DocVCE: Diffusion-based Visual Counterfactual Explanations for Document Image Classification
This addresses the need for transparency in high-stakes document processing workflows, offering a novel approach to explainability in a domain where existing methods are limited.
The paper tackles the problem of explaining black-box document image classification models by introducing DocVCE, a method that generates visual counterfactual explanations using latent diffusion models and hierarchical patch-wise refinement, achieving effectiveness validated on 3 datasets and 3 models with criteria like validity, closeness, and realism.
As black-box AI-driven decision-making systems become increasingly widespread in modern document processing workflows, improving their transparency and reliability has become critical, especially in high-stakes applications where biases or spurious correlations in decision-making could lead to serious consequences. One vital component often found in such document processing workflows is document image classification, which, despite its widespread use, remains difficult to explain. While some recent works have attempted to explain the decisions of document image classification models through feature-importance maps, these maps are often difficult to interpret and fail to provide insights into the global features learned by the model. In this paper, we aim to bridge this research gap by introducing generative document counterfactuals that provide meaningful insights into the model's decision-making through actionable explanations. In particular, we propose DocVCE, a novel approach that leverages latent diffusion models in combination with classifier guidance to first generate plausible in-distribution visual counterfactual explanations, and then performs hierarchical patch-wise refinement to search for a refined counterfactual that is closest to the target factual image. We demonstrate the effectiveness of our approach through a rigorous qualitative and quantitative assessment on 3 different document classification datasets -- RVL-CDIP, Tobacco3482, and DocLayNet -- and 3 different models -- ResNet, ConvNeXt, and DiT -- using well-established evaluation criteria such as validity, closeness, and realism. To the best of the authors' knowledge, this is the first work to explore generative counterfactual explanations in document image analysis.