of Health, Jakarta, Indonesia; Wijayanti Eksi; 9: National Institute Health Research &amp; Development, Ministry of Health, Jakarta, Indonesia; Coulibaly Yaya Ibrahim; 10: Filariasis Unit, International Center of Excellence in Research, Faculty of Medicine and Odontostomatology, Bamako, Mali; Doumbia Salif Seriba; 10: Filariasis Unit, International Center of Excellence in Research, Faculty of Medicine and Odontostomatology, Bamako, Mali; Rimal Pradip; 11: Epidemiology and Disease Control Division, Department of Health Service, Kathmandu, Nepal; Salissou Adamou Bacthiri; 12: Programme Onchocercose et Filariose Lymphatique, Ministère de la Santé, Niamey, Niger; Bah Yukaba; 13: National Neglected Tropical Disease Program, Ministry of Health and Sanitation, Freetown, Sierra Leone; Mwingira Upendo; 14: Neglected Tropical Disease Control Programme, National Institute for Medical Research, Dar es Salaam, Tanzania; Nshala Andreas; 15: IMA World Health/Tanzania NTD Control Programme, Uppsala University, &amp; TIBA Fellow, Dar es Salaam, Tanzania; Muheki Edridah; 16: Programme to Eliminate Lymphatic Filariasis, Ministry of Health, Kampala, Uganda; Shott Joseph; 17: Division of Neglected Tropical Diseases, Office of Infectious Diseases, Bureau for Global Health, USAID, Washington, DC, United States of America; Yevstigneyeva Violetta; 17: Division of Neglected Tropical Diseases, Office of Infectious Diseases, Bureau for Global Health, USAID, Washington, DC, United States of America; Ndayishimye Egide; 2: Global Health, Population, and Nutrition, FHI 360, Washington, DC, United States of America; Baker Margaret; 1: Global Health Division, RTI International, Washington, DC, United States of America; Kraemer John; 1: Global Health Division, RTI International, Washington, DC, United States of America, 18: Georgetown University, Washington, DC, United States of America; Brady Molly; 1: Global Health Division, RTI International, Washington, DC, United States of America
Clara R. Burgert-Brucker, Kathryn L. Zoerhoff, Maureen Headland, Erica A. Shoemaker, Rachel Stelmach, Mohammad Jahirul Karim, Wilfrid Batcho, Clarisse Bougouma, Roland Bougma, Biholong Benjamin Didier, Nko'Ayissi Georges, Benjamin Marfo, Jean Frantz Lemoine, Helena Ullyartha Pangaribuan, Eksi Wijayanti, Yaya Ibrahim Coulibaly, Salif Seriba Doumbia, Pradip Rimal, Adamou Bacthiri Salissou, Yukaba Bah, Upendo Mwingira, Andreas Nshala, Edridah Muheki, Joseph Shott, Violetta Yevstigneyeva, Egide Ndayishimye, Margaret Baker, John Kraemer, Molly Brady
Global Health Division, RTI International, Washington, DC, United States of America; Global Health, Population, and Nutrition, FHI 360, Washington, DC, United States of America; Department of Disease Control, Ministry of Health and Family Welfare, Dhaka, Bangladesh; National Control Program of Communicable Diseases, Ministry of Health, Cotonou, Benin; Lymphatic Filariasis Elimination Program, Ministère de la Santé, Ouagadougou, Burkina Faso; National Onchocerciasis and Lymphatic Filariasis Control Program, Ministry of Health, Yaounde, Cameroon; Neglected Tropical Diseases Programme, Ghana Health Service, Accra, Ghana; Ministry of Health, Port-au-Prince, Haiti; National Institute Health Research &amp; Development, Ministry of Health, Jakarta, Indonesia; Filariasis Unit, International Center of Excellence in Research, Faculty of Medicine and Odontostomatology, Bamako, Mali; Epidemiology and Disease Control Division, Department of Health Service, Kathmandu, Nepal; Programme Onchocercose et Filariose Lymphatique, Ministère de la Santé, Niamey, Niger; National Neglected Tropical Disease Program, Ministry of Health and Sanitation, Freetown, Sierra Leone; Neglected Tropical Disease Control Programme, National Institute for Medical Research, Dar es Salaam, Tanzania; IMA World Health/Tanzania NTD Control Programme, Uppsala University, &amp; TIBA Fellow, Dar es Salaam, Tanzania; Programme to Eliminate Lymphatic Filariasis, Ministry of Health, Kampala, Uganda; Division of Neglected Tropical Diseases, Office of Infectious Diseases, Bureau for Global Health, USAID, Washington, DC, United States of America; Georgetown University, Washington, DC, United States of America
## Abstract
Achieving elimination of lymphatic filariasis (LF) as a public health problem requires a minimum of five effective rounds of mass drug administration (MDA) and demonstrating low prevalence in subsequent assessments. The first assessments recommended by the World Health Organization (WHO) are sentinel and spot-check sites—referred to as pre-transmission assessment surveys (pre-TAS)—in each implementation unit after MDA. If pre-TAS shows that prevalence in each site has been lowered to less than 1% microfilaremia or less than 2% antigenemia, the implementation unit conducts a TAS to determine whether MDA can be stopped. Failure to pass pre-TAS means that further rounds of MDA are required. This study aims to understand factors influencing pre-TAS results using existing programmatic data from 554 implementation units, of which 74 (13%) failed, in 13 countries. Secondary data analysis was completed using existing data from Bangladesh, Benin, Burkina Faso, Cameroon, Ghana, Haiti, Indonesia, Mali, Nepal, Niger, Sierra Leone, Tanzania, and Uganda. Additional covariate data were obtained from spatial raster data sets. Bivariate analysis and multilinear regression were performed to establish potential relationships between variables and the pre-TAS result. Higher baseline prevalence and lower elevation were significant in the regression model. Variables statistically significantly associated with failure (p-value ≤0.05) in the bivariate analyses included baseline prevalence at or above 5% or 10%, use of Filariasis Test Strips (FTS), primary vector of Culex, treatment with diethylcarbamazine-albendazole, higher elevation, higher population density, higher enhanced vegetation index (EVI), higher annual rainfall, and 6 or more rounds of MDA. This paper reports for the first time factors associated with pre-TAS results from a multi-country analysis. This information can help countries more effectively forecast program activities, such as the potential need for more rounds of MDA, and prioritize resources to ensure adequate coverage of all persons in areas at highest risk of failing pre-TAS.Author summaryAchieving elimination of lymphatic filariasis (LF) as a public health problem requires a minimum of five rounds of mass drug administration (MDA) and being able to demonstrate low prevalence in several subsequent assessments. LF elimination programs implement sentinel and spot-check site assessments, called pre-TAS, to determine whether districts are eligible to implement more rigorous population-based surveys to determine whether MDA can be stopped or if further rounds are required. Reasons for failing pre-TAS are not well understood and have not previously been examined with data compiled from multiple countries. For this analysis, we analyzed data from routine USAID and WHO reports from Bangladesh, Benin, Burkina Faso, Cameroon, Ghana, Haiti, Indonesia, Mali, Nepal, Niger, Sierra Leone, Tanzania, and Uganda. In a model that included multiple variables, high baseline prevalence and lower elevation were significant. In models comparing only one variable to the outcome, the following were statistically significantly associated with failure: higher baseline prevalence at or above 5% or 10%, use of the FTS, primary vector of Culex, treatment with diethylcarbamazine-albendazole, lower elevation, higher population density, higher Enhanced Vegetation Index, higher annual rainfall, and six or more rounds of mass drug administration. These results can help national programs plan MDA more effectively, e.g., by focusing resources on areas with higher baseline prevalence and/or lower elevation.
Achieving elimination of lymphatic filariasis (LF) as a public health problem requires a minimum of five effective rounds of mass drug administration (MDA) and demonstrating low prevalence in subsequent assessments. The first assessments recommended by the World Health Organization (WHO) are sentinel and spot-check sites—referred to as pre-transmission assessment surveys (pre-TAS)—in each implementation unit after MDA. If pre-TAS shows that prevalence in each site has been lowered to less than 1% microfilaremia or less than 2% antigenemia, the implementation unit conducts a TAS to determine whether MDA can be stopped. Failure to pass pre-TAS means that further rounds of MDA are required. This study aims to understand factors influencing pre-TAS results using existing programmatic data from 554 implementation units, of which 74 (13%) failed, in 13 countries. Secondary data analysis was completed using existing data from Bangladesh, Benin, Burkina Faso, Cameroon, Ghana, Haiti, Indonesia, Mali, Nepal, Niger, Sierra Leone, Tanzania, and Uganda. Additional covariate data were obtained from spatial raster data sets. Bivariate analysis and multilinear regression were performed to establish potential relationships between variables and the pre-TAS result. Higher baseline prevalence and lower elevation were significant in the regression model. Variables statistically significantly associated with failure (p-value ≤0.05) in the bivariate analyses included baseline prevalence at or above 5% or 10%, use of Filariasis Test Strips (FTS), primary vector of Culex, treatment with diethylcarbamazine-albendazole, higher elevation, higher population density, higher enhanced vegetation index (EVI), higher annual rainfall, and 6 or more rounds of MDA. This paper reports for the first time factors associated with pre-TAS results from a multi-country analysis. This information can help countries more effectively forecast program activities, such as the potential need for more rounds of MDA, and prioritize resources to ensure adequate coverage of all persons in areas at highest risk of failing pre-TAS.
## Author summary
Achieving elimination of lymphatic filariasis (LF) as a public health problem requires a minimum of five rounds of mass drug administration (MDA) and being able to demonstrate low prevalence in several subsequent assessments. LF elimination programs implement sentinel and spot-check site assessments, called pre-TAS, to determine whether districts are eligible to implement more rigorous population-based surveys to determine whether MDA can be stopped or if further rounds are required. Reasons for failing pre-TAS are not well understood and have not previously been examined with data compiled from multiple countries. For this analysis, we analyzed data from routine USAID and WHO reports from Bangladesh, Benin, Burkina Faso, Cameroon, Ghana, Haiti, Indonesia, Mali, Nepal, Niger, Sierra Leone, Tanzania, and Uganda. In a model that included multiple variables, high baseline prevalence and lower elevation were significant. In models comparing only one variable to the outcome, the following were statistically significantly associated with failure: higher baseline prevalence at or above 5% or 10%, use of the FTS, primary vector of Culex, treatment with diethylcarbamazine-albendazole, lower elevation, higher population density, higher Enhanced Vegetation Index, higher annual rainfall, and six or more rounds of mass drug administration. These results can help national programs plan MDA more effectively, e.g., by focusing resources on areas with higher baseline prevalence and/or lower elevation.
## Introduction
@ -24,6 +30,28 @@ This is a secondary data analysis using existing data, collected for programmati
Building on previous work, we delineated five domains of variables that could influence pre-TAS outcomes: prevalence, agent, environment, MDA, and pre-TAS implementation (Table 1) [68]. We prioritized key concepts that could be measured through our data or captured through publicly available global geospatial data sets.
Table 1 Categorization of potential factors influencing pre-TAS results.
| Domain | Factor | Covariate | Description | Reference Group | Summary statistic | Temporal Resolution | Source |
|------------------------|-----------------------|-------------------------------|-----------------------------------------------------------------|----------------------|---------------------|-----------------------|--------------------|
| Prevalence | Baseline prevalence | 5% cut off | Maximum reported mapping or baseline sentinel site prevalence | &lt;5% | Maximum | Varies | Programmatic data |
| Prevalence | Baseline prevalence | 10% cut off | Maximum reported mapping or baseline sentinel site prevalence | &lt;10% | Maximum | Varies | Programmatic data |
| Agent | Parasite | Parasite | Predominate parasite in district | W. bancrofti &amp; mixed | Binary value | 2018 | Programmatic data |
| Environment | Vector | Vector | Predominate vector in district | Anopheles &amp; Mansonia | Binary value | 2018 | Country expert |
| Environment | Geography | Elevation | Elevation measured in meters | &gt;350 | Mean | 2000 | CGIAR-CSI SRTM [9] |
| Environment | Geography | District area | Area measured in km2 | &gt;2,500 | Maximum sum | Static | Programmatic data |
| Environment | Climate | EVI | Enhanced vegetation index | &gt; 0.3 | Mean | 2015 | MODIS [10] |
| Environment | Climate | Rainfall | Annual rainfall measured in mm | ≤ 700 | Mean | 2015 | CHIRPS [11] |
| Environment | Socio-economic | Population density | Number of people per km2 | ≤ 100 | Mean | 2015 | WorldPop [12] |
| Environment | Socio-economic | Nighttime lights | Nighttime light index from 0 to 63 | &gt;1.5 | Mean | 2015 | VIIRS [13] |
| Environment | Co-endemicity | Co-endemic for onchocerciasis | Part or all of district is also endemic for onchocerciases | Non-endemic | Binary value | 2018 | Programmatic data |
| MDA | Drug efficacy | Drug package | DEC-ALB or IVM-ALB | DEC-ALB | Binary value | 2018 | Programmatic data |
| MDA | Implementation of MDA | Coverage | Median MDA coverage for last 5 rounds | ≥ 65% | Median | Varies | Programmatic data |
| MDA | Implementation of MDA | Sufficient rounds | Number of rounds of sufficient (≥ 65% coverage) in last 5 years | ≥ 3 | Count | Varies | Programmatic data |
| MDA | Implementation of MDA | Number of rounds | Maximum number of recorded rounds of MDA | ≥ 6 | Maximum | Varies | Programmatic data |
| Pre-TAS implementation | Quality of survey | Diagnostic method | Using Mf or Ag | Mf | Binary value | Varies | Programmatic data |
| Pre-TAS implementation | Quality of survey | Diagnostic test | Using Mf, ICT, or FTS | Mf | Categorical | Varies | Programmatic data |
### Data sources
Information on baseline prevalence, MDA coverage, the number of MDA rounds, and pre-TAS information (month and year of survey, district, site name, and outcome) was gathered through regular reporting for the USAID-funded NTD programs (ENVISION, END in Africa, and END in Asia). These data were augmented by other reporting data such as the countrys dossier data annexes, the WHO Preventive Chemotherapy and Transmission Control Databank, and WHO reporting forms. Data were then reviewed by country experts, including the Ministry of Health program staff and implementing program staff, and updated as necessary. Data on vectors were also obtained from country experts. The district geographic boundaries were matched to geospatial shapefiles from the ENVISION project geospatial data repository, while other geospatial data were obtained through publicly available sources (Table 1).
@ -74,16 +102,51 @@ Sensitivity analysis was performed for the final log-binomial model to test for
The overall pre-TAS pass rate for the districts included in this analysis was 87% (74 failures in 554 districts). Nearly 40% of the 554 districts were from Cameroon (134) and Tanzania (87) (Fig 1). No districts in Bangladesh, Cameroon, Mali, or Uganda failed a pre-TAS in this data set; over 25% of districts in Burkina Faso, Ghana, Haiti, Nepal, and Sierra Leone failed pre-TAS in this data set. Baseline prevalence varied widely within and between the 13 countries. Fig 2 shows the highest, lowest, and median baseline prevalence in the study districts by country. Burkina Faso had the highest median baseline prevalence at 52% and Burkina Faso, Tanzania, and Ghana all had at least one district with a very high baseline of over 70%. In Mali, Indonesia, Benin, and Bangladesh, all districts had baseline prevalences below 20%.
