DocVCE: Diffusion-based Visual Counterfactual Explanations for Document Image Classification

TL;DR

This paper introduces DocVCE, a diffusion-based method for generating visual counterfactual explanations to improve transparency in document image classification models, addressing interpretability challenges.

Contribution

It presents the first generative counterfactual explanation approach for document image analysis using diffusion models with hierarchical refinement.

Findings

Effective in generating plausible counterfactuals across multiple datasets and models

Outperforms existing feature-importance methods in interpretability

Provides insights into global features learned by classifiers

Abstract

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.