Fig 1 Number of pre-TAS by country.
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Fig 2 District-level baseline prevalence by country.
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Fig 3 shows the unadjusted analysis for key variables by pre-TAS result. Variables statistically significantly associated with failure (p-value ≤0.05) included higher baseline prevalence at or above 5% or 10%, FTS diagnostic test, primary vector of Culex, treatment with DEC-ALB, higher elevation, higher population density, higher EVI, higher annual rainfall, and six or more rounds of MDA. Variables that were not significantly associated with pre-TAS failure included diagnostic method used (Ag or Mf), parasite, co-endemicity for onchocerciasis, median MDA coverage, and sufficient rounds of MDA.
Fig 3 Percent pre-TAS failure by each characteristic (unadjusted).
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The final log-binomial model included the variables of baseline prevalence ≥10%, the diagnostic test used (FTS and ICT), and elevation. The final model also included a significant interaction term between high baseline and diagnostic test used.
Fig 4 shows the risk ratio results with their corresponding confidence intervals. In a model with interaction between baseline and diagnostic test the baseline parameter was significant while diagnostic test and the interaction term were not. Districts with high baseline had a statistically significant (p-value ≤0.05) 2.52 times higher risk of failure (95% CI 1.374.64) compared to those with low baseline prevalence. The FTS diagnostic test or ICT diagnostic test alone were not significant nor was the interaction term. Additionally, districts with an elevation below 350 meters had a statistically significant (p-value ≤0.05) 3.07 times higher risk of failing pre-TAS (95% CI 1.954.83).
Fig 4 Adjusted risk ratios for pre-TAS failure with 95% Confidence Interval from log-binomial model.
<!-- image -->
Sensitivity analyses were conducted using the same model with different subsets of the dataset including (1) all districts except for districts in Cameroon (134 total with no failures), (2) only districts in Africa, (3) only districts with W. bancrofti, and (4) only districts with Anopheles as primary vector. The results of the sensitivity models (Table 2) indicate an overall robust model. High baseline and lower elevation remained significant across all the models. The ICT diagnostic test used remains insignificant across all models. The FTS diagnostic test was positively significant in model 1 and negatively significant in model 4. The interaction term of baseline prevalence and FTS diagnostic test was significant in three models though the estimate was unstable in the W. bancrofti-only and Anopheles-only models (models 3 and 4 respectively), as signified by large confidence intervals.
Table 2 Adjusted risk ratios for pre-TAS failure from log-binomial model sensitivity analysis.
| | | (1) | (2) | (3) | (4) |
|---------------------------------------------|------------------|----------------------------|--------------------------|--------------------------------------|---------------------------------|
| | Full Model | Without Cameroon districts | Only districts in Africa | Only W. bancrofti parasite districts | Only Anopheles vector districts |
| Number of Failures | 74 | 74 | 44 | 72 | 46 |
| Number of total districts | (N = 554) | (N = 420) | (N = 407) | (N = 518) | (N = 414) |
| Covariate | RR (95% CI) | RR (95% CI) | RR (95% CI) | RR (95% CI) | RR (95% CI) |
| Baseline prevalence &gt; = 10% &amp; used FTS test | 2.38 (0.965.90) | 1.23 (0.522.92) | 14.52 (1.79117.82) | 2.61 (1.036.61) | 15.80 (1.95127.67) |
| Baseline prevalence &gt; = 10% &amp; used ICT test | 0.80 (0.203.24) | 0.42 (0.111.68) | 1.00 (0.000.00) | 0.88 (0.213.60) | 1.00 (0.000.00) |
| +Used FTS test | 1.16 (0.522.59) | 2.40 (1.125.11) | 0.15 (0.021.11) | 1.03 (0.452.36) | 0.13 (0.020.96) |
| +Used ICT test | 0.92 (0.322.67) | 1.47 (0.514.21) | 0.33 (0.042.54) | 0.82 (0.282.43) | 0.27 (0.032.04) |
| +Baseline prevalence &gt; = 10% | 2.52 (1.374.64) | 2.42 (1.314.47) | 2.03 (1.063.90) | 2.30 (1.214.36) | 2.01 (1.073.77) |
| Elevation &lt; 350m | 3.07 (1.954.83) | 2.21 (1.423.43) | 4.68 (2.229.87) | 3.04 (1.934.79) | 3.76 (1.927.37) |
Overall 74 districts in the dataset failed pre-TAS. Fig 5 summarizes the likelihood of failure by variable combinations identified in the log-binomial model. For those districts with a baseline prevalence ≥10% that used a FTS diagnostic test and have an average elevation below 350 meters (Combination C01), 87% of the 23 districts failed. Of districts with high baseline that used an ICT diagnostic test and have a low average elevation (C02) 45% failed. Overall, combinations with high baseline and low elevation C01, C02, and C04 accounted for 51% of all the failures (38 of 74).
Fig 5 Analysis of failures by model combinations.
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## Discussion
This paper reports for the first time factors associated with pre-TAS results from a multi-country analysis. Variables significantly associated with failure were higher baseline prevalence and lower elevation. Districts with a baseline prevalence of 10% or more were at 2.52 times higher risk to fail pre-TAS in the final log-binomial model. In the bivariate analysis, baseline prevalence above 5% was also significantly more likely to fail compared to lower baselines, which indicates that the threshold for higher baseline prevalence may be as little as 5%, similar to what was found in Goldberg et al., which explored ecological and socioeconomic factors associated with TAS failure [7].
@ -104,119 +167,62 @@ As this analysis used data across a variety of countries and epidemiological sit
This paper provides evidence from analysis of 554 districts and 13 countries on the factors associated with pre-TAS results. Baseline prevalence, elevation, vector, population density, EVI, rainfall, and number of MDA rounds were all significant in either bivariate or multivariate analyses. This information along with knowledge of local context can help countries more effectively plan pre-TAS and forecast program activities, such as the potential need for more than five rounds of MDA in areas with high baseline and/or low elevation.
## Tables
## Acknowledgments
Table 1: Categorization of potential factors influencing pre-TAS results.
| Domain | Factor | Covariate | Description | Reference Group | Summary statistic | Temporal Resolution | Source |
|------------------------|-----------------------|-------------------------------|-----------------------------------------------------------------|----------------------|---------------------|-----------------------|--------------------|
| Prevalence | Baseline prevalence | 5% cut off | Maximum reported mapping or baseline sentinel site prevalence | &lt;5% | Maximum | Varies | Programmatic data |
| Prevalence | Baseline prevalence | 10% cut off | Maximum reported mapping or baseline sentinel site prevalence | &lt;10% | Maximum | Varies | Programmatic data |
| Agent | Parasite | Parasite | Predominate parasite in district | W. bancrofti &amp; mixed | Binary value | 2018 | Programmatic data |
| Environment | Vector | Vector | Predominate vector in district | Anopheles &amp; Mansonia | Binary value | 2018 | Country expert |
| Environment | Geography | Elevation | Elevation measured in meters | &gt;350 | Mean | 2000 | CGIAR-CSI SRTM [9] |
| Environment | Geography | District area | Area measured in km2 | &gt;2,500 | Maximum sum | Static | Programmatic data |
| Environment | Climate | EVI | Enhanced vegetation index | &gt; 0.3 | Mean | 2015 | MODIS [10] |
| Environment | Climate | Rainfall | Annual rainfall measured in mm | ≤ 700 | Mean | 2015 | CHIRPS [11] |
| Environment | Socio-economic | Population density | Number of people per km2 | ≤ 100 | Mean | 2015 | WorldPop [12] |
| Environment | Socio-economic | Nighttime lights | Nighttime light index from 0 to 63 | &gt;1.5 | Mean | 2015 | VIIRS [13] |
| Environment | Co-endemicity | Co-endemic for onchocerciasis | Part or all of district is also endemic for onchocerciases | Non-endemic | Binary value | 2018 | Programmatic data |
| MDA | Drug efficacy | Drug package | DEC-ALB or IVM-ALB | DEC-ALB | Binary value | 2018 | Programmatic data |
| MDA | Implementation of MDA | Coverage | Median MDA coverage for last 5 rounds | ≥ 65% | Median | Varies | Programmatic data |
| MDA | Implementation of MDA | Sufficient rounds | Number of rounds of sufficient (≥ 65% coverage) in last 5 years | ≥ 3 | Count | Varies | Programmatic data |
| MDA | Implementation of MDA | Number of rounds | Maximum number of recorded rounds of MDA | ≥ 6 | Maximum | Varies | Programmatic data |
| Pre-TAS implementation | Quality of survey | Diagnostic method | Using Mf or Ag | Mf | Binary value | Varies | Programmatic data |
| Pre-TAS implementation | Quality of survey | Diagnostic test | Using Mf, ICT, or FTS | Mf | Categorical | Varies | Programmatic data |
Table 2: Adjusted risk ratios for pre-TAS failure from log-binomial model sensitivity analysis.
| | | (1) | (2) | (3) | (4) |
|---------------------------------------------|------------------|----------------------------|--------------------------|--------------------------------------|---------------------------------|
| | Full Model | Without Cameroon districts | Only districts in Africa | Only W. bancrofti parasite districts | Only Anopheles vector districts |
| Number of Failures | 74 | 74 | 44 | 72 | 46 |
| Number of total districts | (N = 554) | (N = 420) | (N = 407) | (N = 518) | (N = 414) |
| Covariate | RR (95% CI) | RR (95% CI) | RR (95% CI) | RR (95% CI) | RR (95% CI) |
| Baseline prevalence &gt; = 10% &amp; used FTS test | 2.38 (0.965.90) | 1.23 (0.522.92) | 14.52 (1.79117.82) | 2.61 (1.036.61) | 15.80 (1.95127.67) |
| Baseline prevalence &gt; = 10% &amp; used ICT test | 0.80 (0.203.24) | 0.42 (0.111.68) | 1.00 (0.000.00) | 0.88 (0.213.60) | 1.00 (0.000.00) |
| +Used FTS test | 1.16 (0.522.59) | 2.40 (1.125.11) | 0.15 (0.021.11) | 1.03 (0.452.36) | 0.13 (0.020.96) |
| +Used ICT test | 0.92 (0.322.67) | 1.47 (0.514.21) | 0.33 (0.042.54) | 0.82 (0.282.43) | 0.27 (0.032.04) |
| +Baseline prevalence &gt; = 10% | 2.52 (1.374.64) | 2.42 (1.314.47) | 2.03 (1.063.90) | 2.30 (1.214.36) | 2.01 (1.073.77) |
| Elevation &lt; 350m | 3.07 (1.954.83) | 2.21 (1.423.43) | 4.68 (2.229.87) | 3.04 (1.934.79) | 3.76 (1.927.37) |
## Figures
Fig 1: Number of pre-TAS by country.
<!-- image -->
Fig 2: District-level baseline prevalence by country.
<!-- image -->
Fig 3: Percent pre-TAS failure by each characteristic (unadjusted).
<!-- image -->
Fig 4: Adjusted risk ratios for pre-TAS failure with 95% Confidence Interval from log-binomial model.
<!-- image -->
Fig 5: Analysis of failures by model combinations.
<!-- image -->
The authors would like to thank all those involved from the Ministries of Health, volunteers and community members in the sentinel and spot-check site surveys for their tireless commitment to ridding the world of LF. In addition, gratitude is given to Joseph Koroma and all the partners, including USAID, RTI International, FHI 360, IMA World Health, and Helen Keller International, who supported the surveys financially and technically.
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item-0 at level 0: unspecified: group _root_
item-1 at level 1: title: Potential to reduce greenhouse g ... cattle systems in subtropical regions
item-2 at level 2: paragraph: Ribeiro-Filho Henrique M. N.; 1: ... , California, United States of America
item-3 at level 2: section_header: Abstract
item-4 at level 3: text: Carbon (C) footprint of dairy pr ... uce the C footprint to a small extent.
item-5 at level 2: section_header: Introduction
item-6 at level 3: text: Greenhouse gas (GHG) emissions f ... suitable for food crop production [4].
item-7 at level 3: text: Considering the key role of live ... anagement to mitigate the C footprint.
item-8 at level 3: text: In subtropical climate zones, co ... t in tropical pastures (e.g. [1719]).
item-9 at level 3: text: It has been shown that dairy cow ... sions from crop and reduced DM intake.
item-10 at level 3: text: The aim of this work was to quan ... uring lactation periods was evaluated.
item-11 at level 2: section_header: Materials and methods
item-12 at level 3: text: An LCA was developed according t ... 90816 - https://www.udesc.br/cav/ceua.
item-13 at level 3: section_header: System boundary
item-14 at level 4: text: The goal of the study was to ass ... n were outside of the system boundary.
item-15 at level 3: section_header: Functional unit
item-16 at level 4: text: The functional unit was one kilo ... tein according to NRC [20] as follows:
item-17 at level 4: text: ECM = Milk production × (0.0929 ... characteristics described in Table 1.
item-18 at level 3: section_header: Data sources and livestock system description
item-19 at level 4: text: The individual feed requirements ... ed to the ad libitum TMR intake group.
item-20 at level 4: text: Using experimental data, three s ... med during an entire lactation period.
item-21 at level 3: section_header: Impact assessment
item-22 at level 4: text: The CO2e emissions were calculat ... 65 for CO2, CH4 and N2O, respectively.
item-23 at level 3: section_header: Feed production
item-24 at level 4: section_header: Diets composition
item-25 at level 5: text: The DM intake of each ingredient ... collected throughout the experiments.
item-26 at level 4: section_header: GHG emissions from crop and pasture production
item-27 at level 5: text: GHG emission factors used for of ... onsume 70% of pastures during grazing.
item-28 at level 5: text: Emissions from on-farm feed prod ... factors described by Rotz et al. [42].
item-29 at level 3: section_header: Animal husbandry
item-30 at level 4: text: The CH4 emissions from enteric f ... 1) = 13.8 + 0.185 × NDF (% DM intake).
item-31 at level 3: section_header: Manure from confined cows and urine and dung from grazing animals
item-32 at level 4: text: The CH4 emission from manure (kg ... for dietary GE per kg of DM (MJ kg-1).
item-33 at level 4: text: The OM digestibility was estimat ... h were 31%, 26% and 46%, respectively.
item-34 at level 4: text: The N2O-N emissions from urine a ... using the IPCC [38] emission factors.
item-35 at level 3: section_header: Farm management
item-36 at level 4: text: Emissions due to farm management ... crop and pasture production section.
item-37 at level 4: text: The amount of fuel use for manur ... me that animals stayed on confinement.
item-38 at level 4: text: The emissions from fuel were est ... × kg CO2e (kg machinery mass)-1 [42].
item-39 at level 4: text: Emissions from electricity for m ... ws in naturally ventilated barns [47].
item-40 at level 4: text: The lower impact of emissions fr ... greater than 5% of total C footprint.
item-41 at level 4: text: Emissions from farm management d ... gas and hard coal, respectively [46].
item-42 at level 3: section_header: Co-product allocation
item-43 at level 4: text: The C footprint for milk produce ... directly assigned to milk production.
item-44 at level 3: section_header: Sensitivity analysis
item-45 at level 4: text: A sensitivity index was calculat ... ses a similar change in the footprint.
item-46 at level 2: section_header: Results and discussion
item-47 at level 3: text: The study has assessed the impac ... , feed production and electricity use.
item-48 at level 3: section_header: Greenhouse gas emissions
item-49 at level 4: text: Depending on emission factors us ... more than 5% of overall GHG emissions.
item-50 at level 4: text: Considering IPCC emission factor ... the C footprint of the dairy systems.
item-51 at level 4: text: The similarity of C footprint be ... of TMR was replaced by pasture access.
item-52 at level 4: text: The lower C footprint in scenari ... r, averaging 0.004 kg N2O-N kg-1 [37].
item-53 at level 3: section_header: Methane emissions
item-54 at level 4: text: The enteric CH4 intensity was si ... ], which did not happen in this study.
item-55 at level 4: text: The lack of difference in enteri ... same scenarios as in this study [26].
item-56 at level 3: section_header: Emissions from excreta and feed production
item-57 at level 4: text: Using IPCC emission factors for ... may not be captured by microbes [65].
item-58 at level 4: text: Using local emission factors for ... be revised for the subtropical region.
item-59 at level 4: text: Emissions for feed production de ... act, particularly in confinements [9].
item-60 at level 3: section_header: Assumptions and limitations
item-61 at level 4: text: The milk production and composit ... ions as a function of soil management.
item-62 at level 3: section_header: Further considerations
item-63 at level 4: text: The potential for using pasture ... g ECM)-1 in case of foot lesions [72].
item-64 at level 4: text: Grazing lands may also improve b ... hange of CO2 would be negligible [76].
item-65 at level 2: section_header: Conclusions
item-66 at level 3: text: This study assessed the C footpr ... on with or without access to pastures.
item-67 at level 2: section_header: Tables
item-68 at level 3: table with [13x3]
item-68 at level 4: caption: Table 1: Descriptive characteristics of the herd.
item-69 at level 3: table with [21x11]
item-69 at level 4: caption: Table 2: Dairy cows diets in different scenariosa.
item-70 at level 3: table with [9x5]
item-70 at level 4: caption: Table 3: GHG emission factors for Off- and On-farm feed production.
item-71 at level 3: table with [28x5]
item-71 at level 4: caption: Table 4: GHG emissions from On-farm feed production.
item-72 at level 3: table with [12x4]
item-72 at level 4: caption: Table 5: Factors for major resource inputs in farm management.
item-73 at level 2: section_header: Figures
item-74 at level 3: picture
item-74 at level 4: caption: Fig 1: Overview of the milk production system boundary considered in the study.
item-75 at level 3: picture
item-75 at level 4: caption: Fig 2: Overall greenhouse gas emissions in dairy cattle systems under various scenarios.
TMR = ad libitum TMR intake, 75TMR = 75% of ad libitum TMR intake with access to pasture, 50TMR = 50% of ad libitum TMR intake with access to pasture. (a) N2O emission factors for urine and dung from IPCC [38], feed production emission factors from Table 3 without accounting for sequestered CO2-C from perennial pasture, production of electricity = 0.73 kg CO2e kWh-1 [41]. (b) N2O emission factors for urine and dung from IPCC [38], feed production emission factors from Table 3 without accounting for sequestered CO2-C from perennial pasture, production of electricity = 0.205 kg CO2e kWh-1 [46]; (c) N2O emission factors for urine and dung from local data [37], feed production EF from Table 4 without accounting for sequestered CO2-C from perennial pasture, production of electricity = 0.205 kg CO2e kWh-1 [46]. (d) N2O emission factors for urine and dung from local data [37], feed production emission factors from Table 4 accounting for sequestered CO2-C from perennial pasture, production of electricity = 0.205 kg CO2e kWh-1 [46].
item-76 at level 3: picture
item-76 at level 4: caption: Fig 3: Sensitivity of the C footprint.
Sensitivity index = percentage change in C footprint for a 10% change in the given emission source divided by 10% of. (a) N2O emission factors for urine and dung from IPCC [38], feed production emission factors from Table 3, production of electricity = 0.73 kg CO2e kWh-1 [41]. (b) N2O emission factors for urine and dung from IPCC [38], feed production emission factors from Table 3, production of electricity = 0.205 kg CO2e kWh-1 [46]; (c) N2O emission factors for urine and dung from local data [37], feed production EF from Table 4 without accounting sequestered CO2-C from perennial pasture, production of electricity = 0.205 kg CO2e kWh-1 [46]. (d) N2O emission factors for urine and dung from local data [37], feed production emission factors from Table 4 accounting sequestered CO2-C from perennial pasture, production of electricity = 0.205 kg CO2e kWh-1 [46].
item-77 at level 3: picture
item-77 at level 4: caption: Fig 4: Greenhouse gas emissions (GHG) from manure and feed production in dairy cattle systems.
TMR = ad libitum TMR intake, 75TMR = 75% of ad libitum TMR intake with access to pasture, 50TMR = 50% of ad libitum TMR intake with access to pasture. (a) N2O emission factors for urine and dung from IPCC [38]. (b) Feed production emission factors from Table 3. (c) N2O emission factors for urine and dung from local data [37]. (d) Feed production emission factors from Table 4 accounting sequestered CO2-C from perennial pasture.
item-78 at level 2: section_header: References
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item-156 at level 1: caption: Table 1: Descriptive characteristics of the herd.
item-157 at level 1: caption: Table 2: Dairy cows diets in different scenariosa.
item-158 at level 1: caption: Table 3: GHG emission factors for Off- and On-farm feed production.
item-159 at level 1: caption: Table 4: GHG emissions from On-farm feed production.
item-160 at level 1: caption: Table 5: Factors for major resource inputs in farm management.
item-161 at level 1: caption: Fig 1: Overview of the milk prod ... stem boundary considered in the study.
item-162 at level 1: caption: Fig 2: Overall greenhouse gas em ... lectricity = 0.205 kg CO2e kWh-1 [46].
item-163 at level 1: caption: Fig 3: Sensitivity of the C foot ... lectricity = 0.205 kg CO2e kWh-1 [46].
item-164 at level 1: caption: Fig 4: Greenhouse gas emissions ... uestered CO2-C from perennial pasture.
item-2 at level 2: paragraph: Henrique M. N. Ribeiro-Filho, Maurício Civiero, Ermias Kebreab
item-3 at level 2: paragraph: Department of Animal Science, Un ... atarina, Lages, Santa Catarina, Brazil
item-4 at level 2: section_header: Abstract
item-5 at level 3: text: Carbon (C) footprint of dairy pr ... uce the C footprint to a small extent.
item-6 at level 2: section_header: Introduction
item-7 at level 3: text: Greenhouse gas (GHG) emissions f ... suitable for food crop production [4].
item-8 at level 3: text: Considering the key role of live ... anagement to mitigate the C footprint.
item-9 at level 3: text: In subtropical climate zones, co ... t in tropical pastures (e.g. [1719]).
item-10 at level 3: text: It has been shown that dairy cow ... sions from crop and reduced DM intake.
item-11 at level 3: text: The aim of this work was to quan ... uring lactation periods was evaluated.
item-12 at level 2: section_header: Materials and methods
item-13 at level 3: text: An LCA was developed according t ... 90816 - https://www.udesc.br/cav/ceua.
item-14 at level 3: section_header: System boundary
item-15 at level 4: text: The goal of the study was to ass ... n were outside of the system boundary.
item-16 at level 4: picture
item-16 at level 5: caption: Fig 1 Overview of the milk production system boundary considered in the study.
item-17 at level 3: section_header: Functional unit
item-18 at level 4: text: The functional unit was one kilo ... tein according to NRC [20] as follows:
item-19 at level 4: text: ECM = Milk production × (0.0929 ... characteristics described in Table 1.
item-20 at level 4: table with [13x3]
item-20 at level 5: caption: Table 1 Descriptive characteristics of the herd.
item-21 at level 3: section_header: Data sources and livestock system description
item-22 at level 4: text: The individual feed requirements ... ed to the ad libitum TMR intake group.
item-23 at level 4: text: Using experimental data, three s ... med during an entire lactation period.
item-24 at level 3: section_header: Impact assessment
item-25 at level 4: text: The CO2e emissions were calculat ... 65 for CO2, CH4 and N2O, respectively.
item-26 at level 3: section_header: Feed production
item-27 at level 4: section_header: Diets composition
item-28 at level 5: text: The DM intake of each ingredient ... collected throughout the experiments.
item-29 at level 5: table with [21x11]
item-29 at level 6: caption: Table 2 Dairy cows diets in different scenariosa.
item-30 at level 4: section_header: GHG emissions from crop and pasture production
item-31 at level 5: text: GHG emission factors used for of ... onsume 70% of pastures during grazing.
item-32 at level 5: table with [9x5]
item-32 at level 6: caption: Table 3 GHG emission factors for Off- and On-farm feed production.
item-33 at level 5: text: Emissions from on-farm feed prod ... factors described by Rotz et al. [42].
item-34 at level 5: table with [28x5]
item-34 at level 6: caption: Table 4 GHG emissions from On-farm feed production.
item-35 at level 3: section_header: Animal husbandry
item-36 at level 4: text: The CH4 emissions from enteric f ... 1) = 13.8 + 0.185 × NDF (% DM intake).
item-37 at level 3: section_header: Manure from confined cows and urine and dung from grazing animals
item-38 at level 4: text: The CH4 emission from manure (kg ... for dietary GE per kg of DM (MJ kg-1).
item-39 at level 4: text: The OM digestibility was estimat ... h were 31%, 26% and 46%, respectively.
item-40 at level 4: text: The N2O-N emissions from urine a ... using the IPCC [38] emission factors.
item-41 at level 3: section_header: Farm management
item-42 at level 4: text: Emissions due to farm management ... crop and pasture production section.
item-43 at level 4: table with [12x4]
item-43 at level 5: caption: Table 5 Factors for major resource inputs in farm management.
item-44 at level 4: text: The amount of fuel use for manur ... me that animals stayed on confinement.
item-45 at level 4: text: The emissions from fuel were est ... × kg CO2e (kg machinery mass)-1 [42].
item-46 at level 4: text: Emissions from electricity for m ... ws in naturally ventilated barns [47].
item-47 at level 3: section_header: Co-product allocation
item-48 at level 4: text: The C footprint for milk produce ... directly assigned to milk production.
item-49 at level 3: section_header: Sensitivity analysis
item-50 at level 4: text: A sensitivity index was calculat ... ses a similar change in the footprint.
item-51 at level 2: section_header: Results and discussion
item-52 at level 3: text: The study has assessed the impac ... , feed production and electricity use.
item-53 at level 3: section_header: Greenhouse gas emissions
item-54 at level 4: text: Depending on emission factors us ... more than 5% of overall GHG emissions.
item-55 at level 4: picture
item-55 at level 5: caption: Fig 2 Overall greenhouse gas emissions in dairy cattle systems under various scenarios. TMR = ad libitum TMR intake, 75TMR = 75% of ad libitum TMR intake with access to pasture, 50TMR = 50% of ad libitum TMR intake with access to pasture. (a) N2O emission factors for urine and dung from IPCC [38], feed production emission factors from Table 3 without accounting for sequestered CO2-C from perennial pasture, production of electricity = 0.73 kg CO2e kWh-1 [41]. (b) N2O emission factors for urine and dung from IPCC [38], feed production emission factors from Table 3 without accounting for sequestered CO2-C from perennial pasture, production of electricity = 0.205 kg CO2e kWh-1 [46]; (c) N2O emission factors for urine and dung from local data [37], feed production EF from Table 4 without accounting for sequestered CO2-C from perennial pasture, production of electricity = 0.205 kg CO2e kWh-1 [46]. (d) N2O emission factors for urine and dung from local data [37], feed production emission factors from Table 4 accounting for sequestered CO2-C from perennial pasture, production of electricity = 0.205 kg CO2e kWh-1 [46].
item-56 at level 4: text: Considering IPCC emission factor ... the C footprint of the dairy systems.
item-57 at level 4: text: The similarity of C footprint be ... of TMR was replaced by pasture access.
item-58 at level 4: text: The lower C footprint in scenari ... r, averaging 0.004 kg N2O-N kg-1 [37].
item-59 at level 3: section_header: Methane emissions
item-60 at level 4: text: The enteric CH4 intensity was si ... ], which did not happen in this study.
item-61 at level 4: picture
item-61 at level 5: caption: Fig 3 Sensitivity of the C footprint. Sensitivity index = percentage change in C footprint for a 10% change in the given emission source divided by 10% of. (a) N2O emission factors for urine and dung from IPCC [38], feed production emission factors from Table 3, production of electricity = 0.73 kg CO2e kWh-1 [41]. (b) N2O emission factors for urine and dung from IPCC [38], feed production emission factors from Table 3, production of electricity = 0.205 kg CO2e kWh-1 [46]; (c) N2O emission factors for urine and dung from local data [37], feed production EF from Table 4 without accounting sequestered CO2-C from perennial pasture, production of electricity = 0.205 kg CO2e kWh-1 [46]. (d) N2O emission factors for urine and dung from local data [37], feed production emission factors from Table 4 accounting sequestered CO2-C from perennial pasture, production of electricity = 0.205 kg CO2e kWh-1 [46].
item-62 at level 4: text: The lack of difference in enteri ... same scenarios as in this study [26].
item-63 at level 3: section_header: Emissions from excreta and feed production
item-64 at level 4: text: Using IPCC emission factors for ... may not be captured by microbes [65].
item-65 at level 4: picture
item-65 at level 5: caption: Fig 4 Greenhouse gas emissions (GHG) from manure and feed production in dairy cattle systems. TMR = ad libitum TMR intake, 75TMR = 75% of ad libitum TMR intake with access to pasture, 50TMR = 50% of ad libitum TMR intake with access to pasture. (a) N2O emission factors for urine and dung from IPCC [38]. (b) Feed production emission factors from Table 3. (c) N2O emission factors for urine and dung from local data [37]. (d) Feed production emission factors from Table 4 accounting sequestered CO2-C from perennial pasture.
item-66 at level 4: text: Using local emission factors for ... be revised for the subtropical region.
item-67 at level 4: text: Emissions for feed production de ... act, particularly in confinements [9].
item-68 at level 3: section_header: Farm management
item-69 at level 4: text: The lower impact of emissions fr ... greater than 5% of total C footprint.
item-70 at level 4: text: Emissions from farm management d ... gas and hard coal, respectively [46].
item-71 at level 3: section_header: Assumptions and limitations
item-72 at level 4: text: The milk production and composit ... ions as a function of soil management.
item-73 at level 3: section_header: Further considerations
item-74 at level 4: text: The potential for using pasture ... g ECM)-1 in case of foot lesions [72].
item-75 at level 4: text: Grazing lands may also improve b ... hange of CO2 would be negligible [76].
item-76 at level 2: section_header: Conclusions
item-77 at level 3: text: This study assessed the C footpr ... on with or without access to pastures.
item-78 at level 2: section_header: Acknowledgments
item-79 at level 3: text: Thanks to Anna Naranjo for helpf ... of the herd considered in this study.
item-80 at level 2: section_header: References
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item-159 at level 1: caption: Table 1 Descriptive characteristics of the herd.
item-160 at level 1: caption: Table 2 Dairy cows diets in different scenariosa.
item-161 at level 1: caption: Table 3 GHG emission factors for Off- and On-farm feed production.
item-162 at level 1: caption: Table 4 GHG emissions from On-farm feed production.
item-163 at level 1: caption: Table 5 Factors for major resource inputs in farm management.
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item-165 at level 1: caption: Fig 3 Sensitivity of the C footp ... lectricity = 0.205 kg CO2e kWh-1 [46].
item-166 at level 1: caption: Fig 4 Greenhouse gas emissions ( ... uestered CO2-C from perennial pasture.

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# Potential to reduce greenhouse gas emissions through different dairy cattle systems in subtropical regions
Ribeiro-Filho Henrique M. N.; 1: Department of Animal Science, University of California, Davis, California, United States of America, 2: Programa de Pós-graduação em Ciência Animal, Universidade do Estado de Santa Catarina, Lages, Santa Catarina, Brazil; Civiero Maurício; 2: Programa de Pós-graduação em Ciência Animal, Universidade do Estado de Santa Catarina, Lages, Santa Catarina, Brazil; Kebreab Ermias; 1: Department of Animal Science, University of California, Davis, California, United States of America
Henrique M. N. Ribeiro-Filho, Maurício Civiero, Ermias Kebreab
Department of Animal Science, University of California, Davis, California, United States of America; Programa de Pós-graduação em Ciência Animal, Universidade do Estado de Santa Catarina, Lages, Santa Catarina, Brazil
## Abstract
@ -26,12 +28,33 @@ An LCA was developed according to the ISO standards [23,24] and Food and Agricul
The goal of the study was to assess the C footprint of annual tropical and temperate pastures in lactating dairy cow diets. The production system was divided into four main processes: (i) animal husbandry, (ii) manure management and urine and dung deposited by grazing animals, (iii) production of feed ingredients and (iv) farm management (Fig 1). The study boundary included all processes up to the animal farm gate (cradle to gate), including secondary sources such as GHG emissions during the production of fuel, electricity, machinery, manufacturing of fertilizer, pesticides, seeds and plastic used in silage production. Fuel combustion and machinery (manufacture and repairs) for manure handling and electricity for milking and confinement were accounted as emissions from farm management. Emissions post milk production were assumed to be similar for all scenarios, therefore, activities including milk processing, distribution, retail or consumption were outside of the system boundary.
Fig 1 Overview of the milk production system boundary considered in the study.
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### Functional unit
The functional unit was one kilogram of energy-corrected milk (ECM) at the farm gate. All processes in the system were calculated based on one kilogram ECM. The ECM was calculated by multiplying milk production by the ratio of the energy content of the milk to the energy content of standard milk with 4% fat and 3.3% true protein according to NRC [20] as follows:
ECM = Milk production × (0.0929 × fat% + 0.0588× true protein% + 0.192) / (0.0929 × (4%) + 0.0588 × (3.3%) + 0.192), where fat% and protein% are fat and protein percentages in milk, respectively. The average milk production and composition were recorded from the University of Santa Catarina State (Brazil) herd, considering 165 lactations between 2009 and 2018. The herd is predominantly Holstein × Jersey cows, with key characteristics described in Table 1.
Table 1 Descriptive characteristics of the herd.
| Item | Unit | Average |
|-------------------------------|-----------|-----------|
| Milking cows | # | 165 |
| Milk production | kg year-1 | 7,015 |
| Milk fat | % | 4.0 |
| Milk protein | % | 3.3 |
| Length of lactation | days | 305 |
| Body weight | kg | 553 |
| Lactations per cow | # | 4 |
| Replacement rate | % | 25 |
| Cull rate | % | 25 |
| First artificial insemination | months | 16 |
| Weaned | days | 60 |
| Mortality | % | 3.0 |
### Data sources and livestock system description
The individual feed requirements, as well as the milk production responses based on feed strategies were based on data recorded from the herd described above and two experiments performed using lactating cows from the same herd. Due to the variation on herbage production throughout the year, feed requirements were estimated taking into consideration that livestock systems have a calving period in April, which represents the beginning of fall season in the southern Hemisphere. The experiments have shown a 10% reduction in ECM production in dairy cows that received both 75 and 50% of ad libitum TMR intake with access to grazing a tropical pasture (pearl-millet, Pennisetum glaucum Campeiro) compared to cows receiving ad libitum TMR intake. Cows grazing on a temperate pasture (ryegrass, Lolium multiflorum Maximus) did not need changes to ECM production compared to the ad libitum TMR intake group.
@ -48,108 +71,7 @@ The CO2e emissions were calculated by multiplying the emissions of CO2, CH4 and
The DM intake of each ingredient throughout the entire life of animals during lactation periods was calculated for each scenario: cows receiving only TMR, cows receiving 75% of TMR with annual pastures and cows receiving 50% of TMR with annual pastures (Table 2). In each of other phases of life (calf, heifer, dry cow), animals received the same diet, including a perennial tropical pasture (kikuyu grass, Pennisetum clandestinum). The DM intake of calves, heifers and dry cows was calculated assuming 2.8, 2.5 and 1.9% body weight, respectively [20]. In each case, the actual DM intake of concentrate and corn silage was recorded, and pasture DM intake was estimated by the difference between daily expected DM intake and actual DM intake of concentrate and corn silage. For lactating heifers and cows, TMR was formulated to meet the net energy for lactation (NEL) and metabolizable protein (MP) requirements of experimental animals, according to [28]. The INRA system was used because it is possible to estimate pasture DM intake taking into account the TMR intake, pasture management and the time of access to pasture using the GrazeIn model [29], which was integrated in the software INRAtion 4.07 (https://www.inration.educagri.fr/fr/forum.php). The nutrient intake was calculated as a product of TMR and pasture intake and the nutrient contents of TMR and pasture, respectively, which were determined in feed samples collected throughout the experiments.
#### GHG emissions from crop and pasture production
GHG emission factors used for off- and on-farm feed production were based on literature values, and are presented in Table 3. The emission factor used for corn grain is the average of emission factors observed in different levels of synthetic N fertilization [30]. The emission factor used for soybean is based on Brazilian soybean production [31]. The emissions used for corn silage, including feed processing (cutting, crushing and mixing), and annual or perennial grass productions were 3300 and 1500 kg CO2e ha-1, respectively [32]. The DM production (kg ha-1) of corn silage and pastures were based on regional and locally recorded data [3336], assuming that animals are able to consume 70% of pastures during grazing.
Emissions from on-farm feed production (corn silage and pasture) were estimated using primary and secondary sources based on the actual amount of each input (Table 4). Primary sources were direct and indirect N2O-N emissions from organic and synthetic fertilizers and crop/pasture residues, CO2-C emissions from lime and urea applications, as well as fuel combustion. The direct N2O-N emission factor (kg (kg N input)-1) is based on a local study performed previously [37]. For indirect N2O-N emissions (kg N2O-N (kg NH3-N + NOx)-1), as well as CO2-C emissions from lime + urea, default values proposed by IPCC [38] were used. For perennial pastures, a C sequestration of 0.57 t ha-1 was used based on a 9-year study conducted in southern Brazil [39]. Due to the use of conventional tillage, no C sequestration was considered for annual pastures. The amount of fuel required was 8.9 (no-tillage) and 14.3 L ha-1 (disking) for annual tropical and temperate pastures, respectively [40]. The CO2 from fuel combustion was 2.7 kg CO2 L-1 [41]. Secondary sources of emissions during the production of fuel, machinery, fertilizer, pesticides, seeds and plastic for ensilage were estimated using emission factors described by Rotz et al. [42].
### Animal husbandry
The CH4 emissions from enteric fermentation intensity (g (kg ECM)-1) was a function of estimated CH4 yield (g (kg DM intake)-1), actual DM intake and ECM. The enteric CH4 yield was estimated as a function of neutral detergent fiber (NDF) concentration on total DM intake, as proposed by Niu et al. [43], where: CH4 yield (g (kg DM intake)-1) = 13.8 + 0.185 × NDF (% DM intake).
### Manure from confined cows and urine and dung from grazing animals
The CH4 emission from manure (kg (kg ECM)-1) was a function of daily CH4 emission from manure (kg cow-1) and daily ECM (kg cow-1). The daily CH4 emission from manure was estimated according to IPCC [38], which considered daily volatile solid (VS) excreted (kg DM cow-1) in manure. The daily VS was estimated as proposed by Eugène et al. [44] as: VS = NDOMI + (UE × GE) × (OM/18.45), where: VS = volatile solid excretion on an organic matter (OM) basis (kg day-1), NDOMI = non-digestible OM intake (kg day-1): (1- OM digestibility) × OM intake, UE = urinary energy excretion as a fraction of GE (0.04), GE = gross energy intake (MJ day-1), OM = organic matter (g), 18.45 = conversion factor for dietary GE per kg of DM (MJ kg-1).
The OM digestibility was estimated as a function of chemical composition, using equations published by INRA [21], which takes into account the effects of digestive interactions due to feeding level, the proportion of concentrate and rumen protein balance on OM digestibility. For scenarios where cows had access to grazing, the amount of calculated VS were corrected as a function of the time at pasture. The biodegradability of manure factor (0.13 for dairy cows in Latin America) and methane conversion factor (MCF) values were taken from IPCC [38]. The MCF values for pit storage below animal confinements (&gt; 1 month) were used for the calculation, taking into account the annual average temperature (16.6ºC) or the average temperatures during the growth period of temperate (14.4ºC) or tropical (21ºC) annual pastures, which were 31%, 26% and 46%, respectively.
The N2O-N emissions from urine and feces were estimated considering the proportion of N excreted as manure and storage or as urine and dung deposited by grazing animals. These proportions were calculated based on the proportion of daily time that animals stayed on pasture (7 h/24 h = 0.29) or confinement (10.29 = 0.71). For lactating heifers and cows, the total amount of N excreted was calculated by the difference between N intake and milk N excretion. For heifers and non-lactating cows, urinary and fecal N excretion were estimated as proposed by Reed et al. [45] (Table 3: equations 10 and 12, respectively). The N2O emissions from stored manure as well as urine and dung during grazing were calculated based on the conversion of N2O-N emissions to N2O emissions, where N2O emissions = N2O-N emissions × 44/28. The emission factors were 0.002 kg N2O-N (kg N)-1 stored in a pit below animal confinements, and 0.02 kg N2O-N (kg of urine and dung)-1 deposited on pasture [38]. The indirect N2O emissions from storage manure and urine and dung deposits on pasture were also estimated using the IPCC [38] emission factors.
### Farm management
Emissions due to farm management included those from fuel and machinery for manure handling and electricity for milking and confinement (Table 5). Emissions due to feed processing such as cutting, crushing, mixing and distributing, as well as secondary sources of emissions during the production of fuel, machinery, fertilizer, pesticides, seeds and plastic for ensilage were included in Emissions from crop and pasture production section.
The amount of fuel use for manure handling were estimated taking into consideration the amount of manure produced per cow and the amounts of fuel required for manure handling (L diesel t-1) [42]. The amount of manure was estimated from OM excretions (kg cow-1), assuming that the manure has 8% ash on DM basis and 60% DM content. The OM excretions were calculated by NDOMI × days in confinement × proportion of daily time that animals stayed on confinement.
The emissions from fuel were estimated considering the primary (emissions from fuel burned) and secondary (emissions for producing and transporting fuel) emissions. The primary emissions were calculated by the amount of fuel required for manure handling (L) × (kg CO2e L-1) [41]. The secondary emissions from fuel were calculated by the amount of fuel required for manure handling × emissions for production and transport of fuel (kg CO2e L-1) [41]. Emissions from manufacture and repair of machinery for manure handling were estimated by manure produced per cow (t) × (kg machinery mass (kg manure)-1 × 103) [42] × kg CO2e (kg machinery mass)-1 [42].
Emissions from electricity for milking and confinement were estimated using two emission factors (kg CO2 kWh-1). The first one is based on United States electricity matrix [41], and was used as a reference of an electricity matrix with less hydroelectric power than the region under study. The second is based on the Brazilian electricity matrix [46]. The electricity required for milking activities is 0.06 kWh (kg milk produced)-1 [47]. The annual electricity use for lighting was 75 kWh cow-1, which is the value considered for lactating cows in naturally ventilated barns [47].
The lower impact of emissions from farm management is in agreement with other studies conducted in Europe [9, 62] and USA [42, 55], where the authors found that most emissions in dairy production systems are from enteric fermentation, feed production and emissions from excreta. As emissions from fuel for on-farm feed production were accounted into the emissions from crop and pasture production, total emissions from farm management were not greater than 5% of total C footprint.
Emissions from farm management dropped when the emission factor for electricity generation was based on the Brazilian matrix. In this case, the emission factor for electricity generation (0.205 kg CO2e kWh-1 [46]) is much lower than that in a LCA study conducted in US (0.73 kg CO2e kWh-1 [42]). This apparent discrepancy is explained because in 2016, almost 66% of the electricity generated in Brazil was from hydropower, which has an emission factor of 0.074 kg CO2e kWh-1 against 0.382 and 0.926 kg CO2e kWh-1 produced by natural gas and hard coal, respectively [46].
### Co-product allocation
The C footprint for milk produced in the system was calculated using a biophysical allocation approach, as recommended by the International Dairy Federation [49], and described by Thoma et al. [48]. Briefly, ARmilk = 16.04 × BMR, where: ARmilk is the allocation ratio for milk and BMR is cow BW at the time of slaughter (kg) + calf BW sold (kg) divided by the total ECM produced during cow`s entire life (kg). The ARmilk were 0.854 and 0.849 for TMR and TMR with both pasture scenarios, respectively. The ARmilk was applied to the whole emissions, except for the electricity consumed for milking (milking parlor) and refrigerant loss, which was directly assigned to milk production.
### Sensitivity analysis
A sensitivity index was calculated as described by Rotz et al. [42]. The sensitivity index was defined for each emission source as the percentage change in the C footprint for a 10% change in the given emission source divided by 10%. Thus, a value near 0 indicates a low sensitivity, whereas an index near or greater than 1 indicates a high sensitivity because a change in this value causes a similar change in the footprint.
## Results and discussion
The study has assessed the impact of tropical and temperate pastures in dairy cows fed TMR on the C footprint of dairy production in subtropics. Different factors were taken in to consideration to estimate emissions from manure (or urine and dung) of grazing animals, feed production and electricity use.
### Greenhouse gas emissions
Depending on emission factors used for calculating emissions from urine and dung (IPCC or local data) and feed production (Tables 3 or 4), the C footprint was similar (Fig 2A and 2B) or decreased by 0.04 kg CO2e (kg ECM)-1 (Fig 2C and 2D) in scenarios that included pastures compared to ad libitum TMR intake. Due to differences in emission factors, the overall GHG emission values ranged from 0.92 to 1.04 kg CO2e (kg ECM)-1 for dairy cows receiving TMR exclusively, and from 0.88 to 1.04 kg CO2e (kg ECM)-1 for cows with access to pasture. Using IPCC emission factors [38], manure emissions increased as TMR intake went down (Fig 2A and 2B). However, using local emission factors for estimating N2O-N emissions [37], manure emissions decreased as TMR intake went down (Fig 2C and 2D). Regardless of emission factors used (Tables 3 or 4), emissions from feed production decreased to a small extent as the proportion of TMR intake decreased. Emissions from farm management did not contribute more than 5% of overall GHG emissions.
Considering IPCC emission factors for N2O emissions from urine and dung [38] and those from Table 3, the C footprint ranged from 0.99 to 1.04 kg CO2e (kg ECM)-1, and was close to those reported under confined based systems in California [49], Canada [50], China [8], Ireland [9], different scenarios in Australia [51,52] and Uruguay [11], which ranged from 0.98 to 1.16 kg CO2e (kg ECM)-1. When local emission factors for N2O emissions from urine and dung [37] and those from Table 4 were taking into account, the C footprint for scenarios including pasture, without accounting for sequestered CO2-C from perennial pasture—0.91 kg CO2e (kg ECM)-1—was lower than the range of values described above. However, these values were still greater than high-performance confinement systems in UK and USA [53] or grass based dairy systems in Ireland [9,53] and New Zealand [8,54], which ranged from 0.52 to 0.89 kg CO2e (kg ECM)-1. Regardless of which emission factor was used, we found a lower C footprint in all conditions compared to scenarios with lower milk production per cow or in poor conditions of manure management, which ranged from 1.4 to 2.3 kg CO2e (kg ECM)-1 [8,55]. Thus, even though differences between studies may be partially explained by various assumptions (e.g., emission factors, co-product allocation, methane emissions estimation, sequestered CO2-C, etc.), herd productivity and manure management were systematically associated with the C footprint of the dairy systems.
The similarity of C footprint between different scenarios using IPCC [38] for estimating emissions from manure and for emissions from feed production (Table 3) was a consequence of the trade-off between greater manure emissions and lower emissions to produce feed, as the proportion of pasture in diets increased. Additionally, the small negative effect of pasture on ECM production also contributed to the trade-off. The impact of milk production on the C footprint was reported in a meta-analysis comprising 30 studies from 15 different countries [22]. As observed in this study (Fig 2A and 2B) the authors reported no significant difference between the C footprint of pasture-based vs. confinement systems. However, they observed that an increase of 1000 kg cow-1 (5000 to 6000 kg ECM) reduced the C footprint by 0.12 kg CO2e (kg ECM)-1, which may explain an apparent discrepancy between our study and an LCA performed in south Brazilian conditions [56]. Their study compared a confinement and a grazing-based dairy system with annual average milk production of 7667 and 5535 kg cow, respectively. In this study, the same herd was used in all systems, with an annual average milk production of around 7000 kg cow-1. Experimental data showed a reduction not greater than 3% of ECM when 50% of TMR was replaced by pasture access.
The lower C footprint in scenarios with access to pasture, when local emission factors [37] were used for N2O emissions from urine and dung and for feed production (Table 4), may also be partially attributed to the small negative effect of pasture on ECM production. Nevertheless, local emission factors for urine and dung had a great impact on scenarios including pastures compared to ad libitum TMR intake. Whereas the IPCC [38] considers an emission of 0.02 kg N2O-N (kg N)-1 for urine and dung from grazing animals, experimental evidence shows that it may be up to five times lower, averaging 0.004 kg N2O-N kg-1 [37].
### Methane emissions
The enteric CH4 intensity was similar between different scenarios (Fig 2), showing the greatest sensitivity index, with values ranging from 0.53 to 0.62, which indicate that for a 10% change in this source, the C footprint may change between 5.3 and 6.2% (Fig 3). The large effect of enteric CH4 emissions on the whole C footprint was expected, because the impact of enteric CH4 on GHG emissions of milk production in different dairy systems has been estimated to range from 44 to 60% of the total CO2e [50,52,57,58]. However, emissions in feed production may be the most important source of GHG when emission factors for producing concentrate feeds are greater than 0.7 kg CO2e kg-1 [59], which did not happen in this study.
The lack of difference in enteric CH4 emissions in different systems can be explained by the narrow range of NDF content in diets (&lt;4% difference). This non-difference is due to the lower NDF content of annual temperate pastures (495 g (kg DM)-1) compared to corn silage (550 g (kg DM)-1). Hence, an expected, increase NDF content with decreased concentrate was partially offset by an increase in the pasture proportion relatively low in NDF. This is in agreement with studies conducted in southern Brazil, which have shown that the actual enteric CH4 emissions may decrease with inclusion of temperate pastures in cows receiving corn silage and soybean meal [60] or increase enteric CH4 emissions when dairy cows grazing a temperate pasture was supplemented with corn silage [61]. Additionally, enteric CH4 emissions did not differ between dairy cows receiving TMR exclusively or grazing a tropical pasture in the same scenarios as in this study [26].
### Emissions from excreta and feed production
Using IPCC emission factors for N2O emissions from urine and dung [38] and those from Table 3, CH4 emissions from manure decreased 0.07 kg CO2e (kg ECM)-1, but N2O emissions from manure increased 0.09 kg CO2e (kg ECM)-1, as TMR intake was restricted to 50% ad libitum (Fig 4A). Emissions for pastures increased by 0.06 kg CO2e (kg ECM)-1, whereas emissions for producing concentrate feeds and corn silage decreased by 0.09 kg CO2e (kg ECM)-1, as TMR intake decreased (Fig 4B). In this situation, the lack of difference in calculated C footprints of different systems was also due to the greater emissions from manure, and offset by lower emissions from feed production with inclusion of pasture in lactating dairy cow diets. The greater N2O-N emissions from manure with pasture was a consequence of higher N2O-N emissions due to greater CP content and N urine excretion, as pasture intake increased. The effect of CP content on urine N excretion has been shown by several authors in lactating dairy cows [6264]. For instance, by decreasing CP content from 185 to 152 g (kg DM)-1, N intake decreased by 20% and urine N excretion by 60% [62]. In this study, the CP content for lactating dairy cows ranged from 150 g (kg DM)-1 on TMR system to 198 g (kg DM)-1 on 50% TMR with pasture. Additionally, greater urine N excretion is expected with greater use of pasture. This occurs because protein utilization in pastures is inefficient, as the protein in fresh forages is highly degradable in the rumen and may not be captured by microbes [65].
Using local emission factors for N2O emissions from urine and dung [37] and those from Table 4, reductions in CH4 emissions from stocked manure, when pastures were included on diets, did not offset by increases in N2O emissions from excreta (Fig 4C). In this case, total emissions from manure (Fig 4C) and feed production (Fig 4D) decreased with the inclusion of pasture. The impact of greater CP content and N urine excretion with increased pasture intake was offset by the much lower emission factors used for N2O emissions from urine and dung. As suggested by other authors [66,67], these results show that IPCC default value may need to be revised for the subtropical region.
Emissions for feed production decreased when pasture was included due to the greater emission factor for corn grain production compared to pastures. Emissions from concentrate and silage had at least twice the sensitivity index compared to emissions from pastures. The amount of grain required per cow in a lifetime decreased from 7,300 kg to 4,000 kg when 50% of TMR was replaced by pasture access. These results are in agreement with other studies which found lower C footprint, as concentrate use is reduced and/or pasture is included [9,68,69]. Moreover, it has been demonstrated that in intensive dairy systems, after enteric fermentation, feed production is the second main contributor to C footprint [50]. There is potential to decrease the environmental impact of dairy systems by reducing the use of concentrate ingredients with high environmental impact, particularly in confinements [9].
### Assumptions and limitations
The milk production and composition data are the average for a typical herd, which might have great animal-to-animal variability. Likewise, DM yield of crops and pastures were collected from experimental observations, and may change as a function of inter-annual variation, climatic conditions, soil type, fertilization level etc. The emission factors for direct and indirect N2O emissions from urine and dung were alternatively estimated using local data, but more experiments are necessary to reduce the uncertainty. The CO2 emitted from lime and urea application was estimated from IPCC default values, which may not represent emissions in subtropical conditions. This LCA may be improved by reducing the uncertainty of factors for estimating emissions from excreta and feed production, including the C sequestration or emissions as a function of soil management.
### Further considerations
The potential for using pasture can reduce the C footprint because milk production kept pace with animal confinement. However, if milk production is to decrease with lower TMR intake and inclusion of pasture [19], the C footprint would be expected to increase. Lorenz et al. [22] showed that an increase in milk yield from 5,000 to 6,000 kg ECM reduced the C footprint by 0.12 kg CO2e (kg ECM)-1, whereas an increase from 10,000 to 11,000 kg ECM reduced the C footprint by only 0.06 kg CO2e (kg ECM)-1. Hence, the impact of increasing milk production on decreasing C footprint is not linear, and mitigation measures, such as breeding for increased genetic yield potential and increasing concentrate ratio in the diet, are potentially harmful for animals health and welfare [70]. For instance, increasing concentrate ratio potentially increases the occurrence of subclinical ketosis and foot lesions, and C footprint may increase by 0.03 kg CO2e (kg ECM)-1 in subclinical ketosis [71] and by 0.02 kg CO2e (kg ECM)-1 in case of foot lesions [72].
Grazing lands may also improve biodiversity [73]. Strategies such as zero tillage may increase stocks of soil C [74]. This study did not consider C sequestration during the growth of annual pastures, because it was assumed these grasses were planted with tillage, having a balance between C sequestration and C emissions [38]. Considering the C sequestration from no-tillage perennial pasture, the amount of C sequestration will more than compensates for C emitted. These results are in agreement with other authors who have shown that a reduction or elimination of soil tillage increases annual soil C sequestration in subtropical areas by 0.5 to 1.5 t ha-1 [75]. If 50% of tilled areas were under perennial grasslands, 1.0 t C ha-1 would be sequestered, further reducing the C footprint by 0.015 and 0.025 kg CO2e (kg ECM)-1 for the scenarios using 75 and 50% TMR, respectively. Eliminating tillage, the reduction on total GHG emissions would be 0.03 and 0.05 kg CO2e (kg ECM)-1 for 75 and 50% TMR, respectively. However, this approach may be controversial because lands which have been consistently managed for decades have approached steady state C storage, so that net exchange of CO2 would be negligible [76].
## Conclusions
This study assessed the C footprint of dairy cattle systems with or without access to pastures. Including pastures showed potential to maintain or decrease to a small extent the C footprint, which may be attributable to the evidence of low N2O emissions from urine and dung in dairy systems in subtropical areas. Even though the enteric CH4 intensity was the largest source of CO2e emissions, it did not change between different scenarios due to the narrow range of NDF content in diets and maintaining the same milk production with or without access to pastures.
## Tables
Table 1: Descriptive characteristics of the herd.
| Item | Unit | Average |
|-------------------------------|-----------|-----------|
| Milking cows | # | 165 |
| Milk production | kg year-1 | 7,015 |
| Milk fat | % | 4.0 |
| Milk protein | % | 3.3 |
| Length of lactation | days | 305 |
| Body weight | kg | 553 |
| Lactations per cow | # | 4 |
| Replacement rate | % | 25 |
| Cull rate | % | 25 |
| First artificial insemination | months | 16 |
| Weaned | days | 60 |
| Mortality | % | 3.0 |
Table 2: Dairy cows diets in different scenariosa.
Table 2 Dairy cows diets in different scenariosa.
| | Calf | Calf | Pregnant/dry | Pregnant/dry | Lactation | Lactation | Lactation | Weighted average | Weighted average | Weighted average |
|-----------------------------------|-----------------------------------|-----------------------------------|-----------------------------------|-----------------------------------|-----------------------------------|-----------------------------------|-----------------------------------|-----------------------------------|-----------------------------------|-----------------------------------|
@ -174,7 +96,11 @@ Table 2: Dairy cows diets in different scenariosa.
| NEL, Mcal (kg DM)-1 | 1.96 | 1.69 | 1.63 | 1.44 | 1.81 | 1.78 | 1.74 | 1.8 | 1.8 | 1.7 |
| MP, g (kg DM)-1 | 111 | 93.6 | 97.6 | 90.0 | 95.0 | 102 | 102 | 97.5 | 102 | 101 |
Table 3: GHG emission factors for Off- and On-farm feed production.
#### GHG emissions from crop and pasture production
GHG emission factors used for off- and on-farm feed production were based on literature values, and are presented in Table 3. The emission factor used for corn grain is the average of emission factors observed in different levels of synthetic N fertilization [30]. The emission factor used for soybean is based on Brazilian soybean production [31]. The emissions used for corn silage, including feed processing (cutting, crushing and mixing), and annual or perennial grass productions were 3300 and 1500 kg CO2e ha-1, respectively [32]. The DM production (kg ha-1) of corn silage and pastures were based on regional and locally recorded data [3336], assuming that animals are able to consume 70% of pastures during grazing.
Table 3 GHG emission factors for Off- and On-farm feed production.
| Feed | DM yield (kg ha-1) | Emission factor | Unita | References |
|------------------|----------------------|-------------------|----------------------|--------------|
@ -187,7 +113,9 @@ Table 3: GHG emission factors for Off- and On-farm feed production.
| Pearl milletd | 11,000 | 0.195 | kg CO2e (kg DM)-1 | [32,35] |
| Kikuyu grasse | 9,500 | 0.226 | kg CO2e (kg DM)-1 | [32,36] |
Table 4: GHG emissions from On-farm feed production.
Emissions from on-farm feed production (corn silage and pasture) were estimated using primary and secondary sources based on the actual amount of each input (Table 4). Primary sources were direct and indirect N2O-N emissions from organic and synthetic fertilizers and crop/pasture residues, CO2-C emissions from lime and urea applications, as well as fuel combustion. The direct N2O-N emission factor (kg (kg N input)-1) is based on a local study performed previously [37]. For indirect N2O-N emissions (kg N2O-N (kg NH3-N + NOx)-1), as well as CO2-C emissions from lime + urea, default values proposed by IPCC [38] were used. For perennial pastures, a C sequestration of 0.57 t ha-1 was used based on a 9-year study conducted in southern Brazil [39]. Due to the use of conventional tillage, no C sequestration was considered for annual pastures. The amount of fuel required was 8.9 (no-tillage) and 14.3 L ha-1 (disking) for annual tropical and temperate pastures, respectively [40]. The CO2 from fuel combustion was 2.7 kg CO2 L-1 [41]. Secondary sources of emissions during the production of fuel, machinery, fertilizer, pesticides, seeds and plastic for ensilage were estimated using emission factors described by Rotz et al. [42].
Table 4 GHG emissions from On-farm feed production.
| Item | Corn silage | Annual temperate pasture | Annual tropical pasture | Perennial tropical pasture |
|-------------------------------------------|---------------|----------------------------|---------------------------|------------------------------|
@ -219,7 +147,23 @@ Table 4: GHG emissions from On-farm feed production.
| kg CO2e ha-1 (emitted—sequestered) | 1833 | 964 | 1130 | -245 |
| Emission factor, kg CO2e (kg DM)-1i | 0.115 | 0.145 | 0.147 | -0.037 |
Table 5: Factors for major resource inputs in farm management.
### Animal husbandry
The CH4 emissions from enteric fermentation intensity (g (kg ECM)-1) was a function of estimated CH4 yield (g (kg DM intake)-1), actual DM intake and ECM. The enteric CH4 yield was estimated as a function of neutral detergent fiber (NDF) concentration on total DM intake, as proposed by Niu et al. [43], where: CH4 yield (g (kg DM intake)-1) = 13.8 + 0.185 × NDF (% DM intake).
### Manure from confined cows and urine and dung from grazing animals
The CH4 emission from manure (kg (kg ECM)-1) was a function of daily CH4 emission from manure (kg cow-1) and daily ECM (kg cow-1). The daily CH4 emission from manure was estimated according to IPCC [38], which considered daily volatile solid (VS) excreted (kg DM cow-1) in manure. The daily VS was estimated as proposed by Eugène et al. [44] as: VS = NDOMI + (UE × GE) × (OM/18.45), where: VS = volatile solid excretion on an organic matter (OM) basis (kg day-1), NDOMI = non-digestible OM intake (kg day-1): (1- OM digestibility) × OM intake, UE = urinary energy excretion as a fraction of GE (0.04), GE = gross energy intake (MJ day-1), OM = organic matter (g), 18.45 = conversion factor for dietary GE per kg of DM (MJ kg-1).
The OM digestibility was estimated as a function of chemical composition, using equations published by INRA [21], which takes into account the effects of digestive interactions due to feeding level, the proportion of concentrate and rumen protein balance on OM digestibility. For scenarios where cows had access to grazing, the amount of calculated VS were corrected as a function of the time at pasture. The biodegradability of manure factor (0.13 for dairy cows in Latin America) and methane conversion factor (MCF) values were taken from IPCC [38]. The MCF values for pit storage below animal confinements (&gt; 1 month) were used for the calculation, taking into account the annual average temperature (16.6ºC) or the average temperatures during the growth period of temperate (14.4ºC) or tropical (21ºC) annual pastures, which were 31%, 26% and 46%, respectively.
The N2O-N emissions from urine and feces were estimated considering the proportion of N excreted as manure and storage or as urine and dung deposited by grazing animals. These proportions were calculated based on the proportion of daily time that animals stayed on pasture (7 h/24 h = 0.29) or confinement (10.29 = 0.71). For lactating heifers and cows, the total amount of N excreted was calculated by the difference between N intake and milk N excretion. For heifers and non-lactating cows, urinary and fecal N excretion were estimated as proposed by Reed et al. [45] (Table 3: equations 10 and 12, respectively). The N2O emissions from stored manure as well as urine and dung during grazing were calculated based on the conversion of N2O-N emissions to N2O emissions, where N2O emissions = N2O-N emissions × 44/28. The emission factors were 0.002 kg N2O-N (kg N)-1 stored in a pit below animal confinements, and 0.02 kg N2O-N (kg of urine and dung)-1 deposited on pasture [38]. The indirect N2O emissions from storage manure and urine and dung deposits on pasture were also estimated using the IPCC [38] emission factors.
### Farm management
Emissions due to farm management included those from fuel and machinery for manure handling and electricity for milking and confinement (Table 5). Emissions due to feed processing such as cutting, crushing, mixing and distributing, as well as secondary sources of emissions during the production of fuel, machinery, fertilizer, pesticides, seeds and plastic for ensilage were included in Emissions from crop and pasture production section.
Table 5 Factors for major resource inputs in farm management.
| Item | Factor | Unita | References |
|------------------------------------------|----------|-------------------|--------------|
@ -235,102 +179,159 @@ Table 5: Factors for major resource inputs in farm management.
| Electricity for milking | 0.06 | kWh (kg milk)-1 | [47] |
| Electricity for lightingd | 75 | kWh cow-1 | [47] |
## Figures
The amount of fuel use for manure handling were estimated taking into consideration the amount of manure produced per cow and the amounts of fuel required for manure handling (L diesel t-1) [42]. The amount of manure was estimated from OM excretions (kg cow-1), assuming that the manure has 8% ash on DM basis and 60% DM content. The OM excretions were calculated by NDOMI × days in confinement × proportion of daily time that animals stayed on confinement.
Fig 1: Overview of the milk production system boundary considered in the study.
The emissions from fuel were estimated considering the primary (emissions from fuel burned) and secondary (emissions for producing and transporting fuel) emissions. The primary emissions were calculated by the amount of fuel required for manure handling (L) × (kg CO2e L-1) [41]. The secondary emissions from fuel were calculated by the amount of fuel required for manure handling × emissions for production and transport of fuel (kg CO2e L-1) [41]. Emissions from manufacture and repair of machinery for manure handling were estimated by manure produced per cow (t) × (kg machinery mass (kg manure)-1 × 103) [42] × kg CO2e (kg machinery mass)-1 [42].
Emissions from electricity for milking and confinement were estimated using two emission factors (kg CO2 kWh-1). The first one is based on United States electricity matrix [41], and was used as a reference of an electricity matrix with less hydroelectric power than the region under study. The second is based on the Brazilian electricity matrix [46]. The electricity required for milking activities is 0.06 kWh (kg milk produced)-1 [47]. The annual electricity use for lighting was 75 kWh cow-1, which is the value considered for lactating cows in naturally ventilated barns [47].
### Co-product allocation
The C footprint for milk produced in the system was calculated using a biophysical allocation approach, as recommended by the International Dairy Federation [49], and described by Thoma et al. [48]. Briefly, ARmilk = 16.04 × BMR, where: ARmilk is the allocation ratio for milk and BMR is cow BW at the time of slaughter (kg) + calf BW sold (kg) divided by the total ECM produced during cow`s entire life (kg). The ARmilk were 0.854 and 0.849 for TMR and TMR with both pasture scenarios, respectively. The ARmilk was applied to the whole emissions, except for the electricity consumed for milking (milking parlor) and refrigerant loss, which was directly assigned to milk production.
### Sensitivity analysis
A sensitivity index was calculated as described by Rotz et al. [42]. The sensitivity index was defined for each emission source as the percentage change in the C footprint for a 10% change in the given emission source divided by 10%. Thus, a value near 0 indicates a low sensitivity, whereas an index near or greater than 1 indicates a high sensitivity because a change in this value causes a similar change in the footprint.
## Results and discussion
The study has assessed the impact of tropical and temperate pastures in dairy cows fed TMR on the C footprint of dairy production in subtropics. Different factors were taken in to consideration to estimate emissions from manure (or urine and dung) of grazing animals, feed production and electricity use.
### Greenhouse gas emissions
Depending on emission factors used for calculating emissions from urine and dung (IPCC or local data) and feed production (Tables 3 or 4), the C footprint was similar (Fig 2A and 2B) or decreased by 0.04 kg CO2e (kg ECM)-1 (Fig 2C and 2D) in scenarios that included pastures compared to ad libitum TMR intake. Due to differences in emission factors, the overall GHG emission values ranged from 0.92 to 1.04 kg CO2e (kg ECM)-1 for dairy cows receiving TMR exclusively, and from 0.88 to 1.04 kg CO2e (kg ECM)-1 for cows with access to pasture. Using IPCC emission factors [38], manure emissions increased as TMR intake went down (Fig 2A and 2B). However, using local emission factors for estimating N2O-N emissions [37], manure emissions decreased as TMR intake went down (Fig 2C and 2D). Regardless of emission factors used (Tables 3 or 4), emissions from feed production decreased to a small extent as the proportion of TMR intake decreased. Emissions from farm management did not contribute more than 5% of overall GHG emissions.
Fig 2 Overall greenhouse gas emissions in dairy cattle systems under various scenarios. TMR = ad libitum TMR intake, 75TMR = 75% of ad libitum TMR intake with access to pasture, 50TMR = 50% of ad libitum TMR intake with access to pasture. (a) N2O emission factors for urine and dung from IPCC [38], feed production emission factors from Table 3 without accounting for sequestered CO2-C from perennial pasture, production of electricity = 0.73 kg CO2e kWh-1 [41]. (b) N2O emission factors for urine and dung from IPCC [38], feed production emission factors from Table 3 without accounting for sequestered CO2-C from perennial pasture, production of electricity = 0.205 kg CO2e kWh-1 [46]; (c) N2O emission factors for urine and dung from local data [37], feed production EF from Table 4 without accounting for sequestered CO2-C from perennial pasture, production of electricity = 0.205 kg CO2e kWh-1 [46]. (d) N2O emission factors for urine and dung from local data [37], feed production emission factors from Table 4 accounting for sequestered CO2-C from perennial pasture, production of electricity = 0.205 kg CO2e kWh-1 [46].
<!-- image -->
Fig 2: Overall greenhouse gas emissions in dairy cattle systems under various scenarios.
TMR = ad libitum TMR intake, 75TMR = 75% of ad libitum TMR intake with access to pasture, 50TMR = 50% of ad libitum TMR intake with access to pasture. (a) N2O emission factors for urine and dung from IPCC [38], feed production emission factors from Table 3 without accounting for sequestered CO2-C from perennial pasture, production of electricity = 0.73 kg CO2e kWh-1 [41]. (b) N2O emission factors for urine and dung from IPCC [38], feed production emission factors from Table 3 without accounting for sequestered CO2-C from perennial pasture, production of electricity = 0.205 kg CO2e kWh-1 [46]; (c) N2O emission factors for urine and dung from local data [37], feed production EF from Table 4 without accounting for sequestered CO2-C from perennial pasture, production of electricity = 0.205 kg CO2e kWh-1 [46]. (d) N2O emission factors for urine and dung from local data [37], feed production emission factors from Table 4 accounting for sequestered CO2-C from perennial pasture, production of electricity = 0.205 kg CO2e kWh-1 [46].
Considering IPCC emission factors for N2O emissions from urine and dung [38] and those from Table 3, the C footprint ranged from 0.99 to 1.04 kg CO2e (kg ECM)-1, and was close to those reported under confined based systems in California [49], Canada [50], China [8], Ireland [9], different scenarios in Australia [51,52] and Uruguay [11], which ranged from 0.98 to 1.16 kg CO2e (kg ECM)-1. When local emission factors for N2O emissions from urine and dung [37] and those from Table 4 were taking into account, the C footprint for scenarios including pasture, without accounting for sequestered CO2-C from perennial pasture—0.91 kg CO2e (kg ECM)-1—was lower than the range of values described above. However, these values were still greater than high-performance confinement systems in UK and USA [53] or grass based dairy systems in Ireland [9,53] and New Zealand [8,54], which ranged from 0.52 to 0.89 kg CO2e (kg ECM)-1. Regardless of which emission factor was used, we found a lower C footprint in all conditions compared to scenarios with lower milk production per cow or in poor conditions of manure management, which ranged from 1.4 to 2.3 kg CO2e (kg ECM)-1 [8,55]. Thus, even though differences between studies may be partially explained by various assumptions (e.g., emission factors, co-product allocation, methane emissions estimation, sequestered CO2-C, etc.), herd productivity and manure management were systematically associated with the C footprint of the dairy systems.
The similarity of C footprint between different scenarios using IPCC [38] for estimating emissions from manure and for emissions from feed production (Table 3) was a consequence of the trade-off between greater manure emissions and lower emissions to produce feed, as the proportion of pasture in diets increased. Additionally, the small negative effect of pasture on ECM production also contributed to the trade-off. The impact of milk production on the C footprint was reported in a meta-analysis comprising 30 studies from 15 different countries [22]. As observed in this study (Fig 2A and 2B) the authors reported no significant difference between the C footprint of pasture-based vs. confinement systems. However, they observed that an increase of 1000 kg cow-1 (5000 to 6000 kg ECM) reduced the C footprint by 0.12 kg CO2e (kg ECM)-1, which may explain an apparent discrepancy between our study and an LCA performed in south Brazilian conditions [56]. Their study compared a confinement and a grazing-based dairy system with annual average milk production of 7667 and 5535 kg cow, respectively. In this study, the same herd was used in all systems, with an annual average milk production of around 7000 kg cow-1. Experimental data showed a reduction not greater than 3% of ECM when 50% of TMR was replaced by pasture access.
The lower C footprint in scenarios with access to pasture, when local emission factors [37] were used for N2O emissions from urine and dung and for feed production (Table 4), may also be partially attributed to the small negative effect of pasture on ECM production. Nevertheless, local emission factors for urine and dung had a great impact on scenarios including pastures compared to ad libitum TMR intake. Whereas the IPCC [38] considers an emission of 0.02 kg N2O-N (kg N)-1 for urine and dung from grazing animals, experimental evidence shows that it may be up to five times lower, averaging 0.004 kg N2O-N kg-1 [37].
### Methane emissions
The enteric CH4 intensity was similar between different scenarios (Fig 2), showing the greatest sensitivity index, with values ranging from 0.53 to 0.62, which indicate that for a 10% change in this source, the C footprint may change between 5.3 and 6.2% (Fig 3). The large effect of enteric CH4 emissions on the whole C footprint was expected, because the impact of enteric CH4 on GHG emissions of milk production in different dairy systems has been estimated to range from 44 to 60% of the total CO2e [50,52,57,58]. However, emissions in feed production may be the most important source of GHG when emission factors for producing concentrate feeds are greater than 0.7 kg CO2e kg-1 [59], which did not happen in this study.
Fig 3 Sensitivity of the C footprint. Sensitivity index = percentage change in C footprint for a 10% change in the given emission source divided by 10% of. (a) N2O emission factors for urine and dung from IPCC [38], feed production emission factors from Table 3, production of electricity = 0.73 kg CO2e kWh-1 [41]. (b) N2O emission factors for urine and dung from IPCC [38], feed production emission factors from Table 3, production of electricity = 0.205 kg CO2e kWh-1 [46]; (c) N2O emission factors for urine and dung from local data [37], feed production EF from Table 4 without accounting sequestered CO2-C from perennial pasture, production of electricity = 0.205 kg CO2e kWh-1 [46]. (d) N2O emission factors for urine and dung from local data [37], feed production emission factors from Table 4 accounting sequestered CO2-C from perennial pasture, production of electricity = 0.205 kg CO2e kWh-1 [46].
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Fig 3: Sensitivity of the C footprint.
Sensitivity index = percentage change in C footprint for a 10% change in the given emission source divided by 10% of. (a) N2O emission factors for urine and dung from IPCC [38], feed production emission factors from Table 3, production of electricity = 0.73 kg CO2e kWh-1 [41]. (b) N2O emission factors for urine and dung from IPCC [38], feed production emission factors from Table 3, production of electricity = 0.205 kg CO2e kWh-1 [46]; (c) N2O emission factors for urine and dung from local data [37], feed production EF from Table 4 without accounting sequestered CO2-C from perennial pasture, production of electricity = 0.205 kg CO2e kWh-1 [46]. (d) N2O emission factors for urine and dung from local data [37], feed production emission factors from Table 4 accounting sequestered CO2-C from perennial pasture, production of electricity = 0.205 kg CO2e kWh-1 [46].
The lack of difference in enteric CH4 emissions in different systems can be explained by the narrow range of NDF content in diets (&lt;4% difference). This non-difference is due to the lower NDF content of annual temperate pastures (495 g (kg DM)-1) compared to corn silage (550 g (kg DM)-1). Hence, an expected, increase NDF content with decreased concentrate was partially offset by an increase in the pasture proportion relatively low in NDF. This is in agreement with studies conducted in southern Brazil, which have shown that the actual enteric CH4 emissions may decrease with inclusion of temperate pastures in cows receiving corn silage and soybean meal [60] or increase enteric CH4 emissions when dairy cows grazing a temperate pasture was supplemented with corn silage [61]. Additionally, enteric CH4 emissions did not differ between dairy cows receiving TMR exclusively or grazing a tropical pasture in the same scenarios as in this study [26].
### Emissions from excreta and feed production
Using IPCC emission factors for N2O emissions from urine and dung [38] and those from Table 3, CH4 emissions from manure decreased 0.07 kg CO2e (kg ECM)-1, but N2O emissions from manure increased 0.09 kg CO2e (kg ECM)-1, as TMR intake was restricted to 50% ad libitum (Fig 4A). Emissions for pastures increased by 0.06 kg CO2e (kg ECM)-1, whereas emissions for producing concentrate feeds and corn silage decreased by 0.09 kg CO2e (kg ECM)-1, as TMR intake decreased (Fig 4B). In this situation, the lack of difference in calculated C footprints of different systems was also due to the greater emissions from manure, and offset by lower emissions from feed production with inclusion of pasture in lactating dairy cow diets. The greater N2O-N emissions from manure with pasture was a consequence of higher N2O-N emissions due to greater CP content and N urine excretion, as pasture intake increased. The effect of CP content on urine N excretion has been shown by several authors in lactating dairy cows [6264]. For instance, by decreasing CP content from 185 to 152 g (kg DM)-1, N intake decreased by 20% and urine N excretion by 60% [62]. In this study, the CP content for lactating dairy cows ranged from 150 g (kg DM)-1 on TMR system to 198 g (kg DM)-1 on 50% TMR with pasture. Additionally, greater urine N excretion is expected with greater use of pasture. This occurs because protein utilization in pastures is inefficient, as the protein in fresh forages is highly degradable in the rumen and may not be captured by microbes [65].
Fig 4 Greenhouse gas emissions (GHG) from manure and feed production in dairy cattle systems. TMR = ad libitum TMR intake, 75TMR = 75% of ad libitum TMR intake with access to pasture, 50TMR = 50% of ad libitum TMR intake with access to pasture. (a) N2O emission factors for urine and dung from IPCC [38]. (b) Feed production emission factors from Table 3. (c) N2O emission factors for urine and dung from local data [37]. (d) Feed production emission factors from Table 4 accounting sequestered CO2-C from perennial pasture.
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Fig 4: Greenhouse gas emissions (GHG) from manure and feed production in dairy cattle systems.
TMR = ad libitum TMR intake, 75TMR = 75% of ad libitum TMR intake with access to pasture, 50TMR = 50% of ad libitum TMR intake with access to pasture. (a) N2O emission factors for urine and dung from IPCC [38]. (b) Feed production emission factors from Table 3. (c) N2O emission factors for urine and dung from local data [37]. (d) Feed production emission factors from Table 4 accounting sequestered CO2-C from perennial pasture.
Using local emission factors for N2O emissions from urine and dung [37] and those from Table 4, reductions in CH4 emissions from stocked manure, when pastures were included on diets, did not offset by increases in N2O emissions from excreta (Fig 4C). In this case, total emissions from manure (Fig 4C) and feed production (Fig 4D) decreased with the inclusion of pasture. The impact of greater CP content and N urine excretion with increased pasture intake was offset by the much lower emission factors used for N2O emissions from urine and dung. As suggested by other authors [66,67], these results show that IPCC default value may need to be revised for the subtropical region.
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Emissions for feed production decreased when pasture was included due to the greater emission factor for corn grain production compared to pastures. Emissions from concentrate and silage had at least twice the sensitivity index compared to emissions from pastures. The amount of grain required per cow in a lifetime decreased from 7,300 kg to 4,000 kg when 50% of TMR was replaced by pasture access. These results are in agreement with other studies which found lower C footprint, as concentrate use is reduced and/or pasture is included [9,68,69]. Moreover, it has been demonstrated that in intensive dairy systems, after enteric fermentation, feed production is the second main contributor to C footprint [50]. There is potential to decrease the environmental impact of dairy systems by reducing the use of concentrate ingredients with high environmental impact, particularly in confinements [9].
### Farm management
The lower impact of emissions from farm management is in agreement with other studies conducted in Europe [9, 62] and USA [42, 55], where the authors found that most emissions in dairy production systems are from enteric fermentation, feed production and emissions from excreta. As emissions from fuel for on-farm feed production were accounted into the emissions from crop and pasture production, total emissions from farm management were not greater than 5% of total C footprint.
Emissions from farm management dropped when the emission factor for electricity generation was based on the Brazilian matrix. In this case, the emission factor for electricity generation (0.205 kg CO2e kWh-1 [46]) is much lower than that in a LCA study conducted in US (0.73 kg CO2e kWh-1 [42]). This apparent discrepancy is explained because in 2016, almost 66% of the electricity generated in Brazil was from hydropower, which has an emission factor of 0.074 kg CO2e kWh-1 against 0.382 and 0.926 kg CO2e kWh-1 produced by natural gas and hard coal, respectively [46].
### Assumptions and limitations
The milk production and composition data are the average for a typical herd, which might have great animal-to-animal variability. Likewise, DM yield of crops and pastures were collected from experimental observations, and may change as a function of inter-annual variation, climatic conditions, soil type, fertilization level etc. The emission factors for direct and indirect N2O emissions from urine and dung were alternatively estimated using local data, but more experiments are necessary to reduce the uncertainty. The CO2 emitted from lime and urea application was estimated from IPCC default values, which may not represent emissions in subtropical conditions. This LCA may be improved by reducing the uncertainty of factors for estimating emissions from excreta and feed production, including the C sequestration or emissions as a function of soil management.
### Further considerations
The potential for using pasture can reduce the C footprint because milk production kept pace with animal confinement. However, if milk production is to decrease with lower TMR intake and inclusion of pasture [19], the C footprint would be expected to increase. Lorenz et al. [22] showed that an increase in milk yield from 5,000 to 6,000 kg ECM reduced the C footprint by 0.12 kg CO2e (kg ECM)-1, whereas an increase from 10,000 to 11,000 kg ECM reduced the C footprint by only 0.06 kg CO2e (kg ECM)-1. Hence, the impact of increasing milk production on decreasing C footprint is not linear, and mitigation measures, such as breeding for increased genetic yield potential and increasing concentrate ratio in the diet, are potentially harmful for animals health and welfare [70]. For instance, increasing concentrate ratio potentially increases the occurrence of subclinical ketosis and foot lesions, and C footprint may increase by 0.03 kg CO2e (kg ECM)-1 in subclinical ketosis [71] and by 0.02 kg CO2e (kg ECM)-1 in case of foot lesions [72].
Grazing lands may also improve biodiversity [73]. Strategies such as zero tillage may increase stocks of soil C [74]. This study did not consider C sequestration during the growth of annual pastures, because it was assumed these grasses were planted with tillage, having a balance between C sequestration and C emissions [38]. Considering the C sequestration from no-tillage perennial pasture, the amount of C sequestration will more than compensates for C emitted. These results are in agreement with other authors who have shown that a reduction or elimination of soil tillage increases annual soil C sequestration in subtropical areas by 0.5 to 1.5 t ha-1 [75]. If 50% of tilled areas were under perennial grasslands, 1.0 t C ha-1 would be sequestered, further reducing the C footprint by 0.015 and 0.025 kg CO2e (kg ECM)-1 for the scenarios using 75 and 50% TMR, respectively. Eliminating tillage, the reduction on total GHG emissions would be 0.03 and 0.05 kg CO2e (kg ECM)-1 for 75 and 50% TMR, respectively. However, this approach may be controversial because lands which have been consistently managed for decades have approached steady state C storage, so that net exchange of CO2 would be negligible [76].
## Conclusions
This study assessed the C footprint of dairy cattle systems with or without access to pastures. Including pastures showed potential to maintain or decrease to a small extent the C footprint, which may be attributable to the evidence of low N2O emissions from urine and dung in dairy systems in subtropical areas. Even though the enteric CH4 intensity was the largest source of CO2e emissions, it did not change between different scenarios due to the narrow range of NDF content in diets and maintaining the same milk production with or without access to pastures.
## Acknowledgments
Thanks to Anna Naranjo for helpful comments throughout the elaboration of this manuscript, and to André Thaler Neto and Roberto Kappes for providing the key characteristics of the herd considered in this study.
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<section_header_level_1><location><page_1><loc_37><loc_89><loc_85><loc_91></location>Pythonو R ةغلب ةجمربلا للاخ نم تلاكشملا لحو ةيجاتنلإا نيسحت</section_header_level_1>
<text><location><page_1><loc_15><loc_80><loc_85><loc_87></location>Python و R ةغلب ةجمربلا ربتعت ةلاعف لولح داجيإ يف دعاستو ةيجاتنلإا ززعت نأ نكمي يتلا ةيوقلا تاودلأا نم ءاملعلاو نيللحملا ىلع لهسي امم ،تانايبلا ليلحتل ةيلاثم اهلعجت ةديرف تازيمPython و R نم لك كلتمي .تلاكشملل ناك اذإ .ةلاعفو ةعيرس ةقيرطب ةدقعم تلايلحت ءارجإ مهسي نأ نكمي تاغللا هذه مادختسا نإف ،ةيليلحت ةيلقع كيدل .لمعلا جئاتن نيسحت يف ريبك لكشب</text>
<text><location><page_1><loc_34><loc_73><loc_34><loc_75></location>ً</text>
<text><location><page_1><loc_16><loc_71><loc_85><loc_78></location>جارختساو تانايبلا نم ةلئاه تايمك ةجلاعم نكمملا نم حبصي ،ةجمربلا تاراهم عم يليلحتلا ريكفتلا عمتجي امدنع ذيفنتلPython و R مادختسا نيجمربملل نكمي .اهنم تاهجوتلاو طامنلأا ةجذمنلا لثم ،ةمدقتم ةيليلحت تايلمع ةقد رثكأ تارارق ذاختا ىلإ ا ضيأ يدؤي نأ نكمي لب ،تقولا رفوي طقف سيل اذه .ةريبكلا تانايبلا ليلحتو ةيئاصحلإا تانايبلا ىلع ةمئاق تاجاتنتسا ىلع ءانب .</text>
<text><location><page_1><loc_83><loc_71><loc_83><loc_73></location>ً</text>
<text><location><page_1><loc_15><loc_63><loc_85><loc_70></location>ليلحتلا نم ،تاقيبطتلا نم ةعساو ةعومجم معدت ةينغ تاودأو تابتكمPython و R نم لك رفوت ،كلذ ىلع ةولاع ىلع .ةفلتخملا تلاكشملل ةركتبم لولح ريوطتل تابتكملا هذه نم ةدافتسلاا نيمدختسملل نكمي .يللآا ملعتلا ىلإ ينايبلا R رفوت امنيب ،ةءافكب تانايبلا ةرادلإ Python يف pandas ةبتكم مادختسا نكمي ،لاثملا ليبس مسرلل ةيوق تاودأ .نيللحملاو نيثحابلل ةيلاثم اهلعجي امم ،يئاصحلإا ليلحتلاو ينايبلا</text>
<text><location><page_1><loc_16><loc_56><loc_85><loc_61></location>Python و R ةغلب ةجمربلا يدؤت نأ نكمي ،ةياهنلا يف ةركتبم لولح ريفوتو ةيجاتنلإا نيسحت ىلإ ةيليلحت ةيلقع عم اهل نوكت نأ نكمي ةبسانملا ةيجمربلا بيلاسلأا قيبطتو لاعف لكشب تانايبلا ليلحت ىلع ةردقلا نإ .ةدقعملا تلاكشملل .ينهملاو يصخشلا ءادلأا ىلع ىدملا ةديعب ةيباجيإ تاريثأت</text>
</document>
<doctag><section_header_level_1><loc_183><loc_46><loc_426><loc_55>Pythonو R ةغلب ةجمربلا للاخ نم تلاكشملا لحو ةيجاتنلإا نيسحت</section_header_level_1>
<text><loc_74><loc_64><loc_427><loc_99>Python و R ةغلب ةجمربلا ربتعت ةلاعف لولح داجيإ يف دعاستو ةيجاتنلإا ززعت نأ نكمي يتلا ةيوقلا تاودلأا نم ءاملعلاو نيللحملا ىلع لهسي امم ،تانايبلا ليلحتل ةيلاثم اهلعجت ةديرف تازيمPython و R نم لك كلتمي .تلاكشملل ناك اذإ .ةلاعفو ةعيرس ةقيرطب ةدقعم تلايلحت ءارجإ مهسي نأ نكمي تاغللا هذه مادختسا نإف ،ةيليلحت ةيلقع كيدل .لمعلا جئاتن نيسحت يف ريبك لكشب</text>
<text><loc_170><loc_126><loc_170><loc_134>ً</text>
<text><loc_82><loc_108><loc_427><loc_143>جارختساو تانايبلا نم ةلئاه تايمك ةجلاعم نكمملا نم حبصي ،ةجمربلا تاراهم عم يليلحتلا ريكفتلا عمتجي امدنع ذيفنتلPython و R مادختسا نيجمربملل نكمي .اهنم تاهجوتلاو طامنلأا ةجذمنلا لثم ،ةمدقتم ةيليلحت تايلمع ةقد رثكأ تارارق ذاختا ىلإ ا ضيأ يدؤي نأ نكمي لب ،تقولا رفوي طقف سيل اذه .ةريبكلا تانايبلا ليلحتو ةيئاصحلإا تانايبلا ىلع ةمئاق تاجاتنتسا ىلع ءانب .</text>
<text><loc_416><loc_135><loc_416><loc_143>ً</text>
<text><loc_76><loc_152><loc_427><loc_186>ليلحتلا نم ،تاقيبطتلا نم ةعساو ةعومجم معدت ةينغ تاودأو تابتكمPython و R نم لك رفوت ،كلذ ىلع ةولاع ىلع .ةفلتخملا تلاكشملل ةركتبم لولح ريوطتل تابتكملا هذه نم ةدافتسلاا نيمدختسملل نكمي .يللآا ملعتلا ىلإ ينايبلا R رفوت امنيب ،ةءافكب تانايبلا ةرادلإ Python يف pandas ةبتكم مادختسا نكمي ،لاثملا ليبس مسرلل ةيوق تاودأ .نيللحملاو نيثحابلل ةيلاثم اهلعجي امم ،يئاصحلإا ليلحتلاو ينايبلا</text>
<text><loc_79><loc_195><loc_427><loc_221>Python و R ةغلب ةجمربلا يدؤت نأ نكمي ،ةياهنلا يف ةركتبم لولح ريفوتو ةيجاتنلإا نيسحت ىلإ ةيليلحت ةيلقع عم اهل نوكت نأ نكمي ةبسانملا ةيجمربلا بيلاسلأا قيبطتو لاعف لكشب تانايبلا ليلحت ىلع ةردقلا نإ .ةدقعملا تلاكشملل .ينهملاو يصخشلا ءادلأا ىلع ىدملا ةديعب ةيباجيإ تاريثأت</text>
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<text><location><page_1><loc_8><loc_3><loc_10><loc_4></location>11</text>
<text><location><page_1><loc_11><loc_50><loc_73><loc_75></location>،هيلعو ملا ةوا رملا لاول خواهييع ووص عضت ةيرص م لا ةموكح لا نإف ةو اب لأا نم ددي قي حت ىاي لمعلخب خال ةير وام جلا سي ئر د يسلا فياكت ا دو ه :خاسعر ىاي ويولولأا ةومئخق سعر ىا ي يرصملا نخسنلإا ءخهب فام عضو ، تخ ووومن تحدووعم قووي حت ىوو اي لو وم علا ،ليوواعللاو ةحووصلا تحخووجم اووف ةووصخل ىوووواي خوووو حلا ا وووو و ،تخوووو ي خل لا فوووواذع اووووف ةامخوووو و ةمادلووووسمو ةوووويوق وو يلودلاو ةوويمياقلإا تخيدوو حلل ا ءوووض اووف يرووصملا امووو لا نووملأا تاددووحم ،ة وو ام ةووعبخلم رارملووساو ،ةيووسخيسلا ة رخوواملا ر ي وو و لت د ووواو ةاووصاومو تخ ايوووو لاو ةوووفخ لا تخووو ام ريوووولت ، خوووهرلإا ةوووحفخ كمو ر ار لوووسحاو نوووملأا لي هخووو م وووسري ي ووولا وووو حهل ا ىووواي لدووولعملا اهيدووو لا خووولبلاو ،اه،وووولا .اعملجملا ماسلاو ةه،اوملا</text>
<text><location><page_1><loc_13><loc_45><loc_74><loc_48></location>رول لا لاول ةيرو ص م لا ةو موكحلا امخونرب دالوسي ،قبس خمل خً فوو 2024( -)2026 اتلآا وحهلا ىاي اهو ،ةسيئر ةيجيتارلسا اد هع ةعبرع قي حت :</text>
<text><location><page_1><loc_12><loc_37><loc_73><loc_40></location>نــــــــم ما ةــــــــيا م رـ صم لا يم وقل ا اــــسن ا ءاــــ نب رــــــــــــــــــــصم لا عاـــــصت ا ءاـــــ نب يــــــــــــــــــــــسبا نت قتسظا ق يقحت را ر يــــــــــــــــــــــــساي سلا</text>
<text><location><page_1><loc_12><loc_23><loc_73><loc_31></location>خهلوسحخب امخونرب لا ت خفدالوسم ديدحت لت دق هن ع ىلإ رخ لإا ردجت لكواب د روووصم ةو ووي ر تخ فدال ووو س م ىووو اي سيوووئر 2023 ر اوو وو حلا تخووو ساو تخيوووصوتو ، كيال ا تخ اووصيل اه،ووولا امخوونربلاو ،تارا ووو لا ت خ فدا لوو سمو ،اه،ووولا ،ةوو ي ا ةيه، ولا تخ ي جيتا رلسحا فالبمو .</text>
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<doctag><text><loc_40><loc_478><loc_49><loc_486>11</text>
<text><loc_57><loc_125><loc_367><loc_249>،هيلعو ملا ةوا رملا لاول خواهييع ووص عضت ةيرص م لا ةموكح لا نإف ةو اب لأا نم ددي قي حت ىاي لمعلخب خال ةير وام جلا سي ئر د يسلا فياكت ا دو ه :خاسعر ىاي ويولولأا ةومئخق سعر ىا ي يرصملا نخسنلإا ءخهب فام عضو ، تخ ووومن تحدووعم قووي حت ىوو اي لو وم علا ،ليوواعللاو ةحووصلا تحخووجم اووف ةووصخل ىوووواي خوووو حلا ا وووو و ،تخوووو ي خل لا فوووواذع اووووف ةامخوووو و ةمادلووووسمو ةوووويوق وو يلودلاو ةوويمياقلإا تخيدوو حلل ا ءوووض اووف يرووصملا امووو لا نووملأا تاددووحم ،ة وو ام ةووعبخلم رارملووساو ،ةيووسخيسلا ة رخوواملا ر ي وو و لت د ووواو ةاووصاومو تخ ايوووو لاو ةوووفخ لا تخووو ام ريوووولت ، خوووهرلإا ةوووحفخ كمو ر ار لوووسحاو نوووملأا لي هخووو م وووسري ي ووولا وووو حهل ا ىووواي لدووولعملا اهيدووو لا خووولبلاو ،اه،وووولا .اعملجملا ماسلاو ةه،اوملا</text>
<text><loc_63><loc_258><loc_370><loc_277>رول لا لاول ةيرو ص م لا ةو موكحلا امخونرب دالوسي ،قبس خمل خً فوو 2024( -)2026 اتلآا وحهلا ىاي اهو ،ةسيئر ةيجيتارلسا اد هع ةعبرع قي حت :</text>
<text><loc_58><loc_301><loc_367><loc_317>نــــــــم ما ةــــــــيا م رـ صم لا يم وقل ا اــــسن ا ءاــــ نب رــــــــــــــــــــصم لا عاـــــصت ا ءاـــــ نب يــــــــــــــــــــــسبا نت قتسظا ق يقحت را ر يــــــــــــــــــــــــساي سلا</text>
<text><loc_61><loc_344><loc_367><loc_385>خهلوسحخب امخونرب لا ت خفدالوسم ديدحت لت دق هن ع ىلإ رخ لإا ردجت لكواب د روووصم ةو ووي ر تخ فدال ووو س م ىووو اي سيوووئر 2023 ر اوو وو حلا تخووو ساو تخيوووصوتو ، كيال ا تخ اووصيل اه،ووولا امخوونربلاو ،تارا ووو لا ت خ فدا لوو سمو ،اه،ووولا ،ةوو ي ا ةيه، ولا تخ ي جيتا رلسحا فالبمو .</text>
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<section_header_level_1><location><page_1><loc_12><loc_90><loc_45><loc_93></location>یلخاد یلااک - یلصا رازاب رد شريذپ همانديما</section_header_level_1>
<figure>
<location><page_1><loc_65><loc_88><loc_81><loc_96></location>
</figure>
<section_header_level_1><location><page_1><loc_63><loc_81><loc_81><loc_84></location>لااک درادناتسا -2-5</section_header_level_1>
<text><location><page_1><loc_77><loc_79><loc_87><loc_81></location>درادناتسا مان</text>
<text><location><page_1><loc_11><loc_75><loc_44><loc_81></location>یرگ هتخير شور هب هدش ديلوت لاشمش و هشمش فرصم دروم هتسويپ یا هزاس یاهدلاوف رد - قباطم تسويپ زيلانآ</text>
<text><location><page_1><loc_71><loc_72><loc_87><loc_74></location>یلم درادناتسا هرامش</text>
<text><location><page_1><loc_40><loc_73><loc_45><loc_74></location>20300</text>
<text><location><page_1><loc_68><loc_70><loc_87><loc_72></location>؟تسا یرابجا درادناتسا</text>
<checkbox_unselected><location><page_1><loc_33><loc_70><loc_44><loc_72></location>ريخ یلب</checkbox_unselected>
<text><location><page_1><loc_65><loc_67><loc_87><loc_69></location>درادناتسا هدننکرداص عجرم</text>
<text><location><page_1><loc_28><loc_67><loc_44><loc_69></location>ناريا درادناتسا یلم نامزاس</text>
<text><location><page_1><loc_49><loc_62><loc_87><loc_66></location>ذخا ار روکذم درادناتسا ،لوصحم هدننکديلوت ايآ ؟تسا هدومن</text>
<checkbox_selected><location><page_1><loc_33><loc_65><loc_35><loc_66></location>ريخ</checkbox_selected>
<checkbox_unselected><location><page_1><loc_40><loc_65><loc_42><loc_66></location>یلب</checkbox_unselected>
<section_header_level_1><location><page_1><loc_69><loc_56><loc_85><loc_58></location>سروب رد شريذپ -3</section_header_level_1>
<text><location><page_1><loc_68><loc_54><loc_83><loc_56></location>کرادم هئارا خيرات</text>
<text><location><page_1><loc_23><loc_54><loc_32><loc_56></location>1403/09/19</text>
<text><location><page_1><loc_72><loc_51><loc_83><loc_53></location>شريذپ خيرات</text>
<text><location><page_1><loc_23><loc_51><loc_32><loc_53></location>1403/10/04</text>
<text><location><page_1><loc_62><loc_48><loc_83><loc_50></location>هضرع هتيمک هسلج هرامش</text>
<text><location><page_1><loc_26><loc_49><loc_29><loc_50></location>436</text>
<text><location><page_1><loc_67><loc_45><loc_83><loc_47></location>همانديما جرد خيرات</text>
<text><location><page_1><loc_23><loc_46><loc_32><loc_48></location>1403/10/05</text>
<text><location><page_1><loc_71><loc_43><loc_83><loc_45></location>شريذپ رواشم</text>
<text><location><page_1><loc_21><loc_43><loc_34><loc_45></location>سروب نومرآ یرازگراک</text>
<text><location><page_1><loc_47><loc_37><loc_83><loc_42></location>رد لااک شريذپ زا سپ هياپ تميق نييعت ةوحن سروب</text>
<text><location><page_1><loc_18><loc_40><loc_36><loc_42></location>یناهج یاه تميق ساسا رب</text>
<text><location><page_1><loc_45><loc_32><loc_83><loc_37></location>شورف /شورف لک /ديلوت زا هضرع دصرد لقادح یلخاد</text>
<text><location><page_1><loc_14><loc_35><loc_40><loc_37></location>نت 47.500 اي هنايلاس ديلوت زا %50 لقادح</text>
<text><location><page_1><loc_68><loc_29><loc_83><loc_31></location>ليوحت زاجم یاطخ</text>
<text><location><page_1><loc_18><loc_30><loc_37><loc_31></location>ليوحت لباق هلومحم نيرخآ 5%</text>
</document>
<doctag><section_header_level_1><loc_58><loc_37><loc_225><loc_48>یلخاد یلااک - یلصا رازاب رد شريذپ همانديما</section_header_level_1>
<picture><loc_326><loc_21><loc_405><loc_61></picture>
<section_header_level_1><loc_314><loc_82><loc_403><loc_93>لااک درادناتسا -2-5</section_header_level_1>
<text><loc_385><loc_96><loc_436><loc_106>درادناتسا مان</text>
<text><loc_56><loc_96><loc_222><loc_125>یرگ هتخير شور هب هدش ديلوت لاشمش و هشمش فرصم دروم هتسويپ یا هزاس یاهدلاوف رد - قباطم تسويپ زيلانآ</text>
<text><loc_354><loc_128><loc_436><loc_138>یلم درادناتسا هرامش</text>
<text><loc_199><loc_128><loc_223><loc_136>20300</text>
<text><loc_342><loc_142><loc_436><loc_152>؟تسا یرابجا درادناتسا</text>
<checkbox_unselected><loc_166><loc_141><loc_222><loc_149>ريخ یلب</checkbox_unselected>
<text><loc_327><loc_155><loc_436><loc_165>درادناتسا هدننکرداص عجرم</text>
<text><loc_140><loc_154><loc_222><loc_163>ناريا درادناتسا یلم نامزاس</text>
<text><loc_245><loc_169><loc_436><loc_192>ذخا ار روکذم درادناتسا ،لوصحم هدننکديلوت ايآ ؟تسا هدومن</text>
<checkbox_selected><loc_166><loc_168><loc_175><loc_176>ريخ</checkbox_selected>
<checkbox_unselected><loc_199><loc_168><loc_208><loc_176>یلب</checkbox_unselected>
<section_header_level_1><loc_344><loc_209><loc_425><loc_219>سروب رد شريذپ -3</section_header_level_1>
<text><loc_340><loc_222><loc_414><loc_232>کرادم هئارا خيرات</text>
<text><loc_116><loc_221><loc_158><loc_230>1403/09/19</text>
<text><loc_358><loc_236><loc_414><loc_246>شريذپ خيرات</text>
<text><loc_116><loc_235><loc_158><loc_243>1403/10/04</text>
<text><loc_308><loc_249><loc_414><loc_259>هضرع هتيمک هسلج هرامش</text>
<text><loc_130><loc_248><loc_144><loc_257>436</text>
<text><loc_335><loc_263><loc_414><loc_273>همانديما جرد خيرات</text>
<text><loc_116><loc_262><loc_158><loc_270>1403/10/05</text>
<text><loc_355><loc_276><loc_414><loc_286>شريذپ رواشم</text>
<text><loc_103><loc_275><loc_171><loc_283>سروب نومرآ یرازگراک</text>
<text><loc_236><loc_291><loc_414><loc_314>رد لااک شريذپ زا سپ هياپ تميق نييعت ةوحن سروب</text>
<text><loc_92><loc_290><loc_179><loc_298>یناهج یاه تميق ساسا رب</text>
<text><loc_224><loc_317><loc_414><loc_340>شورف /شورف لک /ديلوت زا هضرع دصرد لقادح یلخاد</text>
<text><loc_72><loc_316><loc_202><loc_325>نت 47.500 اي هنايلاس ديلوت زا %50 لقادح</text>
<text><loc_340><loc_344><loc_414><loc_354>ليوحت زاجم یاطخ</text>
<text><loc_90><loc_343><loc_184><loc_351>ليوحت لباق هلومحم نيرخآ 5%</text>
<page_footer><loc_224><loc_463><loc_247><loc_469>Page 7</page_footer>
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